Vol. 78 Wednesday, No. 215 November 6, 2013

Pages 66621–66824

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 78, No. 215

Wednesday, November 6, 2013

Bureau of the Fiscal Service Energy Department NOTICES See Western Area Power Administration Fee Schedule for the Transfer of U.S. Treasury Book-Entry NOTICES Securities Held on the National Book-Entry System, Environmental Impact Statements; Availability, etc.: 66803 Champlain Hudson Power Express Transmission Line Project, 66695 Census Bureau NOTICES Environmental Protection Agency Meetings: RULES National Advisory Committee on Racial, Ethnic, and Air Quality State Implementation Plans; Approvals and Other Populations Advisory Committee, 66681 Promulgations: Texas; Procedures for Stringency Determinations and Centers for Medicare & Medicaid Services Minor Permit Revisions for Federal Operating RULES Permits; Withdrawal, 66648–66649 Patient Protection and Affordable Care Act: Civil Monetary Penalty Inflation Adjustment Rule, 66643– Benefit and Payment Parameters for 2014; Correction, 66648 66653–66655 Pesticide Tolerances: Imazapyr, 66651–66653 Commerce Department Spirotetramat, 66649–66651 See Census Bureau PROPOSED RULES See National Oceanic and Atmospheric Administration Greenhouse Gas Reporting Program: Revisions to Reporting and Recordkeeping Requirements Commodity Futures Trading Commission and Proposed Confidentiality Determinations, 66674– RULES 66675 Protection of Collateral of Counterparties to Uncleared NOTICES Swaps: Access to Confidential Business Information: Treatment of Securities in a Portfolio Margining Account Arcadis U.S., Inc., 66696–66697 in a Commodity Broker Bankruptcy, 66621–66637 Science Applications International Corp., et al., 66697– 66698 Defense Department Awareness Graphics: NOTICES Pesticides; Repellency; Availability , 66698–66700 Agency Information Collection Activities; Proposals, Toxic Substances Control Act Chemical Testing Test Data, Submissions, and Approvals: 66700–66704 Federal Acquisition Regulation; Patents, 66740–66742 Executive Office of the President Employee Benefits Security Administration See Presidential Documents NOTICES Proposed Exemptions From Certain Prohibited Transaction Federal Aviation Administration Restrictions: PROPOSED RULES Bank of America Corp. and Intel Corp., 66769–66778 Airworthiness Directives: Proposed Exemptions: Diamond Aircraft Industries GmbH Airplanes, 66666– Studley, Inc.; Section 401(k) Profit Sharing Plan, New 66668 York, NY, 66778 Eurocopter France (Eurocopter) Helicopters, 66668–66670

Employment and Training Administration Federal Communications Commission NOTICES NOTICES Trade Adjustment Assistance; Determinations: Agency Information Collection Activities; Proposals, Eastman Kodak Company IPS—Dayton Location Submissions, and Approvals, 66704–66709 including on-site leased workers from Adecco, Dayton, OH, 66778–66779 Federal Deposit Insurance Corporation Worker Adjustment Assistance: PROPOSED RULES Blount International, Inc., et al., Portland and Milwaukie, Restrictions on Sales of Assets of a Covered Financial OR, 66780 Company, 66661–66666 CTS Automotive LLC, et al., Carol Stream, IL, 66779– 66780 Federal Emergency Management Agency Salter Labs, et al., Arvin, CA, 66780 NOTICES United States Enrichment Corp. Paducah Gaseous Major Disaster Declarations: Diffusion Plant, et al., Paducah, KY, 66779 Santa Clara Pueblo; Amendment No. 1, 66756 Worker Adjustment Assistance; Determinations, 66780– 66783 Federal Housing Finance Agency Worker Adjustment Assistance; Investigations, 66783– NOTICES 66784 Privacy Act; Systems of Records, 66709–66712

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Federal Maritime Commission See Food and Drug Administration NOTICES See National Institutes of Health Agreements Filed, 66713 Ocean Transportation Intermediary License Applicants, Homeland Security Department 66713–66714 See Federal Emergency Management Agency See U.S. Citizenship and Immigration Services Federal Motor Carrier Safety Administration See U.S. Customs and Border Protection NOTICES Charter Renewals: Housing and Urban Development Department Motor Carrier Safety Advisory Committee, 66801 PROPOSED RULES Housing Counseling Program: Federal Reserve System New Certification Requirements, 66670–66671 NOTICES Agency Information Collection Activities; Proposals, Interior Department Submissions, and Approvals, 66714–66715 See Fish and Wildlife Service Federal Reserve Bank Services, 66715–66740 See National Park Service See Ocean Energy Management Bureau Fiscal Service See Surface Mining Reclamation and Enforcement Office NOTICES Fee Schedule for the Transfer of U.S. Treasury Book-Entry Internal Revenue Service Securities Held on the National Book-Entry System, RULES 66803 Modifications of Certain Derivative Contracts, 66639–66641

Fish and Wildlife Service International Trade Commission NOTICES NOTICES Agency Information Collection Activities; Proposals, Complaints: Submissions, and Approvals: Certain Antivenom Compositions and Products Depredation Order for Blackbirds, Grackles, Cowbirds, Containing the Same, 66766–66767 Magpies, and Crows, 66759–66760 Determinations: Federal Fish and Wildlife Permit Applications and Chlorinated Isocyanurates From China and Japan, 66767– Reports—Law Enforcement, 66761–66762 66768 Injurious Wildlife; Importation Certification for Live Fish Meetings; Sunshine Act, 66768 and Fish Eggs, 66760–66761 Justice Department Food and Drug Administration NOTICES Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Determination that Products Were Not Withdrawn From Certification of Compliance With the Confidentiality and Sale for Reasons of Safety or Effectiveness: Privacy Provisions of the Violence Against Women MOBAN (Molindone Hydrochloride); Tablets (5, 10, 25, Act, 66768 50, and 100 mg) and Capsules (5, 10, and 25 mg), 66742–66743 Labor Department Draft Guidance for Industry; Availability: See Employee Benefits Security Administration Bioequivalence Recommendations for Iron Sucrose, See Employment and Training Administration 66743–66744 See Occupational Safety and Health Administration Product-Specific Bioequivalence Recommendations, NOTICES 66745–66746 Agency Information Collection Activities; Proposals, Pulmonary Tuberculosis; Developing Drugs for Submissions, and Approvals: Treatment, 66744–66745 Census of Fatal Occupational Injuries, 66768–66769 Medical Devices: Medical Device User Fee; Web Site Location of Fiscal National Aeronautics and Space Administration Year 2014 Proposed Guidance Development, 66746– NOTICES 66747 Agency Information Collection Activities; Proposals, Meetings: Submissions, and Approvals: Sickle Cell Disease; Patient-Focused Drug Development, Federal Acquisition Regulation; Patents, 66740–66742 66747–66748 Proposal To Withdraw Approval of 14 New Drug National Highway Traffic Safety Administration Applications: RULES Smith Miller and Patch Inc., et al.; Opportunity for a Uniform Tire Quality Grading Standards, 66655–66659 Hearing, 66748–66750 National Institutes of Health General Services Administration NOTICES NOTICES Agency Information Collection Activities; Proposals, Agency Information Collection Activities; Proposals, Submissions, and Approvals: Submissions, and Approvals: Customer and Other Partners Satisfaction Surveys, Federal Acquisition Regulation; Patents, 66740–66742 66750–66751 Guidelines for Research: Health and Human Services Department Recombinant or Synthetic Nucleic Acid Molecules, See Centers for Medicare & Medicaid Services 66751–66752

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Meetings: Presidential Documents Center for Scientific Review, 66752, 66754–66756 EXECUTIVE ORDERS Eunice Kennedy Shriver National Institute of Child Government Agencies and Employees: Health and Human Development, 66752–66754 Climate Change; Preparing for the Impacts (EO 13653), National Center for Advancing Translational Sciences, 66817–66824 66755 National Center for Complementary and Alternative Public Debt Bureau Medicine, 66755 See Fiscal Service National Heart, Lung, and Blood Institute, 66754–66755 National Human Genome Research Institute, 66752 Railroad Retirement Board National Institute of Biomedical Imaging and NOTICES Bioengineering, 66755 Agency Information Collection Activities; Proposals, Submissions, and Approvals, 66786–66788 National Oceanic and Atmospheric Administration Securities and Exchange Commission PROPOSED RULES Endangered and Threatened Wildlife: NOTICES Joint Industry Plans: 90-Day Finding on a Petition To List Multiple Species of BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Hagfish and Sea Snakes as Threatened or Board Options Exchange, Inc., et al., 66788–66789 Endangered, 66675–66680 NOTICES Order Approving the Eighteenth Substantive Amendment to Draft 2013 Marine Mammal Stock Assessment Reports, the Second Restatement of the Consolidated Tape 66681–66683 Association Plan, 66789–66790 Fisheries in the Western Pacific: Self-Regulatory Organizations; Proposed Rule Changes: Special Coral Reef Ecosystem Fishing Permit, 66683– CBOE Futures Exchange, LLC, 66790–66791 66684 Chicago Stock Exchange, Inc., 66791–66794 Requests for Nominations: International Securities Exchange, LLC, 66798–66801 Atlantic Highly Migratory Species Advisory Panel, Miami International Securities Exchange LLC, 66796– 66684–66686 66798 Takes of Marine Mammals Incidental to Specified NYSE Arca, Inc., 66794–66796 Activities: Social Security Administration Seabird and Pinniped Research Activities in Central RULES California, 2013–2014, 66686–66695 Extension of Expiration Date for State Disability Examiner Authority To Make Fully Favorable Quick Disability National Park Service Determinations and Compassionate Allowances, NOTICES 66638–66639 Meetings: Cape Cod National Seashore Advisory Commission, State Department 66763 RULES National Christmas Tree Lighting, 66762–66763 Visas: Compliance With the United Nations Agreement and National Transportation Safety Board Other International Obligations; Clarification of NOTICES Immediate Family for Certain Nonimmigrant Visa SES Performance Review Board; Correction, 66785 Classifications, 66814–66815 Nuclear Regulatory Commission Surface Mining Reclamation and Enforcement Office PROPOSED RULES PROPOSED RULES Potential Changes to Interlocutory Appeals Process for Oklahoma Regulatory Program, 66671–66674 Adjudicatory Decisions, 66660–66661 NOTICES NOTICES Agency Information Collection Activities; Proposals, Applications: Submissions, and Approvals, 66765–66766 Korea Hydro and Nuclear Power Co., Ltd., and Korea Electric Power Corp., 66785 Surface Transportation Board Combined Licenses: NOTICES Luminant Generation Co., LLC, 66785–66786 Abandonment Exemptions: Norfolk Southern Railway Co., St. Joseph County, IN, Occupational Safety and Health Administration 66801–66802 RULES Operation Exemptions: Accident Prevention Signs and Tags: Union Pacific Railroad Co., in Bexar and Wilson Incorporation by Reference; Correction, 66641–66642 Counties, TX, 66802–66803 OSHA Standards Based on National Consensus Standards: Signage, 66642–66643 Transportation Department See Federal Aviation Administration Ocean Energy Management Bureau See Federal Motor Carrier Safety Administration NOTICES See National Highway Traffic Safety Administration Agency Information Collection Activities; Proposals, See Surface Transportation Board Submissions, and Approvals: Oil Spill Financial Responsibility for Offshore Facilities, Treasury Department 66763–66765 See Bureau of the Fiscal Service

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See Fiscal Service Western Area Power Administration See Internal Revenue Service NOTICES Proposed Formula Rates : U.S. Citizenship and Immigration Services Loveland Area, Colorado River Storage, Pacific NOTICES Northwest-Pacific Southwest Intertie, Central Arizona Extension of the Designation of Somalia for Temporary Project, and Parker–Davis Projects, 66695–66696 Protected Status, 66756

U.S. Customs and Border Protection Separate Parts In This Issue NOTICES Commercial Gaugers and Laboratories; Accreditations and Part II Approvals: State Department, 66814–66815 AMSPEC Services, LLC, 66758 Amspec Services, LLC, 66757 Part III AMSPEC Services, LLC, 66758 Presidential Documents, 66817–66824 Saybolt, LP, 66756–66757 SGS North America, Inc., 66757–66758 Commercial Gaugers; Accreditations and Approvals: Reader Aids Accreditation and Approval of Saybolt, LP, 66758–66759 Consult the Reader Aids section at the end of this page for Commercial Gaugers; Approvals: phone numbers, online resources, finding aids, reminders, American Cargo Assurance, as a Commercial Gauger, and notice of recently enacted public laws. 66759 To subscribe to the Federal Register Table of Contents LISTSERV electronic mailing list, go to http:// Veterans Affairs Department listserv.access.gpo.gov and select Online mailing list NOTICES archives, FEDREGTOC-L, Join or leave the list (or change Privacy Act; Systems of Records, 66803–66812 settings); then follow the instructions.

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CFR PARTS AFFECTED IN THIS ISSUE

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

3 CFR Executive Orders: 13653...... 66819 10 CFR Proposed Rules: 2...... 66660 12 CFR Proposed Rules: 380...... 66661 14 CFR Proposed Rules: 39 (2 documents) ...... 66666, 66668 17 CFR 23...... 66621 190...... 66621 20 CFR 404...... 66638 416...... 66638 22 CFR 41...... 66814 24 CFR Proposed Rules: 214...... 66670 26 CFR 1...... 66639 29 CFR 1910 (2 documents) ...... 66641, 66642 1926 (2 documents) ...... 66641, 66642 30 CFR Proposed Rules: 936...... 66671 40 CFR 19...... 66643 52...... 66648 180 (2 documents) ...... 66649, 66651 Proposed Rules: 98...... 66674 45 CFR 153...... 66653 155...... 66653 156...... 66653 157...... 66653 158...... 66653 49 CFR 575...... 66655 50 CFR Proposed Rules: 223...... 66675 224...... 66675

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Rules and Regulations Federal Register Vol. 78, No. 215

Wednesday, November 6, 2013

This section of the FEDERAL REGISTER Part 23 not later than May 5, 2014. For the Dodd-Frank Act 4 amended the contains regulatory documents having general uncleared swap transactions that are Commodity Exchange Act (‘‘CEA’’) 5 to applicability and legal effect, most of which entered into with ‘‘existing establish a comprehensive new are keyed to and codified in the Code of counterparties,’’ 2 all persons shall be in regulatory framework for swaps and Federal Regulations, which is published under compliance with the requirements set certain security-based swaps. The 50 titles pursuant to 44 U.S.C. 1510. forth in Subpart L of Part 23 not later legislation was enacted to reduce risk, The Code of Federal Regulations is sold by than November 3, 2014. All parties must increase transparency, and promote the Superintendent of Documents. Prices of comply with the Part 190 rules by market integrity within the financial new books are listed in the first FEDERAL January 6, 2014. system by, among other things: (i) REGISTER issue of each week. FOR FURTHER INFORMATION CONTACT: Providing for the registration and Robert B. Wasserman, Chief Counsel, comprehensive regulation of SDs and Division of Clearing and Risk (DCR), at MSPs; (ii) imposing mandatory clearing COMMODITY FUTURES TRADING 202–418–5092 or [email protected]; and trade execution requirements on COMMISSION Laura Astrada, Associate Chief Counsel, clearable swap contracts; (iii) creating DCR, at 202–418–7622 or lastrada@ recordkeeping and real-time reporting 17 CFR Parts 23 and 190 cftc.gov; Thomas Smith, Deputy regimes; and (iv) enhancing the RIN 3038–AD28 Director, Division of Swap Dealer and rulemaking and enforcement authorities Intermediary Oversight at 202–418– of the Commission with respect to, Protection of Collateral of 5495 or [email protected]; or Martin among others, all registered entities and Counterparties to Uncleared Swaps; White, Assistant General Counsel, intermediaries subject to the oversight Treatment of Securities in a Portfolio Office of the General Counsel at 202– of the Commission. Margining Account in a Commodity 418–5129 or [email protected]; in each Section 724(c) of the Dodd-Frank Act Broker Bankruptcy case, also at the Commodity Futures amended the CEA to add section 4s(l), Trading Commission, Three Lafayette which includes provisions concerning AGENCY: Commodity Futures Trading Centre, 1155 21st Street NW., Commission. the rights of counterparties to SDs and Washington, DC 20581. MSPs with respect to the treatment of ACTION: Final rule. SUPPLEMENTARY INFORMATION: such counterparty’s margin for SUMMARY: The Commodity Futures Table of Contents uncleared swaps. As discussed further Trading Commission (the in Part II of this preamble, these changes I. Background are implemented in new Subpart L to ‘‘Commission’’) is issuing final rules A. Statutory Background implementing new statutory provisions Part 23 of Title 17, §§ 23.700 through B. Section 4s(l) of the CEA 6 enacted by Title VII of the Dodd-Frank C. Section 20(c) of the CEA 23.704. Wall Street Reform and Consumer II. Margin Segregation for SD or MSP Section 713(c) of the Dodd-Frank Act Protection Act (the ‘‘Dodd-Frank Act’’). Counterparties With Respect to amends the CEA to add, as section 20(c) Specifically, the final rule contained Uncleared Swaps thereof, a provision that requires the herein imposes requirements on swap A. Regulation 23.700: Definitions Commission to exercise its authority to B. Regulation 23.701: Notification of Right dealers (‘‘SDs’’) and major swap to Segregation clarify the legal status, in the event of participants (‘‘MSPs’’) with respect to C. Regulation 23.702: Requirements for a commodity broker bankruptcy, of (i) the treatment of collateral posted by Segregated Margin securities in a portfolio margining their counterparties to margin, D. Regulation 23.703: Investment of account held as a futures account, and guarantee, or secure uncleared swaps. Segregated Margin (ii) an owner of such account. Additionally, the final rule includes E. Regulation 23.704: Requirements for B. Section 4s(l) of the CEA revisions to ensure that, for purposes of Non-Segregated Margin F. Compliance Date subchapter IV of chapter 7 of the III. Portfolio Margining Section 4s(l) of the CEA sets forth Bankruptcy Code, securities held in a IV. Related Matters certain requirements concerning the portfolio margining account that is a A. Regulatory Flexibility Act rights of counterparties of SDs and futures account or a Cleared Swaps B. Paperwork Reduction Act MSPs with respect to the segregation of Customer Account constitute ‘‘customer C. Cost-Benefit Considerations money, securities, or other property property’’; and owners of such account I. Background used to margin, guarantee, or otherwise constitute ‘‘customers.’’ secure uncleared swaps. These DATES: Effective date: This rule is A. Statutory Background requirements apply only to initial effective January 6, 2014. On July 21, 2010, President Obama margin. Section 4s(l) requires that: Compliance dates: For uncleared signed the Dodd-Frank Act.3 Title VII of swap transactions that are entered into 4 Pursuant to section 701 of the Dodd-Frank Act, with ‘‘new counterparties,’’ 1 all persons 2 An ‘‘existing counterparty’’ is a counterparty Title VII may be cited as the ‘‘Wall Street shall be in compliance with the with whom, at the time of the effective date of this Transparency and Accountability Act of 2010’’. final rule, an agreement exists between the SD or 5 7 U.S.C. 1 et seq. requirements set forth in Subpart L of MSP and that counterparty concerning uncleared 6 The Commission notes that these rules were swaps. proposed as §§ 23.600 through 23.604. Because 1 A ‘‘new counterparty’’ is a counterparty with 3 Public Law 111–203, 124 Stat. 1376 (2010). The other rulemakings use these sections, this final whom, at the time of the effective date of this final text of the Dodd-Frank Act may be accessed at rulemaking will use and reference §§ 23.700 rule, no agreement exists between the SD or MSP http:www.cftc.gov/ucm/groups/public/@swaps/ through 23.704 throughout, notwithstanding the and that counterparty concerning uncleared swaps. documents/file/hr4173_enrolledbill.pdf. numbering in the proposal.

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• An SD or MSP notify each customer collateral protection with whether it requires that collateral be counterparty at the beginning of a swap respect to cleared and uncleared held in an individual customer account transaction that the counterparty has the swaps.8 Following consideration of the or whether such term permits an SD or right to require segregation of the funds comments made during the roundtable, MSP to hold segregated customer or other property supplied to margin, on December 3, 2010, the Commission collateral in an omnibus customer guarantee, or secure the counterparty’s issued a Notice of Proposed Rulemaking account.13 The Commission notes that obligations; 7 and (‘‘NPRM’’),9 and sought comment on all section 4s(l)(3)(B) requires that a • at the request of the counterparty, aspects of the NPRM, including the segregated account be ‘‘designated as a the SD or MSP shall segregate such definition of initial margin, segregated account for and on behalf of funds or other property with an counterparty notification, the nature of the counterparty.’’ 14 Moreover, independent third party custodian. The the custodian, and the investment of regulation 23.702(b) of the final rules 10 funds or other property of the segregated collateral. The Commission requires initial margin that is segregated counterparty must be kept in a received comments from twenty-two pursuant to a counterparty’s election to segregated account with an independent different commenters regarding the 11 be held in an account for and on behalf third party, designated for and on behalf proposed regulations in the NPRM. of the counterparty.15 Thus, regulation of that counterparty, separate from the The Commission, through its staff, also 23.702(b) requires initial margin to be met extensively with market assets and other interests of the SD or held in an individual customer account. participants both prior to and following MSP. As such, the Commission is adopting issuance of the NPRM. C. Section 20(c) of the CEA the definition of ‘‘segregate’’ as Section 713(c) of the Dodd-Frank Act, A. Regulation 23.700: Definitions proposed. codified as section 20(c) of the CEA, 1. ‘‘Segregate’’ 2. ‘‘Variation Margin’’ directs the Commission to exercise its In the NPRM, the Commission authority to ensure that securities held proposed to define ‘‘segregate’’ The Commission proposed to define in a portfolio margining account carried according to its commonly-understood ‘‘variation margin’’ (for which a as a futures account are customer meaning: To keep two or more items in counterparty does not have the right to property and the owners of those separate accounts, and to avoid segregation as section 4s(l)(2)(B)(i) accounts are customers for the purposes combining them in the same transfer prescribes) as an amount calculated to of subchapter IV of chapter 7 of title 11. between two accounts. cover the current exposure arising from II. Margin Segregation for SD or MSP One commenter agreed with the changes in the market value of the Counterparties With Respect to Commission’s proposed definition of position since the trade was executed or Uncleared Swaps ‘‘segregate.’’ 12 Another commenter the previous time the position was requested clarification regarding the marked to market. The Commission sought public definition of the term segregate and comment on customer collateral Six commenters discussed the 16 protection with respect to money, ‘‘variation margin’’ definition. SIFMA/ 8 The transcript from the roundtable is available ISDA wrote that the concept of variation securities, or other property used to at: http://www.cftc.gov/ucm/groups/public/@swaps/ margin, guarantee, or otherwise secure documents/dfsubmission/dfsubmission6_102210- margin is different in the over-the- uncleared swaps. First, on October 22, transcrip.pdf. counter swaps market than it is in the 9 2010, the Commission, through its staff, See Protection of Collateral of Counterparties to futures market.17 In particular, SIFMA/ Uncleared Swaps; Treatment of Securities in a ISDA noted that parties to swaps do not held a roundtable to discuss individual Portfolio Margining Account in a Commodity Broker Bankruptcy, 75 FR 75432 (Dec. 3, 2010). ‘‘pay’’ margin to each other based on 7 In a separate rulemaking, the Commission 10 The comment period closed on February 1, mark-to-market prices; rather they post proposed ‘‘minimum initial and variation margin 2011, and was reopened for 30 days on May 4, and grant a security interest in collateral requirements’’ for each SD or MSP for which there 2011. See Reopening and Extension of Comment based on estimated payment amounts is no prudential regulator as a way to ‘‘help ensure Periods for Rulemakings Implementing the Dodd- the safety and soundness of the [SD or MSP].’’ See Frank Wall Street Reform and Consumer Protection derived from current market Margin Requirements for Uncleared Swaps for Act, 76 FR 25274 (May 4, 2011). conditions.18 SIFMA/ISDA Swap Dealers and Major Swap Participants, 76 FR 11 Letters were received from Alternative recommended replacing the term 23732 (Apr. 28, 2011). Among other things, the Investment Management Association Limited ‘‘variation margin’’ with the term Commission proposed to require SDs and MSPs to (AIMA), American Gas Association (AGA), the segregate margin for uncleared swaps that such SD Asset Management Group (AMG) of Securities ‘‘exposure collateral,’’ and defining or MSP receives from other SDs and MSPs Industry and Financial Markets Association ‘‘exposure collateral’’ to mean ‘‘money, (hereinafter known as the ‘‘SD/MSP Specific (SIFMA), Edison Electric Institute (EEI), Federal securities or property posted by a party Segregation Requirements’’). See id. at 23748. Thus, Home Loan Banks (FHLB), Federated Investors, Inc. to secure its obligations pursuant to the under that proposal, even if an SD or MSP did not (Federated), Fidelity Investments (Fidelity), exercise its right to require segregation of the funds Intercontinental Exchange, Inc. (ICE), International terms of a swap agreement, the amount or other property that it supplies to margin, Swaps and Derivatives Association (ISDA), of which is based on an estimate of the guarantee, or secure its obligation, such funds or Investment Company Institute (ICI), Managed net mark-to-market exposure of all other property would nonetheless be segregated. Funds Association (MFA), MetLife Inc. (MetLife), transactions under the master swap National Rural Electric Cooperative Association The U.S. banking regulators have proposed 19 similar segregation requirements for those SDs and (NRECA), New York City Bar Association (NYCBA), agreement.’’ AIMA wrote that the MSPs that are prudentially regulated and that will Norges Bank Investment Management (Norges), be subject to their margin rules. See Margin and State Street Corporation (State Street), SIFMA, 13 Working Group letter at 3. SIFMA and ISDA (SIFMA/ISDA), and the Working Capital Requirements for Covered Swap Entities, 76 14 7 U.S.C. 6s(l)(3)(B). FR 27564 (May 11, 2011). The Commission is Group of Commercial Energy Firms (Working 15 See discussion in section C.1 infra. continuing to consider this proposal in light of this Group). NYCBA’s letter was a pre-NRPM letter 16 related work by U.S. banking regulators and related dated November 29, 2010. SIFMA’s letter was a pre- SIFMA/ISDA, ISDA, FHLB, NRECA, AIMA, efforts by regulators in other countries. The NPRM letter dated October 27, 2010. Federated AMG. Commission is aware of the importance of submitted two letters, both of which focused on the 17 SIFMA/ISDA letter at 2. See also ISDA letter developing consistent SD/MSP Specific Segregation investment of segregated funds. The Commission at 2. Requirements where possible in order to address also received letters from the following individuals: 18 SIFMA/ISDA letter at 2. See also ISDA letter systemic risk issues and to avoid regulatory Chris Barnard, Leigh Mckeirnan, and Bill at 2. arbitrage concerns. See also section 752 of the Granberry. 19 SIFMA/ISDA letter at 3. See also ISDA letter Dodd-Frank Act. 12 See AIMA letter at 2. at 3.

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proposed definition of ‘‘variation obligations pursuant to the terms of a Commission also stated that it margin’’ was appropriate.20 swap agreement and that is either (i) interpreted the language of CEA section The fact that the statute refers to specified as an [‘independent amount’] 4s(l)(1)(A) as a segregation right that can ‘‘variation margin’’ indicates that in the relevant agreement of the parties be elected or renounced by the SD’s or Congress was contemplating the use of or (ii) calculated based upon terms MSP’s counterparty in its discretion.33 the term ‘‘variation margin’’ as opposed agreed between the parties (in either As stated in the NPRM, Congress’s to ‘‘exposure collateral.’’ For the sake of case, in addition to and separately from description as a ‘‘right’’ of what would consistency with other regulations, the any [exposure collateral] otherwise be a simple matter for Commission is amending the definition requirement).’’ 27 Chris Barnard commercial negotiation suggests that of ‘‘variation margin’’ to add the phrase suggested that the Commission clarify this decision is an important one, with ‘‘or collateral posted by’’ after the that initial margin is posted at the a certain degree of favor given to an phrase ‘‘a payment made by’’. However, commencement or outset of a swap affirmative election.34 As such, in the Commission agrees with SIFMA/ transaction as a way to distinguish implementing section 4s(l)(1)(A) the ISDA’s comments regarding the fact that initial margin from variation margin.28 Commission is requiring SDs and MSPs in the uncleared OTC derivatives AIMA and MetLife wrote that the to offer their counterparties segregation markets, parties do not necessarily proposed definition of initial margin that meets the minimum standards set ‘‘pay’’ variation margin to each other, was appropriate.29 forth in these rules. However, SDs, and instead post collateral.21 The The Commission has considered the MSPs and counterparties may negotiate Commission therefore notes that comments and understands that some alternative arrangements for the although the definition of variation commenters prefer the traditional handling of collateral if all parties agree. margin will include payments, where a practice of using the term ‘‘independent In the NPRM, the Commission did not payment is made, there would not be amount.’’ However, the statute uses the propose specific disclosure any collateral to be segregated. The term ‘‘variation margin’’ and the requirements with respect to this definition is otherwise being adopted as obvious complimentary term to notification. Instead, the Commission proposed. ‘‘variation margin’’ would be ‘‘initial requested comment as to whether the SD or MSP should be required to 3. ‘‘Initial Margin’’ margin.’’ Moreover, a reference to ‘‘independent amount,’’ by itself, would disclose the price of segregation, the The Commission proposed to define not be effective, since the definition of price of fees to be paid to the custodian ‘‘initial margin’’ (for which a ‘‘independent amount’’ in the ISDA (if the SD or MSP is aware of the amount counterparty has the right to segregation ‘‘Credit Support Annex’’ directs the of such fees), or differences in the terms pursuant to CEA section 4s(l)) as an reader to a form.30 A reference to a form of the swap that the SD or MSP is amount calculated based on anticipated would not be desirable as a definition willing to offer to the counterparty (e.g., exposure to future changes in the value both because it is ambiguous and differences in the fixed interest rate for of a swap. because the substance of the form is an interest rate swap) if the counterparty Ten commenters addressed the subject to change. Therefore, the elects or renounces the right to definition of ‘‘initial margin.’’ 22 ICI Commission is adopting the definition segregation.35 wrote that the proposed definition of of initial margin as proposed. Thirteen commenters discussed the initial margin was too broad, and might costs associated with segregation,36 with be interpreted to also include variation B. Regulation 23.701: Notification of most expressing concern about proper 23 margin. By contrast, Fidelity Right to Segregation price disclosures by the SDs and MSPs. suggested that ‘‘the proposed definition 1. Required Notification Two commenters indicated that price of ‘initial margin’ may be too narrow disclosure was not particularly Proposed regulation 23.601(a) 31 and could exclude ‘upfront’ deliveries important. of collateral that should properly be implemented the statutory requirement Several commenters expressed 24 treated as initial margin.’’ FHLB set forth in section 4s(l)(1)(A) of the concern that an SD or MSP would not recommended that the term CEA. Specifically, with respect to an make counterparties aware of the price ‘‘independent amount’’ be used instead uncleared swap, proposed regulation associated with segregation and might 25 of ‘‘initial margin.’’ However, if the 23.601(a) would have required an SD or impose higher prices or offer less Commission elects to use the term MSP to notify each of its counterparties attractive terms to counterparties ‘‘initial margin,’’ FHLB argued that the that a counterparty has the right to electing segregation.37 MFA definition of ‘‘initial margin’’ should, at require any initial margin posted by it recommended ‘‘that the Commission the very least, track and reference to be segregated in accordance with 32 require SDs and MSPs to provide ‘‘independent amount’’ as it appears in Commission regulations. The counterparties with robust disclosure of 26 the ISDA documentation. SIFMA/ all costs that the SD or MSP will charge ISDA also recommended that the term 27 SIFMA/ISDA letter at 2–3. See also ISDA letter at 2–3. to the counterparty if the counterparty ‘‘independent amount’’ be used in the 38 28 elects to segregate its initial margin.’’ place of ‘‘initial margin,’’ and suggested Chris Barnard letter at 1. 29 AIMA letter at 1. See also MetLife letter at 3, State Street suggested that ‘‘the that ‘‘independent amount’’ be defined stating that for purposes of the proposed rule, the Commission should . . . provide that, to mean ‘‘money, securities or property definition of initial margin was sufficient, although although the pricing of the same posted by a party to secure its noting it would request more specific guidance for calculating initial margin in the event of ‘‘future use or expanded definition.’’ 33 See also CEA section 4s(l)(4) (referring to cases 20 AIMA letter at 1. 30 See Paragraph 13 of the ISDA Credit Support where the counterparty ‘‘does not choose to require 21 SIFMA/ISDA letter at 2. See also ISDA letter Annex. See also definition of ‘‘Independent segregation’’ of margin). 7 U.S.C. 6s(l)(4). at 2. Amount’’ in the ISDA Credit Support Annex. 34 75 FR at 75433 (Dec. 3, 2010). 22 ICI, Fidelity, FHLB, AMG, ISDA, Chris Barnard, 31 As discussed above, section numbers in the 35 Id. AIMA, NRECA, MetLife, SIFMA/ISDA. NPRM are slightly different from those in this final 36 AMG, MFA, State Street, AGA, Fidelity, ICI, 23 ICI letter at 2. rulemaking. See supra n. 6. Proposed regulation SIFMA/ISDA, ISDA, FHLB, Chris Barnard, AIMA, 24 Fidelity letter at 2. 23.601(a) is being finalized herein as regulation MetLife, EEI. 25 FHLB letter at 6. 23.701(a). 37 AMG letter at 8. 26 FHLB letter at 6. See also AMG letter at 5. 32 75 FR at 75433 (Dec. 3, 2010). 38 MFA letter at 4.

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transaction with and without a informed decision as to whether to segregation’’ in section 4s(l) of the CEA segregated account may differ, the exercise the right of segregation, the as requiring that the segregation pricing difference should be reflective of identity of an acceptable custodian(s) is decision is made by appropriate actual out-of-pocket costs expected to be a material aspect of the notification so decision-makers within the incurred by the [SD/MSP] as a result of that counterparties may make informed counterparty organization. Proposed use of the segregated account, and that decisions as to the degree of regulation 23.601(c) 50 would require the nature and amounts of those costs independence of such custodian(s).45 As that the ‘‘right to require segregation’’ should be fully disclosed.’’ 39 AGA described in more detail in section C.1, notification be made to certain senior argued that, without proper disclosure, below, this notification must include at decision-makers, in descending order of counterparties will be forced ‘‘to least one credit-worthy non-affiliate as preference. Notification would be made exercise in a vacuum their right to seek an option for custodian of segregated to the Chief Risk Officer, or the Chief segregation of initial margin for an initial margin. The Commission has Executive Officer, or to the highest level uncleared swap’’ and suggested that amended regulation 23.701 accordingly. decision-maker for the SD’s or MSP’s each SD or MSP be required to notify The Commission notes that certain counterparty. The Commission sought each counterparty as to the price of entities have developed or are in the comment as to whether this list of having a third party hold collateral.40 process of developing electronic decision-makers would be appropriate. ICI sought to distinguish between fees platforms through which counterparties Eleven commenters opposed the charged by the custodian—which ICI could access account information requirement that the Chief Risk Officer does not believe need be disclosed by regarding the status of their collateral. receive the segregation notification.51 the SD or MSP—and fees embedded in The Commission may consider, in a EEI wrote that this requirement ‘‘fails to the SD’s swaps pricing for not having future rulemaking, whether the take into account existing governance access to the customer’s collateral.41 notification required pursuant to and compliance structures and SIFMA/ISDA do not believe that regulation 23.701 should include processes developed and implemented mandating disclosure is necessary or information from the SD or MSP by entities for the express purpose of desirable because ‘‘a counterparty can regarding such platforms. meeting compliance and risk always, in accordance with current 2. Limitation of Right—Variation Margin management objectives.’’ 52 ICI market practice, request the disclosures suggested that notices go to ‘‘an Proposed regulation 23.601(b) 46 it considers necessary from its SD/MSP authorized person to avoid the incorporated the limitation in section . . . [and] mandatory disclosure by the disruption that would be associated 4s(l)(2)(B)(i) of the CEA that the right to SD/MSP is impractical because much of with a [Chief Risk Officer] or other segregation does not apply to variation the material costs are within the control ‘high-level decision-maker’ making an margin. Fidelity recommended that the 42 election to each SD or MSP before a of a third party: the custodian.’’ final rule require that SDs and MSPs trade can settle.’’ 53 AGA recommended Finally the FHLB wrote that ‘‘it is ‘‘segregate variation margin posted by a that the notification ‘‘be made to the very important for SDs/MSPs to respond counterparty at the counterparty’s officer in the counterparty responsible to requests for information regarding the request.’’ 47 Fidelity requested that, at a for the management of collateral.’’ 54 additional costs that may be imposed on minimum, the rule clarify that ‘‘no ISDA suggested that the counterparty end-user counterparties that elect to change will be necessary to collateral should identify the proper party to have initial margin segregated with an agreements [not in conflict with the 43 receive notice from the SD or MSP.55 independent custodian.’’ rule] . . . that involve segregation of all In light of the concerns expressed by margin, initial and variation....’’48 Similarly, Fidelity wrote that the ‘‘final commenters, the Commission has The statute clearly excludes variation rule should allow the counterparty to 56 determined that a limited set of margin from the 4s(l) segregation select the notice recipient.’’ disclosures should be required. First, requirements.49 Thus, the request for A counterparty’s decision to elect its the SD or MSP must inform the such a requirement is not supported by segregation right is a financial decision counterparty of the price associated the statute. However, the Commission that is heavily dependent on such with segregation, including custodial confirms that this rule governs collateral counterparty’s risk assessments. It fees, to the extent the SD or MSP has arrangements for swaps entered into on would seem appropriate, therefore, for a such information. It is the Commission’s and subsequent to the compliance date counterparty employee who is involved view that the price of segregation is a and does not affect collateral in the assessment of risk and/or material term in any segregation arrangements agreed to for swaps that collateral management to receive this package offered by the SD or MSP. are entered into prior to the compliance notification. However, after Further, where the custodian is an date. In addition, the Commission notes consideration of the comments, it is affiliate of, or a regular custodian for, that this rulemaking does not restrict clear that such person does not the SD or MSP, the SD or MSP may be parties from negotiating segregation necessarily need to be the Chief Risk better positioned to know the amount of arrangements for variation margin. Officer. The Commission agrees with any such custody costs.44 In addition, in AGA’s comment that a notification order for counterparties to make an 3. Counterparty Notification should be sent to the ‘‘officer in the The Commission regards the 39 State Street letter at 3. inclusion of the term ‘‘right to require 50 Proposed regulation 23.601(c) is being finalized 40 AGA letter at 4. See also Fidelity letter at 3. herein as 23.701(c). 51 41 ICI letter at 3. 45 Several commenters highlighted the SIFMA/ISDA, NRECA, EEI, ICI, AGA, ISDA, 42 SIFMA/ISDA letter at 3, ISDA letter at 3–4. importance of have the choice of at least one AMG, Fidelity, Working Group, AIMA, FHLB. 52 43 FHLB letter at 7. custodian who is not affiliated with the SD or MSP. EEI letter at 3. 53 44 However, if the counterparty selects to use an See generally EEI letter at 2, AIMA at 2, MFA letter ICI letter at 3. independent custodian (e.g., a non-affiliate of the at 4, and Fidelity letter at 5. 54 AGA letter at 5. SD or MSP or a custodian with which the SD or 46 Proposed regulation 23.601(b) is being finalized 55 ISDA letter at 5 and SIFMA/ISDA letter at 4. MSP does not have a pre-existing relationship), the herein as regulation 23.701(b). See also AMG letter at 7, suggesting that notice be SD or MSP may not be required to inform the 47 Fidelity letter at 4. See also AMG letter at 6. made to any party authorized by the counterparty. counterparty of the price of custodianship because 48 Fidelity letter at 3–4. 56 Fidelity letter at 3. See also Working Group the SD or MSP may not have that information. 49 See section 4s(l)(2)(B)(i) of the CEA. letter at 5.

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counterparty responsible for the appropriate. Proposed regulation costly and burdensome. In addition, the management of collateral.’’ 57 If such a 23.601(e) 62 sought to balance these Commission notes the difficulty person is not identified by the considerations by providing that associated with identifying material counterparty to the SD or MSP, then the notification to a particular counterparty changes in the cost of segregation and notification should be sent to the Chief by a particular SD or MSP need only be the burden that would be created should Risk Officer and so on, as described in made once in any calendar year. the Commission require that additional the proposed rule. Regulation 23.701(c) Twelve commenters discussed issues notices be delivered upon such event. has been amended accordingly. surrounding the substance and timing of However, the Commission notes that segregation notification,63 with the Congress emphasized the importance of 4. Required Confirmation primary concern being whether the the ability of a counterparty to elect to Before the terms of an uncleared swap notification of the right to segregation have its collateral segregated, describing are confirmed, proposed regulation had to be done on a transaction-by- segregation as a ‘‘right.’’ Moreover, the 23.601(d) 58 would require that the SD transaction basis or merely once per statute does not merely grant or MSP obtain from the counterparty year. counterparties the legal right to (1) confirmation of receipt of the The Working Group requested that the segregation; it specifically requires that segregation notification by a specified rule require notification on segregation the existence of this right be decision-maker, and (2) whether the no more often than once a year, rather communicated to them. The counterparty has elected to exercise its than a transaction-by-transaction Commission therefore believes that this section 4s(l) segregation rights. The SD notification.64 Fidelity supported the notification requirement is met when an or MSP must maintain records of such proposal that notification be required at SD or MSP provides notification to a confirmation and election as business least annually, stating that this could counterparty, at least once, in each records in accordance with regulation ‘‘prompt a counterparty to reconsider its calendar year. Where an SD or MSP 1.31.59 elections in light of [changes that could does not enter into any swap with the ICI’s comment letter alone addressed occur during the life of a swap counterparty during a calendar year, the 60 this point. ICI agreed with the transaction].’’ 65 FHLB and MetLife notification requirement would not proposal that ‘‘confirmation of receipt of characterized transaction-by-transaction apply. The Commission believes that the notification and election to require notification as repetitive and such notification requirement would not segregation or not should occur prior to redundant.66 AGA believes that once a be overly burdensome, particularly confirming the terms of the uncleared year is an appropriate notification when one considers the importance of 61 swap.’’ The Commission believes that frequency, unless the price of the counterparty’s decision to require requiring the SD or MSP to obtain segregation has changed in which case segregation. Thus, the Commission has confirmation of receipt of the another notice should be delivered.67 decided to adopt the final rule language segregation notification and the Several commenters requested that as proposed. counterparty’s decision whether to elect the Commission loosen the once-per- segregation prior to confirming the year notification in the Commission’s 6. Power To Change Election With terms of the swaps will provide greater proposed rule. NRECA, SIFMA/ISDA, Regard to Segregation certainty for both parties regarding the AIMA and AMG each wrote that an In the NPRM, the Commission counterparty’s segregation election. The initial notification is all that should be proposed regulation 23.601(f),70 which Commission also agrees that such required—a counterparty’s initial choice makes clear that a counterparty’s confirmation should be obtained prior should be deemed to apply to all future election with respect to the segregation to confirming the terms of the uncleared swaps unless the counterparty seeks to of initial margin may be changed at the swap. Therefore, the Commission is change its election.68 SIFMA/ISDA discretion of the counterparty upon adopting paragraph (d) as proposed. proposed ‘‘that an [SD or MSP] should delivery of written notice, and such 5. Limitation of Responsibility To Notify only be required to deliver a single decision shall be applicable with notification of the right to segregate, and respect to swaps entered into between Section 4s(l)(1)(A) of the CEA states the counterparty should be deemed to the parties after such delivery. Rather that an SD or MSP must notify its have elected not to require segregation than grant the counterparty an absolute counterparty of the right to require of its [independent amount] until such right to change its election, the Working segregation of funds or other property time as the counterparty duly notifies Group recommended that the supplied to margin, guarantee or secure the [SD or MSP] of its election to require counterparty must expressly reserve the obligations of the counterparty ‘‘at segregation.’’ 69 such right: ‘‘[if] a party makes an the beginning of a swap transaction.’’ After careful consideration of the election under the Proposed Rule and While this language could be read to comments, the Commission agrees that require transaction-by-transaction does not expressly reserve the right to requiring notification on a transaction- change that election in the relevant notification, where the parties have a by-transaction basis may be overly preexisting or on-going relationship, swap trading relationship documentation, then they cannot do such repetitive notification could be 62 Proposed regulation 23.601(e) is being finalized so.’’ 71 redundant, costly and needlessly herein as regulation 23.701(e). The Commission does not believe that burdensome. On the other hand, the 63 NRECA, Working Group, FHLB, MetLife, EEI, the commenter’s clarification is importance of the segregation decision, AGA, SIFMA/ISDA, ISDA, AIMA, AMG, Fidelity, ICI. appropriate. The Commission notes that as discussed above, suggests that some 64 Working Group letter at 4. the rule clearly states that any change to periodic reconsideration might be 65 Fidelity letter at 3. See also ICI letter at 3. the counterparty’s segregation election 66 FHLB letter at 6, MetLife letter at 2. See also would only apply to ‘‘swaps entered 57 AGA letter at 5. EEI letter at 3. into between the parties after . . . 58 Proposed regulation 23.601(d) is being 67 AGA letter at 5–6. finalized herein as regulation 23.701(d). 68 NRECA letter at 13, SIFMA/ISDA letter at 4, delivery’’ of written notice to the SD or 59 17 CFR 1.31. ISDA letter at 4, AIMA letter at 2 and AMG letter 60 ICI letter at 3. at 7. 70 Proposed regulation 23.601(f) is being finalized 61 ICI letter at 3. See also discussion in section C.1 69 SIFMA/ISDA letter at 4. See also ISDA letter herein as regulation 23.701(f). infra. at 4. 71 Working Group letter at 5.

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MSP. Therefore, if a counterparty sought Four commenters argued that the Other commenters were receptive to to change its segregation election, such custodian should be determined purely the idea of an affiliate custodian, but election would not have retroactive by negotiation between the counterparty advised that the SD or MSP should be effect (unless both the counterparty and and SD or MSP. ICI opined that ‘‘the required to present options to the the SD or MSP so agreed). In other choice of custodian should be left to the counterparty on this issue. For example, words, the proposed rule leaves changes agreement of the parties.’’ 76 AIMA AIMA recommended that the in terms for pre-existing swaps— wrote that ‘‘[t]he parties should be free Commission require SDs and MSPs to including with respect to segregation of to negotiate which custodian is used, ‘‘offer a choice of . . . five custodians collateral—as matters for negotiation and it may be useful for the [SD] or MSP on whom they have conducted [a] due between the parties. The counterparty to let the customer know which diligence examination, including both should retain its rights, under the custodians it has relationships with and an affiliate (if applicable) and a non- statute, to change its election as to has conducted appropriate due affiliate.’’ 84 Similarly, FHLB urged the swaps entered into after the notice is diligence on, including affiliates and Commission to condition allowing an delivered. As such, the Commission is non-affiliates, and thus its preferred affiliate of the SD or MSP to act as adopting the final rule language as choices of custodian.’’ 77 Similarly, the custodian upon mutual agreement of the proposed. Working Group suggested ‘‘that outside counterparty and the SD or MSP, and the election to segregate collateral, suggested that ‘‘the SD/MSP [should be] C. Regulation 23.702: Requirements for which is the right of a [SD’s or MSP’s] required to offer segregation with at Segregated Margin counterparty, all other terms and least one non-affiliated custodian.’’ 85 1. Independent Custodian and Separate parameters of a custodial relationship SIFMA/ISDA wrote that an SD or MSP Account should be left to negotiation between ‘‘should be required, upon counterparty counterparties. . . .’’ 78 The NRECA request, to propose at least one Pursuant to section 4s(l)(3) of the creditworthy non-affiliated custodian CEA, the Commission proposed wrote that it ‘‘see[s] no benefit to the 72 Commission making [the choice of that the SD/MSP is willing to use, as an regulation 23.602(a)(1), which option.’’ 86 AMG noted that the required that initial margin, segregated custodian] by regulation, rather than leaving them to arm’s length regulations should be flexible enough to in accordance with an election under allow the use of a custodian affiliated regulation 23.601, be held with a negotiations between contract 79 with an SD, MSP, or the counterparty.87 custodian that is independent of both counterparties.’’ However, AMG stated that while both Three other commenters suggested the SD or MSP and the counterparty. that counterparties should have the Proposed regulation 23.602(a)(2) 73 the counterparty and the SD or MSP have an interest in the selection of the right to designate a non-affiliate required such initial margin to be held custodian. State Street recommended in an account designated as a segregated custodian, the counterparty is likely the party with the greatest interest and that the proposed rules be revised to account for and on behalf of the provide that a ‘‘counterparty has the counterparty.74 While, as noted, the should therefore have the right to select the custodian.80 right to designate the independent right to segregation does not apply to custodian, if that custodian is a U.S. variation margin, the proposed Several commenters discussed whether an affiliate of the SD or MSP bank . . . and otherwise serves as a regulation provided that the SD or MSP usual depository for assets of the and the counterparty may agree that would qualify as an independent custodian. MetLife suggested ‘‘that a counterparty.’’ 88 Fidelity wrote that collateral falling within the definition of while affiliates of the SD or MSP can be variation margin may also be held in custodial arrangement with an affiliate of the SD or MSP would satisfy the appropriate custodians, ‘‘a counterparty such segregated account. The should have the right to require that a Commission requested comment on, requirements for the use of an 81 third-party custodian be independent among other things, whether an affiliate Independent Custodian. . . .’’ AMG wrote that ‘‘the CFTC should not limit from the [SD or MSP].’’ 89 Norges of the SD, MSP or the counterparty proposed that the final rule should should be considered an independent the choice of custodian solely to those unaffiliated with the relevant SD/MSPs provide the ‘‘non-dealer/MSP custodian. In addition, the Commission counterparties the option to require that requested comment on whether either and Customer Counterparties but should provide the flexibility to use a custodian initial margin . . . be held with a party could choose a custodian and, if custodian that is in fact independent of so, what restrictions, if any, should be who may also be affiliated with any SD/ 82 any affiliate of the swap dealer or placed on that choice. MSP or Customer Counterparty.’’ Fidelity expressed concern that an MSP.’’ 90 Fourteen commenters discussed the Two commenters offered qualifying choice of custodian for segregation.75 ‘‘unintended and undesirable consequence of banning affiliates from criteria for a custodian. The MFA The topics discussed by commenters suggested that a custodian ought to be included the freedom of negotiation acting as third-party custodians could be to prevent counterparties from ‘‘regulated by a federal or state bank between the SD or MSP and regulator, be authorized under federal or counterparty, the use of a custodian entering into swaps with [SD/MSPs], where an affiliate of the [SD/MSP] state laws to exercise corporate trust affiliated with an SD or MSP, the right powers, and have equity of at least of the counterparty to choose the already serves as a depository or custodian of the counterparty.’’ 83 custodian, and qualifying criteria for a 84 AIMA letter at 2. custodian. 85 FHLB letter at 8. 76 ICI letter at 3–4. 86 SIFMA/ISDA letter at 5. See also ISDA letter 77 72 Proposed regulation 23.602(a)(1) is being AIMA letter at 2. at 7. finalized herein as regulation 23.702(a). 78 Working Group letter at 2. 87 AMG letter at 2. 73 Proposed regulation 23.602(a)(2) is being 79 NRECA letter at 14. 88 State Street letter at 2. finalized herein as regulation 23.702(b). 80 AMG letter at 3. 89 Fidelity letter at 5. See also FHLB letter at 8, 74 See discussion in section A.1 supra. 81 MetLife letter at 2. recommending that if parties cannot agree on a 75 MFA, SIFMA/ISDA, ISDA, ICI, Working Group, 82 AMG letter at 2. See also MFA letter at 3–4, EEI custodian then the counterparty should be able to NRECA, AMG, MetLife, EEI, Fidelity, AIMA, FHLB, letter at 2. designate the custodian. Norges, State Street. 83 Fidelity letter at 5. 90 Norges letter at 2.

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[$200 million].’’ 91 MetLife suggested upon completion of custodial informing the custodian to turn over of that an affiliate custodian could satisfy documentation. In addition, the control of margin.100 For example, ICI the requirements for an independent Commission notes that compliance with wrote that it ‘‘believe[s] that it is custodian where it, inter alia, SIFMA/ISDA’s suggested ‘‘good faith’’ unnecessary to introduce the specter of ‘‘maintains a minimum asset value [of at requirement would be impracticable to criminal prosecution into custodial least $2 billion] under custodial assess and is not amending the rule as account documentation. . . .’’ 101 management.’’ 92 suggested. The Commission believes that a The Commission also received one 2. Requirements for Custody Agreement perjury standard is appropriate because comment regarding the timing of the it mitigates the tradeoff between speed requirement to segregate. SIFMA/ISDA In the NPRM, the Commission and accuracy in stress situations. In requested that, due to the amount of proposed regulation 23.602(b),96 which circumstances where one party to a time required to fully negotiate a imposed certain requirements on swap needs expedient turnover of custodial arrangement, parties ‘‘be agreements for the segregation of segregated margin (for example, in order permitted to enter into new swaps margin. Regulation 23.602(b) was to meet margin calls on positions pending completion of custodial intended to provide a balance between hedging the swap) and is unable to documentation satisfactory to both the minimum interests of (i) the obtain timely approval from the parties for so long as the parties are counterparty posting the margin, (ii) the counterparty (e.g., if margin is being negotiating in good faith to complete SD or MSP for whom the margin is taken from the account because the such custodial documentation.’’ 93 posted, and (iii) the custodian, while counterparty is in financial trouble), it SIFMA/ISDA also argued that the avoiding the necessity for time- is important for a depository to be able requirement to segregate the initial consuming and expensive interpleader to respond to a unilateral request for 97 margin ‘‘with respect to all swaps proceedings. Under the proposal, an collateral without having to take the entered into after delivery of an election agreement for the segregation of margin time to independently investigate the to require segregation . . . unless would have to be in writing, and must legitimacy of the request.102 At the same otherwise agreed, become effective only include the custodian as a party. In time, circumstances of market stress upon the completion of custodial addition, to ensure that the SD or MSP may also create incentives for parties to documentation.’’ 94 receives the margin promptly in case it illegitimately withdraw collateral from a The language of the statute does not is entitled to do so, and that the margin segregated account.103 The perjury require that affiliates of a counterparty is returned to the counterparty in case standard acts as a check on the be prohibited from serving as the it is entitled to such return, the legitimacy of a demand for collateral custodian for segregated funds. agreement must also provide that without requiring the time needed for Affiliates are third-parties in that they turnover of control shall be made an independent inquiry by the are separate legal entities, and therefore promptly upon presentation of a depository. At the same time, an SD, fall within the terms of the statute. statement in writing, signed by an MSP or counterparty making a demand However, in light of the correlated authorized person under penalty of for collateral can avoid criminal liability insolvency risk wherein if an SD or MSP perjury, that one party is entitled to if it does not engage in purposeful fraud. becomes insolvent its affiliates will have such turnover pursuant to an agreement The Commission has decided to adopt 98 an elevated risk of also becoming between the parties. Otherwise, the rule substantively as proposed. insolvent, the Commission has withdrawal of collateral may only be However, the Commission points out determined that an SD or MSP should made pursuant to the agreement of both that it has re-organized the rule and be required to provide the counterparty the counterparty and the SD or MSP, modified certain language to provide with at least one credit worthy non- with the non-withdrawing party also greater clarity. Specifically, the affiliate as an option to serve as the receiving immediate notice of such Commission combined the language in 99 custodian. The final rule text has been withdrawal. paragraphs (a) and (a)(1) into paragraph amended to incorporate the requirement Nine commenters argued against (a). The Commission also renumbered that SDs and MSPs must provide their imposing a perjury standard on any paragraph (a)(2) as paragraph (b). The counterparties with at least one credit written statements by either the Commission then renumbered worthy non-affiliate as an option to counterparty or the SD or MSP paragraph (b) as paragraph (c) and serve as the custodian.95 switched the text in subparagraphs (1) Regarding SIFMA/ISDA’s question 96 Proposed regulation 23.602(b) is being finalized herein as regulation 23.702(c). and (2). The Commission also added relating to the timing of segregation, 97 If the SD or MSP and the counterparty were to waiting until the completion of make competing claims to the collateral, and if the 100 ICI, Working Group, AMG, Fidelity, SIFMA/ custodial documentation for an election custodian did not have a means under the ISDA, MFA, ISDA, FHLB, MetLife. to require segregation to become agreement among the parties to decide between 101 ICI letter at 4. See also Working Group letter such claims without risking legal liability, the at 4, AMG letter at 6, Fidelity letter at 4–5, SIFMA/ effective would likely create difficulties custodian would likely choose to interplead the ISDA letter at 6, MFA letter at 5, ISDA letter at 7, where an insolvency occurs in the time collateral. MetLife letter at 2. period between agreement and 98 See 28 U.S.C. 1746. See also 18 U.S.C. 1621 102 In times of significant market stress, any documentation. Thus, it is the (Perjury Generally). unnecessary impediments or restrictions on a Commission’s position that protection 99 The importance of taking steps to ensure that counterparty’s ability to obtain immediate access to unauthorized withdrawals are not made is posted margin when such access is legitimate could of initial margin is best achieved by enhanced by the findings of the Commission’s impair the operations of the counterparty, impair requiring customer segregation to Division of Clearing and Intermediary Oversight in the liquidity of other market participants and become effective upon election, not Financial and Segregation Interpretation 10–1, 20 magnify the impact of a market disruption. FR 24768, 24770 (May 11, 2005) (‘‘Findings by both 103 A party facing insolvency or fearing imminent Commission audit staff and the SROs of actual insolvency on the part of its counterparty might be 91 MFA letter at 4. releases of customer funds [from third-party tempted to demand transfer of margin without fully 92 MetLife letter at 2. custodial accounts], without the required ensuring they were entitled to it, to take the margin 93 SIFMA/ISDA letter at 5. See also ISDA letter knowledge or approval of the FCMs, further without plans to return it, or take the margin for the at 5. demonstrate that the risks associated with third- purpose of covering an unrelated debt in the 94 SIFMA/ISDA letter at 5, ISDA letter at 5. party custodial accounts are real and material, not expectation of saving their business and returning 95 See regulation 23.701(a)(2). merely theoretical.’’). the margin shortly thereafter.

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clarifying language to paragraphs (a),(b) as to how such funds would be It should be noted that § 23.703(a) and (c) to facilitate this reorganization. invested.’’ 111 Federated warned that only restricts the manner in which an this proposal will cause a loss of SD or MSP may invest margin that is D. Regulation 23.703: Investment of investment returns.112 segregated pursuant to an election under Segregated Margin In contrast, AIMA wrote that ‘‘[t]he § 23.701. This rule does not in any way 1. Limitations on Investments requirements of Regulation 1.25 of the restrict the types of collateral that a Proposed regulation 22.603(a) 104 CFTC Regulations . . . likely strike[ ] counterparty may post to an SD or MSP, provides that segregated initial margin the right balance between flexibility and nor does it require an SD or MSP to may only be invested consistent with the protection of the value of the convert, in any way, posted 117 the standards for investment of collateral.’’ 113 collateral. customer funds that the Commission Regulation 1.25 establishes a general In addition, as discussed above, the applies to exchange-traded futures and prudential standard used in the futures Commission notes that requiring the cleared swaps, regulation 1.25.105 and cleared swaps markets that requires segregation of variation margin would Eight commenters expressed the view all permitted investments of customer be beyond the scope of section 4s(l) of that imposing the standards of segregated funds to be consistent with the statute and what Congress 118 regulation 1.25 on the investment of the objectives of preserving principal prescribed therein. However, the collateral for uncleared swaps was and maintaining liquidity.114 As stated Commission believes that it would be overly restrictive.106 by the Commission in regulation 1.25’s consistent with that statute to allow the Fidelity suggested that ‘‘custodians adopting release, ‘‘[i]n finalizing parties to agree to have segregation under tri-party custody arrangements amendments to Regulation 1.25, the arrangements for variation margin. may limit the types of collateral that it Commission seeks to impose Moreover, the Commission will permit under such arrangements to requirements on the investment of acknowledges that where a counterparty those investments permitted pursuant to customer segregated funds with the goal and its SD or MSP have agreed to [regulation] 1.25.’’ 107 Fidelity further of enhancing the preservation of segregate both initial margin and proposed that the Commission require principal and maintenance of liquidity variation margin, such margin may be not only segregation of initial margin consistent with Section 4d of the Act.’’ commingled and held in the same but also variation margin, explaining Similarly, the Commission believes account. But, to the extent that the that ‘‘the right to require segregation of that applying the requirements of parties agree to commingle segregated variation margin . . . would reduce regulation 1.25 to uncleared swaps will initial and variation margin, the systemic risk for the same reasons that increase the safety and maintain the Commission clarifies that the segregation of initial margin reduces liquidity of counterparty funds held by requirements set forth in Subpart L to systemic risk.’’ 108 Similarly, AMG the custodian. Regulation 1.25 this Part 23, including the investment argued that the Commission should establishes a general prudential restrictions in regulation 23.703(a), ‘‘confirm the right of Customer standard by requiring that all permitted would apply to all margin held (both Counterparties to require segregation of investments be ‘‘consistent with the initial margin and variation margin) in both initial margin and variation objectives of preserving principal and such account. margin,’’ explaining that the current maintaining liquidity.’’ 115 While such a 2. Commercial Arrangements Regarding practice in the OTC market is to require standard may lead to lower investment Investments and Allocations all collateral to be segregated and held returns, lower investment returns As required by section 4s(l)(2)(B)(ii) of by a third-party custodian.109 correlate to decreased investment risk MetLife wrote that such a restriction the CEA and subject to the limitations and must be viewed in the context of set forth in regulation 23.603(a), is ‘‘outside the scope of normal market the importance of protecting practice’’ and that counterparties proposed regulation 22.603(b) provided counterparties’ collateral and mitigating that the SD or MSP and the counterparty ‘‘should be able to negotiate the terms systemic risk that could result from the for investment of Initial Margin may enter into any written commercial loss of access to such collateral and, in arrangement regarding the terms of the consisting of cash within [their] own turn, adversely impact the stability of established investment guidelines.’’ 110 investment of segregated margin and the the U.S. financial markets. After related allocation of gains and losses FHLB added that ‘‘Congress considering the comments, the appropriately did not seek to limit how resulting from such investment. The Commission has decided to adopt the Commission is adopting this aspect of margin for uncleared swaps would be rule as proposed. The Commission the rule as proposed.119 invested,’’ asserting that Congress had believes that the rule achieves the assumed that ‘‘both the end-user appropriate balance between the goals E. Regulation 23.704: Requirements for counterparty and the SD/MSP would of protecting counterparties’ collateral Non-Segregated Margin necessarily be involved in the decision and mitigating systemic risk, on the one Section 4s(l)(4) of the CEA mandates hand, and the goals of retaining an 104 Proposed regulation 23.603(a) is being that, if the counterparty does not choose finalized herein as regulation 23.703(a). appropriate degree of investment to require segregation, the SD or MSP 105 Section 4s(l)(2)(B)(ii)(I) of the CEA refers to flexibility and opportunities for shall report to the counterparty, on a ‘‘commercial arrangements regarding the attaining capital efficiency for DCOs and investment of segregated funds or other property FCMs investing customer segregated 117 But cf. Margin Requirements for Uncleared that may only be invested in such investments as funds, on the other hand.’’ 116 Swaps for Swap Dealers and Major Swap the Commission may permit by rule or regulation.’’ Participants, 76 FR 23732 (Apr. 28, 2011) 106 MetLife, Federated, ICI, AMG, Fidelity, (proposing to limit the forms of acceptable initial 111 SIFMA/ISDA, ISDA, FHLB. FHLB letter at 13. margin to a specified list of eligible collateral for 107 Fidelity letter at 5–6. 112 Federated letter at 7, 11. transactions between a swap dealer or major swap 108 Fidelity letter at 4. 113 AIMA letter at 3. participant for which there is no prudential 109 AMG letter at 6. 114 See Investment of Customer Funds and Funds regulator and a counterparty that is a swap dealer, 110 MetLife letter at 3. See also Federated letter at Held in an Account for Foreign Futures and Foreign a major swap participant or a financial entity). 3–7, ICI letter at 4–6, AMG letter at 3–5, Fidelity Options Transactions, 76 FR 78776 (Dec. 19, 2011). 118 See discussion in section B.2 supra. letter at 5–6, SIFMA/ISDA letter at 6, ISDA letter 115 Id. at 78776. 119 Proposed regulation 23.603(b) is being at 8, FHLB letter at 12. 116 Id. at 78778. finalized herein as regulation 23.703(b).

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quarterly basis, ‘‘that the back office By contrast AIMA agreed with the implementation period.134 After procedures of the swap dealer or major proposal for reporting on a regular basis consideration of the comments, the swap participant relating to margin and and suggested that reporting also occur Commission has decided to adopt collateral requirements are in immediately following entry of a swap SIFMA/ISDA’s suggestion, which would compliance with the agreement of the agreement.130 provide a 6 month implementation counterparties.’’ 120 Proposed regulation While quarterly reporting may impose period for swaps that are entered into 23.604(a) 121 implemented this certain administrative burdens on SDs with ‘‘new counterparties’’ and a 12 provision and required that such reports and MSPs, such quarterly reporting, as month implementation period for swaps be made no later than the fifteenth contemplated by regulation 23.704, is that are entered into with ‘‘existing (15th) business day of each calendar expressly required by the statute.131 The counterparties.’’ quarter for the preceding calendar Commission agrees that since a quarter. Proposed regulation 23.604(a) counterparty may choose not to III. Portfolio Margining segregate at all, it also may elect to made the Chief Compliance Officer of The NRPM proposed changes to the segregate in some lesser manner than the SD or MSP responsible for such definition of ‘‘customer’’ in that contemplated by regulation 23.702. report. In addition, proposed regulation § 190.01(k) 135 and the definition of However, the Commission notes that, 23.604(b) provided that this obligation ‘‘customer property’’ in for counterparties who do not choose shall apply no earlier than the 90th § 190.08(a)(1)(i)(F) 136 to implement segregation, as contemplated by section calendar day after the date on which the section 713(c) of the Dodd-Frank Act, first swap is transacted between the 4s(l)(1)(B) of the CEA, the purpose of which added section 20(c) of the CEA counterparties. section 4s(l)(4) of the CEA is to confirm and stated that the Commission ‘‘shall Four commenters discussed this that the SD or MSP is adhering to the exercise its authority to ensure that proposal.122 The Working Group wrote obligations of their agreement. securities held in a portfolio margining that quarterly report of back office Therefore, the requirements of compliance for swaps with non- regulation 23.704 will apply to all account carried as a futures account are segregated margin is unnecessarily agreements relating to uncleared swaps customer property and the owners of burdensome.123 SIFMA and ISDA also for which the counterparty does not those accounts are customers for the argued that the requirement for a Chief elect to segregate initial margin purposes of’’ subchapter IV of chapter 7 Compliance Officer statement would be pursuant to regulation 23.702. of the U.S. Bankruptcy Code. burdensome.124 Moreover, the Commission believes that The Commission received three SIFMA and ISDA went further, placing responsibility for the report comments on these proposals.137 ICE suggesting that disclosure should not be with the chief compliance officer of the agreed with the proposed amendments required especially where the relevant SD or MSP required by Section 4s(k) of to the definition of ‘‘customer’’ and SD/MSP is permitted to freely sell, the CEA is appropriate in light of the ‘‘customer property’’ stating that the pledge, rehypothecate, assign, invest, chief compliance officer’s role in proposal was ‘‘a necessary step toward use, commingle, or otherwise dispose of making sure the SD or MSP complies realizing the important benefits of any independent amount that it holds, with its statutory and regulatory portfolio margining for market since any such disclosure would be obligations.132 The Commission is participants.’’ 138 ICE also expressed meaningless.125 adopting the rule as proposed. concern that the reference to ‘‘futures The Working Group argued that an account’’ while excluding swaps F. Compliance Date initial representation as to compliance referred to in 4d(f) of the CEA would should be treated as renewed each In the NPRM, the Commission ‘‘create artificial and unnecessary quarter unless altered by the SD or requested comment on the appropriate distinctions between futures and other MSP.126 SIFMA and ISDA proposed timing of effectiveness for the final rules products regulated by the giving the counterparty permission to for Part 23. SIFMA/ISDA recommended Commission,’’ 139 and would detract waive receipt of the quarterly a 6 month implementation period for from the ‘‘certainty for the treatment in disclosure.127 swaps that are entered into with new insolvency of portfolio margining The Working Group also suggested counterparties and a 12 month arrangements that include both swaps that in addition to forgoing or electing implementation period for swaps that and securities.’’ 140 As such, ICE segregation under the rule, parties may are entered into with existing requested a technical clarification to choose to segregate outside of the counterparties.133 The Working Group make clear that the treatment in proposed rule.128 For example, the recommended a 12 month insolvency of portfolio margining Working Group stated that a arrangements includes arrangements counterparty may wish to have its 130 AIMA letter at 3. 131 The reporting requirement found in section collateral held in an SD’s omnibus 134 Working Group letter at 7. See also ICI letter 4s(l)(4) of the CEA states that if the counterparty customer account, and that such at 6. does not choose to require segregation of the funds 129 135 agreements should be permitted. or other property supplied to margin, guarantee, or The Commission proposed to define secure the obligations of the counterparty, the swap ‘‘customer’’ as follows: ‘‘Customer shall have the same meaning as that set forth in section 761(9) of 120 7 U.S.C. 6s(l)(4). dealer or major swap participant shall report to the the Bankruptcy Code. To the extent not otherwise 121 counterparty of the swap dealer or major swap Proposed regulation 23.604 is being finalized included, customer shall include the owner of a herein as regulation 23.704. participant on a quarterly basis that the back office procedures of the swap dealer or major swap portfolio margining account carried as a futures 122 Working Group, AIMA, ISDA and SIFMA/ account.’’ ISDA. participant relating to margin and collateral requirements are in compliance with the agreement 136 The Commission proposed to include ‘‘To the 123 Working Group letter at 5–6. See also SIFMA/ of the counterparties. extent not otherwise included, securities held in a ISDA letter at 7 and ISDA letter at 8. 132 See generally section 4s(k)(2)(E) of the CEA portfolio margining account carried as a futures 124 SIFMA/ISDA letter at 7 and ISDA letter at 9. (stating that the chief compliance officer shall account’’ in the definition of ‘‘customer property.’’ 125 SIFMA/ISDA letter at 7 and ISDA letter at 8. ‘‘ensure compliance with the [CEA] (including 75 FR at 75435 (Dec. 10, 2010). 126 Working Group letter at 6. regulations) relating to swaps, including each rule 137 ICE, AIMA, ICI. 127 SIFMA/ISDA letter at 7 and ISDA letter at 8. prescribed by the Commission under [section 4s].’’) 138 ICE letter at 2. 128 Working Group letter at 3. 133 SIFMA/ISDA letter at 8. See also ISDA letter 139 Id. at 3. 129 Id. at 9. 140 Id. at 2.

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involving swaps.141 AIMA also and MSPs and noted that SDs and MSPs noted that the MSP participant indicated its approval of the proposed were new categories of registrants, the definition applies only to persons with amendments to the definition of Commission determined that the SDs very large swap positions, and therefore ‘‘customer’’ and ‘‘customer and MSPs were like FCMs and large the definition of MSP is incompatible property,’’ 142 and ICI supported the traders that have been determined not to with small entity status.151 Thus, the proposed amendment as an be small entities.147 Thus, in the ‘‘entities’’ final rule concluded that the implementation of section 713(c) of the proposal, the Commission certified that rule, insofar as it affected SDs and Dodd-Frank Act.143 the rulemaking would not have a MSPs, would not have a significant After careful consideration of the significant economic effect on a economic impact on a substantial comments, the Commission agrees that substantial number of small entities. number of small entities.152 The same Congress, in directing the Commission Comments on that certification were reasoning applies to the present rule. to clarify the treatment of ‘‘securities’’ sought. One commenter, representing a held in a ‘‘futures account,’’ did not As indicated in the NPRM, the final number of market participants in the mean to imply that securities held in a rule will impose regulatory obligations energy business, submitted a comment Cleared Swaps Customer Account on SDs and MSPs. The conclusion that related to the RFA, stating that ‘‘[e]ach would not be treated as customer the rule will not have a significant of the complex and interrelated property. Accordingly, the Commission economic impact on a substantial regulations currently being proposed by will adopt a technical clarification, as number of small entities within the the Commission has both an individual, suggested by ICE’s comments, to avoid meaning of the RFA remains valid for and a cumulative, effect on . . . small the final rule, which like the proposed the implication that portfolio margining entities.’’ 153 Upon consideration of this rule, imposes duties only on SDs and arrangements involving swaps do not commenter’s statements, the CFTC notes MSPs. Subsequent to the publication of receive the same bankruptcy protection that it is not required to consider the the NPRM for this rule, the Commission as portfolio margining arrangements cumulative economic impact of the has determined in other rulemakings involving futures. Thus, where the entire mosaic of rules under the Dodd- that SDs and MSPs should not be Commission has referred to a ‘‘futures Frank Act, since an agency is only considered small entities based on their account’’ in the definition of required to consider the impact of how size and characteristics analogous to ‘‘customer’’ in § 190.01(k) and the it exercises its discretion to implement non-small entities that pre-dated the definition of ‘‘customer property’’ in the statute through a particular rule. In adoption of the Dodd-Frank Act and has § 190.08(a)(1)(i)(F), the Commission is all rulemakings, the Commission adding a reference to a ‘‘Cleared Swaps certified that these entities are not small 148 performs an RFA analysis for that Customer Account.’’ The Commission is entities for RFA purposes. As stated in prior rules, because of the SDs and particular rule. The observations of this otherwise adopting these changes as commenter therefore do not provide a proposed. MSPs size and characteristics and the ‘‘de minimis’’ requirements, SDs and reason to conclude that the rules being The Commission also proposed promulgated in this rulemaking will certain technical corrections to sections MSPs should not be considered small entities for purposes of the RFA and have a significant economic impact on 190.02 and 190.06. The Commission 149 a substantial number of small entities notes, however, that substantively SBA regulations. Nevertheless, in the ‘‘entities’’ rule that further defined the within the legal meaning of the RFA. identical technical corrections were This is so because, as explained above, completed in a prior rulemaking, and terms SD and MSP, supplementing the statutory definitions of those terms, the the rules in question impose duties only thus no further action is necessary in Commission expected that if any small on SDs and MSPs and not on other this regard herein.144 entity were to engage in the activities entities, small or otherwise. IV. Related Matters covered by the definition, most such Accordingly, the Chairman, on behalf entities would be eligible for the ‘‘de of the Commission, hereby certifies A. Regulatory Flexibility Act minimis’’ exception from the pursuant to 5 U.S.C. 605(b) that the final The Regulatory Flexibility Act definition.150 Also, the Commission rules will not have a significant (‘‘RFA’’) requires Federal agencies to economic impact on a substantial consider the impact of its rules on 147 75 FR 75432, 75435–36 (Dec. 3, 2010). number of small entities. ‘‘small entities.’’ 145 A regulatory 148 See 77 FR 48208, 48306 (Aug. 13, 2012); B. Paperwork Reduction Act flexibility analysis or certification Further Definition of ‘‘Swap,’’ ‘‘Security-Based Swap,’’ and ‘‘Security-Based Swap Agreement’’; typically is required for ‘‘any rule for Mixed Swaps; Security-Based Swap Agreement 1. Introduction which the agency publishes a general Recordkeeping, citing 76 FR 29868–29869 (May 23, notice of proposed rulemaking pursuant 2011). See also, Swap Dealer and Major Swap Provisions of new regulation Part 23, Participant Recordkeeping, Reporting, and Duties specifically regulations 23.701 and to’’ the notice-and-comment provisions Rules; Futures Commission Merchant and of the Administrative Procedure Act, 5 23.704, include information disclosure Introducing Broker Conflicts of Interest Rules; and requirements that constitute the U.S.C. 553(b).146 Chief Compliance Officer Rules for Swap Dealers, With respect to the proposed release, Major Swap Participants, and Futures Commission collection of information within the Merchants, 77 FR 20128, 20193 (Apr. 3, 2012); meaning of the Paperwork Reduction while the Commission provided an RFA Registration of Swap Dealers and Major Swap statement that the proposed rule would Participants, 77 FR 2613, 2620 (Jan. 19, 2012), citing impose regulatory obligations on SDs 75 FR 71379, 71385 (Nov. 23, 2010) (Registration of Participant’’ and ‘‘Eligible Contract Participant,’’ 77 Swap Dealers and Major Swap Participants). FR 30596, 30701 (May 23, 2012). 149 151 See id. 141 Id. at 2. The Small Business Administration (‘‘SBA’’) identifies (by North American Industry 152 77 FR at 30701 (May 23, 2012). See also 142 AIMA letter at 3. Classification System codes) a small business size ‘‘Registration of Swap Dealers and Major Swap 143 ICI letter at 6–7. standard of $7 million or less in annual receipts for Participants,’’ 77 FR 2613, 2620 (Jan. 19, 2012) 144 See Protection of Cleared Swaps Customer Subsector 523—Securities, Commodity Contracts, (‘‘Registration Adopting Release’’) (‘‘In terms of Contracts and Collateral; Conforming Amendments and Other Financial Investments and Related affecting a substantial number of small entities . . . to the Commodity Broker Bankruptcy Provisions, 77 Activities. 13 CFR 121.201 (1–1–11 Edition). 65 FR the Commission is statutorily required to exempt FR 6336 (Feb. 7, 2012). 30840 (May 15, 2000). from designation as an SD those entities that engage 145 5 U.S.C. 601 et seq. 150 Further Definition of ‘‘Swap Dealer,’’ in a de minimis quantity of swaps dealing.’’). 146 5 U.S.C. 601(2), 603, 604 and 605. ‘‘Security-Based Swap Dealer,’’ ‘‘Major Swap 153 NRECA letter at 16.

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Act of 1995 (‘‘PRA’’).154 The The second comment made time estimate to 2 hours per disclosure Commission therefore has submitted substantially the same point.160 In based on the considerations discussed this collection of information to the response to these comments, and certain immediately above. The Commission Office of Management and Budget other considerations, the Commission further estimates that the average dollar (‘‘OMB’’) for review in accordance with has reevaluated the per-disclosure cost of the disclosure per hour will be 44 U.S.C. 3507(d) and 5 CFR 1320.11. burden estimate for regulation 23.701 $50, giving a cost of $100 for 2 hours of Under the PRA, an agency may not and has modified the estimate as work.162 In addition, for purposes of the conduct or sponsor, and a person is not discussed below. NPRM, the Commission estimated that required to respond to, a collection of each SD and MSP would make the 3. Adjustments to Estimate of information unless it displays a disclosure once per year to an average Information Collection Burden Based on currently valid control number.155 The of between 433 and 666 New Estimate of Expected Total Number title for this collection of information is counterparties.163 The Commission is of Swap Dealers and Major Swap ‘‘Disclosure and Retention of Certain adjusting the estimate of number of Participants Information Relating to Swaps Customer disclosures per SD or MSP per year Collateral,’’ OMB Control Number The Commission has determined to based on the reduction, noted above, in 3038–0075, which has been submitted adjust the burden estimate for the estimate of the total number of SDs to OMB for approval. The collection of Regulations 23.701 and 23.704 based on and MSPs from about 300 to about 125. information will be mandatory. The a number of considerations. Both Assuming a roughly similar total information in question will be held by regulations apply to SDs and MSPs. At number of counterparties will be doing private entities and, to the extent it the time the NPRM was published, it business with SDs and MSPs, this involves consumer financial was estimated, for purposes of the PRA implies that the number of information, may be protected under burden estimate, that the total number counterparties doing business with each Title V of the Gramm-Leach-Bliley Act of SDs and MSPs would be about 300 individual SD or MSP in a year will as amended by the Dodd-Frank Act.156 entities. Based on information probably be higher on average than was An agency may not conduct or sponsor, developed since that time, the estimated at the time of the NPRM. To and a person is not required to respond Commission now estimates that the total account for this likely effect, the to, a collection of information unless it number of SDs and MSPs, and thus the Commission now estimates that each SD displays a currently valid OMB control total number of entities required to and MSP will, on average, make the number. engage in information collection disclosure to approximately 1300 pursuant to these rules, will be about counterparties each year. As at the time 2. Comments Received on Collection of 125 entities.161 of the NPRM, the Commission expects Information Proposed in NPRM For the disclosure required by that the number of counterparties per regulation 23.701 the Commission is SD or MSP per year is likely to be Estimates of the expected information also adjusting its estimate of the per considerably higher than this average collection burden related to regulations disclosure burden, for a number of figure for the largest SDs and MSPs, and 23.701 and 23.704 were published for reasons. First, the final regulation smaller than this average figure for some comment in the NPRM.157 General requires that the disclosure (a) identify other SDs and MSPs. Given the absence comments on these regulations and the one or more custodians for segregated of experience with this newly Commission’s response are discussed in initial margin acceptable to the SD or promulgated rule, these estimates are a previous section of this preamble. The MSP, at least one of which must be subject to an inherent degree of Commission received two comments legally independent of the parties to the uncertainty. specifically addressing the transactions and (b) provide information The Commission, in the NPRM, Commission’s numerical PRA burden on the price of segregation for each estimated that regulation 23.701 would estimate for regulation 23.701.158 A identified custodian to the extent that require a total of approximately comment from ISDA stated that the the SD or MSP has such information. As 130,000–200,000 disclosures per year, annual burden estimate of 0.3 hours per a result of these changes, it is expected generating an estimated total annual counterparty for this requirement that part of the disclosure required by information collection burden of appeared insufficient. The comment the regulation will be standardized, approximately 40,000–60,000 hours and stated: with accompanying efficiencies in $800,000–$1,200,000. Based on the Specifically, the following drafting and making disclosure, but that adjustments described above the documentation-related functions would part of the disclosure may be specific to be necessary: Scheduling, drafting, 162 This estimate is based on the assumption that particular transactions. Second, as noted about three quarters of the work will be done by issuing, tracking, receipt, validation, above, commenters suggested that the junior level staff with a salary of approximately $25 classification and storage. As a result, burden estimate in the NPRM was per hour and that about one quarter of the work will we believe that the process insufficient to cover all of the tasks be done by senior level staff with a salary of contemplated by the Proposed Rules approximately $100 per hour. Compare SIFMA, necessary to make the required Report on Management and Professional Earnings would entail multiple hours of staff time disclosure. in the Securities Industry-2011 at 4 (national per counterparty.159 In the NPRM, the Commission average total compensation for a junior level estimated that disclosure required by compliance specialist in the survey equaled $50,998 per year, an hourly equivalent of approximately 154 44 U.S.C. 3501 et seq. regulation 23.701 would require 0.3 $25), 8 (national average total compensation for a 155 Id. hours of work per disclosure, which compliance attorney in the survey equaled $131,304 156 See generally Notice of Proposed Rulemaking, could be performed by staff with a per year, an hourly equivalent of approximately Privacy of Consumer Financial Information; $65). Conforming Amendments Under Dodd-Frank Act salary level of approximately $20 per hour. The Commission has adjusted this 163 The estimate in the NPRM assumed that the 75 FR 66014 (Oct. 27, 2010). largest SDs and MSPs would make the required 157 In the NPRM these provisions were numbered disclosure to an average of 5,000–10,000 as regulation 23.601 and 23.604. 160 SIFMA/ISDA letter at 4. counterparties per year and that smaller SDs and 158 The comments referred to regulation 23.601, 161 See discussion in Registration of Swap Dealers MSPs would make the required disclosure to an reflecting the numbering in the NPRM. and Major Swap Participants, 77 FR 2613, 2622 average of about 200 counterparties per year. See 75 159 ISDA letter at 5. (Jan. 19, 2012). FR at 75436 (Dec. 3, 2010) and n. 29.

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Commission estimates that regulation respect of analysis and preparation of In the NPRM, the Commission invited 23.701 will require a total of current disclosures and ongoing updates the public ‘‘to submit any data or other approximately 162,500 disclosures per to the same. The Commission estimates information that they may have year, generating an estimated total that the Chief Compliance Officer will quantifying or qualifying the costs and annual information collection burden of spend five hours, on an annual basis, benefits of the proposal with their approximately 325,000 hours and cost updating the existing procedures and comment letters.’’ 165 The Commission of $16,250,000. reviewing compliance with such received no such quantitative data or The Commission, in the NPRM, procedures as well as an additional information with respect to these rules. estimated that regulation 23.704 would hour, on a non-regular basis in perhaps While the Commission did not receive require a total of approximately 2% of the cases, addressing non-routine comments directly on the costs and 260,000–400,000 disclosures per year, issues that may arise in respect of a benefit analysis, it did receive generating an estimated total annual particular disclosure to a counterparty. comments that alluded to costs, as information collection burden of The Commission further estimates that discussed in more detail in the sections approximately 80,000–120,000 hours a junior compliance officer will spend, below. For example, some commenters and $2,400,000–$3,500,000.164 The on average, approximately 0.3 hours per believed that the notification of Commission is adjusting this estimate counterparty on a quarterly basis, counterparties of their right to based on the reduced estimate of the analyzing the procedures followed and segregation would create an number of affected SDs and MSPs from preparing the disclosure to be sent. administrative cost (although no 300 to 125, and the increased estimate Based on these adjustments, the commenters attempted to quantify such of 1300 counterparties per SD or MSP. Commission now estimates that costs). FHLB, MetLife and EEI In the absence of more specific regulation 23.704 will require initial characterized transaction-by-transaction information, the Commission continues costs of approximately $280,000 and, on notification as repetitive and to assume for purposes of this an ongoing basis, a total of redundant.166 Some commenters calculation that half of counterparties approximately 325,000 disclosures per believed that even yearly notification will elect not to segregate, and will year generating an estimated total was unnecessary.167 On the topic of receive the required quarterly annual information collection burden of investing initial margin only as allowed disclosure. The Commission notes that approximately $3.7 million, based on under regulation 1.25, Federated the cost per counterparty can be divided the following: An annual cost of $29,300 directly stated that this would cause a into two costs: An initial cost and an on- per SD/MSP comprising eighteen hours loss of investment returns.168 Finally, going, annual cost. In respect of the for the Chief Compliance Officer with a the Working Group wrote that requiring initial cost, the Commission estimates a salary level of approximately $110.97 quarterly reporting for non-segregated total of twenty hours of the Chief per hour and the annual cost of 780 margin would be unnecessarily Compliance Officer’s time to prepare hours for junior compliance staff with a burdensome, indicating that producing and design the SD or MSP’s compliance salary level of approximately $35 per such reports might create a needless procedures for its 23.704 disclosure hour, multiplied by an estimated 125 administrative cost.169 requirements. In respect of ongoing SD/MSPs. 2. Statutory Mandate To Consider Costs costs, the Commission recognizes that, and Benefits while the degree of disclosure to C. Cost-Benefit Considerations Section 15(a) of the CEA requires the particular counterparties may differ 1. Background (e.g., agreements may require no Commission to consider the costs and disclosure, high-level disclosure only or Prior to the passage of the Dodd-Frank benefits of its action before more in-depth disclosure), it is likely Act, the decision to segregate and the promulgating a regulation.170 In that the levels of disclosures may mechanics of such segregation were particular, costs and benefits must be coalesce around certain intervals such unregulated and left to the negotiation evaluated in light of five broad areas of that efficiencies may be observed in of the parties to the swap. Under new market and public concern: (1) CEA section 4s(l)(1)(A), an SD or MSP Protection of market participants and 164 This estimate in the NPRM was based on the is required to notify the counterparty of the public; (2) efficiency, requirement of regulation 23.704 that SDs and its right to segregation. Upon request by competitiveness, and financial integrity MSPs make the required disclosure four times each the counterparty, the SD or MSP must of futures markets; (3) price discovery; year to each of their uncleared swaps counterparties segregate the funds for the benefit of the (4) sound risk management practices; that does not choose to require segregation of initial margin. It was further based on estimates that each counterparty, among other requirements and (5) other public interest disclosure would require, on average, under section 4s(l)(1)(B). Other considerations. Accordingly, the approximately 0.3 hours of staff time by staff with paragraphs of section 4s(l) outline the Commission considers the costs and a salary level of approximately $30 per hour applicability of the segregation benefits resulting from its own although, per the terms of the rule, this would vary depending on the specifics of the agreement of the notification, the nature of the custodian discretionary determinations with parties with regard to the back-office procedures of and the reporting requirement for respect to the section 15(a) factors. the SD or MSP and the extent to which such unsegregated initial margin. In issuing these final rules, the procedures were standardized. The estimate further This legislative act is indicative of Commission has considered the costs assumed that about half of all uncleared swaps and benefits of each aspect of the rules, counterparties would not choose segregation of Congress’s broad intent to increase the initial margin and that, as a result, the largest SDs safety of the swaps market. While many as well as alternatives to them. In and MSPs would make the required disclosure to aspects of Title VII of the Dodd-Frank addition, the Commission has evaluated an average of 2,500–5,000 counterparties four times Act promote the increased clearing of per year and that smaller SDs and MSPs would 165 75 FR at 75437 (Dec. 3, 2010). make the required disclosure to an average of about swaps, section 4s(l) indicates Congress’ 166 FHLB letter at 6, MetLife letter at 2, EEI letter 100 counterparties four times per year. See 75 FR intent to increase the safety in the at 3. at 75436 (Dec. 3, 2010) and n. 30; SIFMA, Report market for uncleared swaps by creating 167 SIFMA/ISDA letter at 4, ISDA letter at 4, AMG on Management and Professional Earnings in the a self-effectuating requirement for the Securities Industry-2011 at 4 (national average total letter at 7. compensation for a junior level compliance segregation of counterparty initial 168 Federated letter at 7, 11. specialist in survey equaled $50,998 per year, an margin in an entity legally separate from 169 Working Group letter at 6. hourly equivalent of approximately $25). the SD or MSP. 170 7 U.S.C. 19(a).

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comments received regarding costs and for collateral because of the likely report to each counterparty that elects benefits in response to its proposal. higher correlation of default risk not to require segregation whether or Where quantification has not been between an affiliate custodian and the not the back office procedures relating reasonably estimable due to lack of SD or MSP. There are also benefits to to margin and collateral requirements of necessary underlying information, the requiring the identity of such a the SD or MSP were out of compliance Commission has considered the costs custodian acceptable to the SD or MSP with the agreement between the SD or and benefits of the final rules in to be specifically disclosed because the MSP and the counterparty, consistent qualitative terms. identity of the custodian is a material with the Chief Compliance Officer’s aspect of any segregation package. section4s(k)(2)(D) of the CEA duties. 3. Benefits and Costs of the Final Rule The final rule also requires, in This provision should enhance A discussion of the costs and benefits regulation 23.701(a)(3), the SD or MSP compliance by SDs and MSPs with of this rule and the relevant comments to provide the counterparty with the these aspects of their agreements with is set out immediately below and price of segregation to the extent that their counterparties by highlighting continues in the discussion of the the SD or MSP has such information breaches and by incentivizing SDs and section 15(a) factors. The discussion of (e.g., where the custodian is an affiliate MSPs to avoid breaches that would have costs and benefits here should be read of, or a regular custodian for, the SD or to be reported. Compliance by SDs and in conjunction with the discussion of MSP). Requiring the SD or MSP to MSPs with provisions concerning rule provisions and comments in the disclose price information that it has margin and collateral requirements remainder of the preamble, which was available is beneficial because should lead to better protection of also taken into account in the knowledge of the price of segregation is counterparties in the event of the Commission’s overall consideration of essential in order for the counterparty to insolvency of the SD or MSP. costs and benefits as part of its decision determine the net value of choosing to promulgate the rule. segregation. In transactions in which the b. Costs The major provisions of this final rule parties have agreed that a withdrawal of As noted previously, the final rule, in reflect specific requirements compelled segregated margin may be made without regulation 23.701(e), requires yearly by the CEA, as amended by the Dodd- the written consent of both the notification of the right to segregation. Frank Act. This discussion of costs and counterparty and the SD or MSP, the This is less costly than a requirement benefits focuses on the areas in which final rule, in regulation 23.702(c)(2), that such notification be given with the Commission used its discretion to includes a perjury standard for a party each swap transaction, which would introduce standards or requirements unilaterally representing to the result from a more literal reading of the beyond those which were required by custodian that it is entitled to segregated statute.171 statute. initial margin. The benefit of a perjury An estimate of the cost of the required yearly notification is given in the a. Benefits standard for unilateral requests for collateral is that it provides a Paperwork Reduction Act section of this The final rule, in regulation 23.701(e), disincentive to parties who might preamble, above. The Commission requires notification of the right to otherwise be inclined to fraudulently believes that the cost of requiring SDs segregation once per each year that a request collateral, particularly in and MSPs to deliver one notification per new swap is entered into rather than, circumstances where financial distress year to each counterparty is not overly e.g., at the beginning of a swap may create incentives to cut corners. burdensome, particularly when one transaction or notification only when a The final rule requires, in regulation considers the importance of the counterparty first does business with 23.703(a), that any investments of counterparty’s decision to require the SD or MSP. Annual notification segregated initial margin given to an SD segregation and the large dollar volume offers the benefit of ensuring that the or MSP conform to regulation 1.25. of business that is typically done by SDs right to segregation is called to the While not required by statute, this and MSPs.172 The increased cost attention of counterparties reasonably aspect of the final rule is beneficial associated with an annual notification close in time to the point at which because it will serve to safeguard requirement, as compared to a decisions are made with respect to the segregated initial margin in the same requirement that notification only be handling of collateral for particular way that regulation 1.25 safeguards required at the beginning of a swap swaps transactions without requiring futures and cleared swaps customer relationship between the parties as was excessive or repetitive notification in collateral. Without this requirement, urged by some commenters, is the cases where a counterparty engages in there exists a possible moral hazard difference in the administrative costs of multiple swaps with a particular SD or concern that an SD or MSP may engage sending each additional yearly MSP over the course of a year. Annual in excessive risk taking with the funds notification as opposed to just one notification also reduces the likelihood of a counterparty. This moral hazard initial notification. Commenters who that required information regarding arises out of either (i) lack of customer favored less-than-annual notification custodians and pricing will become awareness, (ii) agency costs facing the did not provide specific estimates of obsolete, which would be a significant customer that make it difficult to this cost difference. Based on its possibility if notification were given contract around issues of collateral use assessment of the cost of annual only at the beginning of a multi-year (e.g., monitoring costs of the SD’s or notification, the Commission does not business relationship between a MSP’s activities by the customer), or counterparty and the SD or MSP. (iii) existence of a potential government 171 See CEA section 4s(l)(1)(A) (A swap dealer or The final rule, in regulation backstop, which lessens the incentive of major swap participant shall be required to notify the counterparty of the swap dealer or major swap 23.701(a)(2), requires the SD or MSP to either SDs or MSPs or their customers participant at the beginning of a swap transaction identify, in the notification, at least one to impose restrictions on collateral that the counterparty has the right to require creditworthy non-affiliate acceptable to investment. segregation.). the SD or MSP as a custodian. As The final rule, in regulation 23.704(a), 172 See generally Further Definition of ‘‘Swap Dealer,’’ ‘‘Security-Based Swap Dealer,’’ ‘‘Major discussed above, there are benefits to also makes the Chief Compliance Officer Swap Participant,’’ ‘‘Major Security-Based Swap requiring that the counterparty have the of the SD or MSP required by section Participant’’ and ‘‘Eligible Contract Participant,’’ 77 option of using a non-affiliate custodian 4s(k) of the CEA responsible for the FR 30596 (May 23, 2012).

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believe that this cost difference would to be between 0% and 4%.175 The which ICI does not believe need to be impose an unreasonable burden.173 associated cost of imposing regulation disclosed by the SD or MSP—and fees The requirement that SDs or MSPs 1.25, which needs to also consider the embedded in the SD’s or MSP’s (risk-based) preferences of pricing.177 State Street suggested that reveal to counterparties the identity of … one or more potential custodians (one of counterparties over the set of foregone ‘‘the Commission should provide which must be unaffiliated), and their investment opportunities, exists that, although the pricing of the same somewhere within this range. respective prices of segregation, should transaction with and without a Secondarily, there may be segregated account may differ, the impose minimal costs. It is likely that administrative costs to SDs and MSPs in pricing difference should be reflective of both the identities of custodians and ensuring compliance with regulation actual out-of-pocket costs expected to be related pricing information would, in 1.25 limitations. However, the incurred by the [SD or MSP] as a result the ordinary course, be included in any Commission notes that parties are free of use of the segregated account, and negotiation between an SD or MSP and to negotiate arrangements outside of the that the nature and amounts of those a counterparty. In any event, the SD’s or final rule. costs should be fully disclosed.’’ 178 MSP’s own custodial and pricing An estimate of the cost of the The Commission could have chosen decisions are known (or certainly quarterly reporting required pursuant to to take the path requested by SIFMA/ readily knowable) by the SD or MSP, regulation 23.704 is given in the ISDA, in which no disclosures are and thus requiring them to be disclosed Paperwork Reduction Act section of this mandated by the regulation, or the path should introduce minimal cost upon the preamble, above. As noted above, the requested by ICI, in which only fees SD or MSP. There may be an Chief Compliance Officer and junior embedded in the SD’s or MSP’s pricing administrative cost to the SD or MSP in compliance officers’ time may result in for segregated margin are disclosed. initially selecting an unaffiliated an added cost to the implementation of However, as discussed by several custodian, if the SD or MSP did not regulation 23.704. The Chief commenters, what is relevant to the previously have a relationship with Compliance Officer’s involvement with counterparty in determining whether to such an entity. This administrative design and implementation of these segregate (and with which custodian) is expense need only be a one-time cost procedures, however, is commensurate the sum of all associated costs; 179 both and should not be overly burdensome. with its section 4s(k)(2)(D) CEA those directly associated with the responsibilities for ‘‘administrating each The perjury standard introduces a custodian, and any additional charges policy and procedure that is required to heightened punishment for the imposed by the SD or MSP. be established pursuant to [section 4s].’’ inappropriate seizure of customer The SD or MSP will typically be in a In addition, this cost is outweighed by better position to know the fees charged collateral based on false representations. the relative benefit of the design and The primary cost of such a standard is by the custodian than the counterparty. implementation of effective In such instances, the alternatives the exercise of excessive caution by SDs recordkeeping procedures for the large or MSPs in asserting their right to this suggested by SIFMA/ISDA and ICI number of counterparties served by each could result in a lack of pricing collateral, even in instances where that SD or MSP. right is warranted. information for the counterparty, or at c. Consideration of Alternatives best, a more difficult path for a The requirement that investments of counterparty to obtain such information. segregated margin given to an SD or In arriving at the final rules, in areas The SD or MSP is responsible for MSP adhere to regulation 1.25 may in which the Commission exercised its segregation and for using an impose costs. The primary cost would discretion, the Commission has independent third-party custodian, and considered a number of alternatives be a loss of investment returns to SDs providing price information about the suggested by commenters. and MSPs under the rule as opposed to total cost of segregation to the The Commission asked in the NPRM investment returns that would have counterparty is a key component of been permitted without the regulation’s whether the SD or MSP should be required to disclose the price of evaluating a custodian’s service. restriction. Regulation 1.25 requires that The Commission notes State Street’s segregation, the fees to be paid to the investments of customer collateral by an argument, but believes that mandating custodian (if the SD or MSP was aware SD or MSP adhere to a list of that the difference in prices charged by of such costs) or differences in the terms enumerated investments, concentration the SD or MSP should only reflect the of the swap that the SD or MSP is limits and other restrictions because SD’s or MSP’s out-of-pocket costs would willing to offer to the counterparty if the certain investments may not adequately be excessively proscriptive. To the counterparty elects or renounces the meet the statute’s paramount goal of right to segregation. SIFMA/ISDA wrote extent that this rule promotes price protecting customer funds.174 that mandating disclosure is not transparency, it will foster more Nonetheless, the Commission necessary or desirable because ‘‘a competitive pricing. In addition, several commenters recognizes that restricting the type and counterparty can always, in accordance requested the Commission eliminate the form of permitted investments could with current market practice, request once-per-year notification in the result in certain SDs and MSPs earning disclosures it considers necessary from Commission’s proposed rule. SIFMA/ less income from their investments of its SD/MSP … [and] mandatory ISDA and AMG each wrote that an customer funds. The Commission has disclosure by the SD/MSP is impractical (conservatively) estimated the excess because much of the material costs are initial notification is all that should be return (or spread) of investing without within the control of a third party: The required. The Commission considered restrictions, as compared to investing custodian.’’ 176 ICI sought to distinguish requiring only an initial notification, according to regulation 1.25 guidelines, between fees charged by the custodian— however it opted for a yearly notification. Yearly notification serves 173 For the Commission’s analysis and estimate of 175 This range is based on an average yield on 10- the costs of annual notification, please see the year T-bonds between 4% and 6% and a long-run 177 ICI letter at 3. discussion in the Paperwork Reduction Act section annualized return on equities between 6% and 8%. 178 State Street letter at 3. of this preamble, above. 176 SIFMA/ISDA letter at 3 and ISDA letter at 179 See generally MFA Letter at 4 and State Street 174 See generally 7 U.S.C. 6d. 3–4. letter at 3.

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as an appropriate means for calling contemplated by regulation 23.704, is Commission has determined that the attention to the importance of the right expressly required by the statute.182 In benefits for this requirements are to segregate collateral, and offers a addition, under section 4s(k)(2)(D) of compelling and do not entail any number of benefits, relative to one-time- the CEA, the chief compliance officer is significant costs. only disclosure, as has been discussed ‘‘responsible for administering each The requirement also promotes the above. Similarly, the Commission has policy and procedure that is required to protection of market participants and concluded that any difference in be established pursuant to [section 4s].’’ the public and promotes sound risk administrative costs should not be Thus, responsibility for compliance management practices. The ability of a excessively burdensome. with the quarterly reporting counterparty to know the custodian and The alternative to a perjury standard requirement, a procedure required by the price associated with segregation is for unilateral requests to withdraw section 4s(l)(4) of the CEA, properly important because it facilitates the collateral from segregation is not to have rests with the chief compliance officer. counterparty’s decisions regarding one. However, it is the Commission’s whether to segregate initial margin and view that heightening the penalty for 4. Section 15(a) Factors with whom it wishes to transact swaps. fraudulently requesting funds to which As noted above, in this final rule, the In addition to benefitting counterparties one is not entitled reduces the incidence Commission considers the costs and facilitating decisions regarding of such claims, and may serve the benefits that result from the regulations protection of collateral in uncleared general intent of section 4s(l) to increase issued herein according to the swaps transactions benefits the public. the safety and financial integrity of the requirements of section 15(a) of the Notwithstanding the movement towards uncleared swap market and to safeguard CEA. Previous sections identify four clearing, a large number of swaps will the initial margin of parties to uncleared main issues for cost-benefit remain bilateral contracts. Congress has swaps, once segregated, while still considerations: (1) Notification of the determined that systemic risk will be providing the benefits of a unilateral right to segregate, (2) requirements to reduced by offering counterparties the ability to withdraw collateral to parties reveal the price of segregation, (3) right to segregate collateral to avoid who agree to such an approach.180 statements affirming the right to seize losses brought about by default of an SD The alternatives to subjecting the collateral, and (4) adherence to or MSP and providing information on investment of segregated initial margin regulation 1.25 in the investment of custodians and pricing promotes the to regulation 1.25 are to subject it to no segregated collateral. This section exercise of this right. restrictions at all or to subject it to some discusses those considerations in light This requirement also promotes other collateral investment regime. The of the section 15(a) criteria described market efficiency, competitiveness and Commission notes that none of the above. financial integrity by facilitating commenters proposed an alternative counterparty comparison of custodians, investment framework or detailed set of a. Annual Notification of the Right to which may influence its choice of the restrictions.181 It is the Commission’s Segregate SD or MSP with which it wishes to view that the purpose of section 4s(l) is This requirement ensures that the transact swaps. To the extent that such to increase the safety of the uncleared right to segregation is called to the price transparency promotes swaps market and to protect initial attention of counterparties reasonably competition among custodians, one can margin, once segregated. Regulation close in time to the point at which they expect reductions in the cost of 1.25 is used by the Commission for both make decisions regarding the handling segregation, which, in turn, may lead to futures and cleared swaps as a means by of collateral for particular swaps increased use of the segregation option, which to protect segregated customer transactions and therefore increases the with the resultant positive implications funds against risky investment. Having likelihood that counterparties will make for sound risk management practices. created a legal standard for this purpose, informed decisions on whether to elect Second, requiring that pricing it makes sense to apply it to uncleared segregation. It thereby furthers the information be obtained by the party swaps transactions in which protection of market participants and best positioned to know such counterparties choose to have their the public and promotes sound risk information eliminates a circumstance collateral segregated within a regulatory management practices. where a party at a comparative framework established by the disadvantage for obtaining such Commission under the authority of b. Revealing the Price of Segregation information has to do so. section 4s(l). and Identifying a Custodian c. Perjury Standard for Statements Alternatives to reporting requirements The statute requires the SD or MSP to Affirming the Right to Unilaterally to non-segregated collateral would be to notify the counterparty of its right to Withdraw Collateral From a Custodian require reports less frequently than segregation. The final regulation goes quarterly and to not place responsibility beyond the statutory requirement by The baseline for comparison of this for such reports on the chief compliance also requiring that the SD or MSP requirement is typical market practice, officer. The Commission notes that provide an unaffiliated custodian that it which may include civil and criminal while quarterly reporting may impose would be willing to use as well as the actions against a party falsely claiming certain administrative burdens on SDs price associated with segregation. The that it is entitled to funds to which it, and MSPs, such quarterly reporting, as in fact, is not. 182 The reporting requirement found in section Introducing a perjury standard for 180 As discussed below, the perjury rule may in 4s(l)(4) of the CEA states that if the counterparty unilateral requests for collateral will certain instances lead to excess caution by SDs and does not choose to require segregation of the funds serve as an additional disincentive for MSPs in cases where they do have a right to the or other property supplied to margin, guarantee, or collateral. In such instances, the perjury rule could secure the obligations of the counterparty, the swap parties who might otherwise be inclined adversely affect sound risk management. dealer or major swap participant shall report to the to fraudulently request collateral. To the 181 While Federated provided some general counterparty of the swap dealer or major swap extent this standard reduces the suggestions, such as setting concentration limits on participant on a quarterly basis that the back office incidence of such false claims, the rule investments with a particular fund or family of procedures of the swap dealer or major swap funds, it argued that there ‘‘should be no limits on participant relating to margin and collateral acts to promote the protection of market investment of collateral for uncleared or cleared requirements are in compliance with the agreement participants and the public. In addition, swaps.’’ See Federated letter at 10–11. of the counterparties. fraudulent requests for collateral, if

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honored, can shake victimized parties’ whose initial margin is safeguarded, and changes in the market value of the confidence in the uncleared segregation the market as a whole, because of the position. regime and damage public confidence in decreased likelihood of a market shock Margin means both Initial Margin and the safety of the uncleared swap market. causing a chain reaction which results Variation Margin. Heightening disincentives for fraudulent in the loss of segregated funds. While Segregate. To segregate two or more conduct will therefore help to safeguard the Commission realizes that there may items is to keep them in separate the financial integrity of the uncleared be administrative costs in ensuring that accounts, and to avoid combining them swap market place. As previously regulation 1.25 requirements are in the same transfer between two mentioned, a primary cost of this followed, the Commission expects that accounts. standard is the exercise of excessive SDs and MSPs are sophisticated firms Variation Margin means a payment caution by SDs or MSPs in asserting that should be able to make the made by or collateral posted by a party their right to this collateral, even in necessary adjustments without much to a swap to cover the current exposure instances where the SD or MSP believes delay or expense. The overall benefits of arising from changes in the market value that the unilateral withdrawal of such safeguarding segregated funds and the of the position since the trade was collateral is authorized, because of the resultant reductions in risk to portfolios, executed or the previous time the costs and risks of exposure to a potential as compared to those based on a position was marked to market. criminal action. To the extent that this regulatory framework without such § 23.701 Notification of right to potential cost arises, therefore, the 183 limitations, exceed those costs. segregation. requirement can negatively impact the practice of sound risk management. List of Subjects (a) Prior to the execution of each swap transaction that is not submitted for 17 CFR Part 23 d. Adherence to Regulation 1.25 clearing, a swap dealer or major swap Absent this requirement, an SD or Consumer protection, Reporting and participant shall: MSP’s investment options for collateral recordkeeping requirements, Swaps. (1) Notify each counterparty to such transaction that the counterparty has the would be left up to the negotiation of 17 CFR Part 190 the counterparties. right to require that any Initial Margin As discussed above, without this Bankruptcy, Brokers, Commodity the counterparty provides in connection requirement, there exists a possible futures, Reporting and recordkeeping with such transaction be segregated in moral hazard concern that an SD or requirements, Swaps. accordance with § 23.702 and § 23.703; MSP may engage in excessive risk For the reasons stated in the (2) Identify one or more custodians, taking with the funds of a counterparty. preamble, the Commodity Futures one of which must be a creditworthy The Commission agrees with Trading Commission amends 17 CFR non-affiliate and each of which must be commenters who claim that this parts 23 and 190 as follows: a legal entity independent of both the requirement may constrain the swap dealer or major swap participant investment returns of SDs and MSPs PART 23—SWAP DEALERS AND and the counterparty, as an acceptable relative to those returns achievable MAJOR SWAP PARTICIPANTS depository for segregated Initial Margin; absent the enhanced safety criteria. and ■ 1. The authority citation for part 23 Recognizing that there may be some (3) Provide information regarding the continues to read as follows: reduction in returns, applying price of segregation for each custodian regulation 1.25 standards to segregated Authority: 7 U.S.C. 1a, 2, 6, 6a, 6b, 6b– identified in paragraph (a)(2) of this initial margin of uncleared swaps will 1, 6c, 6p, 6r, 6s, 6t, 9, 9a, 12, 12a, 13b, 13c, section, to the extent that the swap benefit market participants and the 16a, 18, 19, 21. dealer or major swap participant has public by safeguarding such segregated ■ 2. Add and reserve subpart K. such information. funds. ■ 3. Add subpart L to read as follows: (b) The right referred to in paragraph This regulation also benefits the (a) of this section does not extend to financial integrity of the market place. A Subpart L—Segregation of Assets Held as Variation Margin. party who invests its customer’s Collateral in Uncleared Swap Transactions (c) The notification referred to in segregated funds is required to replenish Sec. paragraph (a) of this section shall be any losses in the customer account with 23.700 Definitions. made to an officer of the counterparty its own funds. During a period of market 23.701 Notification of right to segregation. responsible for the management of 23.702 Requirements for segregated margin. collateral. If no such party is identified stress, such a party might be 23.703 Investment of segregated margin. experiencing losses in other areas, 23.704 Requirements for non-segregated by the counterparty to the swap dealer which may increase the difficulty of margin. or major swap participant, then the making the customer whole. In that notification shall be made to the Chief regard, even if there are not losses in the Subpart L—Segregation of Assets Held Risk Officer of the counterparty, or, if customer account, strains on the SD’s or as Collateral in Uncleared Swap there is no such Officer, the Chief MSP’s sources of funds may cause Transactions Executive Officer, or if none, the delays in a counterparty receiving funds highest-level decision-maker for the to which it is entitled. Regulation 1.25 § 23.700 Definitions. counterparty. requires that customer fund investments As used in this subpart: (d) Prior to confirming the terms of be made in an enumerated list of Initial Margin means money, any such swap, the swap dealer or major instruments which preserve principal securities, or property posted by a party swap participant shall obtain from the and maintain liquidity. to a swap as performance bond to cover counterparty confirmation of receipt by Finally, requiring that investments of potential future exposures arising from the person specified in paragraph (c) of segregated initial margin adhere to this section of the notification specified regulation 1.25 benefits sound risk 183 Based on the subject matter of the rule and in paragraph (a) of this section, and an comments received, the Commission does not management practices by ensuring that expect the rule to have a significant effect on price election to require such segregation or segregated funds are invested in a safe discovery or on other public interest considerations not. The swap dealer or major swap manner. This benefits the counterparty, not already discussed. participant shall maintain such

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confirmation and such election as be invested consistent with § 1.25 of this (F) To the extent not otherwise business records pursuant to § 1.31 of chapter. included, securities held in a portfolio this chapter. (b) Subject to paragraph (a) of this margining account carried as a futures (e) Notification pursuant to paragraph section, the swap dealer or major swap account or a cleared swaps customer (a) of this section to a particular participant and the counterparty may account; enter into any commercial arrangement, counterparty by a particular swap dealer * * * * * or major swap participant need only be in writing, regarding the investment of made once in any calendar year. such Margin, and the related allocation Issued in Washington, DC, on October 31, (f) A counterparty’s election to require of gains and losses resulting from such 2013, by the Commission. segregation of Initial Margin, or not to investment. Melissa D. Jurgens, require such segregation, may be § 23.704 Requirements for non-segregated Secretary of the Commission. changed at the discretion of the margin. counterparty upon written notice Appendices to Protection of Collateral (a) The chief compliance officer of delivered to the swap dealer or major of Counterparties to Uncleared Swaps; each swap dealer or major swap swap participant, which changed Treatment of Securities in a Portfolio participant shall report to each election shall be applicable to all swaps Margining Account in a Commodity counterparty that does not choose to entered into between the parties after Broker Bankruptcy—Commission require segregation of Initial Margin such delivery. Voting Summary and Statement of pursuant to § 23.701(a), no later than the Chairman § 23.702 Requirements for segregated fifteenth business day of each calendar margin. quarter, on whether or not the back Note: The following appendices will not (a) The custodian of Margin, office procedures of the swap dealer or appear in the Code of Federal Regulations. segregated pursuant to an election under major swap participant relating to § 23.701, must be a legal entity margin and collateral requirements Appendix 1—Commission Voting Summary independent of both the swap dealer or were, at any point during the previous On this matter, Chairman Gensler and major swap participant and the calendar quarter, not in compliance Commissioners Chilton, O’Malia, and Wetjen counterparty. with the agreement of the voted in the affirmative; no Commissioner (b) Initial Margin that is segregated counterparties. voted in the negative. (b) The obligation specified in pursuant to an election under § 23.701 paragraph (a) of this section shall apply Appendix 2—Statement of Chairman Gary must be held in an account segregated with respect to each counterparty no Gensler for and on behalf of the counterparty, earlier than the 90th calendar day after and designated as such. Such an I support the final rule enhancing the the date on which the first swap is protection of customer funds when entering account may, if the swap dealer or major transacted between the counterparty into uncleared swap transactions. Today’s swap participant and the counterparty and the swap dealer or major swap final rule fulfills Congress’ mandate that agree, also hold Variation Margin. participant. counterparties of swap dealers be given a (c) Any agreement for the segregation choice regarding whether or not they get the of Margin pursuant to this section shall PART 190—BANKRUPTCY protections that come from segregation of be in writing, shall include the monies and collateral they post as initial ■ custodian as a party, and shall provide 4. The authority citation for part 190 margin. These are important customer that: continues to read as follows: protections for counterparties as they enter (1) Any withdrawal of such Margin, Authority: 7 U.S.C. 1a, 2, 4a, 6c, 6d, 6g, 7a, into customized swaps with swap dealers. other than pursuant to paragraph (c)(2) 12, 19, and 24, and 11 U.S.C. 362, 546, 548, Swap dealers will be required to give each of this section, shall only be made 556, and 761–766, unless otherwise noted. of their counterparties the choice with regard pursuant to the agreement of both the ■ 5. In § 190.01, revise paragraph (l) to to segregation. The dealers also will have to counterparty and the swap dealer or read as follows: provide the prices for the various segregation major swap participant, and notification choices. Further, the dealers must give the of such withdrawal shall be given § 190.01 Definitions. customers at least one custodial arrangement immediately to the non-withdrawing * * * * * choice not affiliated with the swap dealer’s party; (l) Customer shall have the same bank. (2) Turnover of control of such Margin meaning as that set forth in section In addition, this rule provides clarifying shall be made without the written 761(9) of the Bankruptcy Code. To the changes to ensure that if a counterparty consent of both parties, as appropriate, extent not otherwise included, customer chooses segregation for its funds, those funds to the counterparty or to the swap dealer shall include the owner of a portfolio will not be tied up in the bankruptcy of its or major swap participant, promptly margining account carried as a futures swap dealer. upon presentation to the custodian of a account or cleared swaps customer These rules are critical to protecting statement in writing, made under oath account. insurance companies, pension funds, or under penalty of perjury as specified * * * * * community banks and municipal governments wishing to hedge a risk in using in 28 U.S.C. 1746, by an authorized ■ 6. In § 190.08, redesignate paragraph the customized swaps market. representative of either such party, (a)(1)(i)(F) as paragraph (a)(1)(i)(G) and stating that such party is entitled to add new paragraph (a)(1)(i)(F) to read as [FR Doc. 2013–26479 Filed 11–5–13; 8:45 am] such control pursuant to an agreement follows: BILLING CODE 6351–01–P between the parties. The other party shall be immediately notified of such § 190.08 Allocation of property and turnover. allowance of claims. * * * * * § 23.703 Investment of segregated margin. (a) * * * (a) Margin that is segregated pursuant (1) * * * to an election under § 23.701 may only (i) * * *

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SOCIAL SECURITY ADMINISTRATION unless we decided to terminate the rules rule earlier or to extend it by publishing earlier or extend them beyond that date a final rule in the Federal Register. 20 CFR Parts 404 and 416 by publication of a final rule in the We are also making minor, [Docket No. SSA–2013–0023] Federal Register. 75 FR 62676. nonsubstantive editorial changes to the first sentence of current Explanation of Provision RIN 0960–AH59 §§ 404.1615(c)(3) and 416.1015(c)(3). This final rule extends for 1 year the These minor changes merely improve Extension of the Expiration Date for authority in the rules we published on the clarity of the current sentence. State Disability Examiner Authority To October 13, 2010 allowing disability Make Fully Favorable Quick Disability examiners to make fully favorable Regulatory Procedures Determinations and Compassionate determinations in certain disability Justification for Issuing a Final Rule Allowances claims under our QDD and CAL Without Notice and Comment processes without the approval of a AGENCY: Social Security Administration. We follow the Administrative medical or psychological consultant. ACTION: Final rule. Procedure Act (APA) rulemaking This rule is consistent with our strategic procedures specified in 5 U.S.C. 553 SUMMARY goal to make fully favorable : We are extending the when developing regulations. Section determinations when we can as quickly expiration date of our rules that 702(a)(5) of the Social Security Act, 42 as possible.1 The rule will also help us authorizes State agency disability U.S.C. 902(a)(5). Generally, the APA process cases more efficiently because it examiners to make fully favorable requires that an agency provide prior will allow State agency medical and determinations without the approval of notice and opportunity for public psychological consultants to spend their a State agency medical or psychological comment before issuing a final rule. time on cases that require their consultant in claims that we consider However, the APA provides exceptions expertise. under our quick disability to its notice and public comment In the rules we published on October determination (QDD) and procedures when an agency finds there 13, 2010, we noted that our experience compassionate allowance (CAL) is good cause for dispensing with such adjudicating QDD and CAL cases led us processes. The current rules will expire procedures because they are to our decision to allow disability on November 12, 2013. In this final rule, impracticable, unnecessary, or contrary examiners to make some fully favorable we are changing the November 12, 2013 to the public interest. expiration or ‘‘sunset’’ date to November determinations without a medical or We have determined that good cause 14, 2014, extending the authority for 1 psychological consultation. When we exists for dispensing with the notice and year. We are making no other implemented the rules, we also knew public comment procedures for this substantive changes, although we are that State agencies would require some rule. 5 U.S.C. 553(b)(B). Good cause making minor, nonsubstantive editorial time to establish procedures, adopt exists because this final rule only changes to the rule for clarity. necessary software modifications, and extends the expiration date of the DATES: This final rule is effective satisfy collective bargaining obligations. existing provision and makes minor November 6, 2013. Extending the rule will provide us at nonsubstantive editorial changes to the FOR FURTHER INFORMATION CONTACT: least three years of data on the active rule. It makes no substantive changes. Terry Dodson, Office of Disability processes. The current regulations expressly Programs, Social Security This final rule will allow us to provide that we may extend or Administration, 6401 Security continue to adjudicate fully favorable terminate this rule. Therefore, we have Boulevard, Baltimore, MD 21235–6401, determinations more quickly under our determined that opportunity for prior (410) 965–0143, for information about QDD and CAL processes. Our reviews of comment is unnecessary, and we are this final rule. For information on cases in fiscal years 2012 and 2013 issuing this rule as a final rule. eligibility or filing for benefits, call our adjudicated under the current rules In addition, for the reasons cited national toll-free number, 1–800–772– show that the rules have not had an above, we find good cause for 1213 or TTY 1–800–325–0778, or visit adverse effect on the quality of our dispensing with the 30-day delay in the our Internet site, Social Security Online, determinations, and we are continuing effective date of this final rule. 5 U.S.C. at http://www.socialsecurity.gov. to review more recent data. In fact, QDD 553(d)(3). We are not making any and CAL cases adjudicated under these SUPPLEMENTARY INFORMATION: substantive changes in our current rule, rules have accuracy rates that are but are only extending the expiration Background of the QDD and CAL comparable to, if not higher than, the date of the rule and making minor Disability Examiner Authority accuracy rates of other cases involving editorial changes. In addition, as On October 13, 2010, we published a medical or psychological consultation. discussed above, the change we are final rules that temporarily authorized Moreover, among cases for which our making in this final rule will allow us State agency disability examiners to reviews identified an error, a to better utilize our scarce make fully favorable determinations significantly smaller share contained administrative resources in light of the without the approval of a State agency material errors that resulted in an current budgetary constraints under medical or psychological consultant in incorrect outcome. For these reasons, which we are operating. For these claims that we consider under our QDD we have decided to extend the reasons, we find that it is contrary to the and CAL processes. 75 FR 62676. expiration date in §§ 404.1615(c)(3) and public interest to delay the effective We included in 20 CFR 404.1615(c)(3) 416.1015(c)(3). Accordingly, we are date of our rule. and 416.1015(c)(3) provisions by which extending the rule for 1 year, until the State agency disability examiners’ November 14, 2014. As before, we Executive Order 12866, as authority to make fully favorable reserve the authority to terminate the Supplemented by Executive Order determinations without medical or 13563 1 See Social Security Administration Agency psychological consultant approval in Strategic Plan 2013–2016, Strategic Goal 1, We consulted with the Office of QDD and CAL claims would no longer Objective III, at http://www.ssa.gov/asp/plan-2013- Management and Budget (OMB) and be effective on November 12, 2013, 2016.pdf determined that this final rule does not

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meet the criteria for a significant § 404.1615 Making disability ACTION: Final regulations and removal of regulatory action under Executive Order determinations. temporary regulations. 12866, as supplemented by Executive * * * * * Order 13563. Therefore, OMB did not (c) * * * SUMMARY: This document contains final review it. (3) A State agency disability examiner regulations relating to the transfer or We also determined that this final alone if the claim is adjudicated under assignment of certain derivative rule meets the plain language the quick disability determination contracts. The final regulations provide requirement of Executive Order 12866. process (see § 404.1619) or the guidance to the nonassigning compassionate allowance process (see counterparty to a derivative contract Regulatory Flexibility Act § 404.1602), and the initial or and an assignee on certain notional principal contracts that are derivative We certify that this final rule will not reconsidered determination is fully contracts. The final regulations provide have a significant economic impact on favorable to you. This paragraph will no that the nonassigning counterparty does a substantial number of small entities longer be effective on November 14, not have an exchange for purposes of because it affects individuals only. 2014 unless we terminate it earlier or § 1.1001–1(a) when certain derivative Therefore, the Regulatory Flexibility extend it beyond that date by contracts are transferred or assigned and Act, as amended, does not require us to publication of a final rule in the Federal clarify that the embedded loan rules of prepare a regulatory flexibility analysis. Register; or * * * * * § 1.446–3(g)(4) do not apply to such Paperwork Reduction Act transactions. PART 416—SUPPLEMENTAL This final rule does not create any DATES: Effective Date: These regulations SECURITY INCOME FOR THE AGED, new or affect any existing collections are effective on November 6, 2013. BLIND, AND DISABLED and, therefore, does not require OMB Applicability Date: For the date of applicability, see § 1.1001–4(d). approval under the Paperwork Subpart J—[Amended] Reduction Act. FOR FURTHER INFORMATION CONTACT: (Catalog of Federal Domestic Assistance ■ 3. The authority citation for subpart J Andrea M. Hoffenson, (202) 622–3920 Program Nos. 96.001, Social Security— continues to read as follows: (not a toll-free number). Disability Insurance; 96.002, Social Authority: Secs. 702(a)(5), 1614, 1631, and SUPPLEMENTARY INFORMATION: Security—Retirement Insurance; 96.004, 1633 of the Social Security Act (42 U.S.C. Background Social Security—Survivors Insurance; 902(a)(5), 1382c, 1383, and 1383b). 96.006, Supplemental Security Income.) ■ 4. Amend § 416.1015 by revising This document contains amendments paragraph (c)(3) to read as follows: to 26 CFR part 1. On July 22, 2011, List of Subjects temporary regulations (TD 9538) 20 CFR Part 404 § 416.1015 Making disability relating to the effect of the transfer or determinations. assignment of certain derivative Administrative practice and * * * * * contracts under section 1001 of the procedure; Blind, Disability benefits; (c) * * * Internal Revenue Code (Code) were Old-age, Survivors and Disability (3) A State agency disability examiner published in the Federal Register (76 Insurance; Reporting and recordkeeping alone if you are not a child (a person FR 43892). A notice of proposed requirements; Social security. who has not attained age 18), and the rulemaking (REG–109006–11) cross- claim is adjudicated under the quick 20 CFR Part 416 referencing the temporary regulations disability determination process (see was published in the Federal Register Administrative practice and § 416.1019) or the compassionate for the same day (76 FR 43957). A procedure; Reporting and recordkeeping allowance process (see § 416.1002), and correction to the temporary regulations requirements; Supplemental Security the initial or reconsidered was published on August 19, 2011, in Income (SSI). determination is fully favorable to you. the Federal Register (76 FR 51878). No Dated: October 30, 2013. This paragraph will no longer be public hearing was requested or held. Carolyn W. Colvin, effective on November 14, 2014 unless No written or electronic comments we terminate it earlier or extend it Acting Commissioner of Social Security. responding to the notice of proposed beyond that date by publication of a rulemaking were received. The For the reasons stated in the final rule in the Federal Register; or proposed regulations are adopted as preamble, we are amending subpart Q of * * * * * amended by this Treasury decision, and part 404 and subpart J of part 416 of title [FR Doc. 2013–26524 Filed 11–5–13; 8:45 am] the corresponding temporary 20 of the Code of Federal Regulations as BILLING CODE 4191–02–P regulations are removed. set forth below: Section 1001 provides rules for the computation and recognition of gain or PART 404—FEDERAL OLD-AGE, DEPARTMENT OF THE TREASURY loss from a sale or other disposition of SURVIVORS AND DISABILITY property. For purposes of section 1001, INSURANCE (1950–ll) Internal Revenue Service § 1.1001–1(a) of the Income Tax Subpart Q—[Amended] Regulations generally provides that gain 26 CFR Part 1 or loss is realized upon an exchange of ■ 1. The authority citation for subpart Q [TD 9639] property for other property differing of part 404 continues to read as follows: materially either in kind or in extent. As RIN 1545–BK13 a general matter, the assignment of a Authority: Secs. 205(a), 221, and 702(a)(5) Modifications of Certain Derivative derivative contract is treated as a taxable of the Social Security Act (42 U.S.C. 405(a), disposition to a nonassigning 421, and 902(a)(5)). Contracts counterparty if the resulting contract ■ 2. Amend § 404.1615 by revising AGENCY: Internal Revenue Service (IRS), differs materially either in kind or in paragraph (c)(3) to read as follows: Treasury. extent. See Cottage Savings Association

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v. Commissioner, 499 U.S. 554, 566 assignee nor the nonassigning § 1.1001–4 Modifications of certain (1991) [1991–2 CB 34, 38] (‘‘Under [the counterparty is treated as having an derivative contracts. Court’s] interpretation of [section] embedded loan under § 1.446–3(g)(4) as (a) Certain assignments. For purposes 1001(a), an exchange of property gives a result of a payment made between the of § 1.1001–1(a), the transfer or rise to a realization event so long as the assignor and the assignee of an NPC assignment of a derivative contract is exchanged properties are ‘materially pursuant to a transfer or assignment that not treated by the nonassigning different’—that is, so long as they satisfies the requirements of § 1.1001– counterparty as a deemed exchange of embody legally distinct entitlements.’’). 4(a). The Treasury Department and the the original contract for a modified The temporary regulations provide, IRS believe that it would be inconsistent contract that differs materially either in however, that the transfer or assignment for an embedded loan to result from kind or in extent if— of a derivative contract by a dealer or such a payment in circumstances in (1) Both the party transferring or clearinghouse to another dealer or which the general rule in § 1.1001–4(a) assigning its rights and obligations clearinghouse is not treated as a deemed treats the transfer or assignment of an under the derivative contract and the exchange of the contract by the NPC as not creating a taxable event for party to which the rights and obligations nonassigning counterparty for purposes the nonassigning counterparty. are transferred or assigned are either a of § 1.1001–1(a) provided that the dealer or a clearinghouse; transfer or assignment is permitted by Special Analyses (2) The terms of the derivative the terms of the contract and the terms contract permit the transfer or It has been determined that this of the contract are not otherwise assignment of the contract, whether or Treasury decision is not a significant modified. not the consent of the nonassigning regulatory action as defined in Explanation of Revisions counterparty is required for the transfer Executive Order 12866, as or assignment to be effective; and The final regulations adopt the supplemented by Executive Order (3) The terms of the derivative general rule in the temporary 13563. Therefore, a regulatory contract are not otherwise modified in regulations providing that a transfer or assessment is not required. It has also a manner that results in a taxable assignment of a derivative contract that been determined that section 553(b) of exchange under section 1001. satisfies the conditions specified in the the Administrative Procedure Act (5 (b) Definitions—(1) Dealer. For regulations is generally not treated by U.S.C. chapter 5) does not apply to these purposes of this section, a dealer is a the nonassigning counterparty as a regulations, and because the regulations taxpayer who meets the definition of a deemed exchange of the original do not impose a collection of contract under § 1.1001–1(a). As dealer in securities in section 475(c)(1) information on small entities, the or is a dealer in commodities derivative explained below, a sentence has been Regulatory Flexibility Act (5 U.S.C. added to the final regulations to clarify contracts. chapter 6) does not apply. Pursuant to (2) Clearinghouse. For purposes of that a loan is not created when a section 7805(f) of the Code, these notional principal contract (NPC) is this section, a clearinghouse is a regulations have been submitted to the derivatives clearing organization (as transferred or assigned under the Chief Counsel for Advocacy of the Small conditions specified in these final such term is defined in section 1a of the Business Administration for comment regulations. Commodity Exchange Act (7 U.S.C. 1a)) In general, § 1.446–3(h) provides rules on its impact on small business, and no or a clearing agency (as such term is that prescribe the treatment of a comments were received. defined in section 3 of the Securities termination payment made or received Drafting Information Exchange Act of 1934 (15 U.S.C. 78c(a))) by the assignor or assignee pursuant to that is registered, or exempt from an assignment of an NPC, while the The principal author of these registration, under each respective Act. consequences to the nonassigning regulations is Andrea M. Hoffenson, (3) Derivative contract. For purposes counterparty are governed by section Office of Associate Chief Counsel of this section, a derivative contract is 1001. A termination payment made or (Financial Institutions and Products). a contract described in— received on an NPC is treated by the However, other personnel from the IRS (i) Section 475(c)(2)(D), 475(c)(2)(E), assignee as a nonperiodic payment and the Treasury Department or 475(c)(2)(F) without regard to the last under § 1.446–3(h)(3). See § 1.446– participated in their development. sentence of section 475(c)(2) referencing 3(h)(5), Example 2. In addition, § 1.446– section 1256; 3(h)(3) makes the special rules of List of Subjects in 26 CFR Part 1 (ii) Section 475(e)(2)(B), 475(e)(2)(C), or 475(e)(2)(D); or § 1.446–3(g)(4) applicable to a Income taxes, Reporting and (iii) Section 1.446–3(c)(1). termination payment made pursuant to recordkeeping requirements. an NPC. Section 1.446–3(g)(4) generally (c) Consideration for the assignment. provides that a swap with significant Adoption of Amendments to the Any payment between a party nonperiodic payments is treated as two Regulations transferring or assigning its rights and transactions, an on-market, level obligations under the contract and the payment swap and a loan. Accordingly, 26 CFR part 1 is party to which the rights and obligations These final regulations expressly amended as follows: are transferred or assigned pursuant to provide that a payment between the a transfer or assignment described in party transferring or assigning its rights PART 1—INCOME TAXES paragraph (a) of this section will not and obligations under the contract and affect the treatment of the nonassigning the party to which the rights and ■ Paragraph 1. The authority citation counterparty for purposes of this obligations are transferred or assigned for part 1 continues to read in part as section. A payment described in the pursuant to the transfer or assignment of follows: preceding sentence made or received to an NPC that meets the conditions Authority: 26 U.S.C. 7805 * * * transfer or assign rights and obligations specified in these regulations is not under a notional principal contract (as subject to the embedded loan rules in ■ Par. 2. Section 1.1001–4 is revised to defined in § 1.446–3(c)(1)) is not subject § 1.446–3(g)(4). Thus, neither the read as follows: to § 1.446–3(g)(4).

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(d) Effective/applicability date. This their predecessor regulations in 29 CFR Street, 4th Floor, New York, NY 10036; section applies to transfers or parts 1910 and 1926 on the effective telephone: 212–642–4980; Web site: assignments of derivative contracts on date, and affect employers required to http://webstore.ansi.org/; or after July 22, 2011. use accident prevention signs and tags (ii) IHS Standards Store, 15 Inverness under the specified standards. Way East, Englewood, CO 80112; § 1.1001–4T [Removed] telephone: 877–413–5184; Web site: Need for Correction ■ Par. 3. Section 1.1001–4T is removed. www.global.ihs.com; or As published, the final regulations Heather C. Maloy, (iii) TechStreet Store, 3916 Ranchero contain errors that may prove to be Dr., Ann Arbor, MI 48108; telephone: Acting Deputy Commissioner for Services and misleading and ambiguous references to Enforcement. 877–699–9277; Web site: illustrative figures in incorporated-by- www.techstreet.com. Approved: October 29, 2013. reference ANSI standards. Specifically, (67) ANSI Z535.2–2011, Mark Mazur, the incorporation-by-reference Environmental and Facility Safety Assistant Secretary of the Treasury (Tax provisions in 29 CFR 1910.6(e)(66) and Signs, published September 15, 2011; Policy). (e)(67) and 1926.6(h)(28)–(h)(30) IBR approved for § 1910.261(c). Copies [FR Doc. 2013–26575 Filed 11–5–13; 8:45 am] misidentify the vendors and locations available for purchase from the: BILLING CODE 4830–01–P where the public can purchase the (i) American National Standards updated ANSI Z535 standards. In Institute’s e-Standards Store, 25 W 43rd addition, the references in 29 CFR Street, 4th Floor, New York, NY 10036; DEPARTMENT OF LABOR 1926.200(b) and (c), ‘‘Accident telephone: 212–642–4980; Web site: prevention signs and tags,’’ to figures in http://webstore.ansi.org/; Occupational Safety and Health ANSI Z535.2–2011 are ambiguous. (ii) IHS Standards Store, 15 Inverness Administration These references need to be clarified Way East, Englewood, CO 80112; because the figures they denote telephone: 877–413–5184; Web site: 29 CFR Parts 1910 and 1926 illustrate sign specifications that www.global.ihs.com; or [Docket No. OSHA–2013–0005] employers have the option of following. (iii) TechStreet Store, 3916 Ranchero Dr., Ann Arbor, MI 48108; telephone: List of Subjects in 29 CFR Parts 1910 RIN 1218–AC77 877–699–9277; Web site: and 1926 Incorporation by Reference; Accident www.techstreet.com. Construction, General industry, * * * * * Prevention Signs and Tags; Correction Incorporation by reference, Safety, AGENCY: Occupational Safety and Health Signs, Tags. PART 1926—SAFETY AND HEALTH Administration (OSHA), Department of Accordingly, 29 CFR parts 1910 and REGULATIONS FOR CONSTRUCTION Labor. 1926 are corrected by making the following correcting amendments: Subpart A—General ACTION: Correcting amendments. PART 1910—OCCUPATIONAL SAFETY ■ SUMMARY: This document contains 3. The authority citation for subpart A corrections to the final regulations, AND HEALTH STANDARDS continues to read as follows: which were published in the Federal Subpart A—General Authority: 40 U.S.C. 333; 29 U.S.C. 653, Register of Thursday, June 13, 2013 (78 655, 657; Secretary of Labor’s Order No. 12– FR 35559). The regulations update ■ 1. The authority citation for subpart A 71 (36 FR 8754), 8–76 (41 FR 25059), 9–83 OSHA’s general industry and continues to read as follows: (48 FR 35736), 6–96 (62 FR 111), 5–2007 (72 construction signage standards by FR 31160), 4–2010 (75 FR 55355), or 1–2012 Authority: 29 U.S.C. 653, 655, 657; (77 FR 3912), as applicable; and 29 CFR part adding references to the latest American Secretary of Labor’s Order No. 12–71 (36 FR 1911. National Standards Institute (ANSI) 8754), 8–76 (41 FR 25059), 9–83 (48 FR ■ standards on specifications for accident 35736), 1–90 (55 FR 9033), 6–96 (62 FR 111), 4. In § 1926.6, revise paragraphs prevention signs and tags. 3–2000 (65 FR 50017), 5–2002 (67 FR 65008), (h)(28), (h)(29), and (h)(30) to read as follows: DATES: Effective on November 6, 2013. 5–2007 (72 FR 31159), 4–2010 (75 FR 55355), or 1–2012 (77 FR 3912), as applicable. FOR FURTHER INFORMATION CONTACT: § 1926.6 Incorporation by reference. General information and press Sections 1910.6, 1910.7, 1910.8 and 1910.9 * * * * * also issued under 29 CFR 1911. Section inquiries: Frank Meilinger, OSHA Office (h) * * * of Communications, Room N–3647, U.S. 1910.7(f) also issued under 31 U.S.C. 9701, 29 U.S.C. 9a, 5 U.S.C. 553; Public Law 106– (28) ANSI Z535.1–2006 (R2011), Department of Labor, 200 Constitution 113 (113 Stat. 1501A–222); Pub. L. 11–8 and Safety Colors, reaffirmed July 19, 2011; Ave. NW., Washington, DC 20210; 111–317; and OMB Circular A–25 (dated July IBR approved for § 1926.200(c). Copies telephone: (202) 693–1999; email: 8, 1993) (58 FR 38142, July 15, 1993). available for purchase from the: [email protected]. ■ 2. In § 1910.6, revise paragraphs (i) American National Standards Technical inquiries: Kenneth (e)(66) and (e)(67) to read as follows: Institute’s e-Standards Store, 25 W 43rd Stevanus, Directorate of Standards and Street, 4th Floor, New York, NY 10036; Guidance, Room N–3609, OSHA, U.S. § 1910.6 Incorporation by reference. telephone: 212–642–4980; Web site: Department of Labor, 200 Constitution * * * * * http://webstore.ansi.org/; Ave. NW., Washington, DC 20210; (e) * * * (ii) IHS Standards Store, 15 Inverness telephone: (202) 693–2260; fax: (202) (66) ANSI Z535.1–2006 (R2011), Way East, Englewood, CO 80112; 693–1663; email: [email protected]. Safety Colors, reaffirmed July 19, 2011; telephone: 877–413–5184; Web site: SUPPLEMENTARY INFORMATION: IBR approved for §§ 1910.97(a) and www.global.ihs.com; or 1910.145(d). Copies available for (iii) TechStreet Store, 3916 Ranchero Background purchase from the: Dr., Ann Arbor, MI 48108; telephone: The final regulations that are the (i) American National Standards 877–699–9277; Web site: subject of these corrections superseded Institute’s e-Standards Store, 25 W 43rd www.techstreet.com.

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(29) ANSI Z535.2–2011, potential hazards or to caution against Occupational Safety and Health as the Environmental and Facility Safety unsafe practices, and shall follow the recipient of petitions for review of the Signs, published September 15, 2011; specifications illustrated in Figure 4 of final standard. Contact Joseph M. IBR approved for § 1926.200(b), (c), and ANSI Z35.1–1968 or in Figures 1 to 13 Woodward, Associate Solicitor, at the (i). Copies available for purchase from of ANSI Z535.2–2011, incorporated by Office of the Solicitor, Room S–4004, the: reference in § 1926.6. U.S. Department of Labor, 200 (i) American National Standards * * * * * Constitution Avenue NW., Washington, Institute’s e-Standards Store, 25 W 43rd DC 20210; telephone: (202) 693–5445; Street, 4th Floor, New York, NY 10036; Signed at Washington, DC, on October 30, 2013. email: [email protected]. telephone: 212–642–4980; Web site: David Michaels, FOR FURTHER INFORMATION CONTACT: http://webstore.ansi.org/; General information and press (ii) IHS Standards Store, 15 Inverness Assistant Secretary of Labor for Occupational Safety and Health. inquiries: Frank Meilinger, Director, Way East, Englewood, CO 80112; OSHA Office of Communications, Room [FR Doc. 2013–26338 Filed 11–5–13; 8:45 am] telephone: 877–413–5184; Web site: N–3647, U.S. Department of Labor, 200 www.global.ihs.com; or BILLING CODE 4510–26–P Constitution Avenue NW., Washington, (iii) TechStreet Store, 3916 Ranchero DC 20210; telephone: (202) 693–1999; Dr., Ann Arbor, MI 48108; telephone: DEPARTMENT OF LABOR email: [email protected]. 877–699–9277; Web site: Technical information: Ken Stevanus, www.techstreet.com. Occupational Safety and Health Directorate of Standards and Guidance, (30) ANSI Z535.5–2011, Safety Tags Administration Room N–3609, OSHA, U.S. Department and Barricade Tapes (for Temporary of Labor, 200 Constitution Avenue NW., Hazards), published September 15, 29 CFR Parts 1910 and 1926 Washington, DC 20210; telephone: (202) 2011, including Errata, November 14, 693–2260; fax: (202) 693–1663; email: 2011; IBR approved for § 1926.200(h) [Docket No. OSHA–2013–0005] [email protected]. and (i). Copies available for purchase RIN 1218–AC77 SUPPLEMENTARY INFORMATION: from the: Copies of this Federal Register (i) American National Standards Updating OSHA Standards Based on Institute’s e-Standards Store, 25 W 43rd notice: Electronic copies of this Federal National Consensus Standards; Register notice are available at http:// Street, 4th Floor, New York, NY 10036; Signage telephone: 212–642–4980; Web site: www.regulations.gov. This Federal Register notice, as well as news releases http://webstore.ansi.org/; AGENCY: Occupational Safety and Health (ii) IHS Standards Store, 15 Inverness Administration (OSHA), Department of and other relevant information, also are Way East, Englewood, CO 80112; Labor. available at OSHA’s Web page at telephone: 877–413–5184; Web site: http://www.osha.gov. ACTION: Final rule; confirmation of Confirmation of the effective date: On www.global.ihs.com; or effective date. (iii) TechStreet Store, 3916 Ranchero June 13, 2013, OSHA published a direct Dr., Ann Arbor, MI 48108; telephone: SUMMARY: On June 13, 2013, OSHA final rule (DFR) in the Federal Register 877–699–9277; Web site: published in the Federal Register (78 that revised its signage standards for www.techstreet.com. FR 35559) a direct final rule that revised general industry at 29 CFR 1910.97, 1910.145, and 1910.261, and * * * * * its signage standards for general industry and construction by updating construction at 29 CFR 1926.200, by Subpart G—Signs, Signals, and the references to national consensus updating references to the American Barricades standards approved by the American National Standards Institute (ANSI) National Standards Institute, a signage protection standards (see 78 FR ■ 5. The authority citation for subpart G clearinghouse that verifies that the 35559). Specifically, the DFR updated continues to read as follows: criteria for approval of consensus the signage references in OSHA’s existing general industry and Authority: 40 U.S.C. 333; 29 U.S.C. 653, standards have been met. OSHA stated 655, 657; Secretary of Labor’s Order No. 12– in that Federal Register notice that it construction standards, including 71 (36 FR 8754), 8–76 (41 FR 25059), 9–83 would withdraw the companion references to ANSI Z53.1–1967 (Safety (48 FR 35736), 3–2000 (65 FR 50017), 5–2002 proposed rule and confirm the effective Color Code for Marking Physical (67 FR 65008), 5–2007 (72 FR 31159), 4–2010 date of the direct final rule if the Agency Hazards), Z35.1–1968 (Specifications for (75 FR 55355), or 1–2012 (77 FR 3912), as received no significant adverse Accident Prevention Signs), and Z35.2– applicable; and 29 CFR part 1911. comments on the direct final rule. Since 1968 (Specifications for Accident ■ 6. In § 1926.200, revise paragraphs OSHA received no such significant Prevention Tags), by adding references (b)(1) and (c)(1) to read as follows: adverse comments, the Agency now to the latest ANSI standards, including confirms that the direct final rule ANSI Z535.1–2006 (R2011) (Safety § 1926.200 Accident prevention signs and Colors), Z535.2–2011 (Environmental tags. became effective as a final rule on September 11, 2013. and Facility Safety Signs), and Z535.5– * * * * * 2011 (Safety Tags and Barricade Tapes DATES: (b) Danger signs. (1) Danger signs The direct final rule published (for Temporary Hazards)). Thus, the shall be used only where an immediate on June 13, 2013 (78 FR 35559), became DFR allowed employers to follow either hazard exists, and shall follow the effective as a final rule on September 11, the updated ANSI standards or the older specifications illustrated in Figure 1 of 2013. For the purposes of judicial ANSI signage standards already ANSI Z35.1–1968 or in Figures 1 to 13 review, OSHA considers November 6, referenced in OSHA’s existing general of ANSI Z535.2–2011, incorporated by 2013, the date of issuance of the final industry and construction standards. reference in § 1926.6. rule. The DFR also incorporated by * * * * * ADDRESSES: In compliance with 28 reference Part VI of the Manual of (c) Caution signs. (1) Caution signs U.S.C. 2112(a), OSHA designates the Uniform Traffic Control Devices, 1988 shall be used only to warn against Associate Solicitor of Labor for Edition, Revision 3, into 29 CFR 1926.6,

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and amended citations in two 29 CFR 1910.6 and 1926.6 in a separate ENVIRONMENTAL PROTECTION provisions of the construction standards Federal Register notice identifying the AGENCY to show the correct incorporation-by- three locations where the public can reference section. purchase the updated ANSI Z535 40 CFR Part 19 In the DFR, OSHA stated that it would standards. [FRL–9901–98–OECA] confirm the effective date of the DFR if it received no significant adverse Finally, OSHA received an email from RIN 2020–AA49 comments. OSHA received eight Jonathan Stewart, Manager, Government favorable and no adverse comments on Relations, NEMA, after the comment Civil Monetary Penalty Inflation the DFR (see ID: OSHA–2013–0005– period ended (ID: OSHA–2013–0005– Adjustment Rule 0015). In his email, Mr. Stewart 0008 thru –0015 in the docket for this AGENCY: Environmental Protection mentioned NEMA’s earlier comments to rulemaking). Accordingly, OSHA is Agency (EPA). confirming the effective date of the final the docket (ID: OSHA–2013–0005– rule. 0013), and stated that ‘‘[w]hile reflective ACTION: Final rule. In addition to explicitly supporting of NEMA’s position, those comments SUMMARY: With this action, EPA is the DFR, several of the commenters did not include a clarification regarding promulgating a final rule that amends provided supplemental information. Mr. the language that the NRPM used in Sec. the Civil Monetary Penalty Inflation Charles Johnson of AltairStrickland 1926.200 Accident prevention signs and Adjustment Rule. This action is stated that as a result of ‘‘[OSHA’s] tags.’’ He further indicated that ‘‘[t]he mandated by the Debt Collection incorporating both the 1968 and the language, while not inaccurate, was Improvement Act of 1996 (DCIA) to [2011] versions of the ANSI Z535 unclear regarding which figure(s) it adjust for inflation certain statutory civil standard by reference[,] both intended to reference in the ANSI monetary penalties that may be assessed manufacturers and employers will likely Z535.2–2011 standard.’’ Although this for violations of EPA-administered migrate to the newer versions and the comment was late, OSHA considered it statutes and their implementing older versions will likely fade away as regulations. The Agency is required to demand declines’’ (ID: OSHA–2013– because it was a purely technical review the civil monetary penalties 0005–0011). Mr. Johnson also comment, pointing out an ambiguity in commented that ‘‘[h]ad OSHA deleted the cited provision’s reference to figures under the statutes it administers at least the reference to the ANSI Z35.1–1968 in the updated version of the national once every four years and to adjust such language, these signs would require consensus standard, ANSI Z535.2–2011. penalties as necessary for inflation replacement at considerable and OSHA finds that the comment has according to a formula prescribed by the unnecessary cost to employers.’’ Id. merit, and accordingly is clarifying the DCIA. The regulations contain a list of A second commenter, Mr. Blair language in 29 CFR 1926.200(b) and (c) all civil monetary penalty authorities Brewster of MySafetySign.com, specifying which figures employers under EPA-administered statutes and described several advantages and must follow in ANSI Z535.2–2011. the applicable statutory amounts, as limitations of the updated ANSI signage adjusted for inflation, since 1996. standards, concluding that ‘‘[i]t would List of Subjects in 29 CFR Parts 1910 DATES: This rule is effective December 6, be arrogant to assume that a single and 1926 2013. standard is best. The ANSI Z535 Signage, Incorporation by reference, FOR FURTHER INFORMATION CONTACT: designs, the traditional safety sign and Occupational safety and health, Safety. Caroline Hermann, Special Litigation tag designs, as well as the countless and Projects Division (2248A), Office of other designs to come, will all have Authority and Signature Civil Enforcement, Office of their place and will all coexist’’ (ID: Enforcement and Compliance OSHA–2013–0005–0014). David Michaels, Ph.D., MPH, Assurance, U.S. Environmental A third commenter, Mr. Kyle Pitsor of Assistant Secretary of Labor for Protection Agency, 1200 Pennsylvania the National Electrical Manufacturers Occupational Safety and Health, U.S. Avenue NW., Washington, DC 20460, Association (NEMA) stated that ‘‘[w]hile Department of Labor, 200 Constitution (202) 564–2876. we would have preferred that the Avenue NW., Washington, DC 20210, SUPPLEMENTARY INFORMATION: references to the outdated standards be authorized the preparation of this final removed entirely from OSHA’s rule. OSHA is issuing this final rule I. Background regulations, NEMA agrees that giving pursuant to 29 U.S.C. 653, 655, and 657, Pursuant to section 4 of the Federal employers the option of using signs and 5 U.S.C. 553, Secretary of Labor’s Order Civil Penalties Inflation Adjustment Act tags that meet either the 1967–1968 or 1–2012 (77 FR 3912), and 29 CFR part of 1990, 28 U.S.C. 2461 note, as the most recent versions of the 1911. amended by the DCIA, 31 U.S.C. 3701 standards will provide the greatest note, each federal agency is required to flexibility without imposing additional Signed at Washington, DC, on October 30, issue regulations adjusting for inflation costs’’ (ID: OSHA–2013–0005–0013). 2013. the statutory civil monetary penalties 1 Mr. Pitsor also helpfully noted that, David Michaels, (‘‘civil penalties’’ or ‘‘penalties’’) that contrary to proposed §§ 1910.6(e)(66) Assistant Secretary of Labor for Occupational can be imposed under the laws and (e)(67) and 1926.6(h)(28)–(h)(30), Safety and Health. administered by that agency. The the International Safety Equipment [FR Doc. 2013–26336 Filed 11–5–13; 8:45 am] purpose of these adjustments is to Association (ISEA) is not authorized to BILLING CODE 4510–26–P sell the ANSI Z535 standards proposed 1 Section 3 of the Federal Civil Penalties Inflation for incorporation by reference, and these Adjustment Act of 1990, 28 U.S.C. 2461 note, as standards are not sold on the ISEA Web amended by the DCIA, 31 U.S.C. 3701 note, defines site, www.safetyequipment.org. In ‘‘civil monetary penalty’’ to mean ‘‘any penalty, fine or other sanction that—(A)(i) is for a specific response to Mr. Pitsor’s comment, monetary amount as provided by federal law; or (ii) OSHA is correcting the incorporation- has a maximum amount provided for by federal by-reference provisions in question in law. . . .’’

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maintain the deterrent effect of civil applied under this rule equals the 1990, 28 U.S.C. 2461 note, as amended penalties and to further the policy goals percentage by which the CPI–U for June by the DCIA, 31 U.S.C. 3701 note.) of the underlying statutes. The DCIA 2012 (i.e., June of the year preceding 4. Add the Rounded Inflation requires adjustments to be made at least this year), exceeds the CPI–U for June of Increase, if any, to the Current Penalty once every four years following the the year in which the amount of a Amount. Once the inflation increase has initial adjustment. EPA’s initial specific penalty was last adjusted (i.e., been rounded pursuant to the DCIA, the adjustment to each statutory civil 2008, 2004 or 1996, as the case may be). fourth step is to add the rounded penalty amount was published in the Given that the last inflation adjustment inflation increase to the current civil Federal Register on December 31, 1996 was published on December 11, 2008, penalty amount to obtain the new, (61 FR 69360), and became effective on the COLA for most civil penalties set inflation-adjusted civil penalty amount. January 30, 1997 (‘‘the 1996 Rule’’). forth in this rule was calculated by For example, in this rule, the current EPA’s second adjustment to civil determining the percentage by which statutory maximum penalty amounts penalty amounts was published in the the CPI–U for June 2012 (229.478) that may be imposed under Clean Air Federal Register on February 13, 2004 exceeds the CPI–U for June 2008 Act (CAA) section 113(d)(1), 42 U.S.C. (69 FR 7121), and became effective on (218.815), resulting in a COLA of 4.87 7413(d)(1), and CAA section 205(c)(1), March 15, 2004 (‘‘the 2004 Rule’’). percent. For those few civil penalty 42 U.S.C. 7524(c)(1), are increasing from EPA’s third adjustment to civil penalty amounts that were last adjusted under $295,000 to $320,000. These penalty amounts was published in the Federal the 2004 Rule, the COLA equals 20.97 amounts were last adjusted with the Register on December 11, 2008 (73 FR percent, calculated by determining the promulgation of the 2008 Rule, when 75340), as corrected in the Federal percentage by which the CPI–U for June these penalties were adjusted for Register on January 7, 2009 (74 FR 626), 2012 (229.478) exceeds the CPI–U for inflation from $270,000 to $295,000. and became effective on January 12, June 2004 (189.7). In the case of the Applying the COLA adjustment to the 2009 (‘‘the 2008 Rule’’). maximum civil penalty that can be current penalty amount of $295,000 Where necessary under the DCIA, this imposed under section 311(b)(7)(A) of results in a raw inflation increase of rule, specifically Table 1 in 40 CFR 19.4, the Clean Water Act, 33 U.S.C. $14,376 for both penalties. As stated adjusts for inflation the maximum and, 1321(b)(7)(A), which is the sole civil above, the DCIA rounding rule requires in some cases, the minimum amount of penalty last adjusted under the 1996 the raw inflation increase to be rounded the statutory civil penalty that may be Rule, the COLA is 46.45 percent, to the nearest multiple of $25,000 for imposed for violations of EPA- determined by calculating the penalties greater than $200,000. administered statutes and their percentage by which the CPI–U for June Rounding $14,376 to the nearest implementing regulations. Table 1 of 40 2012 (229.478) exceeds the CPI–U for multiple of $25,000 equals $25,000. CFR 19.4 identifies the applicable EPA- June 1996 (156.7). That rounded increase increment of administered statutes and sets out the $25,000 is then added to the $295,000 2. Calculate the Raw Inflation inflation-adjusted civil penalty amounts penalty amount to arrive at a total that may be imposed pursuant to each Increase. Once the COLA is determined, inflation adjusted penalty amount of statutory provision after the effective the second step is to multiply the COLA $320,000. Accordingly, once this rule is dates of the 1996, 2004 and 2008 rules. by the current civil penalty amount to effective, the statutory maximum Where required under the DCIA determine the raw inflation increase. amounts of these penalties will increase formula, this rule amends the adjusted 3. Apply the DCIA’s Rounding Rule to to $320,000. penalty amounts in Table 1 of 40 CFR the Raw Inflation Increase. The third In contrast, this rule does not adjust 19.4 for those violations that occur after step is to round this raw inflation those civil penalty amounts where the the effective date of this rule. increase according to section 5(a) of the raw inflation amounts are not high The formula prescribed by the DCIA Federal Civil Penalties Inflation enough to round up to the required for determining the inflation Adjustment Act of 1990, 28 U.S.C. 2461 multiple stated in the DCIA. For adjustment, if any, to statutory civil note, as amended by the DCIA, 31 example, under section 3008(a)(3) of the penalties consists of the following four- U.S.C. 3701 note. The DCIA’s rounding Resource Conservation and Recovery step process: rules require that any increase be Act, 42 U.S.C. 6928(a)(3), the 1. Determine the Cost-of-Living rounded to the nearest multiple of: $10 Administrator may assess a civil penalty Adjustment (COLA). The COLA is in the case of penalties less than or of up to $37,500 per day of determined by calculating the equal to $100; $100 in the case of noncompliance for each violation. This percentage increase, if any, by which penalties greater than $100 but less than penalty was last adjusted for inflation the Consumer Price Index 2 for all-urban or equal to $1,000; $1,000 in the case of under the 2008 Rule. Multiplying the consumers (CPI–U) for the month of penalties greater than $1,000 but less applicable 4.87 percent COLA to the June of the calendar year preceding the than or equal to $10,000; $5,000 in the statutory civil penalty amount of adjustment exceeds the CPI–U for the case of penalties greater than $10,000 $37,500, the raw inflation increase month of June of the calendar year in but less than or equal to $100,000; equals only $1,827.40; the DCIA which the amount of such civil $10,000 in the case of penalties greater rounding rule requires a raw inflation monetary penalty was last set or than $100,000 but less than or equal to increase increment to be rounded to the adjusted.3 Accordingly, the COLA $200,000; and $25,000 in the case of nearest multiple of $5,000 for penalties penalties greater than $200,000. (See greater than $10,000 but less than or 2 Section 3 of the DCIA defines ‘‘Consumer Price section 5(a) of the Federal Civil equal to $100,000. Because this raw Index’’ to mean ‘‘the Consumer Price Index for all- Penalties Inflation Adjustment Act of inflation increase is not sufficient to be urban consumers published by the Department of Labor.’’ Interested parties may find the relevant rounded up to a multiple of $5,000, in Consumer Price Index, published by the any) for each civil monetary penalty by which—(1) accordance with the DCIA’s rounding Department of Labor’s Bureau of Labor Statistics, on the Consumer Price Index for the month of June of rule, this rule does not increase the the Internet. To access this information, go to the the calendar year preceding the adjustment, exceeds $37,500 penalty amount. However, if CPI Home Page at: ftp://ftp.bls.gov/pub/ (2) the Consumer Price Index for the month of June special.requests/cpi/cpiai.txt. of the calendar year in which the amount of such during the development of EPA’s next 3 Section 5(b) of the DCIA defines the term ‘‘cost- civil monetary penalty was last set or adjusted Civil Monetary Penalty Inflation of-living adjustment’’ to mean ‘‘the percentage (if pursuant to law.’’ Adjustment Rule, anticipated to be

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promulgated in 2017, the raw inflation the increase takes effect.’’ (See section 6 Act of 1995, 44 U.S.C. 3501–3521. increase can be rounded up to the next of the Federal Civil Penalties Inflation Burden is defined at 5 CFR 1320.3(b). multiple of $5,000, statutory maximum Adjustment Act of 1990, 28 U.S.C. 2461 This rule merely increases the amount penalty amounts currently at $37,500 note, as amended by the DCIA, 31 of civil penalties that could be imposed will be increased to $42,500. U.S.C. 3701 note.) Thus, the new in the context of a federal civil Because of the low rate of inflation inflation-adjusted civil penalty amounts administrative enforcement action or since 2008, coupled with the may be applied only to violations that civil judicial case for violations of EPA- application of the DCIA’s rounding occur after the effective date of this rule. administered statutes and their rules, only 20 of the 88 statutory civil implementing regulations. penalty provisions implemented by EPA IV. Good Cause C. Regulatory Flexibility Act are being adjusted for inflation under Section 553(b) of the Administrative this rule. Assuming there are no changes Procedure Act (APA) provides that, Today’s final rule is not subject to the to the mandate imposed by the DCIA, when an agency for good cause finds Regulatory Flexibility Act (RFA), 5 EPA intends to review all statutory that ‘‘notice and public procedure . . . U.S.C. 601–612, which generally penalty amounts and adjust them as are impracticable, unnecessary, or requires an agency to prepare a necessary to account for inflation in the contrary to the public interest,’’ the regulatory flexibility analysis for any year 2017 and every four years agency may issue a rule without rule that will have a significant thereafter. providing notice and an opportunity for economic impact on a substantial public comment. EPA finds that there is number of small entities. The RFA II. Technical Revision to Table 1 of 40 applies only to rules subject to notice CFR 19.4 To Break Out Each of the good cause to promulgate this rule without providing for public comment. and comment rulemaking requirements Statutory Penalty Authorities Under under the APA or any other statute. This Section 325(b) of the Emergency The primary purpose of this final rule is merely to implement the statutory rule is not subject to notice and Planning and Community Right-To- comment requirements under the APA Know Act (EPCRA) directive in the DCIA to make periodic increases in civil penalty amounts by or any other statute because although EPA is revising the row of Table 1 of applying the adjustment formula and the rule is subject to the APA, the 40 CFR 19.4, which lists the statutory rounding rules established by the Agency has invoked the ‘‘good cause’’ maximum penalty amounts that can be statute. Because the calculation of the exemption under 5 U.S.C. 553(b), imposed under section 325(b) of increases is formula-driven and therefore it is not subject to the notice EPCRA, 42 U.S.C. 11045(b), to break out prescribed by statute, EPA has no and comment requirements. separately the three penalty authorities discretion to vary the amount of the D. Unfunded Mandates Reform Act contained in subsection (b). Since 1996, adjustment to reflect any views or EPA has been adjusting for inflation all This action contains no federal suggestions provided by commenters. of the statutory maximum penalty mandates under the provisions of Title Accordingly, it would serve no purpose amounts specified under EPCRA section II of the Unfunded Mandates Reform to provide an opportunity for public 325(b), 42 U.S.C. 11045(b). Under past Act of 1995 (UMRA), 2 U.S.C. 1531– comment on this rule. Thus, notice and rules, the Agency has grouped the 1538 for state, local, or tribal public comment is unnecessary. maximum penalty amounts that may be governments or the private sector. The In addition, EPA is making the assessed under section 325(b) under the action implements mandates technical revisions discussed above heading of 42 U.S.C. 11045(b) in Table specifically and explicitly set forth by without notice and public comment. 1 of 40 CFR 19.4. For example, under Congress in the DCIA without the Because the technical revisions to Table the 2008 Rule, Table 1 of 40 CFR 19.4 exercise of any policy discretion by 1 of 40 CFR 19.4 more accurately reflect reflects that the statutory maximum EPA. By applying the adjustment the statutory provisions under each of penalties that can be imposed under any formula and rounding rules prescribed the subparagraphs of section 325(b) (i.e., subparagraph of EPCRA section 325(b) by the DCIA, this rule adjusts for under 42 U.S.C. 11045(b)(1)(A), (b)(2), are $37,500 and $107,500. Consistent inflation the statutory maximum and, in and (b)(3)) and do not constitute with how the other penalty authorities some cases, the minimum, amount of substantive revisions to the rule, these are displayed under Part 19.4, Table 1 civil penalties that can be assessed by changes do not require notice and now delineates, on a subpart-by-subpart EPA in an administrative enforcement comment. basis, the penalty authorities action, or by the U.S. Attorney General enumerated under section 325(b) of V. Statutory and Executive Order in a civil judicial case, for violations of EPCRA, 42 U.S.C. 11045(b) (i.e., 42 Reviews EPA-administered statutes and their U.S.C. 11045(b)(1)(A), (b)(2), and (b)(3)). implementing regulations. Because the A. Executive Order 12866: Regulatory That is, upon the effective date of this calculation of any increase is formula- Planning and Review and Executive rule, the statutory maximum penalty driven, EPA has no policy discretion to Order 13563: Improving Regulation and that can be imposed under section vary the amount of the adjustment. Regulatory Review 325(b)(1)(A) is $37,500; the statutory Given that the Agency has made a ‘‘good maximum penalties that can be imposed This action is not a ‘‘significant cause’’ finding that this rule is not under section 325(b)(2) are $37,500 and regulatory action’’ under the terms of subject to notice and comment $117,500; and the statutory maximum Executive Order 12866 (58 FR 51735, requirements under the APA or any penalties that can be imposed under October 4, 1993) and therefore is not other statute (see Section IV of this section 325(b)(3) are $37,500 and subject to review under the Executive notice), it is not subject to sections 202 $117,500. Orders 12866 and 13563 (76 FR 3821, and 205 of UMRA. EPA has also January 21, 2011). determined that this action is not III. Effective Date subject to the requirements of section Section 6 of the DCIA provides that B. Paperwork Reduction Act 203 of UMRA because it contains no ‘‘any increase under [the DCIA] in a This action does not impose an regulatory requirements that might civil monetary penalty shall apply only information collection burden under the significantly or uniquely affect small to violations which occur after the date provisions of the Paperwork Reduction governments. This rule merely increases

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the amount of civil penalties that could H. Executive Order 13211: Actions Since there is no discretion under the conceivably be imposed in the context Concerning Regulations That DCIA in determining the statutory civil of a federal civil administrative Significantly Affect Energy Supply, penalty amount, EPA cannot vary the enforcement action or civil judicial case Distribution, or Use amount of the civil penalty adjustment for violations of EPA-administered This action is not subject to Executive to address other issues, including statutes and their implementing Order 13211 (66 FR 28355, May 22, environmental justice issues. regulations. 2001), because it is not a significant K. Congressional Review Act E. Executive Order 13132 (Federalism) regulatory action under Executive Order The Congressional Review Act, 5 12866. U.S.C. 801–808, as added by the Small This action does not have federalism I. National Technology Transfer and Business Regulatory Enforcement implications. It will not have substantial Advancement Act Fairness Act of 1996, generally provides direct effects on the States, on the that before a rule may take effect, the Section 12(d) of the National relationship between the national agency promulgating the rule must Technology Transfer and Advancement government and the States, or on the submit a rule report, which includes a Act of 1995 (‘‘NTTAA’’), 15 U.S.C. 272 distribution of power and copy of the rule, to each House of the note, directs EPA to use voluntary responsibilities among the various Congress and to the Comptroller General consensus standards in its regulatory levels of government, as specified in of the United States. EPA will submit a activities unless to do so would be Executive Order 13132 (64 FR 43255, report containing this rule and other inconsistent with applicable law or August 10, 1999). This rule merely required information to the U.S. Senate, otherwise impractical. Voluntary increases the amount of civil penalties the U.S. House of Representatives, and consensus standards are technical that could conceivably be imposed in the Comptroller General of the United standards (e.g., materials specifications, the context of a federal civil States prior to publication of the rule in test methods, sampling procedures, and administrative enforcement action or the Federal Register. A major rule business practices) that are developed or civil judicial case for violations of EPA- cannot take effect until 60 days after it adopted by voluntary consensus administered statutes and their is published in the Federal Register. standards bodies. NTTAA directs EPA implementing regulations. Thus, This action is not a ‘‘major rule’’ as to provide Congress, through the U.S. Executive Order 13132 does not apply defined by 5 U.S.C. 804(2). to this rule. Office of Management and Budget, explanations when the Agency decides List of Subjects in 40 CFR Part 19 F. Executive Order 13175: Consultation not to use available and applicable Environmental protection, and Coordination With Indian Tribal voluntary consensus standards. This Administrative practice and procedure, Governments action does not involve technical Penalties. standards. Therefore, EPA did not This action does not have tribal consider the use of any voluntary Dated: October 29, 2013. implications, as specified in Executive consensus standards. Gina McCarthy, Order 13175 (65 FR 67249, November 9, Administrator, Environmental Protection 2000). This rule merely increases the J. Executive Order 12898: Federal Agency. amount of civil penalties that could be Actions To Address Environmental For the reasons set out in the imposed in the context of a federal civil Justice in Minority Populations and preamble, title 40, chapter I, part 19 of administrative enforcement action or Low-Income Populations the Code of Federal Regulations is civil judicial case for violations of EPA- Executive Order 12898 (59 FR 7629, amended as follows: administered statutes and their February 16, 1994) establishes federal implementing regulations. This final executive policy on environmental PART 19—ADJUSTMENT OF CIVIL rule will not have substantial direct justice. Its main provision directs MONETARY PENALTIES FOR effects on tribal governments, on the federal agencies, to the greatest extent INFLATION relationship between the federal practicable and permitted by law, to government and Indian tribes, or on the make environmental justice part of their ■ 1. The authority citation for part 19 distribution of power and mission by identifying and addressing, continues to read as follows: responsibilities between the federal as appropriate, disproportionately high Authority: Pub. L. 101–410, 28 U.S.C. 2461 government and Indian tribes. Thus, and adverse human health or note; Public Law 104–134, 31 U.S.C. 3701 Executive Order 13175 does not apply environmental effects of their programs, note. to this action. policies, and activities on minority ■ 2. Revise § 19.2 to read as follows: G. Executive Order 13045: Protection of populations and low-income Children From Environmental Health populations in the United States. EPA § 19.2 Effective date. Risks and Safety Risks lacks the discretionary authority to The increased penalty amounts set address environmental justice in this forth in the seventh and last column of EPA interprets Executive Order 13045 final rulemaking. The primary purpose Table 1 to § 19.4 apply to all violations (62 FR 19885, April 23, 1997) as of this final rule is merely to apply the under the applicable statutes and applying only to those regulatory DCIA’s inflation adjustment formula to regulations which occur after December actions that concern health or safety make periodic increases in the civil 6, 2013. The penalty amounts in the risks, such that the analysis required penalties that may be imposed for sixth column of Table 1 to § 19.4 apply under section 5–501 of the Executive violations of EPA-administered statutes to violations under the applicable Order has the potential to influence the and their implementing regulations. statutes and regulations which occurred regulation. This action is not subject to Thus, because calculation of the after January 12, 2009, through Executive Order 13045 because it does increases is formula-driven, EPA has no December 6, 2013. The penalty amounts not establish an environmental standard discretion in updating the rule to reflect in the fifth column of Table 1 to § 19.4 intended to mitigate health or safety the allowable statutory civil penalties apply to all violations under the risks. derived from applying the formula. applicable statutes and regulations

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which occurred after March 15, 2004, which occurred after January 30, 1997, § 19.4 Penalty adjustment and table. through January 12, 2009. The penalty through March 15, 2004. The adjusted statutory penalty amounts in the fourth column of Table provisions and their applicable amounts ■ 3. Revise § 19.4 to read as follows: 1 to § 19.4 apply to all violations under are set out in Table 1. The last column the applicable statutes and regulations in the table provides the newly effective statutory civil penalty amounts. TABLE 1 OF SECTION 19.4—CIVIL MONETARY PENALTY INFLATION ADJUSTMENTS

Penalties effective Penalties effective Penalties effective Statutory penalties, after January 30, after March 15, after January 12, Penalties effective U.S. Code Citation Environmental statute as enacted 1997 through 2004 through 2009 through after March 15, 2004 January 12, 2009 December 6, 2013 December 6, 2013

7 U.S.C. 136l.(a)(1) ...... FEDERAL INSECTICIDE, $5,000 $5,500 $6,500 $7,500 $7,500 FUNGICIDE, AND RODENTICIDE ACT (FIFRA). 7 U.S.C. 136l.(a)(2) ...... FIFRA ...... $500/$1,000 $550/$1,000 $650/$1,100 $750/$1,100 $750/$1,100 15 U.S.C. 2615(a)(1) ...... TOXIC SUBSTANCES $25,000 $27,500 $32,500 $37,500 $37,500 CONTROL ACT (TSCA). 15 U.S.C. 2647(a) ...... TSCA ...... $5,000 $5,500 $6,500 $7,500 $7,500 15 U.S.C. 2647(g) ...... TSCA ...... $5,000 $5,000 $5,500 $7,500 $7,500 31 U.S.C. 3802(a)(1) ...... PROGRAM FRAUD $5,000 $5,500 $6,500 $7,500 $7,500 CIVIL REMEDIES ACT (PFCRA). 31 U.S.C. 3802(a)(2) ...... PFCRA ...... $5,000 $5,500 $6,500 $7,500 $7,500 33 U.S.C. 1319(d) ...... CLEAN WATER ACT $25,000 $27,500 $32,500 $37,500 $37,500 (CWA). 33 U.S.C. 1319(g)(2)(A).. CWA ...... $10,000/$25,000 $11,000/$27,500 $11,000/$32,500 $16,000/$37,500 $16,000/$37,500 33 U.S.C. 1319(g)(2)(B) .. CWA ...... $10,000/$125,000 $11,000/$137,500 $11,000/$157,500 $16,000/$177,500 $16,000/$187,500 33 U.S.C. 1321(b)(6)(B)(i) CWA...... $10,000/$25,000 $11,000/$27,500 $11,000/$32,500 $16,000/$37,500 $16,000/$37,500 33 U.S.C. CWA ...... $10,000/$125,000 $11,000/$137,500 $11,000/$157,500 $16,000/$177,500 $16,000/$187,500 1321(b)(6)(B)(ii). 33 U.S.C. 1321(b)(7)(A) .. CWA ...... $25,000/$1,000 $27,500/$1,100 $32,500/$1,100 $37,500/$1,100 $37,500/$2,100 33 U.S.C. 1321(b)(7)(B) .. CWA ...... $25,000 $27,500 $32,500 $37,500 $37,500 33 U.S.C. 1321(b)(7)(C) .. CWA ...... $25,000 $27,500 $32,500 $37,500 $37,500 33 U.S.C. 1321(b)(7)(D) .. CWA ...... $100,000/$3,000 $110,000/$3,300 $130,000/$4,300 $140,000/$4,300 $150,000/$5,300 33 U.S.C. 1414b(d)(1) 1 ... MARINE PROTECTION, $600 $660 $760 $860 $860 RESEARCH, AND SANCTUARIES ACT (MPRSA). 33 U.S.C. 1415(a) ...... MPRSA ...... $50,000/$125,000 $55,000/$137,500 $65,000/$157,500 $70,000/$177,500 $75,000/$187,500 33 U.S.C. 1901 note (see CERTAIN ALASKAN $10,000/$25,000 $10,000/$25,000 2 $10,000/$25,000 $11,000/$27,500 $11,000/$27,500 1409(a)(2)(A)). CRUISE SHIP OPER- ATIONS (CACSO). 33 U.S.C. 1901 note (see CACSO ...... $10,000/$125,000 $10,000/$125,000 $10,000/$125,000 $11,000/$137,500 $11,000/$147,500 1409(a)(2)(B)). 33 U.S.C. 1901 note (see CACSO ...... $25,000 $25,000 $25,000 $27,500 $27,500 1409(b)(1)). 42 U.S.C. 300g–3(b) ...... SAFE DRINKING $25,000 $27,500 $32,500 $37,500 $37,500 WATER ACT (SDWA). 42 U.S.C. 300g– SDWA ...... $25,000 $27,500 $32,500 $37,500 $37,500 3(g)(3)(A). 42 U.S.C. 300g– SDWA ...... $5,000/$25,000 $5,000/$25,000 $6,000/$27,500 $7,000/$32,500 $7,000/$32,500 3(g)(3)(B). 42 U.S.C. 300g– SDWA ...... $25,000 $25,000 $27,500 $32,500 $32,500 3(g)(3)(C). 42 U.S.C. 300h–2(b)(1) ... SDWA ...... $25,000 $27,500 $32,500 $37,500 $37,500 42 U.S.C. 300h–2(c)(1) ... SDWA ...... $10,000/$125,000 $11,000/$137,500 $11,000/$157,500 $16,000/$177,500 $16,000/$187,500 42 U.S.C. 300h–2(c)(2)... SDWA ...... $5,000/$125,000 $5,500/$137,500 $6,500/$157,500 $7,500/$177,500 $7,500/$187,500 42 U.S.C. 300h–3(c) ...... SDWA ...... $5,000/$10,000 $5,500/$11,000 $6,500/$11,000 $7,500/$16,000 $7,500/$16,000 42 U.S.C. 300i(b) ...... SDWA ...... $15,000 $15,000 $16,500 $16,500 $21,500 42 U.S.C. 300i–1(c) ...... SDWA ...... $20,000/$50,000 $22,000/$55,000 3 $100,000/ $110,000/ $120,000/ $1,000,000 $1,100,000 $1,150,000 42 U.S.C. 300j(e)(2) ...... SDWA ...... $2,500 $2,750 $2,750 $3,750 $3,750 42 U.S.C. 300j–4(c) ...... SDWA ...... $25,000 $27,500 $32,500 $37,500 $37,500 42 U.S.C. 300j–6(b)(2) .... SDWA ...... $25,000 $25,000 $27,500 $32,500 $32,500 42 U.S.C. 300j–23(d) ...... SDWA ...... $5,000/$50,000 $5,500/$55,000 $6,500/$65,000 $7,500/$70,000 $7,500/$75,000 42 U.S.C. 4852d(b)(5) ..... RESIDENTIAL LEAD- $10,000 $11,000 $11,000 $16,000 $16,000 BASED PAINT HAZ- ARD REDUCTION ACT OF 1992. 42 U.S.C. 4910(a)(2) ...... NOISE CONTROL ACT $10,000 $11,000 $11,000 $16,000 $16,000 OF 1972. 42 U.S.C. 6928(a)(3) ...... RESOURCE CON- $25,000 $27,500 $32,500 $37,500 $37,500 SERVATION AND RE- COVERY ACT (RCRA). 42 U.S.C. 6928(c) ...... RCRA ...... $25,000 $27,500 $32,500 $37,500 $37,500 42 U.S.C. 6928(g) ...... RCRA ...... $25,000 $27,500 $32,500 $37,500 $37,500 42 U.S.C. 6928(h)(2) ...... RCRA ...... $25,000 $27,500 $32,500 $37,500 $37,500 42 U.S.C. 6934(e) ...... RCRA ...... $5,000 $5,500 $6,500 $7,500 $7,500 42 U.S.C. 6973(b) ...... RCRA ...... $5,000 $5,500 $6,500 $7,500 $7,500

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TABLE 1 OF SECTION 19.4—CIVIL MONETARY PENALTY INFLATION ADJUSTMENTS—Continued

Penalties effective Penalties effective Penalties effective Statutory penalties, after January 30, after March 15, after January 12, Penalties effective U.S. Code Citation Environmental statute as enacted 1997 through 2004 through 2009 through after March 15, 2004 January 12, 2009 December 6, 2013 December 6, 2013

42 U.S.C. 6991e(a)(3) ..... RCRA ...... $25,000 $27,500 $32,500 $37,500 $37,500 42 U.S.C. 6991e(d)(1) ..... RCRA ...... $10,000 $11,000 $11,000 $16,000 $16,000 42 U.S.C. 6991e(d)(2) ..... RCRA ...... $10,000 $11,000 $11,000 $16,000 $16,000 42 U.S.C. 7413(b) ...... CLEAN AIR ACT (CAA) .. $25,000 $27,500 $32,500 $37,500 $37,500 42 U.S.C. 7413(d)(1) ...... CAA ...... $25,000/$200,000 $27,500/$220,000 $32,500/$270,000 $37,500/$295,000 $37,500/$320,000 42 U.S.C. 7413(d)(3) ...... CAA ...... $5,000 $5,500 $6,500 $7,500 $7,500 42 U.S.C. 7524(a) ...... CAA ...... $2,500/$25,000 $2,750/$27,500 $2,750/$32,500 $3,750/$37,500 $3,750/$37,500 42 U.S.C. 7524(c)(1) ...... CAA ...... $200,000 $220,000 $270,000 $295,000 $320,000 42 U.S.C. 7545(d)(1) ...... CAA ...... $25,000 $27,500 $32,500 $37,500 $37,500 42 U.S.C. 9604(e)(5)(B) .. COMPREHENSIVE EN- $25,000 $27,500 $32,500 $37,500 $37,500 VIRONMENTAL RE- SPONSE, COM- PENSATION, AND LI- ABILITY ACT (CERCLA). 42 U.S.C. 9606(b)(1) ...... CERCLA ...... $25,000 $27,500 $32,500 $37,500 $37,500 42 U.S.C. 9609(a)(1) ...... CERCLA ...... $25,000 $27,500 $32,500 $37,500 $37,500 42 U.S.C. 9609(b) ...... CERCLA ...... $25,000/$75,000 $27,500/$82,500 $32,500/$97,500 $37,500/$107,500 $37,500/$117,500 42 U.S.C. 9609(c) ...... CERCLA ...... $25,000/$75,000 $27,500/$82,500 $32,500/$97,500 $37,500/$107,500 $37,500/$117,500 42 U.S.C. 11045(a) ...... EMERGENCY PLAN- $25,000 $27,500 $32,500 $37,500 $37,500 NING AND COMMU- NITY RIGHT-TO- KNOW ACT (EPCRA). 42 U.S.C. EPCRA ...... $25,000 $27,500 $32,500 $37,500 $37,500 11045(b)(1)(A) 4. 42 U.S.C. 11045(b)(2) ..... EPCRA ...... $25,000/$75,000 $27,500/$82,500 $32,500/$97,500 $37,500/$107,500 $37,500/$117,500 42 U.S.C. 11045(b)(3) ..... EPCRA ...... $25,000/$75,000 $27,500/$82,500 $32,500/$97,500 $37,500/$107,500 $37,500/$117,500 42 U.S.C. 11045(c)(1) ..... EPCRA ...... $25,000 $27,500 $32,500 $37,500 $37,500 42 U.S.C. 11045(c)(2) ..... EPCRA ...... $10,000 $11,000 $11,000 $16,000 $16,000 42 U.S.C. 11045(d)(1) ..... EPCRA ...... $25,000 $27,500 $32,500 $37,500 $37,500 42 U.S.C. 14304(a)(1) ..... MERCURY-CON- $10,000 $10,000 $11,000 $16,000 $16,000 TAINING AND RE- CHARGEABLE BAT- TERY MANAGEMENT ACT (BATTERY ACT). 42 U.S.C. 14304(g) ...... BATTERY ACT ...... $10,000 $10,000 $11,000 $16,000 $16,000 1 Note that 33 U.S.C. 1414b (d)(1)(B) contains additional penalty escalation provisions that must be applied to the penalty amounts set forth in this Table. The amounts set forth in this Table reflect an inflation adjustment to the calendar year 1992 penalty amount expressed in section 104B(d)(1)(A), which is used to calculate the applicable penalty amount under MPRSA section 104B(d)(1)(B) for violations that occur in any subsequent calendar year. 2 CACSO was passed on December 21, 2000 as part of Title XIV of the Consolidated Appropriations Act of 2001, Pub. L. 106–554, 33 U.S.C. 1901 note. 3 The original statutory penalty amounts of $20,000 and $50,000 under section 1432(c) of the SDWA, 42 U.S.C. 300i–1(c), were subsequently increased by Con- gress pursuant to section 403 of the Public Health Security and Bioterrorism Preparedness and Response Act of 2002, Public Law No. 107–188 (June 12, 2002), to $100,000 and $1,000,000, respectively. EPA did not adjust these new penalty amounts in its 2004 Civil Monetary Penalty Inflation Adjustment Rule (‘‘2004 Rule’’), 69 FR 7121 (February 13, 2004), because they had gone into effect less than two years prior to the 2004 Rule. 4 Consistent with how the EPA’s other penalty authorities are displayed under Part 19.4, this Table now delineates, on a subpart-by-subpart basis, the penalty au- thorities enumerated under section 325(b) of EPCRA, 42 U.S.C. 11045(b) (i.e., 42 U.S.C. 11045(b)(1)(A), (b)(2), and (b)(3)).

[FR Doc. 2013–26648 Filed 11–5–13; 8:45 am] State Implementation Plan (SIP) FOR FURTHER INFORMATION CONTACT: Ms. BILLING CODE 6560–50–P concerning the Texas Federal Operating Adina Wiley (6PD–R), Air Permits Permits Program. The direct final action Section, Environmental Protection was published without prior proposal Agency, Region 6, 1445 Ross Avenue ENVIRONMENTAL PROTECTION because EPA anticipated no adverse (6PD–R), Suite 1200, Dallas, TX 75202– AGENCY comments. EPA stated in the direct final 2733. The telephone number is (214) 40 CFR Part 52 rule that if we received relevant, adverse 665–2115. Ms. Wiley can also be comments by October 10, 2013, EPA reached via electronic mail at [EPA–R06–OAR–2010–0335; FRL–9902–50– would publish a timely withdrawal in [email protected]. Region 6] the Federal Register. EPA subsequently List of Subjects in 40 CFR Part 52 received timely adverse comments on Approval and Promulgation of the direct final rule. Therefore, EPA is Implementation Plans; Texas; Environmental protection, Air Procedures for Stringency withdrawing the direct final approval pollution control, Incorporation by Determinations and Minor Permit and will proceed to respond to all reference, Intergovernmental relations, Revisions for Federal Operating relevant, adverse comments in a Reporting and recordkeeping Permits subsequent action based on the parallel requirements. proposal published on September 10, Dated: October 28, 2013. AGENCY: Environmental Protection 2013. As stated in the parallel proposal, Agency (EPA). EPA will not institute a second Ron Curry, ACTION: Withdrawal of direct final rule. comment period on this action. Regional Administrator, Region 6.

SUMMARY: On September 10, 2013, EPA DATES: The direct final rule published Accordingly, the amendments to 40 published a direct final rule approving on September 10, 2013 (78 FR 55221), CFR 52.2270 published in the Federal portions of three revisions to the Texas is withdrawn as of November 6, 2013. Register on September 10, 2013 (78 FR

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55221), which were to become effective producer, food manufacturer, or • Mail: OPP Docket, Environmental on November 12, 2013, are withdrawn. pesticide manufacturer. The following Protection Agency Docket Center (EPA/ [FR Doc. 2013–26494 Filed 11–5–13; 8:45 am] list of North American Industrial DC), (28221T), 1200 Pennsylvania Ave. BILLING CODE 6560–50–P Classification System (NAICS) codes is NW., Washington, DC 20460–0001. not intended to be exhaustive, but rather • Hand Delivery: To make special provides a guide to help readers arrangements for hand delivery or ENVIRONMENTAL PROTECTION determine whether this document delivery of boxed information, please AGENCY applies to them. Potentially affected follow the instructions at http:// entities may include: www.epa.gov/dockets/contacts.html. 40 CFR Part 180 • Crop production (NAICS code 111). Additional instructions on commenting • Animal production (NAICS code [EPA–HQ–OPP–2012–0107; FRL–9399–4] or visiting the docket, along with more 112). • information about dockets generally, is Spirotetramat; Pesticide Tolerances Food manufacturing (NAICS code 311). available at http://www.epa.gov/ AGENCY: Environmental Protection • Pesticide manufacturing (NAICS dockets. Agency (EPA). code 32532). II. Aggregate Risk Assessment and ACTION: Final rule. B. How can I get electronic access to Determination of Safety SUMMARY: This regulation establishes other related information? Section 408(b)(2)(A)(i) of FFDCA tolerances for residues of spirotetramat You may access a frequently updated allows EPA to establish a tolerance (the in or on corn, sweet, kernel plus cob electronic version of EPA’s tolerance legal limit for a pesticide chemical with husks removed and persimmon regulations at 40 CFR part 180 through residue in or on a food) only if EPA and revises established tolerances in or the Government Printing Office’s e-CFR determines that the tolerance is ‘‘safe.’’ on feijoa, papaya, and Spanish lime, site at http://www.ecfr.gov/cgi-bin/text- Section 408(b)(2)(A)(ii) of FFDCA under the Federal Food, Drug, and idx?&c=ecfr&tpl=/ecfrbrowse/Title40/ defines ‘‘safe’’ to mean that ‘‘there is a Cosmetic Act (FFDCA). 40tab_02.tpl. reasonable certainty that no harm will DATES: This regulation is effective result from aggregate exposure to the C. How can I file an objection or hearing November 6, 2013. Objections and pesticide chemical residue, including request? requests for hearings must be received all anticipated dietary exposures and all on or before January 6, 2014, and must Under FFDCA section 408(g), 21 other exposures for which there is be filed in accordance with the U.S.C. 346a, any person may file an reliable information.’’ This includes instructions provided in 40 CFR part objection to any aspect of this regulation exposure through drinking water and in 178 (see also Unit I.C. of the and may also request a hearing on those residential settings, but does not include SUPPLEMENTARY INFORMATION). objections. You must file your objection occupational exposure. Section 408(b)(2)(C) of FFDCA requires EPA to ADDRESSES: The docket for this action, or request a hearing on this regulation identified by docket identification (ID) in accordance with the instructions give special consideration to exposure number EPA–HQ–OPP–2012–0107, is provided in 40 CFR part 178. To ensure of infants and children to the pesticide available at http://www.regulations.gov proper receipt by EPA, you must chemical residue in establishing a or at the Office of Pesticide Programs identify docket ID number EPA–HQ– tolerance and to ‘‘ensure that there is a Regulatory Public Docket (OPP Docket) OPP–2012–0107 in the subject line on reasonable certainty that no harm will in the Environmental Protection Agency the first page of your submission. All result to infants and children from Docket Center (EPA/DC), EPA West objections and requests for a hearing aggregate exposure to the pesticide Bldg., Rm. 3334, 1301 Constitution Ave. must be in writing, and must be chemical residue. . . .’’ NW., Washington, DC 20460–0001. The received by the Hearing Clerk on or Consistent with FFDCA section Public Reading Room is open from 8:30 before January 6, 2014. Addresses for 408(b)(2)(D), and the factors specified in a.m. to 4:30 p.m., Monday through mail and hand delivery of objections FFDCA section 408(b)(2)(D), EPA has Friday, excluding legal holidays. The and hearing requests are provided in 40 reviewed the available scientific data telephone number for the Public CFR 178.25(b). and other relevant information in Reading Room is (202) 566–1744, and In addition to filing an objection or support of this action. EPA has the telephone number for the OPP hearing request with the Hearing Clerk sufficient data to assess the hazards of Docket is (703) 305–5805. Please review as described in 40 CFR part 178, please and to make a determination on the visitor instructions and additional submit a copy of the filing (excluding aggregate exposure for spirotetramat information about the docket available any Confidential Business Information including exposure resulting from the at http://www.epa.gov/dockets. (CBI)) for inclusion in the public docket. tolerances established by this action. Information not marked confidential EPA’s assessment of exposures and risks FOR FURTHER INFORMATION CONTACT: Lois pursuant to 40 CFR part 2 may be associated with spirotetramat follows. Rossi, Registration Division (7505P), disclosed publicly by EPA without prior In the Federal Register of July 17, Office of Pesticide Programs, notice. Submit the non-CBI copy of your 2013 (78 FR 42736) (FRL–9391–6), the Environmental Protection Agency, 1200 objection or hearing request, identified EPA proposed, on its own initiative Pennsylvania Ave. NW., Washington, by docket ID number EPA–HQ–OPP– under FFDCA section 408(e), 21 U.S.C. DC 20460–0001; telephone number: 2012–0107, by one of the following 346a(e), to establish a tolerance for (703) 305–7090; email address: methods: residues of the insecticide spirotetramat [email protected]. • Federal eRulemaking Portal: http:// in or on corn, sweet kernel plus cob SUPPLEMENTARY INFORMATION: www.regulations.gov. Follow the online with husks removed at 1.5 parts per I. General Information instructions for submitting comments. million (ppm) and persimmon at 2.5 Do not submit electronically any ppm. Additionally, EPA proposed to A. Does this action apply to me? information you consider to be CBI or revise 40 CFR 180.641 by amending You may be potentially affected by other information whose disclosure is established tolerances in or on feijoa this action if you are an agricultural restricted by statute. from 0.30 ppm to 2.5 ppm, papaya from

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2.5 ppm to 0.40 ppm, and Spanish lime may establish a tolerance that is calculated as the stoichiometric from 0.60 ppm to 13 ppm. The proposed different from a Codex MRL; however, equivalent of spirotetramat, in or on rule referenced a recently published FFDCA section 408(b)(4) requires that corn, sweet, kernel plus cob with husks spirotetramat final rule printed in the EPA explain the reasons for departing removed at 1.5 ppm; and persimmon at Federal Register of May 15, 2013 (78 FR from the Codex level. 2.5 ppm. Additionally, the regulation 28507) (FRL–9382–8); in the risk The Codex has established a MRL for amends established tolerances in or on assessments associated with that final spirotetramat in or on papaya at 0.4 feijoa from 0.30 ppm to 2.5 ppm, papaya rule, the EPA also considered these milligram/kilogram (mg/kg). This MRL from 2.5 ppm to 0.40 ppm, and Spanish proposed uses. Since that time, the is the same as the tolerance established lime from 0.60 ppm to 13 ppm. toxicity profile of spirotetramat has not for spirotetramat in or on papaya at 0.40 ppm in the United States. There are no V. Statutory and Executive Order changed, and the risk assessments that Reviews supported the establishment of those Codex MRLs established for the other spirotetramat tolerances published in commodities associated with this final This final rule establishes tolerances the May 15, 2013 Federal Register final rule. under FFDCA section 408(d). The Office of Management and Budget (OMB) has rule remain valid. For a detailed C. Response to Comments discussion of the aggregate risk exempted these types of actions from assessments and determination of safety The EPA received one comment to the review under Executive Order 12866, that support these new and revised uses, proposed rule which stated that no entitled ‘‘Regulatory Planning and please refer to the May 15, 2013 Federal tolerances should be allowed for Review’’ (58 FR 51735, October 4, 1993). Register final rule and its supporting spirotetramat. The commenter Because this final rule has been documents, available at http:// expressed a general opposition to the exempted from review under Executive use of ‘‘toxic chemicals’’ on food and www.regulations.gov. Order 12866, this final rule is not Therefore, EPA concludes that there is faulted EPA for not conducting toxicity subject to Executive Order 13211, a reasonable certainty that no harm will testing that combined spirotetramat entitled ‘‘Actions Concerning result to the general population and to with the ‘‘thousands’’ of other approved Regulations That Significantly Affect pesticides. The Agency understands the infants and children from aggregate Energy Supply, Distribution, or Use’’ (66 commenter’s concerns and recognizes exposure to spirotetramat residues. EPA FR 28355, May 22, 2001) or Executive that some individuals believe that relies upon the findings made in the Order 13045, entitled ‘‘Protection of certain pesticide chemicals should not May 15, 2013 Federal Register final rule Children from Environmental Health be permitted in our food. However, the and the underlying risk assessments in Risks and Safety Risks’’ (62 FR 19885, existing legal framework provided by order to establish the new and revised April 23, 1997). This final rule does not FFDCA section 408 states that tolerances as detailed in the July 17, contain any information collections tolerances may be set when the subject to OMB approval under the 2013 Federal Register proposed rule. pesticide meets the safety standard Paperwork Reduction Act (PRA) (44 III. Other Considerations imposed by that statute. The Agency is U.S.C. 3501 et seq.), nor does it require required by FFDCA section 408 to any special considerations under A. Analytical Enforcement Methodology estimate the risk of the potential Executive Order 12898, entitled Adequate enforcement methodology, exposure to these residues. EPA has ‘‘Federal Actions to Address a high-performance liquid concluded that there is a reasonable Environmental Justice in Minority chromatography with tandem mass certainty that no harm will result from Populations and Low-Income spectrometry (HPLC–MS/MS), is aggregate human exposure to Populations’’ (59 FR 7629, February 16, available to enforce the tolerance spirotetramat residues from these uses. 1994). expression. The method may be As far as the toxicity testing relied upon This final rule directly regulates requested from: Chief, Analytical by EPA, testing requirements for growers, food processors, food handlers, Chemistry Branch, Environmental pesticide tolerances have been specified and food retailers, not States or tribes, Science Center, 701 Mapes Rd., Ft. by rulemaking after allowing for notice nor does this action alter the Meade, MD 20755–5350; telephone and comment by the public and peer relationships or distribution of power number: (410) 305–2905; email address: review by appropriate scientific bodies. and responsibilities established by [email protected]. See 40 CFR part 158. Toxicity testing of Congress in the preemption provisions of FFDCA section 408(n)(4). As such, B. International Residue Limits a pesticide in combination with all other approved pesticides is neither the Agency has determined that this In making its tolerance decisions, EPA required by the testing regulations nor action will not have a substantial direct seeks to harmonize U.S. tolerances with practical. effect on States or tribal governments, international standards whenever on the relationship between the national possible, consistent with U.S. food IV. Conclusion government and the States or tribal safety standards and agricultural Therefore, tolerances are established governments, or on the distribution of practices. EPA considers the for residues of spirotetramat, (cis-3-(2,5- power and responsibilities among the international maximum residue limits dimethlyphenyl)-8-methoxy-2-oxo-1- various levels of government or between (MRLs) established by the Codex azaspiro[4.5]dec-3-en-4-yl-ethyl the Federal Government and Indian Alimentarius Commission (Codex), as carbonate) and its metabolites, cis-3- Tribes. Thus, the Agency has required by FFDCA section 408(b)(4). (2,5-dimethylphenyl)-4-hydroxy-8- determined that Executive Order 13132, The Codex Alimentarius is a joint methoxy-1-azaspiro[4.5]dec-3-en-2-one, entitled ‘‘Federalism’’ (64 FR 43255, United Nations Food and Agriculture cis-3-(2,5-dimethylphenyl)-3-hydroxy-8- August 10, 1999) and Executive Order Organization/World Health methoxy-1-azaspiro[4.5]decane-2,4- 13175, entitled ‘‘Consultation and Organization food standards program, dione, cis-3-(2,5-dimethylphenyl)-8- Coordination with Indian Tribal and it is recognized as an international methoxy-2-oxo-1-azaspiro[4.5]dec-3-en- Governments’’ (65 FR 67249, November food safety standards-setting 4-yl beta-D-glucopyranoside-, and cis-3- 9, 2000) do not apply to this final rule. organization in trade agreements to (2,5-dimethylphenyl)-4-hydroxy-8- In addition, this final rule does not which the United States is a party. EPA methoxy-1-azaspiro[4.5]decan-2-one, impose any enforceable duty or contain

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any unfunded mandate as described Parts per DC 20460–0001; telephone number: under Title II of the Unfunded Mandates Commodity million (703) 305–7090; email address: Reform Act of 1995 (UMRA) (2 U.S.C. [email protected]. 1501 et seq.). SUPPLEMENTARY INFORMATION: This action does not involve any ***** Persimmon ...... 2.5 technical standards that would require I. General Information Agency consideration of voluntary ***** A. Does this action apply to me? consensus standards pursuant to section Spanish lime ...... 13 12(d) of the National Technology You may be potentially affected by Transfer and Advancement Act of 1995 ***** this action if you are an agricultural (NTTAA) (15 U.S.C. 272 note). producer, food manufacturer, or * * * * * pesticide manufacturer. The following VI. Congressional Review Act [FR Doc. 2013–26643 Filed 11–5–13; 8:45 am] list of North American Industrial Pursuant to the Congressional Review BILLING CODE 6560–50–P Classification System (NAICS) codes is Act (5 U.S.C. 801 et seq.), EPA will not intended to be exhaustive, but rather submit a report containing this rule and provides a guide to help readers other required information to the U.S. ENVIRONMENTAL PROTECTION determine whether this document Senate, the U.S. House of AGENCY applies to them. Potentially affected Representatives, and the Comptroller entities may include: General of the United States prior to 40 CFR Part 180 • Crop production (NAICS code 111). • publication of the rule in the Federal [EPA–HQ–OPP–2012–0583; FRL–9401–9] Animal production (NAICS code Register. This action is not a ‘‘major 112). • rule’’ as defined by 5 U.S.C. 804(2). Imazapyr; Pesticide Tolerances Food manufacturing (NAICS code 311). List of Subjects in 40 CFR Part 180 AGENCY: Environmental Protection • Pesticide manufacturing (NAICS Environmental protection, Agency (EPA). code 32532). ACTION: Final rule. Administrative practice and procedure, B. How can I get electronic access to Agricultural commodities, Pesticides SUMMARY: This regulation establishes other related information? and pests, Reporting and recordkeeping tolerances for residues of imazapyr in or You may access a frequently updated requirements. on lentil at 0.2 parts per million (ppm); electronic version of EPA’s tolerance Dated: October 25, 2013. and rapeseed subgroup 20A and regulations at 40 CFR part 180 through sunflower subgroup 20B at 0.05 ppm. Lois Rossi, the Government Printing Office’s e-CFR BASF Corporation requested these Director, Registration Division, Office of site at http://www.ecfr.gov/cgi-bin/text- tolerances under the Federal Food, Pesticide Programs. idx?&c=ecfr&tpl=/ecfrbrowse/Title40/ Drug, and Cosmetic Act (FFDCA). Therefore, 40 CFR chapter I is 40tab_02.tpl. amended as follows: DATES: This regulation is effective November 6, 2013. Objections and C. How can I file an objection or hearing PART 180—[AMENDED] requests for hearings must be received request? on or before January 6, 2014, and must Under FFDCA section 408(g), 21 ■ 1. The authority citation for part 180 be filed in accordance with the U.S.C. 346a, any person may file an continues to read as follows: instructions provided in 40 CFR part objection to any aspect of this regulation Authority: 21 U.S.C. 321(q), 346a and 371. 178 (see also Unit I.C. of the and may also request a hearing on those ■ 2. In § 180.641, in the table in SUPPLEMENTARY INFORMATION). objections. You must file your objection paragraph (a)(1): ADDRESSES: The docket for this action, or request a hearing on this regulation ■ a. Add alphabetically ‘‘corn, sweet, identified by docket identification (ID) in accordance with the instructions kernel plus cob with husks removed’’ number EPA–HQ–OPP–2012–0583, is provided in 40 CFR part 178. To ensure and ‘‘persimmon’’; and available at http://www.regulations.gov proper receipt by EPA, you must ■ b. Revise the entries for ‘‘feijoa,’’ or at the Office of Pesticide Programs identify docket ID number EPA–HQ– ‘‘papaya,’’ and ‘‘Spanish lime’’. Regulatory Public Docket (OPP Docket) OPP–2012–0583 in the subject line on The additions and revisions read as in the Environmental Protection Agency the first page of your submission. All follows: Docket Center (EPA/DC), EPA West objections and requests for a hearing Bldg., Rm. 3334, 1301 Constitution Ave. must be in writing, and must be § 180.641 Spirotetramat; tolerances for NW., Washington, DC 20460–0001. The residues. received by the Hearing Clerk on or Public Reading Room is open from 8:30 before January 6, 2014. Addresses for (a) * * * a.m. to 4:30 p.m., Monday through (1) * * * mail and hand delivery of objections Friday, excluding legal holidays. The and hearing requests are provided in 40 telephone number for the Public Parts per CFR 178.25(b). Commodity million Reading Room is (202) 566–1744, and In addition to filing an objection or the telephone number for the OPP hearing request with the Hearing Clerk 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 Corn, sweet, kernel plus cob information about the docket available any Confidential Business Information with husks removed ...... 1 .5 at http://www.epa.gov/dockets. (CBI)) for inclusion in the public docket. ***** FOR FURTHER INFORMATION CONTACT: Lois Information not marked confidential Feijoa ...... 2.5 Rossi, Registration Division (7505P), pursuant to 40 CFR part 2 may be Office of Pesticide Programs, disclosed publicly by EPA without prior ***** Environmental Protection Agency, 1200 notice. Submit the non-CBI copy of your Papaya ...... 0.40 Pennsylvania Ave. NW., Washington, objection or hearing request, identified

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by docket ID number EPA–HQ–OPP– pesticide chemical residue, including from dietary, residential, and swimming 2012–0583, by one of the following all anticipated dietary exposures and all and occupational routes. As previously methods: other exposures for which there is indicated, EPA has determined that this • Federal eRulemaking Portal: http:// reliable information.’’ This includes prior quantitative assessment overstated www.regulations.gov. Follow the online exposure through drinking water and in risk because the current toxicology instructions for submitting comments. residential settings, but does not include database shows no evidence of adverse Do not submit electronically any occupational exposure. Section effects from exposure to imazapyr. information you consider to be CBI or 408(b)(2)(C) of FFDCA requires EPA to Because EPA is not quantitatively other information whose disclosure is give special consideration to exposure assessing the risk of imazapyr based on restricted by statute. of infants and children to the pesticide a reliance on the use of safety factors, • Mail: OPP Docket, Environmental chemical residue in establishing a EPA has not retained the additional Protection Agency Docket Center tolerance and to ‘‘ensure that there is a safety factor described in FFDCA (EPA/DC), (28221T), 1200 Pennsylvania reasonable certainty that no harm will section 408(b)(2)(C) for the protection of Ave. NW., Washington, DC 20460–0001. result to infants and children from infants and children. • Hand Delivery: To make special aggregate exposure to the pesticide Therefore, based on EPA’s qualitative arrangements for hand delivery or chemical residue. . . .’’ assessment of the imazapyr risk and the delivery of boxed information, please Consistent with FFDCA section prior quantitative risk assessment follow the instructions at 408(b)(2)(D), and the factors specified in discussed in the final rule published in http://www.epa.gov/dockets/ FFDCA section 408(b)(2)(D), EPA has the Federal Register of September 26, contacts.html. reviewed the available scientific data 2003 (68 FR 55475) (FRL–7321–4), EPA Additional instructions on and other relevant information in concludes that there is a reasonable commenting or visiting the docket, support of this action. EPA has certainty that no harm will result to the along with more information about sufficient data to assess the hazards of general population, or to infants and dockets generally, is available at http:// and to make a determination on children from aggregate exposure to www.epa.gov/dockets. aggregate exposure for imazapyr imazapyr and its metabolites or including exposure resulting from the II. Summary of Petitioned-for Tolerance degradates. tolerances established by this action. In the Federal Register of August 22, EPA’s assessment of exposures and risks IV. Other Considerations 2012 (77 FR 163) (FRL–9358–9), EPA associated with imazapyr follows. A. Analytical Enforcement Methodology issued a document pursuant to FFDCA In 2003, EPA quantitatively assessed section 408(d)(3), 21 U.S.C. 346a(d)(3), the risk of imazapyr tolerances in Adequate enforcement methodology announcing the filing of a pesticide connection with the final rule published (liquid chromatography with tandem petition (PP 2E8045) by BASF in the Federal Register of September 26, mass spectrometric detection (LC/MS/ Corporation, 26 Davis Drive, Research 2003 (68 FR 55475) (FRL–7321–4) MS)) is available to enforce the Triangle Park, NC 27709. The petition establishing tolerances for imazapyr in tolerance expression. requested that 40 CFR 180.500 be or on grass, forage; grass, hay; fish; The method may be requested from: amended by establishing tolerances for shellfish; fats of cattle, sheep, goats, and Chief, Analytical Chemistry Branch, residues of the herbicide, imazapyr [2- horses; kidney of cattle, sheep, goats, Environmental Science Center, 701 [4,5-dihydro-4-methyl-4-(1- and horses; meat byproducts (except Mapes Rd., Ft. Meade, MD 20755–5350; methylethyl)-5-oxo-1H-imidazol-2-yl]-3- kidney) of cattle, sheep, goats, and telephone number: (410) 305–2905; pyridinecarboxylic acid], in or on lentil horses; meat of cattle, sheep, goats, and email address: residuemethods@ at 0.2 ppm; and rapeseed subgroup 20A horses; and milk. At that time, EPA epa.gov. and sunflower subgroup 20B at 0.05 determined that the aggregate risks from B. International Residue Limits ppm. That document referenced a exposure to imazapyr were minimal. In summary of the petition prepared by reviewing the current tolerance petition, In making its tolerance decisions, EPA BASF Corporation, the registrant, which EPA determined that the toxicity seeks to harmonize U.S. tolerances with is available in the docket, http:// database for imazapyr is complete and international standards whenever www.regulations.gov. There were no no additional studies are needed. EPA possible, consistent with U.S. food comments received in response to the also determined that the toxicity data safety standards and agricultural notice of filing. identified no hazard from imazapyr practices. EPA considers the EPA has revised the tolerance regardless of the route of exposure or international maximum residue limits expression to clarify the chemical the species tested. In the absence of (MRLs) established by the Codex moieties that are covered by the evidence of neurotoxicity, Alimentarius Commission (Codex), as tolerances and specify how compliance immunotoxicity, genotoxicity, required by FFDCA section 408(b)(4). with the tolerance is to be measured. carcinogenicity, or other acute or The Codex Alimentarius is a joint The reason for this change is explained chronic toxicity in conjunction with no United Nations Food and Agriculture in Unit IV.C. adverse developmental or reproductive Organization/World Health effects, the Agency concluded that a Organization food standards program, III. Aggregate Risk Assessment and quantitative risk assessment for and it is recognized as an international Determination of Safety imazapyr was no longer needed and that food safety standards-setting Section 408(b)(2)(A)(i) of FFDCA EPA could determine based on a organization in trade agreements to allows EPA to establish a tolerance (the qualitative assessment of the imazapyr which the United States is a party. EPA legal limit for a pesticide chemical database that the proposed import may establish a tolerance that is residue in or on a food) only if EPA tolerances are safe. This conclusion is different from a Codex MRL; however, determines that the tolerance is ‘‘safe.’’ supported by the findings in the last risk FFDCA section 408(b)(4) requires that Section 408(b)(2)(A)(ii) of FFDCA assessment, which were based on EPA explain the reasons for departing defines ‘‘safe’’ to mean that ‘‘there is a conservative (protective) toxicity from the Codex level. The Codex has not reasonable certainty that no harm will endpoints showing only negligible established MRLs for imazapyr on result from aggregate exposure to the aggregate exposures and risks identified rapeseed, sunflower, or lentils.

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C. Revisions to Petitioned-for Tolerances Populations’’ (59 FR 7629, February 16, Dated: October 22, 2013. 1994). Lois Rossi, EPA is revising the tolerance Since tolerances and exemptions that Director, Registration Division, Office of expressions for plant and livestock Pesticide Programs. commodities to clarify the chemical are established on the basis of a petition moieties that are covered by the under FFDCA section 408(d), such as Therefore, 40 CFR chapter I is tolerances and specify how compliance the tolerance in this final rule, do not amended as follows: require the issuance of a proposed rule, with the tolerances is to be measured. PART 180—[AMENDED] The revised tolerance expression makes the requirements of the Regulatory clear that the tolerances cover ‘‘residues Flexibility Act (RFA) (5 U.S.C. 601 et ■ 1. The authority citation for part 180 of imazapyr, including its metabolites seq.), do not apply. continues to read as follows: and degradates,’’ as specified in FFDCA This final rule directly regulates Authority: 21 U.S.C. 321(q), 346a and 371. section 408(a)(3), and that compliance growers, food processors, food handlers, with the tolerance levels is to be and food retailers, not States or tribes, ■ 2. In § 180.500, paragraph (a) is determined by measuring only the nor does this action alter the amended by revising the introductory residues of imazapyr [2-[4,5-dihydro-4- relationships or distribution of power text and alphabetically adding the methyl-4-(1-methylethyl)-5-oxo-1H- and responsibilities established by following commodities to the table to imidazol-2-yl]-3-pyridinecarboxylic Congress in the preemption provisions read as follows: acid]. EPA has determined that it is of FFDCA section 408(n)(4). As such, § 180.500 Imazapyr; tolerances for reasonable to make this change final the Agency has determined that this residues. without prior proposal and opportunity action will not have a substantial direct (a) General. Tolerances are for comment because public comment is effect on States or tribal governments, not necessary, in that the change has no established for residues of the herbicide, on the relationship between the national imazapyr, including its metabolites and substantive effect on the tolerance, but government and the States or tribal rather incorporates statutory degradates, in or on the commodities in governments, or on the distribution of the following table. Compliance with requirements and is merely intended to power and responsibilities among the clarify the existing tolerance expression. the tolerance levels is to be determined various levels of government or between by measuring only the residues of V. Conclusion the Federal Government and Indian imazapyr [2-[4,5-dihydro-4-methyl-4-(1- tribes. Thus, the Agency has determined methylethyl)-5-oxo-1H-imidazol-2-yl]-3- Therefore, tolerances are established that Executive Order 13132, entitled pyridinecarboxylic acid]. for residues of imazapyr [2-[4,5-dihydro- ‘‘Federalism’’ (64 FR 43255, August 10, 4-methyl-4-(1-methylethyl)-5-oxo-1H- 1999) and Executive Order 13175, Parts per imidazol-2-yl]-3-pyridinecarboxylic entitled ‘‘Consultation and Coordination Commodity million acid], in or on lentil at 0.2 ppm; with Indian Tribal Governments’’ (65 FR rapeseed subgroup 20A and sunflower 67249, November 9, 2000) do not apply subgroup 20B at 0.05 ppm. to this final rule. In addition, this final ***** Lentil 1 ...... 0.2 VI. Statutory and Executive Order rule does not impose any enforceable Reviews duty or contain any unfunded mandate ***** as described under Title II of the Rapeseed subgroup 20A 1 .... 0.05 This final rule establishes tolerances Unfunded Mandates Reform Act of 1995 under FFDCA section 408(d) in (UMRA) (2 U.S.C. 1501 et seq.). ***** Sunflower subgroup 20B 1 .... 0.05 response to a petition submitted to the This action does not involve any Agency. The Office of Management and technical standards that would require 1 There are no U.S. Registrations. Budget (OMB) has exempted these types Agency consideration of voluntary * * * * * of actions from review under Executive consensus standards pursuant to section Order 12866, entitled ‘‘Regulatory [FR Doc. 2013–26364 Filed 11–5–13; 8:45 am] 12(d) of the National Technology BILLING CODE 6560–50–P Planning and Review’’ (58 FR 51735, Transfer and Advancement Act of 1995 October 4, 1993). Because this final rule (NTTAA) (15 U.S.C. 272 note). has been exempted from review under Executive Order 12866, this final rule is VII. Congressional Review Act DEPARTMENT OF HEALTH AND not subject to Executive Order 13211, HUMAN SERVICES entitled ‘‘Actions Concerning Pursuant to the Congressional Review 45 CFR Parts 153, 155, 156, 157, and Regulations That Significantly Affect Act (5 U.S.C. 801 et seq.), EPA will 158 Energy Supply, Distribution, or Use’’ (66 submit a report containing this rule and other required information to the U.S. FR 28355, May 22, 2001) or Executive [CMS–9964–F3] Order 13045, entitled ‘‘Protection of Senate, the U.S. House of Children from Environmental Health Representatives, and the Comptroller RIN–0938–AR51 Risks and Safety Risks’’ (62 FR 19885, General of the United States prior to publication of the rule in the Federal Patient Protection and Affordable Care April 23, 1997). This final rule does not Act; HHS Notice of Benefit and contain any information collections Register. This action is not a ‘‘major rule’’ as defined by 5 U.S.C. 804(2). Payment Parameters for 2014; subject to OMB approval under the Correcting Amendment Paperwork Reduction Act (PRA) (44 List of Subjects in 40 CFR Part 180 U.S.C. 3501 et seq.), nor does it require AGENCY: Centers for Medicare & any special considerations under Environmental protection, Medicaid Services (CMS), HHS. Executive Order 12898, entitled Administrative practice and procedure, ACTION: Correcting amendment. ‘‘Federal Actions to Address Agricultural commodities, Pesticides Environmental Justice in Minority and pests, Reporting and recordkeeping SUMMARY: In the March 11, 2013 issue Populations and Low-Income requirements. of the Federal Register, we published a

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final rule entitled, ‘‘Patient Protection reinsurance payments from (1) Line 6, ‘‘IRC’’ is corrected to read and Affordable Care Act; HHS Notice of contributions.’’ ‘‘Code.’’ Benefit and Payment Parameters for On page 15529, in the regulations text (2) Line 8, ‘‘IRC’’ is corrected to read 2014’’. This correcting amendment of § 153.405(b), we inadvertently ‘‘Code.’’. corrects several technical and omitted references to paragraphs (f) and 5. On page 15504, first column, typographical errors identified in the (g) of this section. a. First full paragraph, line 3, ‘‘this March 11, 2013 final rule. On page 15540, in the regulation text Notice’’ is corrected to read ‘‘this final DATES: This correcting amendment is of § 158.232(d), we inadvertently used rule’’. b. Second full paragraph, line 3, effective November 6, 2013. the term ‘‘and’’ instead of the term ‘‘an.’’ ‘‘IRC’’ is corrected to read ‘‘Code’’. FOR FURTHER INFORMATION CONTACT: II. Correction of Errors in the Preamble 6. On page 15505, second column, last Jeff Wu, (301) 492–4305. 1. On page 15421, first column, paragraph, lines 1 through 4, the Adrianne Glasgow, (410) 786–0686. second full paragraph, lines 4 through sentence ‘‘Issuers must provide rebates SUPPLEMENTARY INFORMATION: 10, the sentence ‘‘To align with model to enrollees if their MLRs fall short of the applicable MLR standard for the I. Background calibration, an enrollee’s age for risk score calculation will be the age as of reporting year.’’ is corrected to read In FR Doc. 2013–04902 (78 FR 15410), the enrollee’s last day of enrollment in ‘‘Issuers must provide rebates if their the final rule entitled, ‘‘Patient a risk adjustment covered plan in the MLRs fall short of the applicable MLR Protection and Affordable Care Act; applicable benefit year will be used for standard for the reporting year.’’. HHS Notice of Benefit and Payment enrollees in program operation.’’ is 7. On page 15506, third column, last Parameters for 2014’’ there were corrected to read ‘‘To align with model paragraph, line 9, the phrase ‘‘50 technical and typographical errors that calibration, an enrollee’s age for risk percent—n’’ is corrected to read ‘‘50 are identified and corrected in the ∧ score calculation for all enrollment percent n’’. regulations text of this correcting 8. On page 15540, second column, periods will be based on the enrollee’s amendment. The effective date of the second paragraph, line 3, the sentence age in years on the last date of final rule was April 30, 2013. ‘‘Beginning with the 2013 MLR enrollment in the applicable benefit reporting year, the credibility year in any risk adjustment covered A. Summary of Errors in the Preamble adjustment for and MLR based on plan for the issuer’’. On page 15421, in our discussion of partially credible experience is zero if 2. On page 15493, third column, factors included in the HHS risk both of the following conditions are fourth full paragraph, line 2, ‘‘section adjustment models, we inadvertently met:’’ is corrected to read ‘‘Beginning 1301(c)’’ is corrected to read ‘‘section omitted language regarding how an with the 2013 MLR reporting year, the 1302(c)(3).’’ enrollee’s age for risk score calculation credibility adjustment for an MLR based will be determined. 3. On page 15495, third column, first on partially credible experience is zero On page 15493, in our discussion of full paragraph, lines 1 through 15, the if both of the following conditions are limiting the definition of cost sharing to sentences ‘‘We are finalizing both our met:’’ Essential Health Benefits, we proposal for annual rulemaking in the inadvertently included the incorrect notice of benefits and payment III. Waiver of Proposed Rulemaking section reference to the Affordable Care provisions to establish a methodology and Delay in Effective Date Act. for advance payments for cost-sharing We ordinarily publish a notice of On page 15495, in our discussion of reductions under the limited cost proposed rulemaking in the Federal estimating the value of cost-sharing sharing plan variation, and our proposal Register to provide a period for public reductions to be provided under the of a specific methodology for the 2014 comment before the provisions of a rule limited cost sharing plan variation open benefit year. As in the case of the other take effect in accordance with section to Indians regardless of household plan variation, we plan to review the 553(b) of the Administrative Procedure income, we made typographical errors. methodology for calculating the advance Act (APA) (5 U.S.C. 553(b)). However, On pages 15503 and 15504 in our payments once more data is available, we can waive this notice and comment discussion regarding determining and future notices of benefits and procedure if the Secretary finds, for employer size for purposes of payment parameters may include good cause, that the notice and participation in the Small Business different methodologies.’’ is corrected to comment process is impracticable, Health Option Program, we made read ‘‘We are finalizing both our unnecessary, or contrary to the public inadvertent minor errors. On page proposal for annual rulemaking in the interest, and incorporates a statement of 15505, in our discussion of the medical HHS notice of benefit and payment the finding and the reasons therefore in loss ratio formula, a phrase was parameters provisions to establish a the notice. erroneously included. methodology for advance payments for Section 553(d) of the APA ordinarily On page 15506, in our discussion of cost-sharing reductions under the requires a 30-day delay in effective date the technical correction to § 158.232(d), limited cost sharing plan variation, and of final rules after the date of their we made an inadvertent technical error. our proposal of a specific methodology publication in the Federal Register. for the 2014 benefit year. As in the case This 30-day delay in effective date can B. Summary of Errors in the Regulations of the other plan variations, we plan to be waived, however, if an agency finds Text review the methodology for calculating there is good cause to do so, and the On page 15526, in the regulation text the advance payments once more data is agency incorporates a statement of the of— available, and future HHS notices of findings and its reasons in the rule • Section153.220(c)(2), we benefit and payment parameters may issued. inadvertently used the term ‘‘if’’ instead include different methodologies.’’ This document merely corrects of the term ‘‘of;’’ and 4. On page 15503, third column, technical and typographic errors in the • Section 153.230(a), we a. Second full paragraph, line 10 Patient Protection and Affordable Care inadvertently omitted the term ‘‘IRC’’ is corrected to read ‘‘Code.’’ Act; HHS Notice of Benefit and Payment ‘‘collected’’ after the phrase ‘‘for b. Third full paragraph, Parameters for 2014 final rule that was

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published on March 11, 2013 and § 153.405 [Amended] will not impose or relax any substantive became effective on April 30, 2013. The ■ 4. In § 153.405(b), the phrase ‘‘(d) or requirements or burdens on changes are not substantive changes to (e) of this section’’ is removed and the manufacturers. Although the addition of the standards set forth in the final rule. phrase ‘‘(d) through (g) of this section’’ the alternative course route is effective Therefore, we believe that undertaking is added in its place. immediately, in order to benefit from further notice and comment procedures comments which interested parties and to incorporate these corrections and PART 158—ISSUER USE OF PREMIUM the public may have, the agency is delay the effective date for these REVENUE: REPORTING AND REBATE requesting that comments be submitted changes is unnecessary. In addition, we REQUIREMENTS to the docket for this rule. Following the believe it is important for the public to close of the comment period, the agency have the correct information as soon as ■ 5. The authority citation for part 158 will publish a document responding to possible, and believe it is contrary to the continues to read as follows: the comments and, if appropriate, the public interest to delay when they Authority: Section 2718 of the Public agency will amend the provisions of this become effective. For the reasons stated Health Service Act (42 U.S.C. 300gg–18, as rule. previously, we find there is good cause amended). DATES: Effective date: This interim final to waive notice and comment § 158.232 [Amended] rule is effective November 6, 2013. procedures and the 30-day delay in the ■ Comments: You should submit your effective date for this correction notice. 6. In § 158.232(d) introductory text, comments early enough to be received the phrase ‘‘adjustment for and’’ is not later than January 6, 2014. List of Subjects removed and the phrase ‘‘adjustment for an’’ is added in its place. ADDRESSES: You may submit comments, 45 CFR Part 153 identified by the docket number at the Dated: October 30, 2013. Administrative practice and heading of this notice, by any of the procedure, Adverse selection, Health Jennifer M. Cannistra, following methods: care, Health insurance, Health records, Executive Secretary to the Department, Online: Go to http:// Organization and functions Department of Health and Human Services. www.regulations.gov. Follow the (Government agencies), Premium [FR Doc. 2013–26579 Filed 11–5–13; 8:45 am] instructions for submitting comments stabilization, Reporting and BILLING CODE 4120–01–P on the electronic docket site by clicking recordkeeping requirements, on ‘‘Help’’ or ‘‘FAQs.’’ Reinsurance, Risk adjustment, Risk Fax: 1–202–493–2251. corridors, Risk mitigation, State and DEPARTMENT OF TRANSPORTATION Mail: U.S. Department of local governments. Transportation, Docket Operations, M– National Highway Traffic Safety 30, Room W12–140, 1200 New Jersey 45 CFR Part 158 Administration Avenue SE., Washington, DC 20590. Administrative practice and Hand Delivery: 1200 New Jersey procedure, Claims, Health care, Health 49 CFR Part 575 Avenue SE., West Building Ground insurance, Health plans, penalties, [Docket No. NHTSA–2013–0120] Floor, Room W12–140, Washington, DC, Reporting and recordkeeping between 9 a.m. and 5 p.m., Monday RIN 2127–AL49 requirements, Premium revenues, through Friday, except Federal holidays. Medical loss ratio, Rebating. Instructions: All submissions must Consumer Information; Uniform Tire include the agency name and docket As noted in section I of this correcting Quality Grading Standards number. Note that all comments amendment, the Department of Health AGENCY: National Highway Traffic received will be posted without change and Human Services is making the Safety Administration (NHTSA), to http://www.regulations.gov, including following correcting amendments to 45 Department of Transportation (DOT). any personal information provided. CFR parts 153 and 158. ACTION: Interim final rule; request for Please see the Privacy Act discussion below. We will consider all comments PART 153—STANDARDS RELATED TO comments. received before the close of business on REINSURANCE, RISK CORRIDORS, SUMMARY: The Uniform Tire Quality the comment closing date indicated AND RISK ADJUSTMENT UNDER THE Grading Standards (UTQGS) contain above. To the extent possible, we will AFFORDABLE CARE ACT detailed testing procedures for also consider comments filed after the generating consumer information about closing date. ■ 1. The authority citation continues to the treadwear, traction, and temperature Docket: For access to the docket to read as follows: resistance of passenger car tires. To read background documents or Authority: Secs. 1311, 1321, 1341–1343, ensure the uniformity of treadwear comments received, go to http:// Pub. L. 111–148, 24 Stat. 119. grades, the grading procedures specify a www.regulations.gov at any time or to § 153.220 [Amended] 400-mile test course located near San 1200 New Jersey Avenue SE., West Angelo, Texas. Two or four-vehicle Building Ground Floor, Room W12–140, ■ 2. In § 153.220(c)(2), the phrase ‘‘if convoys equipped with candidate tires Washington, DC 20590, between 9 a.m. this section’’ is removed and the phrase travel along this course to evaluate the and 5 p.m., Monday through Friday, ‘‘of this section’’ is added in its place. tire treadwear performance. Because except Federal holidays. Telephone: § 153.230 [Amended] flooding is currently affecting several (202) 366–9826. water crossings along a portion of the Privacy Act: Anyone is able to search ■ 3. In § 153.230(a), the phrase ‘‘for test course, NHTSA is issuing this the electronic form of all comments reinsurance payments from interim final rule to add an alternate received into any of our dockets by the contributions’’ is removed and the treadwear test course route to avoid the name of the individual submitting the phrase ‘‘for reinsurance payments from inaccessible portions of the course. This comment (or signing the comment, if contributions collected’’ is added in its change will not compromise the submitted on behalf of an association, place. reliability of the treadwear grades, and business, labor union, etc.). You may

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review DOT’s complete Privacy Act should be 1.6 times longer compared to the Northwestern Loop (including travel Statement in the Federal Register NHTSA’s ‘‘control tire.’’ 2 Although on portions of the Northwestern Loop in published on April 11, 2000 (65 FR treadwear grades do not predict the the reverse direction), and then 19477–78) or you may visit http:// actual mileage that a particular tire will complete the Eastern Loop a third time. www.dot.gov/privacy.html. achieve, they are sufficiently accurate to Making the additional trips on the Confidential Business Information: If help consumers choose among tires Eastern Loop and the Northwestern you wish to submit any information based on their relative tread life. Loop will make up the distance that is under a claim of confidentiality, you To ensure the uniformity of treadwear usually traveled on Texas 163 and FM should submit three copies of your grades, Appendix A of 49 CFR 575.104 189. complete submission, including the specifies a 400-mile treadwear test Specifically, instead of traveling south information you claim to be confidential course. Two or four-vehicle convoys on FM 189 and Texas 163, each test business information, to the Chief equipped with candidate tires travel convoy will travel south from Sonora on Counsel, NHTSA, at the address given along this course to evaluate the tire US 277 as normal for approximately 5.5 under FOR FURTHER INFORMATION treadwear performance. The test course miles to a picnic area on right. At this CONTACT. In addition, you should consists of three loops in the location the test convoy will reverse submit two copies, from which you geographical vicinity of Goodfellow Air course and proceed to the completion of have deleted the claimed confidential Force Base near San Angelo, Texas. The the Southern Loop. After completing business information, to Docket first loop (‘‘Southern Loop’’) runs south this modified Southern Loop, the Operations at the address given above. 143 miles through the cities of Eldorado, Eastern Loop and Northwestern Loop to When you send a comment containing Sonora, and Juno, Texas to the Camp the intersection of Loop 306 and FM information claimed to be confidential Hudson Historical Marker, and returns 388, the test convoy will turn left on FM business information, you should by the same route. The second loop 388 and run the Eastern Loop a second include a cover letter setting forth the (‘‘Eastern Loop’’) runs east over Farm time. On completion of the second information specified in our and Ranch Roads and returns to its Eastern Loop at FM 388 and Loop 306, confidential business information starting point. The third loop the convoys will turn right to travel on regulation (49 CFR part 512). (‘‘Northwestern Loop’’) runs northwest the Northwestern Loop a second time FOR FURTHER INFORMATION CONTACT: to Water Valley, northeast toward with the following modification: The For technical and policy issues: Robert Lee and returns via Texas 208 to convoys will follow the normal Hisham Mohamed, Office of the vicinity of Goodfellow AFB.3 Northwestern Loop until they reach the International Policy, Fuel Economy, and As a result of recent overflow of the intersection of FM 2105 and Texas 208, Consumer Standards, NHTSA, 1200 Devils River, the treadwear testing where the convoys will turn right onto New Jersey Ave. SE., West Building, convoys cannot access Texas 189 due to Texas 208. The convoys will travel on W43–437, Washington, DC 20590. road washout and cannot cross at least Texas 208 until the intersection with Telephone: (202) 366–0307. one of the several water crossings along FM 2034. The convoys will turn left For legal issues: William H. Shakely, Texas 163 and, therefore, cannot safely onto FM 2034 and travel on FM 2034 to Office of the Chief Counsel, NHTSA, use a portion of the Southern Loop. the intersection with US 87, where they 1200 New Jersey Ave. SE., West Specifically, FM 189 and several low will turn left onto US 87. At the Building, W41–227, Washington, DC water crossings along Texas 163, located intersection of US 87 and FM 2105, the 20590. Telephone: (202) 366–2992. Fax: between US 277 and the Camp Hudson convoys will turn left onto FM 2105 and (202) 366–3820. Historical Marker, are impassable or continue to the intersection with US 277. The convoys will then turn right SUPPLEMENTARY INFORMATION: submerged under several inches of water. onto US 277 and continue to the Table of Contents intersection of Loop 306 and FM 388. At II. Change to the Treadwear Test this point the convoy will turn left and I. UTQGS and the Treadwear Test Course Course II. Change to the Treadwear Test Course run the Eastern Loop a third and final III. Request for Comment Because the affected portion of the time, returning to the intersection of IV. Public Participation Southern Loop will be inaccessible for Loop 306 and FM 388. This will be the V. Regulatory Analyses and Notices an indeterminate time and there is an completion of the full route. immediate need for testing, the agency The distance between the picnic area I. UTQGS and the Treadwear Test is adding an alternate test course route on US 277 and the Camp Hudson Course that substitutes different sections of the Historical Marker is approximately The Uniform Tire Quality Grading course for the flooded portion of the equivalent to the combined distance of Standards (UTQGS) require motor Southern Loop. Test convoys will have the modified Northwestern Loop and vehicle and tire manufacturers and tire the option of using this alternate route two trips on the Eastern Loop. brand name owners to provide to conduct treadwear testing. As Accordingly, the agency has concluded information indicating the relative explained above, the regular course that using the alternative treadwear performance of passenger car tires in the route consists of the Southern Loop, the course route will not compromise the areas of treadwear, traction, and Eastern Loop, and the Northwestern reliability of the treadwear grades and temperature resistance. This Loop, in that order. Test convoys using will not impose or relax any substantive information aids consumers in making the alternate route will travel on requirements or burdens on informed choices in the purchase of portions of the Southern Loop and then manufacturers. The agency has further passenger car tires. continue on the Eastern Loop and the determined that the impact of this Treadwear grades are expressed, in Northwestern Loop. After completing interim final rule is so minimal as to not multiples of 20, as a percentage of a the Northwestern Loop, the convoys warrant the preparation of a full 1 nominal treadwear value of 100. For will repeat the Eastern Loop, travel on regulatory evaluation. example, a treadwear grade of 160 III Request for Comment means the candidate tire tread life 2 See http://www.safercar.gov/Vehicle+Shoppers/ Tires/Tires+Rating/Treadwear. Although this interim final rule is 1 See 49 CFR 575.104(e)(2)(ix)(F). 3 See Figure 3, Appendix A, 49 CFR 575.104. effective immediately, in order to

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benefit from comments which interested How do I submit confidential business agency may issue a final rule without parties and the public may have, the information? providing notice and an opportunity for agency is requesting that comments be If you wish to submit any information public comment (5 U.S.C. 553(b)(B)). submitted to the docket for this notice. under a claim of confidentiality, you NHTSA has determined that there is Following the close of the comment should submit three copies of your good cause to issue this interim final period, the agency will publish a notice complete submission, including the rule without notice and an opportunity responding to the comments and, if information you claim to be confidential for public comment because such notice appropriate, the agency will amend the business information, to the Chief and opportunity for comment would be provisions of this rule. Counsel, NHTSA, at the address given impracticable. Flooding is presently making portions of the treadwear test above under FOR FURTHER INFORMATION IV. Public Participation course inaccessible, and there is an CONTACT. In addition, you should How do I prepare and submit submit two copies, from which you immediate need to continue testing. This testing would be unavoidably comments? have deleted the claimed confidential prevented by undertaking notice and business information, to Docket comment rulemaking proceedings Your comments must be written and Management at the address given above before specifying an alternate treadwear in English. To ensure that your under ADDRESSES. When you send a test course route. comments are correctly filed in the comment containing information Docket, please include the docket Section 553 further requires that that claimed to be confidential business a rule be published at least 30 days prior number of this document in your information, you should include a cover comments. to its effective date unless one of three letter setting forth the information exceptions applies. One of these Your comments must not be more specified in our confidential business exceptions is when the agency finds than 15 pages long. (49 CFR 553.21). We information regulation. (49 CFR part good cause for a shorter period. For the established this limit to encourage you 512.) reasons stated above, i.e., the to write your primary comments in a Will the agency consider late inaccessibility of portions of the test concise fashion. However, you may comments? course and the immediate need for attach necessary additional documents testing, the agency finds that there is We will consider all comments that to your comments. There is no limit on good cause to make this rule effective Docket Management receives before the the length of the attachments. immediately. close of business on the comment Although the agency is issuing this Comments may be submitted to the closing date indicated above under docket electronically by logging onto the interim final rule, which is effective DATES. To the extent possible, we will immediately, without notice and Docket Management System Web site at also consider comments that Docket http://www.regulations.gov. Follow the opportunity for public comment, the Management receives after that date. If agency is requesting that comments be online instructions for submitting Docket Management receives a comment comments. submitted to the docket for this notice too late for us to consider, we will in order to benefit from comments You may also submit two copies of consider that comment as an informal which interested parties and the public your comments, including the suggestion for future rulemaking action. may have. Following the close of the attachments, to Docket Management at How can I read the comments submitted comment period, the agency will the address given above under by other people? publish a notice responding to the ADDRESSES. You may read the comments received comments and, if appropriate, the Please note that pursuant to the Data by Docket Management at the address agency will amend the provisions of this Quality Act, in order for substantive given above under ADDRESSES. The rule. data to be relied upon and used by the hours of the Docket are indicated above B. Executive Orders 12866 and 13563 agency, it must meet the information in the same location. You may also see and DOT Regulatory Policies and quality standards set forth in the OMB the comments on the Internet. To read Procedures and DOT Data Quality Act guidelines. the comments on the Internet, go to Accordingly, we encourage you to Executive Order 12866, Executive http://www.regulations.gov. Follow the Order 13563, and the Department of consult the guidelines in preparing your online instructions for accessing the comments. OMB’s guidelines may be Transportation’s regulatory policies dockets. require determinations as to whether a accessed at http://www.whitehouse.gov/ Please note that even after the regulatory action is ‘‘significant’’ and omb/fedreg/reproducible.html. DOT’s comment closing date, we will continue therefore subject to OMB review and the guidelines may be accessed at http:// to file relevant information in the requirements of the aforementioned www.rita.dot.gov/bts/sites/ Docket as it becomes available. Further, Executive Orders. Executive Order rita.dot.gov.bts/files/subject_areas/ some people may submit late comments. 12866 defines a ‘‘significant regulatory statistical_policy_and_research/data_ Accordingly, we recommend that you action’’ as one that is likely to result in quality_guidelines/index.html. periodically check the Docket for new a rule that may: material. How can I be sure that my comments (1) Have an annual effect on the were received? IV. Regulatory Analyses and Notices economy of $100 million or more or adversely affect in a material way the If you wish Docket Management to A. Immediate Effective Date and economy, a sector of the economy, notify you upon its receipt of your Request for Comments productivity, competition, jobs, the comments, enclose a self-addressed, Section 553 of the Administrative environment, public health or safety, or stamped postcard in the envelope Procedure Act (5 U.S.C. 553) provides State, local, or Tribal governments or containing your comments. Upon that when an agency, for good cause, communities; receiving your comments, Docket finds that notice and public procedure (2) Create a serious inconsistency or Management will return the postcard by are impracticable, unnecessary, or otherwise interfere with an action taken mail. contrary to the public interest, the or planned by another agency;

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(3) Materially alter the budgetary C. Executive Order 13132 (Federalism) rules that include a Federal mandate impact of entitlements, grants, user fees, NHTSA has examined today’s interim likely to result in the expenditure by or loan programs or the rights and final rule pursuant to Executive Order State, local or tribal governments, in the obligations of recipients thereof; or 13132 (64 FR 43255, August 10, 1999) aggregate, or by the private sector, of (4) Raise novel legal or policy issues and concluded that no additional more than $100 million annually arising out of legal mandates, the consultation with States, local (adjusted for inflation with base year of President’s priorities, or the principles governments or their representatives is 1995). In 2011 dollars, this threshold is set forth in the Executive Order. $139 million.4 This interim final rule We have considered the potential mandated beyond the rulemaking process. The agency has concluded that would not result in the expenditure by impact of this interim final rule under State, local, or tribal governments, in the Executive Order 12866, Executive Order the interim final rule does not have sufficient federalism implications to aggregate, of more than $139 million 13563, and the Department of annually, and would not result in the Transportation’s regulatory policies and warrant consultation with State and local officials or the preparation of a expenditure of that magnitude by the procedures. This interim final rule private sector. specifies an alternate route for test federalism summary impact statement. convoys using the treadwear test course The interim final rule, which specifies F. National Environmental Policy Act in order to avoid portions of the course an alternate route for test convoys using NHTSA has analyzed this rulemaking that are currently inaccessible due to the treadwear test course, would not action for the purposes of the National flooding. The agency has determined have ‘‘substantial direct effects on the Environmental Policy Act. The agency that this rule will not impose or relax States, on the relationship between the has determined that this rulemaking any substantive requirements or national government and the States, or will not have any significant impact on burdens on manufacturers. Accordingly, on the distribution of power and the quality of the human environment. it has been determined to be not responsibilities among the various ‘‘significant’’ under Executive Order levels of government.’’ The agency G. Paperwork Reduction Act 12866 and the Department of expects that general principles of Under the Paperwork Reduction Act Transportation’s regulatory policies and preemption law would operate so as to of 1995 (PRA) (44 U.S.C. 3501, et. seq.), procedures and was not reviewed by the displace any conflicting State law or Federal agencies must obtain approval Office of Management and Budget. regulations. from the Office of Management and B. Regulatory Flexibility Act D. Executive Order 12988 (Civil Justice Budget for each collection of Reform) information they conduct, sponsor, or Pursuant to the Regulatory Flexibility require through regulations. This Act (RFA) (codified as amended at 5 When promulgating a regulation, rulemaking does not establish any new U.S.C. 601 et seq.), whenever an agency Executive Order 12988 specifically information collection requirements. is required to publish a notice of requires that the agency must make proposed rulemaking or final rule, it every reasonable effort to ensure that the H. Plain Language must prepare and make available for regulation, as appropriate: (1) Specifies Executive Order 12866 requires each public comment a regulatory flexibility in clear language the preemptive effect; agency to write all rules in plain analysis that describes the effect of the (2) specifies in clear language the effect language. Application of the principles rule on small entities (i.e., small on existing Federal law or regulation, of plain language includes consideration businesses, small organizations, and including all provisions repealed, of the following questions: small governmental jurisdictions). No circumscribed, displaced, impaired, or • Have we organized the material to regulatory flexibility analysis is required modified; (3) provides a clear legal suit the public’s needs? if the head of an agency certifies that the standard for affected conduct rather • Are the requirements in the rule rule would not have a significant than a general standard, while clearly stated? economic impact on a substantial promoting simplification and burden • Does the rule contain technical number of small entities. The Small reduction; (4) specifies in clear language language or jargon that isn’t clear? Business Regulatory Enforcement the retroactive effect; (5) specifies • Would a different format (grouping Fairness Act (SBREFA) of 1996 whether administrative proceedings are and order of sections, use of headings, amended the Regulatory Flexibility Act to be required before parties may file paragraphing) make the rule easier to to require Federal agencies to provide a suit in court; (6) explicitly or implicitly understand? • statement of the factual basis for defines key terms; and (7) addresses Would more (but shorter) sections certifying that a rule will not have a other important issues affecting clarity be better? • significant economic impact on a and general draftsmanship of Could we improve clarity by adding tables, lists, or diagrams? substantial number of small entities. regulations. • The interim final rule affects tire Pursuant to this Order, NHTSA notes What else could we do to make the manufacturers and brand name owners. as follows. The preemptive effect of this rule easier to understand? If you have any responses to these Specifically, the agency is adding an interim final rule is discussed above in questions, please include them in your alternate route for test convoys using the connection with Executive Order 13132. comments. treadwear test course in order to avoid NHTSA notes further that there is no portions of the course that are currently requirement that individuals submit a I. Regulation Identifier Number (RIN) inaccessible due to flooding. The agency petition for reconsideration or pursue The Department of Transportation has concluded that specifying this other administrative proceeding before assigns a regulation identifier number alternate route will not compromise the they may file suit in court. (RIN) to each regulatory action listed in reliability of the treadwear grades, and E. Unfunded Mandates Reform Act the Unified Agenda of Federal will not result in any additional costs to Regulations. The Regulatory Information these entities. Accordingly, we certify The Unfunded Mandates Reform Act that the interim final rule will not have of 1995 requires agencies to prepare a 4 Adjusting this amount by the implicit gross a significant economic impact on a written assessment of the costs, benefits domestic product price deflator for the year 2011 substantial number of small entities. and other effects of proposed or final results in $139 million (113.361/81.606 = 1.39).

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Service Center publishes the Unified 30182, 30183, and 32908, Pub. L. 104–414, light at separation of US 277 and Loop 467) Agenda in April and October of each 114 Stat. 1800, Pub. L. 109–59, 119 Stat. to picnic area on right. Reverse route at this year. You may use the RIN contained in 1144, Pub. L. 110–140, 121 Stat. 1492, 15 location and proceed north to junction of the heading at the beginning of this U.S.C. 1232(g); delegation of authority at 49 Loop 306 and FM 388 (2). CFR 1.95. document to find this action in the Eastern Loop and Northwestern Loop. From junction of Loop Road 306 and FM 388 Unified Agenda. ■ 2. Amend Appendix A to § 575.104 by adding the paragraphs entitled, (2), complete the Eastern Loop, the J. Privacy Act Northwestern Loop, and then, from junction ‘‘Alternate Route When FM 189 and of Loop Road 306 and FM 388 (2), repeat the Anyone is able to search the Texas 163 are Closed,’’ ‘‘Modified Eastern Loop. electronic form of all comments Southern Loop,’’ ‘‘Eastern Loop and Modified Northwestern Loop. Proceed received into any of our dockets by the Northwestern Loop,’’ ‘‘Modified north on Northwestern Loop as normal until name of the individual submitting the Northwestern Loop,’’ and ‘‘Repeat reaching the intersection of FM 2105 and comment (or signing the comment, if Eastern Loop’’ after the paragraph Texas 208 and turn right onto Texas 208. submitted on behalf of an organization, entitled ‘‘Northwestern Loop’’ to read as Proceed on Texas 208 until the intersection business, labor union, etc.). You may follows: with FM 2034. Turn left onto FM 2034 and review DOT’s complete Privacy Act continue on FM 2034 to the intersection with § 575.104 Uniform tire quality grading US 87. Turn left onto US 87. At the statement in the Federal Register standards. intersection of US 87 and FM 2105 turn left published on April 11, 2000 (Volume * * * * * onto FM 2105 and proceed to the intersection 65, Number 70; Pages 19477–78) or you with US 277. Turn right onto US 277 and may visit http://www.dot.gov/ Appendix A—Treadwear Test Course proceed to the intersection of Loop Road 306 privacy.html and Driving Procedures and FM 388 (2). Repeat Eastern Loop. Turn left onto FM List of Subjects in 49 CFR Part 575 * * * * * 388 and repeat the Eastern Loop. For convoys Alternate Route When FM 189 and Texas Consumer protection, Motor vehicle that originate at Goodfellow AFB, continue 163 are Closed. This alternate test course on FM 388 and proceed to starting point at safety, Reporting and recordkeeping route consists of a Modified Southern Loop, requirements, and tires. junction of Ft. McKavitt Road and FM 388 the Eastern Loop and Northwestern Loop (1). For convoys that do not originate at In consideration of the foregoing, described above, and a Modified Goodfellow AFB, turn left onto Loop Road NHTSA is amending 49 CFR part 575 as Northwestern Loop. 306. follows: Modified Southern Loop. The course begins at the intersection (1) of Ft. McKavitt Road * * * * * PART 575—CONSUMER and Paint Rock Road (FM 388) at the Issued on: October 31, 2013 in Washington, INFORMATION northwest corner of Goodfellow AFB. Drive DC, under authority delegated in 49 CFR east via FM 388 to junction with Loop Road 1.95. ■ 1. Revise the authority citation for part 306 (2). Turn right onto Loop Road 306 and David L. Strickland, proceed south to junction with US 277 (3). Administrator. 575 to read as follows: Turn onto US 277 and proceed south through Authority: 49 U.S.C. 32302, 32304A, Eldorado and Sonora (4), continuing on US [FR Doc. 2013–26581 Filed 11–1–13; 4:15 pm] 30111, 30115, 30117, 30123, 30166, 30181, 277 approximately 5.5 miles (from traffic BILLING CODE 4910–59–P

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Proposed Rules Federal Register Vol. 78, No. 215

Wednesday, November 6, 2013

This section of the FEDERAL REGISTER (ADAMS): You may access publicly the admission or denial of contentions contains notices to the public of the proposed available documents online in the NRC grounded in the National Environmental issuance of rules and regulations. The Library at http://www.nrc.gov/reading- Policy Act of 1969, as amended (NEPA). purpose of these notices is to give interested rm/adams.html. To begin the search, For decisions on environmental persons an opportunity to participate in the select ‘‘ADAMS Public Documents’’ and contentions partially admitting or rule making prior to the adoption of the final rules. then select ‘‘Begin Web-based ADAMS partially denying a request or petition, Search.’’ For problems with ADAMS, the appeal of which would only be please contact the NRC’s Public entertained either a) after the issuance NUCLEAR REGULATORY Document Room (PDR) reference staff at of a final Environmental Impact COMMISSION 1–800–397–4209, 301–415–4737, or by Statement (or other NEPA document) or, email to [email protected]. The alternatively, b) after a final decision in 10 CFR Part 2 ADAMS accession number for each the proceeding (noninterlocutory). document referenced in this document (4) Reducing the scope of 10 CFR [NRC–2013–0050] (if that document is available in 2.311 to include only interlocutory RIN 3150–AJ24 ADAMS) is provided the first time that review of whether a request for hearing a document is referenced. or petition to intervene was properly Potential Changes to Interlocutory • NRC’s PDR: You may examine and denied in its entirety. Orders granting a Appeals Process for Adjudicatory purchase copies of public documents at hearing, but only admitting some Decisions the NRC’s PDR, Room O1–F21, One contentions would not be immediately White Flint North, 11555 Rockville appealable by any party. AGENCY: Nuclear Regulatory Pike, Rockville, Maryland 20852. In addition to presenting these Commission. options, the NRC sought comment on FOR FURTHER INFORMATION CONTACT: ACTION: clarifying the interlocutory review Advance notice of proposed Tison Campbell, Office of the General process. rulemaking; withdrawal. Counsel, U.S. Nuclear Regulatory SUMMARY: The U.S. Nuclear Regulatory Commission, Washington, DC 20555– II. Public Comment on the Potential Commission (NRC) is withdrawing an 0001; telephone: 301–415–8579; email: Changes to 10 CFR 2.311 advance notice of proposed rulemaking [email protected]. The NRC received a single response (ANPR) that presented possible changes SUPPLEMENTARY INFORMATION: during the public comment period, from to its interlocutory appeals process for I. Background the Nuclear Energy Institute (NEI). NEI certain adjudicatory decisions. The NRC suggested that the rulemaking be published the ANPR on April 5, 2013, On April 5, 2013 (78 FR 20498), the deferred, suspended, or withdrawn and solicited public comments. Based NRC published an ANPR soliciting because it will not clearly improve upon the limited public comments public comment on proposed changes to safety or efficiency, and therefore received, the NRC does not believe that its process for interlocutory review of should not be an agency priority. In its amendments to the current regulations rulings on requests for hearings or comments, NEI indicated that there is are warranted at this time. petitions to intervene under § 2.311 of little information available to help Title 10 of the Code of Federal DATES: The ANPR to make changes to predict the advantages and Regulations (10 CFR). The NRC the NRC’s interlocutory appeals process disadvantages of each potential option presented four options for amending the for certain adjudicatory decisions that described in the ANPR. Because of this, 10 CFR 2.311 interlocutory review was published on April 5, 2013 (78 FR NEI supported Option 1—to not take provision: 20498), is withdrawn on November 6, any action at this time. NEI noted that (1) Retaining the current rule without 2013. if the NRC were to proceed with a any change (status quo), which permits rulemaking, Option 2 may result in ADDRESSES: Please refer to Docket ID interlocutory appeals, without any some increased efficiency. NEI did not NRC–2013–0050 when contacting the threshold requirements, of rulings on support Options 3 or 4, and stated that NRC about the availability of requests for hearings or petitions to Option 4 would be an inequitable information for this final rule. You may intervene regarding only whether the standard. access publicly-available information hearing or intervention should be related to this final rule by any of the granted or denied in its entirety. III. Reasons for Withdrawing the ANPR following methods: (2) Increasing the scope of 10 CFR The sole public response to the ANPR • Federal Rulemaking Web site: Go to 2.311 beyond just whether the hearing argued that the NRC should preserve its http://www.regulations.gov and search or intervention should be granted or existing interlocutory appeals standards. for Docket ID NRC–2013–0050. Address denied in its entirety to encompass the No public comments were received in questions about NRC dockets to Carol interlocutory review of each individual favor of modifying the rule. Gallagher; telephone: 301–287–3422; contention admissibility determination. Accordingly, the NRC believes that email: [email protected]. For All appeals would have to be made there is not significant public interest in technical questions, contact the immediately following the issuance of a rule change at this time. The NRC also individuals listed in the FOR FURTHER the ruling by the presiding officer. received no public comments suggesting INFORMATION CONTACT section of this (3) Increasing the scope of 10 CFR that the current interlocutory appeals final rule. 2.311 to encompass the interlocutory process is inefficient, prejudicial, or • NRC’s Agencywide Documents review of each individual contention otherwise deficient. For these reasons, Access and Management System admissibility determination, except for the NRC is withdrawing the ANPR.

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Dated at Rockville, Maryland, this 25th day personal information provided. Paper Deposit Insurance Corporation,’’ can be of October 2013 copies of public comments may be found at 12 CFR part 340 1 (‘‘Part 340’’). For the Nuclear Regulatory Commission. ordered from the Public Information Because Section 210(r) and Section Margaret M. Doane, Center by telephone at 703–562–2200 or 11(p) share substantially similar General Counsel, Office of the General 1–877–275–3342. statutory language, Part 340 serves as a model for the proposed rule. Although Counsel. FOR FURTHER INFORMATION CONTACT: Part 340 and the proposed rule are [FR Doc. 2013–26582 Filed 11–5–13; 8:45 am] Marc Steckel, Deputy Director, Division similar in many ways, the proposed rule BILLING CODE 7590–01–P of Resolutions and Receiverships, 202– is distinct because it applies to sales of 898–3618; Craig Rice, Senior Capital covered financial company assets by the Markets Specialist, Division of FDIC and does not apply to sales of FEDERAL DEPOSIT INSURANCE Resolutions and Receiverships, 202– CORPORATION failed insured depository institution 898–3501; Chuck Templeton, Senior assets. A covered financial company Resolution Planning & Implementation 12 CFR Part 380 resolution will be different from an Specialist, Office of Complex Financial insured depository institution RIN 3064–AE05 Institutions, 202–898–6774; Elizabeth resolution because the nature of the Falloon, Supervisory Counsel, Legal assets and the manner in which sales Restrictions on Sales of Assets of a Division, 703–562–6148; Shane are conducted will be different. Covered Financial Company by the Kiernan, Counsel, Legal Division, 703– Furthermore, although the FDIC has Federal Deposit Insurance Corporation 562–2632; Federal Deposit Insurance been appointed as receiver of hundreds Corporation, 550 17th Street NW., AGENCY: Federal Deposit Insurance of insured depository institutions, Washington, DC 20429. Corporation. appointment of the FDIC as receiver for ACTION: Notice of proposed rulemaking. SUPPLEMENTARY INFORMATION: a covered financial company is expected to be rare. The proposed rule would not I. Background SUMMARY: The Federal Deposit apply to sales of assets of a failed Insurance Corporation (‘‘FDIC’’) is Section 210(r) of the Dodd-Frank Wall insured depository institution by the proposing a rule to implement a section Street Reform and Consumer Protection FDIC and prospective purchasers of the Dodd-Frank Wall Street Reform Act, 12 U.S.C. 5390(r) (‘‘Section seeking to buy assets of an insured and Consumer Protection Act (‘‘Dodd- 210(r)’’), prohibits certain sales of assets depository institution from the FDIC Frank Act’’). Under the section, held by the FDIC in the course of should refer to Part 340 only. individuals or entities that have, or may liquidating a covered financial The proposed rule addresses the have, contributed to the failure of a company, including sales of equity statutory prohibitions contained in ‘‘covered financial company’’ cannot stakes in subsidiaries. The Dodd-Frank Section 210(r). It does not address other buy a covered financial company’s Act requires the FDIC to promulgate restrictions on sales of assets. For assets from the FDIC. This proposed regulations which, at a minimum, instance, the proposed rule does not rule establishes a self-certification prohibit the sale of an asset of a covered address sales of assets by the FDIC to its process that is a prerequisite to the financial company by the FDIC to: (1) own employees or to contractors it purchase of assets of a covered financial Any person who has defaulted, or was engages. Further, the proposed rule is company from the FDIC. a member of a partnership or an officer separate and apart from any policy that the FDIC has, or may adopt or amend, DATES: Written comments must be or director of a corporation that has regarding collection of amounts owed received by the FDIC not later than defaulted, on one or more obligations by obligors of a failed insured January 6, 2014. exceeding $1,000,000 to such covered depository institution or a covered ADDRESSES: You may submit comments financial company, has been found to have engaged in fraudulent activity in financial company. The focus of a by any of the following methods: collection policy is to encourage • Agency Web site: http:// connection with such obligation, and proposes to purchase any such asset in delinquent obligors to promptly repay www.fdic.gov/regulations/laws/federal/ or settle obligations, which is outside propose.html. Follow instructions for whole or in part through the use of financing from the FDIC; (2) any person the scope of Section 210(r) and the submitting comments on the Agency proposed rule. Web site. who participated, as an officer or • Email: [email protected]. director of such covered financial Section-by-Section Analysis company or of any affiliate of such Include ‘‘RIN 3064–AE05’’ in the subject Paragraph (a)(1) of the proposed rule company, in a material way in any line of the message. states its purpose, which is to prohibit transaction that resulted in a substantial • Mail: Robert E. Feldman, Executive individuals or entities who profited or loss to such covered financial company; Secretary, Attention: Comments, Federal engaged in wrongdoing at the expense or (3) any person who has demonstrated Deposit Insurance Corporation, 550 17th of a covered financial company, or a pattern or practice of defalcation Street NW., Washington, DC 20429. seriously mismanaged a covered regarding obligations to such covered • Hand Delivery/Courier: Guard financial company, from buying assets financial company. station at the rear of the 550 17th Street of any covered financial company from Building (located on F Street) on A similar restriction applicable to the FDIC. business days between 7 a.m. and 5 p.m. sales of assets of insured depository Paragraph (a)(2) describes the (EDT). institutions in conservatorship or proposed rule’s applicability. Paragraph • Federal eRulemaking Portal: http:// receivership is found in section 11(p) (a)(2)(i) states that the proposed rule www.regulations.gov/. Follow the the Federal Deposit Insurance Act, 12 applies to sales of assets of a covered instructions for submitting comments. U.S.C. 1821(p) (‘‘Section 11(p)’’). The financial company by the FDIC. The • Public Inspection: All comments FDIC promulgated a rule implementing assets of a covered financial company received will be posted without change this statutory proscription on July 1, vary in character and composition, and to http://www.fdic.gov/regulations/laws/ 2000. That rule, entitled ‘‘Restrictions federal/propose.html including any on the Sale of Assets by the Federal 1 See 65 FR 14816 (July 1, 2000).

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range from personal property to restriction applies only to the sale of the manner and terms of the sale, it will ownership of subsidiary companies and assets by the FDIC to an underwriter in require the purchaser’s certification that entire operating divisions. an initial offering, and not to any other the purchaser is not prohibited from The proposed rule would apply to purchaser of the securities because purchasing the asset. sales by the FDIC both as receiver and subsequent sales to other purchasers Section 210(r) creates an exception in its corporate capacity. The FDIC may, would not be conducted by the FDIC. from the prohibition on asset sales for in its corporate capacity, purchase a Paragraph (a)(2)(iv) clarifies the sales made pursuant to a settlement covered financial company’s assets from applicability of Section 210(r) and the agreement with the prospective the receiver and then market those proposed rule to certain types of purchaser. It states that the prohibition assets to the public. The proposed rule transactions involving marketable does not apply if the sale or transfer of makes clear that the prohibitions on securities and other financial the asset resolves or settles, or is part of sales to certain individuals and entities instruments. Paragraph (a)(3)(i) the resolution or settlement of, one or apply to sales by the FDIC in any expressly states that the prohibition more claims that have been, or could capacity. does not apply to the sale of a security, have been, asserted by the FDIC against Paragraph (a)(2)(ii) delineates the commodity, ‘‘qualified financial the person regardless of the amount of applicability of the proposed rule to contract’’ (as defined in 12 U.S.C. such claims or obligations. The sales by a bridge financial company. 1821(e)(10)), or other financial proposed rule provides in paragraph Sales of bridge financial company assets instrument where the customary (a)(2)(vi) that such sales are outside the are not expressly subject to the statutory manner for sale and settlement does not scope of the proposed rule. prohibition under Section 210(r) permit the seller to exercise any control Paragraph (a)(3) makes expressly clear because once such assets are transferred in selecting the purchaser and the sale that the FDIC retains the authority to to the bridge financial company, they actually is conducted in this customary establish other policies restricting asset are no longer ‘‘assets of a covered manner. For example, if the FDIC as sales and expressly contemplates, financial company’’ that are being sold receiver for a covered financial among other things, the adoption of a ‘‘by the [FDIC].’’ The statute permits the company were to sell publicly-traded policy prohibiting the sale of assets to FDIC to promulgate a more restrictive stocks or bonds that the covered other prospective purchasers, such as regulation than is required under financial company held for investment, certain employees or contractors that Section 210(r), which sets forth a it might well order the covered financial the FDIC engages, or individuals or ‘‘minimum’’ requirement. The proposed company’s broker or custodian to entities who are in default on rule would cover sales by a bridge conduct the sale. The broker or obligations to the FDIC. The restrictions financial company if the FDIC’s custodian would then tender the of the proposed rule are, however, approval of the sale is required under securities to the market and accept limited to sales of assets of a covered the bridge financial company’s prevailing market terms offered by financial company. corporate governance structure. Sales another broker, a specialist, a central Paragraph (b) sets forth definitions conducted in the ordinary course of counterparty or a similar financial used in the proposed rule. Several of business by staff of the bridge financial intermediary who would then sell the these definitions have been adopted company would not, on the other hand, security to another purchaser. In this from Part 340, such as the definitions of require approval. scenario it is not possible for the FDIC ‘‘person,’’ ‘‘associated person’’ and In general, the FDIC anticipates that a as receiver to control selection of the ‘‘default.’’ The term ‘‘financial bridge financial company’s charter, end purchaser at the time of sale, thus intermediary,’’ which is not found in articles of incorporation or bylaws will such a transaction is not a ‘‘sale . . . by Part 340, has been defined for use in the require that the bridge financial the [FDIC]’’ to a prospective purchaser proposed rule as well. company obtain approval from the FDIC within the meaning of the statute Paragraph (c) of the proposed rule sets as receiver before conducting certain because the FDIC has no way to select forth the operative rule for restricting significant transactions, such as a sale of the prospective purchaser. Moreover, a asset sales. An individual or entity is a material subsidiary or line of business. prospective purchaser of such assets ineligible to purchase assets from a Because a bridge financial company will not be able to select the FDIC as the covered financial company if it or its would be established by the FDIC to seller and therefore could not determine ‘‘associated person’’ has committed an more efficiently resolve a covered whether Section 210(r) and the act that meets one or more of the financial company, the FDIC believes proposed rule apply to the transaction. conditions under which the sale would that the imposition of the restrictions set Under paragraph (a)(2)(v), judicial or be prohibited. In applying the rule, the forth in the proposed rule on certain trustee’s sales of property that secures first step is to determine whether the sales by a bridge financial company an obligation to the FDIC as receiver for ‘‘person’’ who is the prospective furthers the objective of Section 210(r) a covered financial company would not purchaser is an individual or an entity. by prohibiting the same persons be covered. Although the FDIC as The next step is to determine who restricted from buying covered financial receiver has a security interest in the qualifies as an ‘‘associated person’’ company assets (officers and directors property serving as collateral and has (as defined in paragraph (b)(1) of the who engaged in fraudulent activity or authority to initiate the foreclosure proposed rule) of that prospective caused substantial losses to a covered action, the selection of the purchaser purchaser. If the prospective purchaser financial company, for example) from and terms of the sale are not within the is an individual, then the prospective buying those assets after those assets FDIC’s control. Rather, the court or purchaser is ineligible to purchase any have been transferred to a bridge trustee conducts the sale in accordance asset of a covered financial company financial company. with applicable State law and selects from the FDIC if that individual or (i) Paragraph (a)(2)(iii) clarifies the the purchaser. In this situation, the sale that individual’s spouse dependent proposed rule’s applicability to sales of is not a sale by the FDIC. This exception child or member of his or her securities backed by a pool of assets does not affect sales of collateral by the household, or (ii) any partnership or (which pool may include assets of a FDIC where the FDIC is in possession of limited liability company of which the covered financial company) by a trust or the property and conducts the sale individual is or was a member, manager other entity. It provides that the itself. Where the FDIC has control over or general or limited partner, or (iii) any

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corporation of which the individual is a judicial or administrative action substantial loss to one or more covered or was an officer or director has brought by the FDIC or by any financial companies. committed an act that would render the component of the government of the Although the statute restricts only the individual ineligible to purchase. If the United States or of any State to have: (1) sale of assets of the covered financial prospective purchaser is a partnership Violated any law, regulation, or order company that held the defaulted or other entity, then it is ineligible to issued by a Federal or State regulatory obligation of the prospective purchaser, purchase if either the purchasing entity agency, or breached or defaulted on a restrictions contained in the proposed or (i) its managing or general partner or written agreement with a Federal or rule apply regardless of which covered managing member, or (ii) an individual State regulatory agency or breached a financial company’s assets are being or entity that owns or controls 25% or written agreement with a covered sold. The FDIC believes adopting this more of the entity has committed an act financial company; or (2) breached a more stringent approach is consistent that would render the entity ineligible fiduciary duty owed to a covered with the Act because the statute sets to purchase. financial company. A ‘‘substantial loss,’’ only the minimum standards that the The proposed rule describes the defined in paragraph (b)(9), means: (1) FDIC must meet with its proposed rule. conditions under which a sale would be An obligation that is delinquent for Paragraph (d) of the proposed rule prohibited in paragraph (c)(1). A person ninety (90) or more days and on which restricts asset sales when the FDIC is ineligible to purchase any asset of a a balance of more than $50,000 remains provides seller financing, including covered financial company from the outstanding; (2) a final judgment in financing authorized under section FDIC if it or its associated person, prior excess of $50,000 remains unpaid, 210(h)(9) of the Dodd-Frank Act. It to the appointment of the FDIC as regardless of whether it becomes restricts a prospective purchaser from receiver for the covered financial forgiven in whole or in part in a borrowing money or accepting credit company: (A) Has participated as an bankruptcy proceeding; (3) a deficiency from the FDIC in connection with the officer or director of a covered financial balance following a foreclosure or other purchase of covered financial company company or an affiliate thereof in a sale of collateral in excess of $50,000 assets if there has been a default with ‘‘material way in a transaction that exists, regardless of whether it becomes respect to one or more obligations caused a substantial loss to a covered forgiven in whole or in part in a totaling in excess of $1,000,000 owed by financial company’’ (as defined in bankruptcy proceeding; or (4) any loss that person or its associated person and paragraph (c)(2) discussed below); (B) in excess of $50,000 evidenced by an the person or its associated person made has been removed from, or prohibited IRS Form 1099–C (Information any fraudulent misrepresentations in from participating in the affairs of, an Reporting for Cancellation of Debt). connection with such obligation(s). insured depository institution, an There is no reprieve for a prospective In this proposed rule, the FDIC does insurance company or a financial purchaser who has participated in a not intend to imply that it will provide company pursuant to any final material way in a transaction that seller financing in connection with any enforcement action by its primary caused a substantial loss to a covered asset sales nor that, if it elects to provide financial regulatory agency; (C) has financial company. Such prospective seller financing, it will do so to a person demonstrated a pattern or practice of purchaser is indefinitely prohibited who does not meet other criteria that the defalcation regarding obligations to any from purchasing assets of any covered FDIC may lawfully impose, such as financial company; (D) has been financial company from the FDIC creditworthiness. The FDIC has no convicted of committing or conspiring notwithstanding the passage of any obligation to provide seller financing to commit any offense under 18 U.S.C. amount of time. even if the person is not in any way 215, 656, 657, 1005, 1006, 1007, 1008, The approach to determine whether a disqualified from purchasing assets 1014, 1032, 1341, 1343 or 1344 (having person has participated in a material from the FDIC under the restrictions set generally to do with financial crimes, way in a transaction that has caused a forth in the proposed rule. Further, fraud and embezzlement) affecting any substantial loss to a covered financial under paragraph (e) of the proposed covered financial company and is in company is comparatively similar to the rule, the FDIC expressly reserves its default with respect to one or more approach under Part 340. In the authority to promulgate other policies obligations owed by that person or its proposed rule, the dollar threshold for and rules restricting purchaser associated person; or (E) would be a substantial loss is set at $50,000, just eligibility to buy assets from the FDIC. prohibited from purchasing assets from as it is in Part 340. The FDIC believes Paragraph (f) sets forth the a failed insured depository institution that the $50,000 threshold is consistent requirement that a prospective under 12 U.S.C. 1821(p) and its with the Act because the statute sets the purchaser certify, before purchasing any implementing regulation at 12 CFR part standards that the FDIC shall, at a asset from the FDIC and under penalty 340. minimum, establish by regulation and of perjury, that none of the restrictions The proposed rule establishes leaves the interpretation of subjective in the proposed rule applies to the sale. parameters to determine whether an terms within the FDIC’s discretion. This requirement creates an effective individual or entity has participated in Under paragraph (c)(3) of the mechanism to comply with Section a ‘‘material way in a transaction that proposed rule, a person or its associated 210(r) and the proposed rule. The FDIC caused a substantial loss to a covered person has demonstrated a ‘‘pattern or will provide the form for the financial company’’ as this concept is practice of defalcation’’ with respect to certification and the proposed rule used but not defined in the statute. obligations to a covered financial contemplates that the form may change Under paragraph (c)(2), a person has company if the person or associated over time. Certain types of entities are participated in a material way in a person has engaged in more than one exempt from this self-certification transaction that caused a substantial transaction that created an obligation on requirement, unless the Director of the loss to a covered financial company if, the part of such person or its associated FDIC’s Division of Resolutions and in connection with a substantial loss to person with intent to cause a loss to a Receiverships (or designee) determines a covered financial company, that covered financial company or with that a certification is required. These person has been found in a final reckless disregard for whether such exempted entities are: (1) State or determination by a court or transactions would cause a loss and the political subdivisions of a State; (2) administrative tribunal, or is alleged in transactions, in the aggregate, caused a Federal agencies or instrumentalities

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such as the Government National IV. Regulatory Analysis and Procedure Affected Public: Prospective Mortgage Association; (3) federally- purchasers of covered financial A. Paperwork Reduction Act regulated, government-sponsored company assets. enterprises such as the Federal National 1. Request for Comment on Proposed Frequency of Response: Event Mortgage Association or the Federal Information Collection generated. Home Loan Mortgage Corporation; and In accordance with the requirements (4) bridge financial companies Estimated Number of Respondents: of the Paperwork Reduction Act of 1995 20. established by the FDIC. Because of the (44 U.S.C. 3501, et seq.) (the ‘‘PRA’’), nature of these entities, including their the FDIC may not conduct or sponsor, Time per Response: 30 minutes. organizational purposes or goals and the and the respondent is not required to Total Estimated Annual Burden: 10 fact that they are subject to strict respond to, an information collection hours. governmental control or oversight, it is unless it displays a currently valid reasonable to presume compliance B. Regulatory Flexibility Act Office of Management and Budget without requiring self-certification. (‘‘OMB’’) control number. As indicated The Regulatory Flexibility Act (5 III. Request for Comments by § 380.13(f) of the proposed rule, the U.S.C. 601 et seq.) requires an agency The FDIC requests comments on any FDIC intends to develop a purchaser that is issuing a proposed rule to aspect of the proposed rule that would eligibility certification form relating to prepare and make available an initial be helpful in refining the proposed rule this proposed rule. The form would be regulatory flexibility analysis of a further. In addition, the FDIC used to establish compliance with the proposed regulation. The Regulatory specifically requests comments on the proposed rule by a prospective Flexibility Act provides, however, that following issues: purchaser of assets of a covered an agency is not required to prepare and • Whether it is appropriate to financial company from the FDIC. The publish a regulatory flexibility analysis prohibit individuals or entities who FDIC believes that the certification is a if the agency certifies that the proposed profited or engaged in wrongdoing at collection of information under the PRA rule will not have a significant the expense of a covered financial and, consistent with the requirements of economic impact on a substantial company or seriously mismanaged a 5 CFR 1320.11, the FDIC has submitted number of small entities. The FDIC covered financial company from buying the form to OMB for review under hereby certifies pursuant to 5 U.S.C. assets of any covered financial company section 3507(d) of the PRA. 605(b) that the proposed rule would not from the FDIC, rather than prohibiting Comments are invited on: have a significant economic impact on the individual or entity from buying an • Whether the collection of a substantial number of small entities asset of only the specific covered information is necessary for the proper within the meaning of the Regulatory financial company that the individual or performance of the agencies’ functions, Flexibility Act. including whether the information has entity had been involved with. Under regulations issued by the Small • Whether it is appropriate to practical utility; Business Administration (13 CFR prohibit individuals or entities that • The accuracy of the estimates of the 121.201), a ‘‘small entity’’ includes profited or engaged in wrongdoing at burden of the information collection, those firms in the ‘‘Finance and the expense of an insured depository including the validity of the Insurance’’ sector whose size varies institution or seriously mismanaged an methodology and assumptions used; from $7 million or less in assets to $175 insured depository institution from • Ways to enhance the quality, utility, million or less in assets. The proposed buying assets of a covered financial and clarity of the information to be rule is promulgated under the Title II of company from the FDIC. collected; • Whether the description in • Ways to minimize the burden of the the Dodd-Frank Act, which establishes paragraph (a)(3) of the transactions that information collection on respondents, a regime for the orderly liquidation of are not prohibited under Section 210(r) including through the use of automated the nation’s largest, and most systemic or the proposed rule adequately collection techniques or other forms of companies. For instance, companies describes the range of transactions in information technology; and subject to enhanced supervision under which the customary manner for sale • Estimates of capital or start-up costs the Dodd-Frank Act include bank and settlement does not permit the and costs of operation, maintenance, holding companies with assets in excess seller to know the identity of the and purchase of services to provide of $50,000,000.00. The orderly purchaser or to exercise any control in information. liquidation of assets of such a large, selecting the purchaser. All comments will become a matter of systemic company generally will • Whether the definition of public record. Commenters may submit involve the sale of significant ‘‘associated person’’ should be comments on the proposed information subsidiaries and business lines rather expanded or clarified. collection and burden estimates at the than smaller asset sales, and such sales are unlikely to impact a substantial • Whether the dollar threshold in the addresses listed under the ADDRESSES definition of ‘‘substantial loss’’ is heading above. A copy of the comments number of small entities. appropriate. may also be submitted to the attention Moreover, the burden imposed by this • Whether the scope of entities that of the OMB desk officer for the FDIC: By proposed rule is the completion of a would be exempt from the self- mail to U.S. Office of Management and certification form described above in the certification process described in Budget, 725 17th Street NW., #10235, Paperwork Reduction Act section. paragraph (f) should be supplemented Washington, DC 20503; by facsimile to Completing the certification form does with other types of entities that might 202–395–6974; or by email to: oira_ not require the use of professional skills purchase assets from the FDIC, or [email protected]. or the preparation of special reports or whether any of the entities excepted records and has a minimal economic under paragraph (f) should in fact be 2. Proposed Information Collection impact on those individuals and entities required to certify compliance. Title of Information Collection: that seek to purchase assets from the All comments must be received by the Covered Financial Company Purchaser FDIC. Thus, any impact on small FDIC not later than January 6, 2014. Eligibility Certification. entities will not be substantial.

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C. Plain Language company and the authorities of its board (B) A partnership of which the Section 722 of the Gramm-Leach- of directors and executive officers. individual is or was a general or limited Bliley Act of 1999 (Pub. L. 106–102, 113 (iii) In the case of a sale of securities partner or a limited liability company of Stat. 1338, 1471) requires the Federal backed by a pool of assets that may which the individual is or was a banking agencies to use plain language include assets of a covered financial member; or in all proposed and final rules company by a trust or other entity, this (C) A corporation of which the published after January 1, 2000. The section applies only to the sale of assets individual is or was an officer or FDIC has sought to present the proposed by the FDIC to an underwriter in an director; rule in a simple and straightforward initial offering, and not to any other (ii) With respect to a partnership, a manner. The FDIC invites comments on purchaser of the securities. managing or general partner of the whether the proposed rule is clearly (iv) The restrictions of this section do partnership or with respect to a limited stated and effectively organized, and not apply to a sale of a security or a liability company, a manager; or how the FDIC might make the proposed group or index of securities, a (iii) With respect to any entity, an rule text easier to understand. commodity, or any qualified financial individual or entity who, acting contract that customarily is traded individually or in concert with one or List of Subjects in 12 CFR Part 380 through a financial intermediary, as more individuals or entities, owns or Asset disposition, Bank holding defined in paragraph (b) of this section, controls 25 percent or more of the companies, Covered financial where the seller cannot control selection entity. companies, Financial companies, of the purchaser and the sale is Default. The term ‘‘default’’ means Holding companies, Insurance consummated through that customary any failure to comply with the terms of companies, Nonbank financial practice. an obligation to such an extent that: companies. (v) The restrictions of this section do (i) A judgment has been rendered in For the reasons set forth in the not apply to a judicial sale or a trustee’s favor of the FDIC or a covered financial preamble, the Federal Deposit Insurance sale of property that secures an company; or Corporation proposes to amend 12 CFR obligation to the FDIC where the sale is (ii) In the case of a secured obligation, 380 as follows: not conducted or controlled by the the lien on property securing such FDIC. obligation has been foreclosed. PART 380—ORDERLY LIQUIDATION (vi) The restrictions of this section do Financial intermediary. The term AUTHORITY not apply to the sale or transfer of an ‘‘financial intermediary’’ means any asset if such sale or transfer resolves or broker, dealer, bank, underwriter, ■ 1. Revise the authority for part 380 to settles, or is part of the resolution or exchange, clearing agency registered read as follows: settlement of, one (1) or more claims or with the SEC under section 17A of the Authority: 12 U.S.C. 5389; 12 U.S.C. obligations that have been, or could Securities Exchange Act of 1934, 5390(s)(3); 12 U.S.C. 5390(b)(1)(C); 12 U.S.C. have been, asserted by the FDIC against transfer agent (as defined in section 5390(a)(7)(D); 12 U.S.C. 5381(b); 12 U.S.C. the person with whom the FDIC is 3(a)(25) of the Securities Exchange Act 5390(r). settling regardless of the amount of such of 1934), central counterparty or any ■ 2. Add § 380.13 to read as follows: claims or obligations. other entity whose role is to facilitate a § 380.13 Restrictions on sale of assets of (3) The FDIC retains the authority to transaction by, as a riskless a covered financial company by the Federal establish other policies restricting asset intermediary, purchasing a security or Deposit Insurance Corporation. sales. Neither 12 U.S.C. 5390(r) nor qualified financial contract from one (a) Purpose and applicability—(1) § 380.13 in any way limits the authority counterparty and then selling it to Purpose. The purpose of this section is of the FDIC to establish policies another. to prohibit individuals or entities that prohibiting the sale of assets to Obligation. The term ‘‘obligation’’ profited or engaged in wrongdoing at prospective purchasers who have means any debt or duty to pay money the expense of a covered financial injured the respective covered financial owed to the FDIC or a covered financial company or an insured depository company, or to other prospective company, including any guarantee of institution, or seriously mismanaged a purchasers, such as certain employees any such debt or duty. covered financial company or an or contractors of the FDIC, or Person. The term ‘‘person’’ means an insured depository institution, from individuals who are not in compliance individual, or an entity with a legally buying assets of a covered financial with the terms of any debt or duty owed independent existence, including: A company from the FDIC. to the FDIC in any of its capacities. Any trustee; the beneficiary of at least a 25 (2) Applicability. (i) The restrictions such policies may be independent of, in percent share of the proceeds of a trust; of this section apply to the sale of assets conjunction with, or in addition to the a partnership; a limited liability of a covered financial company by the restrictions set forth in this part. company, a corporation; an association; FDIC as receiver or in its corporate (b) Definitions. Many of the terms or other organization or society. capacity. used in this section are defined in the Substantial loss. The term (ii) The restrictions in this section Dodd-Frank Wall Street Reform and ‘‘substantial loss’’ means: apply to the sale of assets of a bridge Consumer Protection Act, 12 U.S.C. (i) An obligation that is delinquent for financial company if: 5301, et seq. Additionally, for the ninety (90) or more days and on which (A) The sale is not in the ordinary purposes of this section, the following there remains an outstanding balance of course of business of the bridge terms are defined: more than $50,000; financial company, and Associated person. An ‘‘associated (ii) An unpaid final judgment in (B) The approval or non-objection of person’’ of an individual or entity excess of $50,000 regardless of whether the FDIC is required in connection with means: it becomes forgiven in whole or in part the sale according to the charter, articles (i) With respect to an individual: in a bankruptcy proceeding; of association, bylaws or other (A) The individual’s spouse or (iii) A deficiency balance following a documents or instruments establishing dependent child or any member of his foreclosure of collateral in excess of the governance of the bridge financial or her immediate household; $50,000, regardless of whether it

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becomes forgiven in whole or in part in person has demonstrated a ‘‘pattern or By Order of the Board of Directors, Federal a bankruptcy proceeding; or practice of defalcation’’ regarding Deposit Insurance Corporation. (iv) Any loss in excess of $50,000 obligations to a covered financial Valerie J. Best, evidenced by an IRS Form 1099–C company if the person or associated Assistant Executive Secretary. (Information Reporting for Cancellation person has: [FR Doc. 2013–26544 Filed 11–5–13; 8:45 am] of Debt). (i) Engaged in more than one BILLING CODE 6714–01–P (c) Restrictions on the sale of assets. transaction that created an obligation on (1) A person may not acquire any assets the part of such person or its associated of a covered financial company from the person with intent to cause a loss to any DEPARTMENT OF TRANSPORTATION FDIC if, prior to the appointment of the financial company or with reckless FDIC as receiver for the covered disregard for whether such transactions Federal Aviation Administration financial company, the person or its would cause a loss to any such financial associated person: company; and 14 CFR Part 39 (i) Has participated as an officer or (ii) The transactions, in the aggregate, director of a covered financial company caused a substantial loss to one or more [Docket No. FAA–2013–0937; Directorate or of an affiliate of a covered financial covered financial companies. Identifier 2013–CE–029–AD] company in a material way in one or (d) Restrictions when FDIC provides RIN 2120–AA64 more transactions that caused a seller financing. A person may not substantial loss to a covered financial borrow money or accept credit from the Airworthiness Directives; Diamond company; FDIC in connection with the purchase of Aircraft Industries GmbH Airplanes (ii) Has been removed from, or any assets from the FDIC or any covered prohibited from participating in the financial company if: AGENCY: Federal Aviation affairs of, a financial company pursuant (1) There has been a default with Administration (FAA), Department of to any final enforcement action by its respect to one or more obligations Transportation (DOT). primary financial regulatory agency; totaling in excess of $1,000,000 owed by ACTION: Notice of proposed rulemaking (iii) Has demonstrated a pattern or that person or its associated person; and (NPRM). practice of defalcation regarding (2) The person or its associated person obligations to a covered financial made any fraudulent misrepresentations SUMMARY: We propose to adopt a new company; in connection with any such airworthiness directive (AD) for certain (iv) Has been convicted of committing obligation(s). Diamond Aircraft Industries GmbH or conspiring to commit any offense (e) No obligation to provide seller Models DA 42 NG and DA 42 M–NG under 18 U.S.C. 215, 656, 657, 1005, financing. The FDIC still has the right to airplanes. This proposed AD results 1006, 1007, 1008, 1014, 1032, 1341, make an independent determination, from mandatory continuing 1343 or 1344 affecting any covered based upon all relevant facts of a airworthiness information (MCAI) financial company and there has been a person’s financial condition and history, originated by an aviation authority of default with respect to one or more of that person’s eligibility to receive any another country to identify and correct obligations owed by that person or its loan or extension of credit from the an unsafe condition on an aviation associated person; or FDIC, even if the person is not in any product. The MCAI describes the unsafe (v) Would be prohibited from way disqualified from purchasing assets condition as the failure of the alternator purchasing the assets of a failed insured from the FDIC under the restrictions set indication system to indicate warning depository institution from the FDIC forth in this section. when one alternator is inoperative. We under 12 U.S.C. 1821(p) or its (f) Purchaser eligibility certificate are issuing this proposed AD to require implementing regulation at 12 CFR part required. (1) Before any person may actions to address the unsafe condition 340. purchase any asset from the FDIC that on these products. (2) For purposes of paragraph (c)(1) of person must certify, under penalty of DATES: We must receive comments on this section, a person has participated in perjury, that none of the restrictions this proposed AD by December 23, a ‘‘material way in a transaction that contained in this section applies to the 2013. caused a substantial loss to a covered purchase. The FDIC may establish the financial company’’ if, in connection form of the certification and may change ADDRESSES: You may send comments by with a substantial loss to the covered the form from time to time. any of the following methods: financial company, the person has been (2) Notwithstanding paragraph (f)(1) • Federal eRulemaking Portal: Go to found in a final determination by a of this section, and unless the Director http://www.regulations.gov. Follow the court or administrative tribunal, or is of the FDIC’s Division of Resolutions instructions for submitting comments. alleged in a judicial or administrative and Receiverships, or designee, in his or • Fax: (202) 493–2251. action brought by a primary financial her discretion so requires, a certification • Mail: U.S. Department of regulatory agency or by any component need not be provided by: Transportation, Docket Operations, M– of the government of the United States (i) A State or political subdivision of 30, West Building Ground Floor, Room or of any state: a State; W12–140, 1200 New Jersey Avenue SE., (i) To have violated any law, (ii) A Federal agency or Washington, DC 20590. regulation, or order issued by a Federal instrumentality such as the Government • Hand Delivery: U.S. Department of or State regulatory agency, or breached National Mortgage Association; Transportation, Docket Operations, M– or defaulted on a written agreement (iii) A federally-regulated, 30, West Building Ground Floor, Room with a Federal or State regulatory government-sponsored enterprise such W12–140, 1200 New Jersey Avenue SE., agency, or breached a written agreement as Federal National Mortgage Washington, DC 20590, between 9 a.m. with a covered financial company; or Association or Federal Home Loan and 5 p.m., Monday through Friday, (ii) To have breached a fiduciary duty Mortgage Corporation; or except Federal holidays. owed to a covered financial company. (iv) A bridge financial company. For service information identified in (3) For purposes of paragraph (c)(1) of Dated at Washington, DC, this 30th day of this proposed AD, contact Diamond this section, a person or its associated October 2013. Aircraft Industries GmbH, N.A. Otto-

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Stra+e 5, A–2700 Wiener Neustadt, correct an unsafe condition for the all dated July 8, 2013. The actions Austria, telephone: +43 2622 26700; fax: specified products. The MCAI states: described in this service information are +43 2622 26700 1369; email: During maintenance troubleshooting of the intended to correct the unsafe condition [email protected]; Internet: DA 42 NG alternator indication system it has identified in the MCAI. http://www.diamond-air.at. You may been discovered that, with one alternator FAA’s Determination and Requirements review copies of the referenced service inoperative, the system did not give a information at the FAA, Small Airplane warning indication as described in the of the Proposed AD Directorate, 901 Locust, Kansas City, Airplane Flight Manual. This product has been approved by Missouri 64106. For information on the Subsequent investigation results showed the aviation authority of another availability of this material at the FAA, that the voltage regulator warning circuit, country, and is approved for operation which is part of the engine, monitors Bus in the United States. Pursuant to our call (816) 329–4148. Voltage and is the only trigger for the bilateral agreement with this State of Examining the AD Docket alternator fail annunciation. As a result, one alternator may fail but the related voltage Design Authority, they have notified us You may examine the AD docket on regulator does not trigger the alternator fail of the unsafe condition described in the the Internet at http:// annunciation as the voltage is being held at MCAI and service information www.regulations.gov by searching for the regular level by the second alternator on referenced above. We are proposing this and locating it in Docket No. FAA– board. AD because we evaluated all 2013–0937; or in person at the Docket The remaining generating system information and determined the unsafe Management Facility between 9 a.m. indication for the pilot is unaffected. The condition exists and is likely to exist or ampere-meter is indicating a load on each and 5 p.m., Monday through Friday, develop on other products of the same except Federal holidays. The AD docket alternator and in case of a Low Voltage condition a caution message will be type design. contains this proposed AD, the displayed. Costs of Compliance regulatory evaluation, any comments This condition, if not corrected, could lead received, and other information. The to an undetected loss of one engine alternator We estimate that this proposed AD street address for the Docket Office and reduced capability of the electrical will affect 26 products of U.S. registry. (telephone (800) 647–5527) is in the generating power system, possibly impairing We also estimate that it would take ADDRESSES section. Comments will be safe continuation of the flight. about 2 work-hours per product to available in the AD docket shortly after Prompted by this event, Diamond Aircraft comply with the basic requirements of receipt. Industries (DAI) introduced at airframe level this proposed AD. The average labor an additional independent alternator fail FOR FURTHER INFORMATION CONTACT : caution trigger by using the G1000 ampere- rate is $85 per work-hour. Required Mike Kiesov, Aerospace Engineer, FAA, meter signals. The trigger is set once an parts would cost about $115 per Small Airplane Directorate, 901 Locust, alternator provides less than 5A and thus product. Room 301, Kansas City, Missouri 64106; indicates electrical power supply failure to Based on these figures, we estimate telephone: (816) 329–4144; fax: (816) the ship system. the cost of the proposed AD on U.S. 329–4090; email: [email protected]. DAI issued Mandatory Service Bulletin operators to be $7,410, or $285 per SUPPLEMENTARY INFORMATION: (MSB) 42NG–003/12 providing instructions product. for installation of the Secondary Comments Invited Configuration Card Part Number (P/N) 010– Authority for This Rulemaking We invite you to send any written 12074–02 ‘‘Additional ALTN FAIL trigger’’ Title 49 of the United States Code with system software P/N 010–00670–10 relevant data, views, or arguments about specifies the FAA’s authority to issue applicable for all DA 42 NG and DA 42 M– rules on aviation safety. Subtitle I, this proposed AD. Send your comments NG aeroplanes. to an address listed under the In addition, model DA 42 M–NG now section 106, describes the authority of ADDRESSES section. Include ‘‘Docket No. incorporates an output of the GEA 71 to the FAA Administrator. ‘‘Subtitle VII: FAA–2013–0937; Directorate Identifier activate the alternator fail relay. DAI issued Aviation Programs,’’ describes in more 2013–CE–029–AD’’ at the beginning of Mandatory Service Bulletin (MSB) 42MNG– detail the scope of the Agency’s your comments. We specifically invite 006 to provide instructions for installation of authority. comments on the overall regulatory, that additional control cable P/N D62–2510– We are issuing this rulemaking under economic, environmental, and energy 97–00–SB. the authority described in ‘‘Subtitle VII, aspects of this proposed AD. We will For the reasons described above, this AD Part A, Subpart III, section 44701: requires installation of the Secondary General requirements.’’ Under that consider all comments received by the Configuration Card P/N 010–12074–02 closing date and may amend this ‘‘Additional ALTN FAIL trigger’’ and System section, Congress charges the FAA with proposed AD because of those Software P/N 010–00670–10 for all DA 42 NG promoting safe flight of civil aircraft in comments. and DA 42 M–NG aeroplanes and installation air commerce by prescribing regulations We will post all comments we of GEA Alternator fail control cable P/N D62– for practices, methods, and procedures receive, without change, to http:// 2510–97–00–SB on certain model DA 42 M– the Administrator finds necessary for regulations.gov in Docket No. FAA– NG aeroplanes. safety in air commerce. This proposed 2013–0937, including any personal This AD also prohibits installation of regulation is within the scope of that information you provide. We will also System Software prior to P/N 010–00670–10. authority because it addresses an unsafe post a report summarizing each You may examine the MCAI on the condition that is likely to exist or substantive verbal contact we receive Internet at http://www.regulations.gov develop on products identified in this about this proposed AD. by searching for and locating it in rulemaking action. Docket No. FAA–2013–0937. Discussion Regulatory Findings The European Aviation Safety Agency Relevant Service Information We determined that this proposed AD (EASA), which is the Technical Agent Diamond Aircraft Industries GmbH would not have federalism implications for the Member States of the European has issued Mandatory Service Bulletin under Executive Order 13132. This Community, has issued AD No.: 2013– No. MSB 42NG–003/12; Mandatory proposed AD would not have a 0224, dated September 19, 2013 Service Bulletin MSB 42MNG–006; and substantial direct effect on the States, on (referred to after this as ‘‘the MCAI’’), to Work Instruction WI–MSB 42MNG–006, the relationship between the national

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Government and the States, or on the (e) Reason Room 301, Kansas City, Missouri 64106; distribution of power and This AD was prompted by mandatory telephone: (816) 329–4144; fax: (816) 329– responsibilities among the various continuing airworthiness information (MCAI) 4090; email: [email protected]. Before originated by an aviation authority of another using any approved AMOC on any airplane levels of government. to which the AMOC applies, notify your For the reasons discussed above, I country to identify and correct an unsafe condition on an aviation product. The MCAI appropriate principal inspector (PI) in the certify this proposed regulation: FAA Flight Standards District Office (FSDO), (1) Is not a ‘‘significant regulatory describes the unsafe condition as failure of the alternator indication system to indicate or lacking a PI, your local FSDO. action’’ under Executive Order 12866, (2) Airworthy Product: For any requirement (2) Is not a ‘‘significant rule’’ under warning when one alternator is inoperative. We are issuing this proposed AD to prevent in this AD to obtain corrective actions from a manufacturer or other source, use these the DOT Regulatory Policies and the undetected loss of one engine alternator, actions if they are FAA-approved. Corrective Procedures (44 FR 11034, February 26, which could result in reduced capability of actions are considered FAA-approved if they 1979), the electrical generating power system. (3) Will not affect intrastate aviation are approved by the State of Design Authority in Alaska, and (f) Actions and Compliance (or their delegated agent). You are required Unless already done, do the following to assure the product is airworthy before it (4) Will not have a significant is returned to service. economic impact, positive or negative, actions as specified in paragraphs (f)(1) on a substantial number of small entities through (f)(3) of this AD, including all (h) Related Information subparagraphs: Refer to MCAI European Aviation Safety under the criteria of the Regulatory (1) For all DA 42 NG airplanes: Within 12 Flexibility Act. Agency (EASA) AD No.: 2013–0224, dated months after the effective date of this AD, September 19, 2013; Diamond Aircraft List of Subjects in 14 CFR Part 39 install Secondary Configuration Card part Industries GmbH Optional Service Bulletin number (P/N) 010–12074–02 ‘‘Additional Air transportation, Aircraft, Aviation OSB 42–081/1; Diamond Aircraft Industries ALTN FAIL trigger’’ and System Software P/ GmbH Work Instruction WI–OSB 42–081, safety, Incorporation by reference, N 010–00670–10 following the Rev. 1, both dated December 23, 2010; Safety. Accomplishment/Instructions section of Diamond Aircraft Industries GmbH Optional Diamond Aircraft Industries GmbH The Proposed Amendment Service Bulletin OSB 42–081; and Diamond Mandatory Service Bulletin No. MSB 42NG– Aircraft Industries GmbH Work Instruction Accordingly, under the authority 003/13, dated October 11, 2013; or the WI–OSB 42–081, Rev. 0, both dated March delegated to me by the Administrator, Accomplishment/Instructions section of 17, 2010, for related information. You may the FAA proposes to amend 14 CFR part Diamond Aircraft Industries GmbH examine the MCAI on the Internet at Mandatory Service Bulletin No. MSB 42NG– 39 as follows: http://www.regulations.gov by searching for 003/12, dated July 8, 2013. and locating it in Docket No. FAA–2013– (2) For DA 42 M–NG airplanes, serial 0937. For service information related to this PART 39—AIRWORTHINESS numbers (S/Ns) 42.339, 42.MN001 through DIRECTIVES AD, contact Diamond Aircraft Industries 42.MN0026, and all S/Ns modified through GmbH, N.A. Otto-Stra+e 5, A–2700 Wiener Optional Service Bulletin (OSB) 42–081, ■ 1. The authority citation for part 39 Neustadt, Austria, telephone: +43 2622 using Work Instruction (WI) OSB–42–081 up 26700; fax: +43 2622 26700 1369; email: continues to read as follows: to Revision 1 inclusive: Within 100 hours [email protected]; Internet: Authority: 49 U.S.C. 106(g), 40113, 44701. time-in-service after the effective date of this http://www.diamond-air.at. You may review AD or within 12 months after the effective copies of the referenced service information § 39.13 [Amended] date of this AD, whichever occurs first: at the FAA, Small Airplane Directorate, 901 ■ 2. The FAA amends § 39.13 by adding (i) Install GEA Alternator fail control cable Locust, Kansas City, Missouri 64106. For the following new AD: P/N D62–2510–97–00–SB following the information on the availability of this Instructions section of Diamond Aircraft material at the FAA, call (816) 329–4148. Diamond Aircraft Industries GmbH: Docket Industries GmbH Work Instruction WI–MSB Issued in Kansas City, Missouri, on No. FAA–2013–0937; Directorate 42MNG–006, dated July 8, 2013, as specified October 30, 2013. Identifier 2013–CE–029–AD. in the Accomplishments/Instructions section of Diamond Aircraft Industries GmbH Earl Lawrence, (a) Comments Due Date Mandatory Service Bulletin No. MSB Manager, Small Airplane Directorate, Aircraft We must receive comments by December 42MNG–006, July 8, 2013; and Certification Service. 23, 2013. (ii) Install Secondary Configuration Card P/ [FR Doc. 2013–26571 Filed 11–5–13; 8:45 am] (b) Affected ADs N 010–12074–02 ‘‘Additional ALTN FAIL BILLING CODE 4910–13–P trigger’’ and System Software P/N 010– None. 00670–10 following the Accomplishment/ (c) Applicability Instructions section of Diamond Aircraft DEPARTMENT OF TRANSPORTATION Industries GmbH Mandatory Service Bulletin This AD applies to Diamond Aircraft No. MSB 42NG–003/13, dated October 11, Federal Aviation Administration Industries GmbH Models DA 42 NG and DA 2013; or the Accomplishment/Instructions 42 M–NG airplanes, all serial numbers section of Diamond Aircraft Industries GmbH 14 CFR Part 39 certificated in any category, except those that Mandatory Service Bulletin No. MSB 42NG– have Supplemental Type Certificate (STC) 003/12, dated July 8, 2013. [Docket No. FAA–2013–0938; Directorate SA02725NY (http://rgl.faa.gov/Regulatory_ _ _ (3) For all airplanes: As of the effective Identifier 2012–SW–057–AD] and Guidance Library/rgstc.nsf/0/286A2 date of this AD, do not install on any airplane 9A0C46D66048625764900624649?Open System Software prior to P/N 010–00670–10. RIN 2120–AA64 Document&Highlight=sa02725ny) incorporated. (g) Other FAA AD Provisions Airworthiness Directives; Eurocopter Note 1 to paragraph (c) of this AD: STC The following provisions also apply to this France (Eurocopter) Helicopters SA02725NY uses a different electrical system AD: architecture and the unsafe condition (1) Alternative Methods of Compliance AGENCY: Federal Aviation addressed in this AD does not apply to that (AMOCs): The Manager, Standards Office, Administration (FAA), DOT. system. FAA, has the authority to approve AMOCs ACTION: Notice of proposed rulemaking for this AD, if requested using the procedures (NPRM). (d) Subject found in 14 CFR 39.19. Send information to Air Transport Association of America ATTN: Mike Kiesov, Aerospace Engineer, SUMMARY: We propose to adopt a new (ATA) Code 24: Electric Power. FAA, Small Airplane Directorate, 901 Locust, airworthiness directive (AD) for

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Eurocopter Model SA–365N, SA– Comments Invited FAA’s Determination 365N1, AS–365N2, and AS 365 N3 These helicopters have been approved helicopters. This proposed AD would We invite you to participate in this rulemaking by submitting written by the aviation authority of France and require repetitively inspecting frame are approved for operation in the United comments, data, or views. We also number (No.) 9 for a crack. This States. Pursuant to our bilateral invite comments relating to the proposed AD is prompted by a report of agreement with France, EASA, its economic, environmental, energy, or a crack in frame No. 9 on an AS365 technical representative, has notified us helicopter. The proposed actions are federalism impacts that might result of the unsafe condition described in its intended to detect a crack and prevent from adopting the proposals in this AD. We are proposing this AD because loss of structural integrity and document. The most helpful comments we evaluated all known relevant subsequent loss of control of the reference a specific portion of the information and determined that an helicopter. proposal, explain the reason for any unsafe condition is likely to exist or recommended change, and include DATES: We must receive comments on develop on other products of the same supporting data. To ensure the docket this proposed AD by January 6, 2014. type design. does not contain duplicate comments, ADDRESSES: You may send comments by commenters should send only one copy Related Service Information any of the following methods: of written comments, or if comments are Eurocopter has issued one Emergency • Federal eRulemaking Docket: Go to filed electronically, commenters should ASB (EASB) with two numbers: EASB http://www.regulations.gov. Follow the submit only one time. No. 05.00.63, Revision 1, dated June 18, online instructions for sending your 2012, for Model AS365 helicopters and comments electronically. We will file in the docket all comments that we receive, as well as a EASB No. 05.00.30, Revision 1, dated • Fax: 202–493–2251. June 18, 2012, for Model AS565 report summarizing each substantive • Mail: Send comments to the U.S. helicopters. The EASB applies to public contact with FAA personnel Department of Transportation, Docket helicopters with a frame No. 9 that has concerning this proposed rulemaking. Operations, M–30, West Building not been modified by modification Ground Floor, Room W12–140, 1200 Before acting on this proposal, we will (MOD) 07 53C17 or MOD 07 53D02, and New Jersey Avenue SE., Washington, consider all comments we receive on or that has had doublers installed or DC 20590–0001. before the closing date for comments. repairs performed in accordance with • Hand Delivery: Deliver to the We will consider comments filed after certain service instructions. The EASB ‘‘Mail’’ address between 9 a.m. and 5 the comment period has closed if it is describes procedures to inspect the p.m., Monday through Friday, except possible to do so without incurring frame No. 9 for a crack, and for Federal holidays. expense or delay. We may change this contacting Eurocopter for further proposal in light of the comments we procedures if there is a crack. Examining the AD Docket receive. You may examine the AD docket on Proposed AD Requirements Discussion the Internet at http:// This proposed AD would require, for www.regulations.gov or in person at the The European Aviation Safety Agency helicopters that have a No. 9 frame that Docket Operations Office between 9 (EASA), which is the Technical Agent has had any repair or alteration made, a.m. and 5 p.m., Monday through for the Member States of the European within 10 hours time-in-service (TIS) Friday, except Federal holidays. The AD Union, has issued EASA AD No. 2012– and every 110 hours TIS thereafter, docket contains this proposed AD, the 0108–E, dated June 15, 2012 (AD 2012– inspecting the left-hand (LH) and right- foreign authority’s AD, the economic 0108–E), to correct an unsafe condition hand (RH) frame No. 9 for a crack in the evaluation, any comments received, and for Eurocopter Model SA 365 N, SA 365 areas of the latch support and stretcher other information. The street address for N1, AS 365 N2, and AS 365 N3 support with a 10X or higher power the Docket Operations Office (telephone helicopters with a frame No. 9 installed, magnifying glass. For all other 800–647–5527) is in the ADDRESSES if certain ‘‘doublers or repairs have been helicopters, this proposed AD would section. Comments will be available in installed.’’ EASA advises that a crack require this inspection within 110 hours the AD docket shortly after receipt. was discovered during the ‘‘T’’ TIS and every 110 hours TIS thereafter. For service information identified in inspection of an AS365 helicopter. The If there is a crack, the proposed AD this proposed AD, contact American crack started at a rivet hole of a doubler would require, before further flight, Eurocopter Corporation, 2701 N. Forum that was installed on the frame No. 9 in repairing the crack. Drive, Grand Prairie, TX 75052; accordance with Eurocopter Alert Differences Between This Proposed AD telephone (972) 641–0000 or (800) 232– Service Bulletin (ASB) 53.00.42, dated and the EASA AD 0323; fax (972) 641–3775; or at http:// January 31, 2001. EASA further states The EASA AD requires contacting www.eurocopter.com/techpub. You may that structural alteration of frame No. 9 review the referenced service Eurocopter for repair instructions if by modifications or repairs can result in there is a crack, and the proposed AD information at the FAA, Office of the fatigue crack initiation under normal Regional Counsel, Southwest Region, does not. The proposed AD would apply operational loads. According to EASA, to all Eurocopter 365 helicopters, not 2601 Meacham Blvd., Room 663, Fort this condition, if not corrected, could Worth, Texas 76137. just those that were altered or repaired lead to crack propagation and failure of in accordance with specific Eurocopter FOR FURTHER INFORMATION CONTACT: Gary frame No. 9, which would adversely MODs. Roach, Aviation Safety Engineer, affect the structural integrity of the Regulations and Policy Group, helicopter. For these reasons, AD 2012– Costs of Compliance Rotorcraft Directorate, FAA, 2601 0108–E requires repetitive inspections We estimate that this proposed AD Meacham Blvd., Fort Worth, Texas of frame No. 9 for a crack in the area of would affect 37 helicopters of U.S. 76137; telephone (817) 222–5110; email the doubler or any repair performed in Registry. We estimate that operators [email protected]. the area of the latch support and may incur the following costs in order SUPPLEMENTARY INFORMATION: stretcher support. to comply with this AD. At an average

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labor rate of $85 per hour, inspecting LH List of Subjects in 14 CFR Part 39 (g) Alternative Methods of Compliance (AMOCs) and RH frame No. 9 would require about Air transportation, Aircraft, Aviation 3 work-hours, for a cost per helicopter safety, Incorporation by reference, (1) The Manager, Safety Management of $255 and a total cost to U.S. operators Safety. Group, FAA, may approve AMOCs for this of $9,435 per inspection cycle. AD. Send your proposal to: Gary Roach, Repairing a cracked frame No. 9 would The Proposed Amendment Aviation Safety Engineer, Regulations and require about 20 work-hours, and Policy Group, Rotorcraft Directorate, FAA, Accordingly, under the authority 2601 Meacham Blvd., Fort Worth, Texas required parts would cost about delegated to me by the Administrator, 76137; telephone (817) 222–5110; email $10,000, for a cost per helicopter of the FAA proposes to amend 14 CFR part [email protected]. $11,700. 39 as follows: (2) For operations conducted under a 14 Authority for This Rulemaking CFR part 119 operating certificate or under PART 39—AIRWORTHINESS 14 CFR part 91, subpart K, we suggest that Title 49 of the United States Code DIRECTIVES you notify your principal inspector, or specifies the FAA’s authority to issue lacking a principal inspector, the manager of ■ 1. The authority citation for part 39 rules on aviation safety. Subtitle I, the local flight standards district office or continues to read as follows: certificate holding district office before section 106, describes the authority of operating any aircraft complying with this Authority: 49 U.S.C. 106(g), 40113, 44701. the FAA Administrator. ‘‘Subtitle VII: AD through an AMOC. Aviation Programs,’’ describes in more § 39.13 [Amended] (h) Additional Information detail the scope of the Agency’s ■ 2. The FAA amends § 39.13 by adding authority. (1) The subject of this AD is addressed in the following new airworthiness European Aviation Safety Agency (EASA) We are issuing this rulemaking under directive (AD): Emergency AD No. 2012–0108–E, dated June the authority described in ‘‘Subtitle VII, Eurocopter France Helicopters: Docket No. 15, 2012. You may view the EASA AD on the Part A, Subpart III, Section 44701: FAA–2013–0938; Directorate Identifier Internet at http://www.regulations.gov in General requirements.’’ Under that 2012–SW–057–AD. Docket number FAA–2013–0938. section, Congress charges the FAA with (i) Subject promoting safe flight of civil aircraft in (a) Applicability air commerce by prescribing regulations This AD applies to Eurocopter France Joint Aircraft Service Component (JASC) for practices, methods, and procedures (Eurocopter) Model SA–365N, SA–365N1, Code: 5300: Fuselage Structure (General). AS–365N2, and AS 365 N3 helicopters, Issued in Fort Worth, Texas, on October 30, the Administrator finds necessary for certificated in any category. safety in air commerce. This proposed 2013. regulation is within the scope of that (b) Unsafe Condition Kim Smith, authority because it addresses an unsafe This AD defines the unsafe condition as a Directorate Manager, Rotorcraft Directorate, condition that is likely to exist or crack in frame number (No.) 9, which could Aircraft Certification Service. develop on products identified in this result in failure of frame No. 9, loss of [FR Doc. 2013–26568 Filed 11–5–13; 8:45 am] structural integrity, and subsequent loss of rulemaking action. BILLING CODE 4910–13–P control of the helicopter. Regulatory Findings (c) Comments Due Date We determined that this proposed AD We must receive comments by January 6, DEPARTMENT OF HOUSING AND would not have federalism implications 2014. URBAN DEVELOPMENT under Executive Order 13132. This (d) Compliance 24 CFR Part 214 proposed AD would not have a You are responsible for performing each substantial direct effect on the States, on action required by this AD within the [Docket No. FR–5339–N–02] the relationship between the national specified compliance time unless it has Government and the States, or on the already been accomplished prior to that time. Housing Counseling Program: New distribution of power and (e) Required Actions Certification Requirements; Extension responsibilities among the various of Public Comment Period (1) For helicopters that have any repair or levels of government. alteration to the frame No. 9, within 10 hours AGENCY: Office of the Assistant For the reasons discussed, I certify time-in-service (TIS) and thereafter at Secretary for Housing—Federal Housing this proposed regulation: intervals not to exceed 110 hours TIS, using Commissioner, HUD. a 10X or higher power magnifying glass, 1. Is not a ‘‘significant regulatory inspect the left-hand (LH) and right-hand ACTION: Proposed rule; extension of action’’ under Executive Order 12866; (RH) frame No. 9 for a crack in the area of public comment period. 2. Is not a ‘‘significant rule’’ under the the latch support and stretcher support, as DOT Regulatory Policies and Procedures depicted in Figure 1 of Eurocopter AS365 SUMMARY: On September 13, 2013, HUD (44 FR 11034, February 26, 1979); Emergency Alert Service Bulletin No. published a rule in the Federal Register 05.00.63, Revision 1, dated June 18, 2012. inviting public comment on proposed 3. Will not affect intrastate aviation in (2) For all other helicopters, within 110 changes to the Housing Counseling Alaska to the extent that it justifies hours TIS and thereafter at intervals not to Program regulations for the purpose of making a regulatory distinction; and exceed 110 hours TIS, perform the inspection in paragraph (e)(1) of this AD. implementing the Dodd-Frank Wall 4. Will not have a significant (3) If there is a crack, before further flight, Street Reform and Consumer Protection economic impact, positive or negative, repair the frame No. 9. Repairing a frame is Act amendments to the housing on a substantial number of small entities not terminating action for the repetitive counseling statute. This document under the criteria of the Regulatory inspections required by paragraphs (e)(1) and announces that HUD is extending the Flexibility Act. (e)(2) of this AD. public comment period, for an We prepared an economic evaluation (f) Special flight permit additional 30-day period, to December of the estimated costs to comply with Special flight permits may be issued for up 12, 2013. this proposed AD and placed it in the to 10 hours TIS and a maximum crack length DATES: Comment Due Date: For the AD docket. of 80 mm. proposed rule published on September

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13, 2013 (78 FR 56625), the comment Regulations Division at 202–708–3055 to disseminate the information to due date is extended to December 12, (this is not a toll-free number). Copies affected housing counselors and time for 2013. of all comments submitted will also be housing counselors to provide ADDRESSES: Interested persons are available for inspection and comments. Therefore, HUD is invited to submit comments responsive downloading at http:// announcing through this notice an to this request for information to the www.regulations.gov. extended public comment period, for an Office of General Counsel, Regulations FOR FURTHER INFORMATION CONTACT: additional 30-day period, to December Division, Department of Housing and Ruth Roma´n, Office of Housing 12, 2013. Urban Development, 451 7th Street SW., Counseling, Office of Housing, Dated: October 31, 2013. Room 10276, Washington, DC 20410– Department of Housing and Urban Sarah S. Gerecke, 0001. Communications must refer to the Development, 451 7th Street SW., Room Deputy Assistant Secretary for Housing above docket number and title and 9224, Washington, DC 20410–8000; Counseling. should contain the information telephone number 202–708–0317 (this [FR Doc. 2013–26586 Filed 11–5–13; 8:45 am] specified in the ‘‘Request for is not a toll-free number). Persons with BILLING CODE 4210–67–P Comments’’ of this notice. hearing or speech challenges may access Electronic Submission of Comments. this number through TTY by calling the Interested persons may submit toll-free Federal Relay Service at 800– DEPARTMENT OF THE INTERIOR comments electronically through the 877–8339. Federal eRulemaking Portal at http:// SUPPLEMENTARY INFORMATION: On Office of Surface Mining Reclamation www.regulations.gov. HUD strongly September 13, 2013 (78 FR 56625), HUD and Enforcement encourages commenters to submit published a proposed rule in the comments electronically. Electronic Federal Register that would implement 30 CFR Part 936 submission of comments allows the changes made by the Dodd-Frank Wall commenter maximum time to prepare Street Reform and Consumer Protection [SATS No. OK–035–FOR; Docket ID: OSM– and submit a comment, ensures timely Act (Pub. L. 111–203, 124 Stat. 1376 2013–0004; S1D1SSS08011000SX066A0006 receipt by HUD, and enables HUD to (July 21, 2010)) (Dodd-Frank Act) to 7F134S180110; S2D2SSS080 11000SX066A00033F13XS501520] make them immediately available to the HUD’s Housing Counseling Program, public. Comments submitted established pursuant to section 106 of Oklahoma Regulatory Program electronically through the http:// the Housing and Urban Development www.regulations.gov Web site can be Act of 1968 (12 U.S.C. 1701x) (1968 AGENCY: Office of Surface Mining viewed by interested members of the Act). The Dodd-Frank Act amended Reclamation and Enforcement, Interior. public. Commenters should follow section 106 of the 1968 Act to improve ACTION: Proposed rule; public comment instructions provided on that site to the effectiveness of HUD’s Housing period and opportunity for public submit comments electronically. Counseling Program by, among other hearing on proposed amendment. Submission of Hard Copy Comments. things: defining certain commonly used Comments may be submitted by mail or terms in the program; ensuring that SUMMARY: We, the Office of Surface hand delivery. To ensure that the HUD-approved counselors provide Mining Reclamation and Enforcement information is fully considered by all of counseling covering the entire process (OSM), are announcing receipt of a the reviewers, each commenter of homeownership, from the purchase of proposed amendment to the Oklahoma submitting hard copy comments, by a home to its disposition; requiring that regulatory program (Oklahoma program) mail or hand delivery, should submit housing counseling agencies provide under the Surface Mining Control and comments or requests to the address materials on home inspections, as part Reclamation Act of 1977 (SMCRA or the above, addressed to the attention of the of home purchase counseling; ensuring Act). Oklahoma proposes revisions to its Regulations Division. Due to security that rental or homeownership regulations regarding: Definitions; measures at all federal agencies, counseling provided in connection with review of permit applications; general submission of comments or requests by HUD programs is administered in provisions for review of permit mail often result in delayed delivery. To accordance with procedures established application information and entry of ensure timely receipt of comments, by HUD; and requiring that all HUD- information into AVS; review of HUD recommends that any comments related homeownership counseling and applicant, operator, and ownership and submitted by mail be submitted at least rental housing counseling, provided in control information; review of permit 2 weeks in advance of the public connection with any HUD program, is history; review of compliance history; comment deadline. All hard copy provided by HUD-certified housing permit eligibility determination; comments received by mail or hand counseling agencies through their HUD- unanticipated events or conditions at delivery are a part of the public record certified housing counselors. Interested remining sites; eligibility for and will be posted to http:// readers should refer to the preamble of provisionally issued permits; written www.regulations.gov without change. the September 13, 2013, proposed rule findings for permit application No Facsimile Comments. Facsimile for additional information on the approval; performance bond submittal; (FAX) comments are not acceptable. proposed regulatory changes. initial review and finding requirements Public Inspection of Comments. All In the September 13, 2013 proposed for improvidently issued permits; notice comments submitted to HUD regarding rule, HUD established a comment due requirements for improvidently issued this notice will be available, without date of November 12, 2013. In response permits; suspension or rescission charge, for public inspection and to recent requests for additional time to requirements for improvidently issued copying between 8 a.m. and 5 p.m. submit public comments and given the permits; who may challenge ownership weekdays at the above address. Due to application of the rule to both housing or control listings and findings; how to security measures at the HUD counseling agencies and individual challenge an owner and controller Headquarters building, an advance counselors, HUD believes an extension listing or finding; burden of proof for appointment to review the documents of the deadline would provide the time ownership or control challenges; written must be scheduled by calling the needed for housing counseling agencies agency decision on challenges to

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ownership or control listings or address listed below during normal proposed amendment in response to a findings; post-permit issuance business hours, Monday through Friday, September 30, 2009, letter requirements for regulatory authorities excluding holidays. You may receive (Administrative Record No. OK–999.01) and other actions based on ownership, one free copy of the amendment by that OSM sent to Oklahoma in control, and violation information; post- contacting OSM’s Tulsa Field Office or accordance with 30 CFR 732.17(c), with permit issuance information the full text of the program amendment additional changes submitted on its own requirements for permittees; transfer, is available for you to read at initiative. Below is a summary of assignment, or sale of permit rights; www.regulations.gov. Oklahoma’s proposed changes. The full certifying and updating existing permit Acting Director, Tulsa Field Office, text of the program amendment is application information; providing Office of Surface Mining Reclamation available for you to read at the locations applicant and operator information; and Enforcement, 1645 South 101st East listed above under ADDRESSES or at providing permit history information; Avenue, Suite 145, Tulsa, Oklahoma www.regulations.gov. providing property interest information; 74128–4629, Telephone: (918) 581– Oklahoma proposes to make changes providing violation information; 6430. to Title 460. Department of Mines: facilities or structures used in common; In addition, you may review a copy of Chapter 20, The Permanent Regulations hydrologic balance—siltation structures; the amendment during regular business Governing the Coal Reclamation Act of cessation orders; alternative hours at the following location: 1979, in the following subchapters. enforcement—general provisions; Oklahoma Department of Mines, 2915 1. Subchapter 3. Permanent Regulatory criminal penalties; and civil actions for N. Classen Blvd., Suite 213, Oklahoma Program relief. Oklahoma intends to revise its City, Oklahoma 73106–5406, program to be no less effective than the Telephone: (405) 427–3859. Oklahoma proposes to add new definitions at 460:20–3–5. for Federal regulations and to improve FOR FURTHER INFORMATION CONTACT: Paul Applicant/Violator System (AVS); operational efficiency. Ehret, Acting Director, Tulsa Field Control or controller; Own, owner, or This document gives the times and Office. Telephone: (918) 581–6430. locations that the Oklahoma program ownership; Violation; Violation, failure SUPPLEMENTARY INFORMATION: or refusal; and Willful or willfully. and this proposed amendment to that I. Background on the Oklahoma Program Oklahoma proposes this change to program are available for your II. Description of the Proposed Amendment closely follow the Federal regulation at inspection, the comment period during III. Public Comment Procedures 30 CFR 701.5. which you may submit written IV. Procedural Determinations comments on the amendment, and the 2. Subchapter 15. Requirements for procedures that we will follow for the I. Background on the Oklahoma Permits and Permit Processing public hearing, if one is requested. Program Oklahoma proposes to revoke sections DATES: We will accept written Section 503(a) of the Act permits a 460:20–15–2. Definitions; 460:20–15–6. comments on this amendment until 4:00 State to assume primacy for the Review of permit applications; 460:20– p.m., c.d.t., December 6, 2013. If regulation of surface coal mining and 15–9. Improvidently issued permits: requested, we will hold a public hearing reclamation operations on non-Federal General procedures; 460:20–15–10. on the amendment on December 2, and non-Indian lands within its borders Improvidently issued permits: 2013. We will accept requests to speak by demonstrating that its program Rescission procedures; 460:20–15–13. at a hearing until 4:00 p.m., c.d.t. on includes, among other things, ‘‘. . . Procedures for challenging ownership or November 21, 2013. State law which provides for the control links shown in AVS; and ADDRESSES: You may submit comments, regulation of surface coal mining and 460:20–15–14. Standards for identified by SATS No. OK–035–FOR, reclamation operations in accordance challenging ownership or control links by any of the following methods: with the requirements of this Act . . .; and the status of violations. • Mail/Hand Delivery: Acting and rules and regulations consistent Oklahoma proposes to add new Director, Tulsa Field Office, Office of with regulations issued by the Secretary sections 460:20–15–6.1. Review of Surface Mining Reclamation and pursuant to this Act.’’ See 30 U.S.C. permit applications; 460:20–15–6.2. Enforcement, 1645 South 101st East 1253(a)(1) and (7). On the basis of these General provisions for review of permit Avenue, Suite 145, Tulsa, Oklahoma criteria, the Secretary of the Interior application information and entry of 74128–4629. conditionally approved the Oklahoma information into AVS; 460:20–15–6.3. • Fax: (918) 581–6419 program on January 19, 1981. You can Review of applicant, operator, and • Federal eRulemaking Portal: http:// find background information on the ownership and control information; www.regulations.gov. Follow the Oklahoma program, including the 460:20–15–6.4. Review of permit instructions for submitting comments. Secretary’s findings, the disposition of history; 460:20–15–6.5. Review of Instructions: All submissions received comments, and the conditions of compliance history; 460:20–15–6.6. must include the agency name and approval of the Oklahoma program in Permit eligibility determination; docket number for this rulemaking. For the January 19, 1981, Federal Register 460:20–15–6.7. Unanticipated events or detailed instructions on submitting (46 FR 4902). You can also find later conditions at remining sites; 460:20–15– comments and additional information actions concerning the Oklahoma 6.8. Eligibility for provisionally issued on the rulemaking process, see the program and program amendments at 30 permits; 460:20–15–6.9. Written ‘‘Public Comment Procedures’’ heading CFR 936.10, 936.15, and 936.16. findings for permit application of the SUPPLEMENTARY INFORMATION approval; 460:20–15–6.10. Performance section of this document. II. Description of the Proposed bond submittal; 460:20–15–9.1. Initial Docket: For access to the docket to Amendment review and finding requirements for review copies of the Oklahoma program, By letter dated June 19, 2013 improvidently issued permits; 460:20– this amendment, a listing of any (Administrative Record No. OK–1002), 15–9.2. Notice requirements for scheduled public hearings, and all Oklahoma sent us an amendment to its improvidently issued permits; 460:20– written comments received in response program under SMCRA (30 U.S.C. 1201 15–10.1. Suspension or rescission to this document, you must go to the et seq.). Oklahoma submitted the requirements for improvidently issued

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permits; 460:20–15–10.2. Who may Siltation structures, which is identical period (see DATES) or sent to an address challenge ownership or control listings to the Federal regulation at 30 CFR other than those listed (see ADDRESSES) and findings; 460:20–15–13.1. How to 816.46(b)(2), and replace it with new will be included in the docket for this challenge an owner and controller language regarding surface drainage rulemaking and considered. listing or finding; 460:20–15–14.1. control, siltation structures, and Burden of proof for ownership or alternative techniques. Public Availability of Comments control challenges; and 460:20–15–14.2. 6. Subchapter 59. State Enforcement Before including your address, phone Written agency decision on challenges number, email address, or other to ownership or control listings or Oklahoma proposes to revoke the personal identifying information in your findings. Oklahoma proposes these definition of Willful Violation from comment, you should be aware that changes to closely follow the Federal section 460:20–59–2. Definitions. regulations at 30 CFR 773.7–773.16 and Oklahoma proposes this change to your entire comment including your 30 CFR 773.21—773.28. closely follow the Federal regulation at personal identifying information, may 30 CFR 843.5. be made publicly available at any time. 3. Subchapter 17. Revision; Renewal; Oklahoma proposes to revise While you can ask us in your comment and Transfer, Assignment, or Sale of paragraph (f) and add new paragraph (g) to withhold your personal identifying Permit Rights in section 460:20–59–3. Cessation information from public review, we Oklahoma proposes to revoke section orders. Oklahoma proposes this change cannot guarantee that we will be able to 460:20–17–1. Scope and purpose; and to closely follow paragraphs (f) and (g) do so. replace it with new section 460:20–17– of the Federal regulation at 30 CFR 1.1. Scope and purpose. Oklahoma 843.11. Public Hearing proposes this change to closely follow 7. Subchapter 63. Individual Civil If you wish to speak at the public the Federal regulation at 30 CFR 774.1. hearing, contact the person listed under Oklahoma proposes to add new Penalties FOR FURTHER INFORMATION CONTACT by sections 460:20–17–2.1. Post-permit Oklahoma proposes to revoke section issuance requirements for regulatory 460:20–63–2. Definitions. Oklahoma 4:00 p.m., c.d.t. on November 21, 2013. authorities and other actions based on proposes this change to more closely If you are disabled and need reasonable ownership, control, and violation follow the Federal regulation at 30 CFR accommodations to attend a public information; and 460:20–17–2.2. Post- Part 846 individual civil penalties. hearing, contact the person listed under permit issuance information FOR FURTHER INFORMATION CONTACT. We 8. Subchapter 64. Alternative will arrange the location and time of the requirements for permittees. Oklahoma Enforcement proposes these changes to closely follow hearing with those persons requesting the Federal regulations at 30 CFR 774.11 Oklahoma proposes to add new the hearing. If no one requests an and 774.12. subchapter 64 and add new sections opportunity to speak, we will not hold Oklahoma proposes to add language 460:20–64–1. Scope; 460:20–64–2. a hearing. in paragraph (a) of section 460:20–17–5. General provisions; 460:20–64–3. To assist the transcriber and ensure an Criminal penalties; and 460:20–64–4. Transfer, assignment, or sale of permit accurate record, we request, if possible, Civil actions for relief. Oklahoma rights. Oklahoma proposes this change that each person who speaks at the proposes these changes to closely follow to closely follow the Federal regulation public hearing provide us with a written at 30 CFR 774.17(a). the Federal regulations at 30 CFR 847.1– 847.16. copy of his or her comments. The public 4. Subchapter 23. Permit Applications: hearing will continue on the specified Minimum Requirements for Legal, III. Public Comment Procedures date until everyone scheduled to speak Financial, Compliance, and Related Under the provisions of 30 CFR has been given an opportunity to be Information 732.17(h), we are seeking your heard. If you are in the audience and Oklahoma proposes to revoke sections comments on whether the amendment have not been scheduled to speak and 460:20–23–2. Identification of interests; satisfies the applicable program wish to do so, you will be allowed to and 460:20–23–3. Violation information. approval criteria of 30 CFR 732.15. If we speak after those who have been Oklahoma proposes to add new approve the amendment, it will become scheduled. We will end the hearing after sections 460:20–23–2.1. Certifying and part of the State program. everyone scheduled to speak and others updating existing permit application Electronic or Written Comments present in the audience who wish to information; 460:20–23–2.2. Providing speak, have been heard. applicant and operator information; If you submit written comments, they 460:20–23–2.3. Providing permit history should be specific, confined to issues Public Meeting information; 460:20–23–2.4. Providing pertinent to the proposed regulations, If only one person requests an property interest information; 460:20– and explain the reason for any opportunity to speak, we may hold a 23–3.1. Providing violation information; recommended change(s). We appreciate and 460:20–23–10. Facilities or any and all comments, but those most public meeting rather than a public structures used in common. Oklahoma useful and likely to influence decisions hearing. If you wish to meet with us to proposes these changes to closely follow on the final regulations will be those discuss the amendment, please request the Federal regulations at 30 CFR 778.9– that either involve personal experience a meeting by contacting the person 778.14 and 30 CFR 778.22. or include citations to and analyses of listed under FOR FURTHER INFORMATION SMCRA, its legislative history, its CONTACT. All such meetings are open to 5. Subchapter 43. Permanent Program implementing regulations, case law, the public and, if possible, we will post Performance Standards: Surface Mining other pertinent State or Federal laws or notices of meetings at the locations Standards regulations, technical literature, or other listed under ADDRESSES. We will make Oklahoma proposes to revoke a relevant publications. a written summary of each meeting a portion of paragraph (b)(2) in section We cannot ensure that comments part of the administrative record. 460:20–43–12. Hydrologic balance: received after the close of the comment

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IV. Procedural Determinations DATES: The public comment period the body of your comment and with any deadline for the proposed rule disk or CD–ROM you submit. If the EPA Executive Order 12866—Regulatory published on September 11, 2013 (78 FR cannot read your comment due to Planning and Review 55994), has been extended from technical difficulties and cannot contact This rulemaking is exempted from November 12, 2013 to November 26, you for clarification, the EPA may not review by the Office of Management and 2013. Comments must be received on or be able to consider your comment. Budget (OMB) under Executive Order before November 26, 2013. Electronic files should avoid the use of 12866. ADDRESSES: You may submit your special characters, any form of Other Laws and Executive Orders comments, identified by Docket ID No. encryption, and be free of any defects or Affecting Rulemaking EPA–HQ–OAR–2010–0929 by any of the viruses. following methods: Docket: All documents in the docket When a State submits a program • are listed in the http:// amendment to OSM for review, our Federal eRulemaking Portal: http:// www.regulations.gov. Follow the online www.regulations.gov index. Although regulations at 30 CFR 732.17(h) require listed in the index, some information is us to publish a notice in the Federal instructions for submitting comments. • not publicly available, e.g., CBI or other Register indicating receipt of the Email: [email protected]. • information whose disclosure is proposed amendment, its text or a Fax: (202) 566–1741. • Mail: Environmental Protection restricted by statute. Certain other summary of its terms, and an material, such as copyrighted material, opportunity for public comment. We Agency, EPA Docket Center (EPA/DC), Mailcode 6102T, Attention Docket ID will be publicly available only in hard conclude our review of the proposed copy. Publicly available docket amendment after the close of the public No. EPA–HQ–OAR–2010–0929, 1200 materials are available either comment period and determine whether Pennsylvania Avenue NW., Washington, electronically in http:// the amendment should be approved, DC 20460. • www.regulations.gov or in hard copy at approved in part, or not approved. At Hand Delivery: EPA Docket Center, the Air Docket, EPA/DC, William that time, we will also make the Public Reading Room, William Jefferson Jefferson Clinton Building West, Room determinations and certifications Clinton Building West, Room 3334, B102, 1301 Constitution Ave. NW., required by the various laws and 1301 Constitution Avenue NW., Washington, DC. This Docket Facility is executive orders governing the Washington, DC 20004. Such deliveries open from 8:30 a.m. to 4:30 p.m., rulemaking process and include them in are only accepted during the Docket’s Monday through Friday, excluding legal the final rule. normal hours of operation, and special arrangements should be made for holidays. The telephone number for the List of Subjects in 30 CFR Part 936 deliveries of boxed information. Public Reading Room is (202) 566–1744, Intergovernmental relations, Surface Instructions: Direct your comments to and the telephone number for the Air mining, Underground mining. Docket ID No. EPA–HQ–OAR–2010– Docket is (202) 566–1742. FOR FURTHER INFORMATION CONTACT: Dated: July 3, 2013. 0929. The EPA’s policy is that all Carole Cook, Climate Change Division, William L. Joseph, comments received will be included in the public docket without change and Office of Atmospheric Programs (MC– Acting Regional Director, Mid-Continent 6207J), Environmental Protection Region. may be made available online at Agency, 1200 Pennsylvania Ave., NW., [FR Doc. 2013–26587 Filed 11–5–13; 8:45 am] http://www.regulations.gov, including any personal information provided, Washington, DC 20460; telephone BILLING CODE 4310–05–P unless the comment includes number: (202) 343–9263; fax number: information claimed to be confidential (202) 343–2342; email address: business information (CBI) or other [email protected]. For technical ENVIRONMENTAL PROTECTION information whose disclosure is information, contact the Greenhouse AGENCY restricted by statute. Gas Reporting Rule Helpline at: http:// 40 CFR Part 98 Do not submit information that you www.epa.gov/climatechange/emissions/ consider to be CBI or otherwise ghgrule_contactus.htm. Alternatively, [EPA–HQ–OAR–2010–0929; FRL–9902–64– protected through http:// contact Carole Cook at 202–343–9263. OAR] www.regulations.gov or email. Send or Worldwide Web (WWW). In addition RIN 2060–AQ81 deliver information identified as CBI to to being available in the docket, an only the mail or hand/courier delivery electronic copy of this proposal, Revisions to Reporting and address listed above, attention: Docket memoranda to the docket, and all other Recordkeeping Requirements, and ID No. EPA–HQ–OAR–2010–0929. The related information will also be Proposed Confidentiality http://www.regulations.gov Web site is available through the WWW on the Determinations Under the Greenhouse an ‘‘anonymous access’’ system, which EPA’s greenhouse gas reporting rule Gas Reporting Program means the EPA will not know your Web site at http://www.epa.gov/ climatechange/emissions/ AGENCY: identity or contact information unless Environmental Protection ghgrulemaking.html. Agency (EPA). you provide it in the body of your comment. If you send an email ACTION: Proposed rule; extension of SUPPLEMENTARY INFORMATION: public comment period. comment directly to the EPA without Additional Information on Submitting going through http:// Comments: To expedite review of your SUMMARY: The EPA is announcing an www.regulations.gov your email address comments by Agency staff, you are extension of the public comment period will be automatically captured and encouraged to send a separate copy of for the proposed rule titled ‘‘Revisions included as part of the comment that is your comments, in addition to the copy to Reporting and Recordkeeping placed in the public docket and made you submit to the official docket, to Requirements, and Proposed available on the Internet. If you submit Carole Cook, Climate Change Division, Confidentiality Determinations under an electronic comment, the EPA Office of Atmospheric Programs (MC– the Greenhouse Gas Reporting recommends that you include your 6207J), Environmental Protection Program.’’ name and other contact information in Agency, 1200 Pennsylvania Ave. NW.,

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Washington, DC 20460, telephone (202) soliciting scientific and commercial Background 343–9263, email GHGReportingCBI@ information pertaining to this sea snake On July 15, 2013, we received a epa.gov. from any interested party. We find that petition from the WildEarth Guardians Background on Today’s Action. In the petition does not present substantial to list 81 marine species as threatened this action, the EPA is providing notice scientific or commercial information or endangered under the ESA and to that it is extending the comment period indicating that the petitioned action designate critical habitat under the ESA. on the proposed rule titled ‘‘Revisions may be warranted for the remaining five Copies of this petition are available from to Reporting and Recordkeeping species: Eptatretus octatrema, Myxine us (see ADDRESSES). This notice Requirements, and Proposed paucidens, Paramyxine taiwanae, addresses the three hagfishes (Eptatretus Confidentiality Determinations under Aipysurus apraefrontalis, and A. octatrema, Myxine paucidens, and the Greenhouse Gas Reporting foliosquama. Paramyxine taiwanae) and the three sea Program,’’ which was published on DATES: Information and comments on snakes (Aipysurus apraefrontalis, A. September 11, 2013. The current the subject action must be received by foliosquama, and A. fuscus) petitioned deadline for submitting public comment January 6, 2014. for listing. on that rule is November 12, 2013. The Section 4(b)(3)(A) of the ESA of 1973, EPA is extending that deadline to ADDRESSES: You may submit comments, information, or data on this document, as amended (U.S.C. 1531 et seq.), November 26, 2013. This extension will requires, to the maximum extent provide the general public additional identified by the code NOAA–NMFS- 2013-0150, by any of the following practicable, that within 90 days of time for public participation and receipt of a petition to list a species as comments. methods: • Electronic Submissions: Submit all threatened or endangered, the Secretary List of Subjects in 40 CFR Part 98 electronic comments via the Federal of Commerce make a finding on whether that petition presents substantial Environmental protection, eRulemaking Portal. Go to scientific or commercial information Administrative practice and procedure, www.regulations.gov/ indicating that the petitioned action Greenhouse gases, Reporting and #!docketDetail;D=NOAA-NMFS-2013- may be warranted, and to promptly recordkeeping requirements. 0150, click the ‘‘Comment Now!’’ icon, publish the finding in the Federal Dated: October 31, 2013. complete the required fields, and enter or attach your comments. Register (16 U.S.C. 1533(b)(3)(A)). When Sarah Dunham, • Mail: Submit written comments to we find that substantial scientific or Director, Office of Atmospheric Programs. Office of Protected Resources, NMFS, commercial information in a petition [FR Doc. 2013–26645 Filed 11–5–13; 8:45 am] 1315 East-West Highway, Silver Spring, indicates the petitioned action may be BILLING CODE 6560–50–P MD 20910. warranted (a ‘‘positive 90-day finding’’), • Fax: 301–713–4060, Attn: Lisa we are required to promptly commence Manning. a review of the status of the species DEPARTMENT OF COMMERCE Instructions: Comments sent by any concerned, which includes conducting a other method, to any other address or comprehensive review of the best National Oceanic and Atmospheric individual, or received after the end of available scientific and commercial Administration the comment period, may not be information. Within 12 months of considered by NMFS. All comments receiving the petition, we must 50 CFR Parts 223 and 224 received are a part of the public record conclude the review with a finding as to [Docket No. 130910793–3793–01] and will generally be posted for public whether, in fact, the petitioned action is viewing on www.regulations.gov warranted. Because the finding at the RIN 0648–XC867 without change. All personal identifying 12-month stage is based on a significantly more thorough review of Endangered and Threatened Wildlife; information (e.g., name, address, etc.), confidential business information, or the available information, a ‘‘may be 90-Day Finding on a Petition To List warranted’’ finding at the 90-day stage Multiple Species of Hagfish and Sea otherwise sensitive information submitted voluntarily by the sender will does not prejudge the outcome of the Snakes as Threatened or Endangered status review. Under the Endangered Species Act be publicly accessible. We will accept anonymous comments (enter ‘‘N/A’’ in Under the ESA, a listing AGENCY: National Marine Fisheries the required fields if you wish to remain determination may address a ‘‘species,’’ Service (NMFS), National Oceanic and anonymous), although submitting which is defined to also include Atmospheric Administration (NOAA), comments anonymously will prevent us subspecies and, for any vertebrate Department of Commerce. from contacting you if we have species, any distinct population ACTION: Notice of 90-day petition difficulty retrieving your submission. segment (DPS) that interbreeds when finding; request for information. Attachments to electronic comments mature (16 U.S.C. 1532(16)). A joint will be accepted in Microsoft Word, NOAA–U.S. Fish and Wildlife Service SUMMARY: We (NMFS) announce a 90- Excel, or Adobe PDF file formats only. (USFWS) policy clarifies the agencies’ day finding on a petition to list three Copies of the petition and related interpretation of the phrase ‘‘distinct species of hagfish and three species of materials are available upon request population segment’’ for the purposes of sea snakes as threatened or endangered from the Director, Office of Protected listing, delisting, and reclassifying a under the Endangered Species Act Resources, 1315 East-West Highway, species under the ESA (‘‘DPS Policy’’; (ESA). We find that the petition presents Silver Spring, MD 20910, or online at: 61 FR 4722; February 7, 1996). A substantial information indicating that www.nmfs.noaa.gov/pr/species/ species, subspecies, or DPS is the petitioned action may be warranted petition81.htm. ‘‘endangered’’ if it is in danger of for the sea snake, A. fuscus. We will extinction throughout all or a significant conduct a status review of this species FOR FURTHER INFORMATION CONTACT: Lisa portion of its range, and ‘‘threatened’’ if to determine if the petitioned action is Manning, Office of Protected Resources, it is likely to become endangered within warranted. To ensure that the status 301–427–8466. the foreseeable future throughout all or review is comprehensive, we are SUPPLEMENTARY INFORMATION: a significant portion of its range (ESA

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sections 3(6) and 3(20), respectively; 16 90-day finding stage, so long as it is governmental organizations, such as the U.S.C. 1532(6) and (20)). Pursuant to the reliable and a reasonable person would International Union for Conservation of ESA and our implementing regulations, conclude that it supports the Nature (IUCN), the American Fisheries the determination of whether a species petitioner’s assertions. Conclusive Society, or NatureServe, as evidence of is threatened or endangered shall be information indicating the species may extinction risk for a species. Risk based on any one or a combination of meet the ESA’s requirements for listing classifications by other organizations or the following five section 4(a)(1) factors: is not required to make a positive 90- made under other Federal or state the present or threatened destruction, day finding. We will not conclude that statutes may be informative, but such modification, or curtailment of habitat a lack of specific information alone classification alone may not provide the or range; overutilization for commercial, negates a positive 90-day finding, if a rationale for a positive 90-day finding recreational, scientific, or educational reasonable person would conclude that under the ESA. For example, as purposes; disease or predation; the unknown information itself suggests explained by NatureServe, their inadequacy of existing regulatory an extinction risk of concern for the assessments of a species’ conservation mechanisms; and any other natural or species at issue. status do ‘‘not constitute a manmade factors affecting the species’ To make a 90-day finding on a recommendation by NatureServe for existence (16 U.S.C. 1533(a)(1), 50 CFR petition to list a species, we evaluate listing under the U.S. Endangered 424.11(c)). whether the petition presents Species Act’’ because NatureServe ESA-implementing regulations issued substantial scientific or commercial assessments ‘‘have different criteria, jointly by NMFS and the USFWS (50 information indicating the subject evidence requirements, purposes and CFR 424.14(b)) define ‘‘substantial species may be either threatened or taxonomic coverage than government information’’ in the context of reviewing endangered, as defined by the ESA. lists of endangered and threatened a petition to list, delist, or reclassify a First, we evaluate whether the species, and therefore these two types of species as the amount of information information presented in the petition, lists should not be expected to that would lead a reasonable person to along with the information readily coincide’’ (http://www.natureserve.org/ believe that the measure proposed in the available in our files, indicates that the prodServices/statusAssessment.jsp). petition may be warranted. When petitioned entity constitutes a ‘‘species’’ Thus, when a petition cites such evaluating whether substantial eligible for listing under the ESA. Next, classifications, we will evaluate the information is contained in a petition, we evaluate whether the information source of information that the we must consider whether the petition: indicates that the species at issue faces classification is based upon in light of (1) Clearly indicates the administrative extinction risk that is cause for concern; the standards of the ESA and our measure recommended and gives the this may be indicated in information policies as described above. scientific and any common name of the expressly discussing the species’ status With respect to the six species species involved; (2) contains detailed and trends, or in information describing discussed in this finding, the petitioner narrative justification for the impacts and threats to the species. We relies almost exclusively on the risk recommended measure, describing, evaluate any information on specific classifications of the IUCN as the source based on available information, past and demographic factors pertinent to of information on the status of each present numbers and distribution of the evaluating extinction risk for the species petitioned species. All of the petitioned species involved and any threats faced at issue (e.g., population abundance and species are listed as ‘‘endangered’’ or by the species; (3) provides information trends, productivity, spatial structure, ‘‘critically endangered’’ on the IUCN regarding the status of the species over age structure, sex ratio, diversity, Redlist, and the petitioner notes this as all or a significant portion of its range; current and historical range, habitat an explicit consideration in offering and (4) is accompanied by the integrity or fragmentation), and the petitions on these species. Species appropriate supporting documentation potential contribution of identified classifications under the IUCN and the in the form of bibliographic references, demographic risks to extinction risk for ESA are not equivalent, and the data reprints of pertinent publications, the species. We then evaluate the standards, evaluation criteria, and copies of reports or letters from potential links between these treatment of uncertainty are also not authorities, and maps (50 CFR demographic risks and the causative necessarily the same. 424.14(b)(2)). impacts and threats identified in section At the 90-day stage, we evaluate the 4(a)(1). Species Descriptions petitioner’s request based upon the Information presented on impacts or Hagfishes information in the petition including its threats should be specific to the species references, and the information readily and should reasonably suggest that one Hagfish are marine, jawless, scaleless, available in our files. We do not conduct or more of these factors may be worm-like fishes found mainly in additional research, and we do not operative threats that act or have acted temperate seas. They are typically found solicit information from parties outside on the species to the point that it may in association with soft bottom (mud the agency to help us in evaluating the warrant protection under the ESA. and sand) habitats, but some species petition. We will accept the petitioner’s Broad statements about generalized also occur in hard bottom or rocky sources and characterizations of the threats to the species, or identification habitats. Designed more for burrowing information presented, if they appear to of factors that could negatively impact than swimming, they lack paired fins or be based on accepted scientific a species, do not constitute substantial appendages, have degenerate eyes, and principles, unless we have specific information that listing may be probably spend much of their time information in our files that indicates warranted. We look for information within the bottom substrate (Moyle and the petition’s information is incorrect, indicating that not only is the particular Cech, 2000). One notable, external unreliable, obsolete, or otherwise species exposed to a factor, but that the feature is their three pairs of barbels or irrelevant to the requested action. species may be responding in a negative tentacles around their mouth and nostril Information that is susceptible to more fashion; then we assess the potential that serve a tactile function. Along their than one interpretation or that is significance of that negative response. sides are 1–15 gill openings and a series contradicted by other available Many petitions identify risk of pores that serve as openings for information will not be dismissed at the classifications made by non- mucus glands. These glands secrete

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large amounts of mucus, or slime, that petitioned sea snakes prey on various and natural factors—which we discuss hagfish use to coat their body as a fishes, such as wrasses, gobies and eels, in turn below. means of deterring predators. Hagfish subduing their prey with venom before In terms of habitat destruction, the can also ‘‘slime’’ their food items, consuming them. Based on sonic petition focuses on human population thereby making them unpalatable to tracking, mapping, and mark-recapture growth and associated consequences other scavengers. Hagfish feed on soft- studies, a relatively widely distributed (e.g., pollution, tourism, development) bodied invertebrates within or at the congener, A. laevis, was shown to have as the main drivers of the destruction of surface of the bottom sediments, but are a very small home range—on the order hagfish habitat. The petition states that also quick to scavenge dead fish and of 0.15 to 0.18 hectares (Marsh et al., ‘‘Increased economic growth in coastal whales. Females lay a small number 1994); presumably the three petitioned cities is a major cause of ocean habitat (20–30) of large (2 cm–3 cm) leathery aipysurids have similarly small home destruction’’ and that ‘‘. . . human eggs that are attached to each other and ranges. The petition indicates that the population growth represents a serious the bottom (Moyle and Cech, 2000). lifespan of the three petitioned sea threat to the petitioned species.’’ Some Little else is known about their snakes is about 8 to 10 years, and age of the associated consequences of reproduction (Moyle and Cech, 2000). at first maturity ranges from about 2 to human population growth are discussed Small morphological differences 5 years. further; however, specific information to between populations do suggest that link these general threats to hagfish Analysis of the Petition they tend to breed locally (Pough et al., habitats or impacts to hagfish habitat is 1996). There are over 40 extant species The petition clearly indicates the lacking. For example, the petition in six genera around the world (Pough administrative measure recommended discusses the increase in the number et al., 1996). and gives the scientific and common and size of ‘‘dead zones’’ (i.e., areas of names of the species involved. Based on very low levels of dissolved oxygen) Sea Snakes the information presented in the worldwide, but no information is Sea snakes occur throughout the petition, along with the information provided to indicate whether and to warm regions of the Pacific and Indian readily available in our files, we find what extent any dead zones overlap Oceans but are absent from the Atlantic. that each of the 6 petitioned species with or affect the habitats of the There are more than 60 described constitutes a valid ‘‘species’’ eligible for petitioned species. species, but the taxonomy of sea snakes listing under the ESA as each is The petition also discusses the remains controversial (Davenport, considered a valid taxonomic species. particular threat of trawling and asserts 2011). The three petitioned sea snake The petition also contains a narrative that it threatens the habitat of all three species are all within the genus justification for the recommended hagfish species. We agree with the Aipysurus and, according to the measures and provides limited statements in the petition that trawling petition, occur within narrow ranges off information on the species’ geographic results in disturbance of benthic the northern coast of Australia. More distribution, habitat, and threats. For the substrates, can lead to changes in than 30 species of sea snakes, roughly hagfishes, no information is provided community composition, and can half of which are endemic, occur in regarding the three species’ past or increase some species’ vulnerability to northern Australia (Marsh et al., 1994). present numbers, or population status predation. However, these are general Within the wider Indo-Pacific region, and trends for all or a significant portion statements, and no additional there is considerable overlap in the of the species’ ranges. For the sea information is provided in the petition ranges of sea snake species and a high snakes, some past and present relative or references to indicate the mechanism degree of niche separation based on diet abundance data and provisional by which hagfish may be impacted by (Davenport, 2011; citing Voris and abundance data are provided. trawling activities. Hagfish apparently Voris, 1983). Supporting documentation was occur mainly within the sediments and Visually, sea snakes are easily provided, mainly in the form of IUCN are opportunistic feeders that may even distinguished from terrestrial snakes by species assessments. We had no benefit from commercial fisheries’ their laterally compressed, paddle-like information in our files for any of the discards and the resulting increase in tail. However, identification of sea petitioned hagfish, but did have some food availability (Moyle and Cech, snakes to species can be challenging due limited information on the sea snake 2000). It is unclear given the to variable coloration and pattern genus. A synopsis of our analysis of the information available on the diet, (Miller and Abdulquader, 2009). information provided in the petition habitat, and behavior of hagfishes, Multiple physical characteristics (e.g., and readily available in our files is whether hagfish experience negative number of mid-body scale rows) and the provided below. Following the format of impacts, positive impacts, or both, as a capture locations are required to make the petition, we first discuss the result of trawling and other commercial a positive species identification (Miller introductory information presented for fishing activities. and Abdulquader, 2009). each group of species and then discuss In terms of overutilization, the Aipysurid sea snakes are entirely the species-specific information. petition asserts that both bycatch of aquatic, shallow-water species typically hagfish and commercial harvest present associated with coral reefs. Aipysurids Threats to the Hagfishes threats to the three petitioned hagfishes. are also viviparous (i.e., give birth to The three hagfish species petitioned No data or information, however, are live young), unlike the amphibious sea for listing (Eptatretus octatrema, Myxine presented on whether or to what extent kraits, which lay their eggs on land. Sea paucidens, and Paramyxine taiwanae) bycatch of any of the three hagfish snakes, in general, tend to carry smaller are currently listed as either species is occurring or has occurred. clutches of eggs than terrestrial snakes ‘‘endangered’’ or ‘‘critically The fate of by-caught hagfish is also not of the same size, and this is especially endangered’’ on the IUCN Red List. The discussed. The petition presents true of the aipysurids (Marsh et al., petition asserts that these species are commercial harvest of hagfish as a 1994). There is no parental care of being threatened with extinction by four future threat that will arise as other fish young, which must surface to breathe of the five ESA section 4(a)(1) factors— stocks decline and new species are and forage for food just as adults do habitat destruction, overutilization, targeted to meet the rising demand for (Miller and Abdulquadar, 2009). The inadequacy of regulatory mechanisms, fish by a growing human population.

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However, this is a general statement that hermaphrodites (Mincarone, 2011a, specimens have been documented in could apply to many marine fishes, and 2011b; Mincarone and Mok, 2011); over 100 years despite what appears to there is no additional information with however, whether and the extent to be heavy sampling efforts, it is likely which to substantiate the alleged which the petitioned species reproduce this species is no longer extant in the likelihood of this potential, future threat through self-fertilization is not known. wild. The IUCN assessment notes that to any of the petitioned hagfish species. The condition of being rare is an further research is needed ‘‘to determine The petition states that no important factor to consider when if this species still maintains a viable conservation measures are in place for evaluating a species’ risk of extinction; population’’ (Mincarone, 2011a). The any of the petitioned hagfishes and that however, it does not by itself indicate purpose of the ESA is to conserve ESA listings are needed to prevent their the likelihood of extinction of that species that are in danger of or extinction. Information regarding any species, nor does the condition of being threatened with extinction. Section 3(6) related regulatory measures being rare constitute substantial information of the ESA defines an endangered implemented within the ranges of any of that listing under the ESA may be species as ‘‘any species which is in the three hagfishes is not provided. We warranted. For example, some species danger of extinction throughout all or a do not necessarily consider a lack of naturally occur in small numbers but significant portion of its range’’ species-specific protections a threat to are not considered threatened or (emphasis added). Species that are the particular species. For example, endangered. To determine whether already extinct are not protected by the management measures that regulate listing of a rare species may be ESA. Given this information and the other species, activities (e.g., warranted, there must also be discussion above regarding general commercial fisheries), or areas may substantial information indicating the threats to hagfish, we conclude that the indirectly function to minimize threats rare species is both exposed to and petition does not present substantial to the petitioned species. As stated responding in a negative fashion to a information indicating that E. octatrema previously, we look for substantial threat such that the species may be may warrant listing as threatened or information indicating that not only is threatened with extinction. endangered under the ESA. the particular species exposed to a Overall, we find that the general factor, but that the species may be threats discussed for the hagfishes are Myxine paucidens responding in a negative fashion; then not clearly or causally linked to the This species is known from only five we assess the potential significance of petitioned species or their ranges or museum specimens collected from that negative response. habitat (e.g., discussion of trawling Sagami Bay and just south of Tokyo The petition specifically points to the impacts to sea floor habitat in Bay, Japan. No specimens have been lack of a listing under CITES (the Australia). While some of the collected since 1972 despite ‘‘extensive Convention on International Trade in information in this introductory section scientific surveying in the area,’’ and the Endangered Species of Wild Fauna and suggests concern for the status of many species ‘‘may possibly be already Flora) as a threat to the petitioned marine species generally, its broadness, extinct’’ (Mincarone, 2011b). The hagfishes. We agree with the statement generality, and/or speculative nature, petition provides no information on past in the petition that the absence of a and the failure of the petitioner to make or present numbers or population CITES listing for a given species is not reasonable connections between the trends, nor is any information available evidence that the same species does not threats and the status of the individual in our files. The most recent IUCN warrant the protections of the ESA. petitioned species means that we cannot assessment states that ‘‘there are no However, we find nothing to find that this information reasonably known direct threats to this species’’ but substantiate the statement in the suggests that one or more of these threat that habitat quality is declining as a petition that ‘‘. . . the absence of CITES factors may be operative threats that act result of extensive trawling in the area listing is problematic’’ for the three or have acted on any of the petitioned where the specimens were found. No hagfish species. CITES is a tool to species to the point that they may additional information is provided or manage and regulate international trade warrant protection under the ESA. available to evaluate the effect trawling in situations where trade has been There is little information in this has on this hagfish or its habitat. Given identified as a threat to the particular introductory section indicating that this information as well as the previous species’ survival in the wild. No particular petitioned species may be discussion about general threats to information on international trade of responding in a negative fashion to any hagfish, we conclude that the petition any of the petitioned hagfishes is of the discussed threats. Therefore, we does not present substantial information presented in the petition or available to find that the information in this section indicating that M. paucidens may us, and we do not have any information does not constitute substantial warrant listing as threatened or regarding direct harvest of these hagfish information that listing may be endangered under the ESA. species. warranted for any of the petitioned Paramyxine taiwanae Lastly, the petition asserts that the species. three hagfish species are threatened as Population trends, abundance data a result of their rarity, in particular Eptatretus octatrema and status information are not available because it reduces their chances of This hagfish is known from two type for this species. This species is known finding mates. This statement is not specimens—one collected in 1899 and from approximately 150 specimens substantiated with any additional the other in 1900 (Mincarone, 2011a). collected over an unknown or information regarding hagfish mating Both specimens were collected off Cape unspecified time period. The species behavior, reproduction, or natural Saint Blaize, South Africa. Despite apparently has a very small range of densities. Very little is known about ‘‘extensive surveys’’ within the range of 3,750 sq km off northeastern Taiwan hagfish mating (Pough et al., 1996). this species, no other specimens have (see Mincarone and Mok, 2011). The Hagfish are relatively mobile, however, been recorded (Mincarone, 2011a). No most recent IUCN assessment states that and may be able to travel to locate mates information is provided in the petition heavy surveying has ‘‘. . . confirmed within a certain range. The petitioned or available to us regarding the past or that it [P. taiwanae] is not found in hagfishes also possess both male and present numbers or status of this southwestern Taiwan nor along the east female gonads and may function as species. Given that no confirmed coast’’; however, in a later section, the

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assessment discusses a study of ‘‘. . . The petition asserts that ‘‘drastic provided to substantiate the statement specimens from the southwestern declines and possible extinction’’ of the in the petition that any the three sea Taiwan examined by Kuo et al. (1994) petitioned sea snakes have occurred as snake species may potentially or . . .’’ (Mincarone and Mok, 2011). Thus, a result of anthropogenic climate change presently be subject to international the actual extent of occurrence of this and the consequent destruction of their trade. In fact, the references provided by species is unclear. habitat. The petition states that climate the petitioner indicate that none of the This species occurs at depths of 120– change can increase sea surface petitioned sea snakes are targeted by 427 m on the continental shelf and temperatures to levels that are fatal to fisheries and there is no evidence of upper slope (Mincarone and Mok, the sea snakes and can cause ‘‘massive illegal fishing (Lukoschek and Guinea, 2011). The petition states this species is damage’’ to the coral reefs that these 2010; Lukoschek et al., 2010a; vulnerable to habitat loss as a result of species require as habitat. The petition Lukoschek et al., 2010b). deep sea trawling and trapping; specifically refers to coral bleaching as The petition discusses how all three however, no additional information, the mechanism by which climate of the petitioned sea snakes have very references or statements are provided change destroys the habitat of the small geographic ranges and limited indicating the habitat requirements of petitioned sea snakes. The petition dispersal ability. A very small range this hagfish or how its particular habitat claims that when severe bleaching increases the extinction risk of the is being damaged or curtailed by events occur, the sea snakes’ ‘‘only species because the entire species could trawling and trapping within its range. available habitat is destroyed.’’ be affected by local events. Also, limited The petition also states that this However, it is unclear, given the dispersal ability can decrease the species is vulnerable to bycatch and available information, whether and to potential for recolonization following that, due to its relatively large body size, what extent the petitioned sea snakes the loss of a subpopulation or area of faces an increased risk that ‘‘it will be are actually unable to continue to use habitat. Thus, these natural factors can influence the species’ risk of extinction. intentionally exploited in the future for the coral structure as habitat should a Despite this, we do not consider these food and the leather industry.’’ The bleaching event occur. Increased sea surface temperatures natural factors alone to constitute petition states that these ‘‘pressures and coral bleaching are plausible causes substantial information that listing threaten the species’ continued of sea snake habitat degradation, but the under the ESA may be warranted. There survival.’’ However, no information on petitioner’s conclusion that these factors must be additional information to past or present bycatch rates or fisheries are causing the decline of the sea snakes indicate that the species may be interactions is provided, nor is any is overstated. References provided by exposed to and respond in a negative available in our files. Also, as the petitioner state that climate change fashion to a threat. However, in the case mentioned previously, no additional may be a threat to some sea snake of A. fuscus, which we discuss further information is available with which to species (Lukoschek and Guinea, 2010; below, information is presented to substantiate the potential future threat Lukoschek et al., 2010a; Lukoschek et suggest that the petitioned species may of direct harvest of this hagfish. The al., 2010b). In addition, the IUCN have been extirpated from some areas, IUCN assessment recommends that assessment for A. apraefrontalis states: and restricted dispersal among more research is needed to understand ‘‘There are no specific, clearly identified remaining subpopulations may be this species’ biology, population size, or quantified past, current or future contributing to the extinction risk of this and the impact of trapping and trawling threats to A. apreafrontalis or any other species. (Mincarone and Mok, 2011). reef-associated sea snake species . . .’’ Overall, we find that the three major Overall, the species-specific (Lukoschek et al., 2010a). threats discussed for sea snakes are not information provided in the petition for The petition asserts that the three sea well supported and/or substantiated and P. taiwanae is general and/or snake species are also declining as a do not constitute substantial speculative in nature, and we cannot result of inadequate regulatory information that listing of any of the find that this information reasonably mechanisms. Information on the three species may be warranted. suggests that one or more of the threat existing regulatory protections that A. apraefrontalis factors may be operative threats that act directly or may indirectly benefit these or have acted on the petitioned species species, however, is not provided This sea snake has been recorded to the point that it may warrant beyond a discussion of the Ashmore from only Ashmore and Hibernia Reefs protection under the ESA. We conclude Reef Nature Reserve. This nature off northwestern Australia, and so its that the petition and the single, reserve, located off the coast of area of occurrence is estimated to be available reference do not present northwestern Australia, was established only about 10 sq km (Lukoschek et al., substantial information indicating this in 1983 and contains a portion of all 2010a). The IUCN assessment for this species may warrant listing as three species’ known habitat. Given that species, indicates that, despite extensive threatened or endangered. the threats to the sea snakes are surveys, no individual of this species has been recorded on either Ashmore or Threats to the Sea Snakes unknown, it is unclear what level of protection the reserve may be providing Hibernia reef since 2000 (Lukoschek et The three sea snake species petitioned them. The petition also asserts that the al., 2010a; citing Guinea 2006, 2007 and for listing (Aipysurus apraefrontalis, A. absence of a CITES listing for the Lukoschek, pers. comm., 2009). The foliosquama, and A. fuscus) are petitioned sea snakes is ‘‘problematic’’ IUCN assessment refers to this species currently listed as either ‘‘endangered’’ because they ‘‘may be subject to as ‘‘locally extinct’’ and notes it has not or ‘‘critically endangered’’ on the IUCN international trade presently or in the been seen at any other location Red List. The petition asserts that these future.’’ Information in our files (Lukoschek et al., 2010a). As stated species are being threatened with indicates that sea snakes are consumed previously, species that are not known extinction by three of the five ESA and/or valued for their leather in some to exist in the wild are not protected by section 4(a)(1) factors—habitat parts of the world, and sea snake the ESA. Given this information as well destruction, inadequacy of regulatory products have been traded as the deficiencies of the threats mechanisms, and natural factors— internationally since the 1930’s (Marsh information discussed above, we which we discuss in turn below. et al., 1994). However, no information is conclude that the petition and the

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available references do not present (Lukoschek et al., 2010b). No threats Information Solicited substantial information indicating that have been clearly identified for this A. apraefrontalis may warrant listing as species, but based on surveys on some To ensure that the status review is threatened or endangered under the of the reefs, the species appears to have based on the best available scientific ESA. declined by at least 70% since 1998 and commercial data, we are soliciting information relevant to whether the sea A. foliosquama (Lukoschek et al., 2010b). Surveys indicate that sightings rates of A. fuscus snake, A. fuscus, may warrant listing as Similar to A. apraefrontalis, this are variable over time, but an overall threatened or endangered. Specifically, species has been found only on declining trend in sightings rates has we are soliciting data and information, Ashmore and Hibernia Reefs off been observed since 1998 at Ashmore including unpublished data and northwestern Australia in an area of reef (Lukoschek et al., 2010b). It is information, in the following areas: (1) about 10 sq km (Lukoschek and Guinea, unclear what the trends in sightings Historical and current distribution and 2010). Citing Guinea (2006; 2007) and rates of A. fuscus are at the other reefs. abundance of this species throughout its Lukoschek (pers. comm. 2009), the The IUCN assessment mentions ‘‘local range; (2) historical and current IUCN assessment for this species states extinctions,’’ but it is also unclear where population trends; (3) life history and that no single individual of this species these ‘‘local extinctions’’ have occurred. has been seen over the past 9 years, or habitat requirements (4) genetics of However, the available information does subpopulations; (5) past, current and approximately 2 generations, despite suggest that some subpopulations or extensive surveys of both Ashmore and future threats to the species, including areas of the range have experienced any current or planned activities that Hibernia Reefs (Lukoschek and Guinea, significant declines or may have been 2010). The IUCN assessment also refers may adversely impact the species; (6) lost. Given the likelihood that dispersal ongoing or planned efforts to protect to the ‘‘local extinction’’ of this species is fairly restricted for this species, the and restore the species and its habitat; and notes that it also has not been loss of certain reef subpopulations and (7) management, regulatory, and sighted at any other location (Lukoschek increases the extinction risk for this enforcement information. We request and Guinea, 2010). Thus, the best species. We find the significant decline available information suggests this in abundance and potential loss of that all information be accompanied by: species may no longer be extant in the subpopulations cause for concern and (a) Supporting documentation such as wild. As stated previously, species that substantial information that listing of A. maps, bibliographic references, or are not known to exist in the wild are fuscus under the ESA may be reprints of pertinent publications; and not protected by the ESA. Considering warranted. (b) the submitter’s name, address, and this information as well as the any association, institution, or business deficiencies of the threats information Petition Finding that the person represents. discussed above, we conclude that the petition and the available references do After reviewing the information References Cited not present substantial information contained in the petition, as well as indicating that A. apraefrontalis may information readily available in our A complete list of references is warrant listing as threatened or files, we conclude the petition does not available upon request to the Office of endangered under the ESA. present substantial scientific or Protected Resources (see ADDRESSES). commercial information indicating the A. fuscus Authority: The authority for this action is petitioned action may be warranted for the Endangered Species Act of 1973, as This species occurs on Ashmore, Eptatretus octatrema, Myxine amended (16 U.S.C. 1531 et seq.). Hibernia, Cartier, Scott and paucidens, Paramyxine taiwanae, A. Serangipatan Reefs in the Timor Sea apraefrontalis and A. foliosquama. In Dated: October 30, 2013. between northwestern Australia and contrast, as described above, we find Alan D. Risenhoover, Timor (Lukoschek et al., 2010b). Very that there is substantial scientific Director, Office of Sustainable Fisheries, little movement of A. fuscus is thought information indicating the petitioned performing the functions and duties of the to occur among these reefs (Lukoschek action may be warranted for A. fuscus, Deputy Assistant Administrator for et al., 2010b). This species has a and we hereby announce the initiation Regulatory Programs, National Marine relatively shallow depth range of up to of a status review for this species to Fisheries Service. 25–30 m deep and a total estimated area determine whether the petition action is [FR Doc. 2013–26493 Filed 11–5–13; 8:45 am] of occurrence of only 500 sq km warranted. BILLING CODE 3510–22–P

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Notices Federal Register Vol. 78, No. 215

Wednesday, November 6, 2013

This section of the FEDERAL REGISTER Bureau. The Committee will advise the DEPARTMENT OF COMMERCE contains documents other than rules or Director of the Census Bureau on the proposed rules that are applicable to the full range of economic, housing, National Oceanic and Atmospheric public. Notices of hearings and investigations, demographic, socioeconomic, linguistic, Administration committee meetings, agency decisions and rulings, delegations of authority, filing of technological, methodological, RIN 0648–XC853 petitions and applications and agency geographic, behavioral and operational statements of organization and functions are variables affecting the cost, accuracy Draft 2013 Marine Mammal Stock examples of documents appearing in this and implementation of Census Bureau Assessment Reports section. programs and surveys, including the AGENCY: National Marine Fisheries decennial census. Service (NMFS), National Oceanic and DEPARTMENT OF COMMERCE The Committee also assists the Census Atmospheric Administration (NOAA), Bureau on ways that census data can Commerce. Bureau of the Census best be disseminated to diverse race and ACTION: Notice; request for comments. ethnic populations and other users. The Census Advisory Committees Committee is established in accordance SUMMARY: NMFS reviewed the Alaska, Atlantic, and Pacific regional marine AGENCY: Bureau of the Census, with the Federal Advisory Committee mammal stock assessment reports Department of Commerce. Act (Title 5, United States Code, Appendix 2). (SARs) in accordance with the Marine ACTION: Notice of Public Meeting. Mammal Protection Act. SARs for All meetings are open to the public. marine mammals in the Alaska, SUMMARY: The Bureau of the Census A brief period will be set aside at the (Census Bureau) is giving notice of a Atlantic, and Pacific regions were meeting for public comment on revised according to new information. meeting, the National Advisory December 6. However, individuals with Committee on Racial, Ethnic, and Other NMFS solicits public comments on the extensive questions or statements must draft 2013 SARs. Populations (NAC). The committee will submit them in writing to Ms. Jeri Green address census policies, research and DATES: Comments must be received by at least three days before the meeting. If methodology, tests, operations, February 4, 2014. you plan to attend the meeting, please communications/messaging and other ADDRESSES: The 2013 draft SARs are register by Monday, December 2, 2013. activities to ascertain needs and best available in electronic form via the practices to improve censuses, surveys, You may access the online registration Internet at http://www.nmfs.noaa.gov/ from with the following link: http:// pr/sars/draft.htm. operations and programs. The NAC will _ _ meet in a plenary session on December www.regonline.com/nac dec2013 Copies of the Alaska Regional SARs 5–6, 2013. Last-minute changes to the meeting. Seating is available to the may be requested from Dee Allen, schedule are possible, which could public on a first-come, first-served basis. Alaska Fisheries Science Center, NMFS, prevent giving advance public notice of These meetings are physically 7600 Sand Point Way, NE BIN 15700, schedule adjustments. accessible to people with disabilities. Seattle, WA 98115–0070. DATES: December 5–6, 2013. On Requests for sign language Copies of the Atlantic, Gulf of Mexico, December 5, the meeting will begin at interpretation or other auxiliary aids and Caribbean Regional SARs may be approximately 8:30 a.m. and end at should be directed to the Committee requested from Gordon Waring, approximately 5:00 p.m. On December Liaison Officer as soon as possible, Northeast Fisheries Science Center, 166 6, the meeting will begin at preferably two weeks prior to the Water St., Woods Hole, MA 02543. approximately 8:30 a.m. and end at meeting. Copies of the Pacific Regional SARs approximately 1:45 p.m. may be requested from Jim Carretta, Due to increased security and for Southwest Fisheries Science Center, ADDRESSES: The meeting will be held at access to the meeting, please call 301– 8604 La Jolla Shores Drive, La Jolla, CA the U.S. Census Bureau, 4600 Silver Hill 763–9906 upon arrival at the Census Road, Suitland, Maryland 20746. 92037–1508. Bureau on the day of the meeting. A You may submit comments, identified FOR FURTHER INFORMATION CONTACT: Jeri photo ID must be presented in order to by [NOAA–NMFS–2013–0136], by any Green, [email protected], receive your visitor’s badge. Visitors are of the following methods: Committee Liaison Officer, Department not allowed beyond the first floor. Electronic Submissions: Submit all of Commerce, U.S. Census Bureau, Dated: October 31, 2013. electronic public comments via the Room 8H182, 4600 Silver Hill Road, Federal eRulemaking Portal http:// John H. Thompson, Washington, DC 20233, telephone 301– www.regulations.gov. 763–6590. For TTY callers, please use Director, Bureau of the Census. Mail: Send comments or requests for the Federal Relay Service 1–800–877– [FR Doc. 2013–26577 Filed 11–5–13; 8:45 am] copies of reports to: Chief, Marine 8339. BILLING CODE 3510–07–P Mammal and Sea Turtle Conservation SUPPLEMENTARY INFORMATION: The NAC Division, Office of Protected Resources, comprises up to thirty-two members. National Marine Fisheries Service, 1315 The Committee provides an organized East-West Highway, Silver Spring, MD and continuing channel of 20910–3226, Attn: Stock Assessments. communication between race, ethnic, Instructions: All comments received and other populations and the Census are a part of the public record and will

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generally be posted to http:// revise a SAR if the status of the stock Aleutian Islands could migrate into the www.regulations.gov without change. has changed or can be more accurately Bering Sea and be counted during the All Personal Identifying Information (for determined. NMFS, in conjunction with Bering Sea surveys. There are also example, name, address, etc.) the Alaska, Atlantic, and Pacific indications that fin whale distribution voluntarily submitted by the commenter independent Scientific Review Groups in the Bering Sea is related to may be publicly accessible. Do not (SRGs), reviewed the status of marine oceanographic conditions, making it submit Confidential Business mammal stocks as required and revised possible that whales could be double Information or otherwise sensitive or reports in the Alaska, Atlantic, and counted when estimates from different protected information. Pacific regions to incorporate new years are summed. Therefore, the NMFS will accept anonymous information. minimum abundance estimate of the comments (enter N/A in the required NMFS updated its serious injury entire stock is unknown and potential fields, if you wish to remain designation and reporting process, biological removal level (PBR) was anonymous). You may submit which uses guidance from previous changed to undetermined. attachments to electronic comments in serious injury workshops, expert Two of the Alaska region updates Microsoft Word, Excel, WordPerfect, or opinion, and analysis of historic injury resulted in change of status of a stock: Adobe PDF file formats only. cases to develop new criteria for Ringed seal and bearded seal stocks FOR FURTHER INFORMATION CONTACT: distinguishing serious from non-serious changed from non-strategic to strategic. Shannon Bettridge, Office of Protected injury. The NMFS Serious Injury On December 28, 2012, NMFS listed the Resources, 301–427–8402, Determination Policy was finalized in Alaska Stocks of bearded seals and [email protected]; Dee Allen January 2012 and was first applied to ringed seals as ‘‘threatened’’ under the 206–526–4048, [email protected], the draft 2013 marine mammal SARs. Endangered Species Act (77 FR 76740). regarding Alaska regional stock The SARs report five-year averages for Because of the threatened status under serious injury; thus, application of the assessments; Gordon Waring, 508–495– the ESA, these stocks are considered new procedure involved retroactively 2311, [email protected], ‘‘depleted’’ under the MMPA and are reviewing the past five years of injury regarding Atlantic, Gulf of Mexico, and classified as strategic stocks. determinations for 2007–2011. NMFS Caribbean regional stock assessments; or Information on the remaining Alaska defines serious injury as an ‘‘injury that Jim Carretta, 858–546–7171, region stocks can be found in the final is more likely than not to result in [email protected], regarding 2012 reports (Allen and Angliss, 2013). mortality’’ (50 CFR 229.2). Injury Pacific regional stock assessments. Typically, the most recent five years determinations for stock assessments of data are used for estimating average SUPPLEMENTARY INFORMATION: revised in 2013 or later incorporate the annual serious injury and mortality of new serious injury guidelines, based on Background stocks. In 2007, the NMFS Alaska the most recent five-year period for Fisheries Science Center (AFSC) Section 117 of the Marine Mammal which data are available. NMFS solicits developed a new database for the Protection Act (MMPA) (16 U.S.C. 1361 public comments on the draft 2013 et seq.) requires NMFS and the U.S. Fish SARs. fisheries observer data and analytical and Wildlife Service (FWS) to prepare methods for estimating bycatch were stock assessments for each stock of Alaska Reports updated. As a result of these changes, marine mammals occurring in waters In the Alaska region (waters off AFSC determined that data from 2007 under the jurisdiction of the United Alaska that are under the jurisdiction of onward could not be combined with States, including the Exclusive the United States), SARs for 25 Alaska data from analyses of data prior to 2006. Economic Zone. These reports must stocks (16 ‘‘strategic’’, 9 ‘‘non-strategic’’) As a result, for the 2012 SARs fishery contain information regarding the were updated. All stocks were reviewed observer serious injury and mortality distribution and abundance of the stock, and the following stocks were revised estimates were based on an analysis of population growth rates and trends, for 2013: Steller sea lion (western and the most recent four-year period from estimates of annual human-caused eastern U.S. stocks), northern fur seal, 2007–2010. For the 2013 SARs, mortality and serious injury from all bearded seal, ringed seal, ribbon seal, mortality and serious injury data are sources, descriptions of the fisheries Cook Inlet beluga whales, narwhal, summarized for the five-year period with which the stock interacts, and the killer whale (Alaska resident; northern from 2007–2011 for the Alaska status of the stock. Initial reports were resident; Gulf of Alaska, Aleutian groundfish fisheries. completed in 1995. Islands, and Bering Sea transient; AT1 The new injury guidelines for The MMPA requires NMFS and FWS transient; west coast transient stocks), assessing human-caused marine to review the SARs at least annually for harbor porpoise (southeast Alaska, Gulf mammal injuries have been strategic stocks and stocks for which of Alaska, and Bering Sea stocks), sperm implemented in the draft 2013 SARs. significant new information is available, whale, beaked whales (Baird’s, Cuvier’s, Data from 2007–2011 were analyzed (or and at least once every three years for and Stejneger’s), western and central re-analyzed under the new guidelines), non-strategic stocks. The term ‘‘strategic stocks of humpback whales, fin whale, where available, and determinations stock’’ means a marine mammal stock: eastern North Pacific right whale, and were made under new guidance defined (A) For which the level of direct human- bowhead whale. Most revisions in the policy and procedural directives. caused mortality exceeds the potential included updates of abundance and/or Appendix 8 to the Alaska SARs, which biological removal level; (B) which, mortality and serious injury estimates. summarizes humpback whale based on the best available scientific For the fin whale SAR, the previous mortalities and serious injuries, is no information, is declining and is likely to minimum population estimate was longer being maintained and has been be listed as a threatened species under based on summing estimates from two removed. These data will be available the Endangered Species Act (ESA) surveys occurring in different years: one and determination decisions depicted in within the foreseeable future; or (C) survey conducted along the Aleutian more detail in the Alaska mortality and which is listed as a threatened species Islands, and another survey conducted serious injury report for 2007–2012, or endangered species under the ESA. in the Bering Sea. New information currently in preparation (Allen and NMFS and the FWS are required to indicates that fin whales surveyed in the Helker in prep).

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Atlantic Reports Southern Resident), Mesoplodont Dated: October 31, 2013. In the Atlantic region (including the beaked whales (CA/OR/WA), Cuvier’s Donna S. Wieting, Atlantic coast, Gulf Coast, and U.S. beaked whale (CA/OR/WA), humpback Director, Office of Protected Resources, territories in the Caribbean), 45 Atlantic whale, blue whale (Central North National Marine Fisheries Service. and Gulf of Mexico SARs were updated Pacific, Eastern North Pacific), fin whale [FR Doc. 2013–26598 Filed 11–5–13; 8:45 am] and one added—the Northern South (Hawaii, CA/OR/WA), false killer whale BILLING CODE 3510–22–P Carolina Estuarine System stock of (Main Hawaiian Islands, Hawaii bottlenose dolphins, a strategic stock. Pelagic), sperm whale (Hawaii), and sei whale. Non-strategic stocks included: Most revisions included updates of DEPARTMENT OF COMMERCE Harbor seal (OR/WA coast, Northern abundance and/or serious injury and Washington Inland waters, Southern National Oceanic and Atmospheric mortality estimates. Strategic stocks Puget Sound, and Hood Canal), northern Administration included: North Atlantic right whale, fur seal, harbor porpoise (Morro Bay, humpback whale, fin whale, sei whale, RIN 0648–XC791 Monterey Bay, San Francisco—Russian sperm whale, bottlenose dolphin River, Northern California/Southern (Western North Atlantic: coastal/ Fisheries in the Western Pacific; Oregon, Northern Oregon/Washington northern migratory, coastal/southern Special Coral Reef Ecosystem Fishing coast), Baird’s beaked whale, Pacific migratory, coastal/South Carolina/ Permit white-sided dolphin, common Georgia, coastal/northern Florida, bottlenose dolphin (CA/OR/WA AGENCY: National Marine Fisheries coastal/central Florida; Northern North Offshore, Hawaii Pelagic, ‘Kaua’I and Service (NMFS), National Oceanic and Carolina Estuarine System; Southern Ni’ihau, O’ahu, four-islands region, Atmospheric Administration (NOAA), North Carolina Estuarine System; Hawaii Island), gray whale, Risso’s Commerce. Charleston Estuarine System; Northern dolphin, pantropical spotted dolphin ACTION: Notice of availability of final Georgia/Southern South Carolina (Hawaii pelagic, O’ahu, four-islands environmental assessment and finding Estuarine System; Southern Georgia region, Hawaii Island), striped dolphin, of no significant impact for the issuance Estuarine System; Jacksonville Estuarine Fraser’s dolphin, melon-headed whale of a special coral reef ecosystem fishing System; Indian River Lagoon Estuarine (Hawaiian Islands, Kohala Resident), permit. System; Biscayne Bay) and harbor pygmy killer whale, false killer whale porpoise (Gulf of Maine/Bay of Fundy). (Northwestern Hawaiian Islands), killer SUMMARY: NMFS issued a Special Coral Non-strategic stocks included: Minke whale (Hawaii), short-finned pilot Reef Ecosystem Fishing Permit that whale, dwarf sperm whale, pygmy whale, Blainville’s beaked whale, authorizes Kampachi Farms, LLC, to sperm whale, Cuvier’s beaked whale, Longman’s beaked whale, Cuvier’s culture and harvest a coral reef Blainville’s beaked whale, Gervais beaked whale (Hawaii), pygmy sperm ecosystem management unit fish species beaked whale, Sowerby’s beaked whale, whale, dwarf sperm whale, minke in a floating pen in Federal waters west True’s beaked whale, long-finned pilot whale, Bryde’s whale. Information on of the Island of Hawaii. This notice whale, short-finned pilot whale, the remaining Pacific region stocks can informs the public that NMFS prepared Atlantic white-sided dolphin, short- be found in the final 2012 reports an environmental assessment of the beaked common dolphin, Atlantic (Carretta et al., 2013). potential impacts of the proposed spotted dolphin; pantropical spotted Three new prospective stocks of activity, and finds that there will be no dolphin, striped dolphin, rough-toothed harbor seals in Washington inland significant impact to the environment dolphin, Clymene dolphin, spinner waters are presented (Hood Canal, from the activity. dolphin, bottlenose dolphin (Western Southern Puget Sound, and Washington DATES: The special coral reef ecosystem North Atlantic/offshore; Florida Bay; Inland Waters), based on recent genetic fishing permit is effective from October Gulf of Mexico Oceanic), gray seal, harp and pupping phenology data. The 25, 2013, through October 24, 2014. seal, harbor seal, and Risso’s dolphin Hawaii stock of melon-headed whales ADDRESSES: You may review the final (Western North Atlantic, Gulf of Mexico was split into two: The Kohala resident environmental assessment (EA) and Oceanic). stock and the Hawaiian Islands stock finding of no significant impact, The status of long-finned pilot whales (both non-strategic). The Hawaii stock of identified by NOAA–NMFS–2013–0125, changed from strategic to non-strategic, pantropical spotted dolphin was split at the Federal e-Rulemaking Portal because serious injury and mortality into four (all non-strategic): The Oahu www.regulations.gov/ likely do not exceed PBR. Information stock, the 4-Islands stock, the Hawaii #!docketDetail;D=NOAA-NMFS-2013- on the remaining Atlantic region stocks Island stock, and the Hawaii pelagic 0125. can be found in the final 2012 reports stock. (Waring et al., 2012). NMFS intended to prepare a separate FOR FURTHER INFORMATION CONTACT: stock assessment report for the western Phyllis Ha, Sustainable Fisheries, NMFS Pacific Reports stock of gray whales in 2013; however, PIR, tel 808–944–2265. In the Pacific region (waters along the the agency was awaiting completion of SUPPLEMENTARY INFORMATION: NMFS west coast of the United States, within the Report of the NMFS Gray Whale issued a Special Coral Reef Ecosystem waters surrounding the main and Stock Identification Workshop (NMFS Fishing Permit to Kampachi Farms, Northwest Hawaiian Islands, and within 2013) before drafting a SAR for this LLC, consistent with Federal regulations waters surrounding U.S. territories in stock. NMFS anticipates preparing a for Hawaii fisheries at 50 CFR § 665.224, the Western Pacific), SARs were revised SAR for the western stock of gray pertaining to management of coral reef for 52 stocks under NMFS jurisdiction. whales in 2014. ecosystem fisheries, and in accordance Two stocks changed from non-strategic The San Miguel Island stock of with the Fishery Ecosystem Plan for the to strategic: Cuvier’s beaked whale, CA/ northern fur seal has been renamed the Hawaii Archipelago (FEP). The permit OR/WA, and mesoplodont beaked ‘‘California Northern Fur Seal stock,’’ to authorizes the culture and harvest of the whales, CA/OR/WA. reflect that in addition to San Miguel native coral reef ecosystem management Strategic stocks included: Monk seal, Island, this species regularly breeds at unit fish species Seriola rivoliana, killer whale (Eastern North Pacific the Farallon Islands of California. marketed as Kona Kampachi®, using a

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floating cage tethered to a 28-ft vessel so no nominations for that sector will be 5. A list of outreach resources that the connected to a single-point mooring considered at this time). nominee has at his/her disposal to established at around 6,000 feet deep, DATES: Nominations must be received communicate HMS issues to various approximately 5.5 nm west of Keauhou on or before December 6, 2013. interest groups. Bay, Hawaii. ADDRESSES: You may submit Qualifications for HMS AP Membership NMFS published in the Federal nominations and requests for the Qualification for membership Register a notice of availability of a draft Advisory Panel Statement of includes one or more of the following: EA and request for public comments on Organization, Practices, and Procedures (1) Experience in HMS recreational August 13, 2013 (78 FR 49258). NMFS by any of the following methods: fisheries; (2) experience in HMS received comments from eight • Email: HMSAP.Nominations@ commercial fisheries; (3) experience in individuals, and considered those noaa.gov. Include in the subject line the fishery-related industries (e.g., marinas, comments by improving information in following identifier: ‘‘HMS AP bait and tackle shops); (4) experience in the baseline and the clarity of the final Nominations.’’ EA. None of the comments resulted in • Mail: Jenni Wallace, Highly the scientific community working with substantial changes to the analysis about Migratory Species Management HMS; and/or (5) representation of a the significance of impacts of the Division, NMFS, 1315 East-West private, non-governmental, regional, national, or international organization proposed action on the human Highway, Silver Spring, MD 20910. environment in the final EA. • Fax: 301–713–1917. representing marine fisheries; or environmental, governmental, or Based on the information in the final FOR FURTHER INFORMATION CONTACT: academic interests dealing with HMS. EA, NMFS determined that the action Jenni Wallace at (301) 427–8503. will not significantly impact the quality SUPPLEMENTARY INFORMATION: Tenure for the HMS AP of the human environment. Introduction Member tenure will be for 3 years (36 Authority: 16 U.S.C. 1801 et seq. months), with approximately one-third The Magnuson-Stevens Fishery Dated: November 1, 2013. of the members’ terms expiring on Conservation and Management Act James P. Burgess, December 31 of each year. Nominations (Magnuson-Stevens Act), 16 U.S.C. 1801 are sought for terms beginning January Acting Deputy Director, Office of Sustainable et seq., as amended by the Sustainable 2014 and expiring December 2016. Fisheries, National Marine Fisheries Service. Fisheries Act, Public Law 104–297, [FR Doc. 2013–26599 Filed 11–5–13; 8:45 am] provided that the Secretary may B. Participants BILLING CODE 3510–22–P establish Advisory Panels to assist in Nominations for the HMS AP will be the collection and evaluation of accepted to allow representation from information relevant to the development commercial and recreational fishing DEPARTMENT OF COMMERCE of any Fishery Management Plan (FMP) interests, and the environmental/non- National Oceanic and Atmospheric or FMP amendment for any highly governmental organization community, Administration migratory species fishery that is under who are knowledgeable about Atlantic the Secretary’s authority. NMFS has HMS and/or Atlantic HMS fisheries. consulted with the HMS AP on: Current representation on the HMS AP, RIN 0648–XC960 Amendment 1 to the Billfish FMP (April as shown in Table 1, consists of 12 Atlantic Highly Migratory Species; 1999); the HMS FMP (April 1999); members representing commercial Advisory Panel Amendment 1 to the HMS FMP interests, 12 members representing (December 2003); the 2006 Consolidated recreational interests, 4 members AGENCY: National Marine Fisheries HMS FMP (October 2006); Amendments representing environmental interests, 4 Service (NMFS), National Oceanic and 1, 2, 3, 4, 5a, 5b, 6, 7, and 8 to the 2006 academic representatives, and the Atmospheric Administration (NOAA), Consolidated HMS FMP (April and International Commission for the Commerce. October 2008, February and September Conservation of Atlantic Tunas (ICCAT) ACTION: Notice; solicitation of 2009, May and September 2010, April Advisory Committee Chairperson. Each nominations. and September 2011, March and HMS AP member serves a 3-year term September 2012, and January and with approximately one-third of the SUMMARY: NMFS solicits nominations September 2013); among other relevant total number of seats (33) expiring on for the Atlantic Highly Migratory fishery management issues. December 31 of each year. NMFS seeks Species (HMS) Advisory Panel (AP). Procedures and Guidelines to fill 5 commercial, 4 recreational, and NMFS consults with and considers the 2 environmental/non-governmental comments and views of the HMS AP A. Nomination Procedures for organization vacancies by December 31, when preparing and implementing Appointments to the Advisory Panel 2013. NMFS will seek to fill vacancies Fishery Management Plans (FMPs) or Nomination packages should include: based primarily on maintaining the FMP amendments for Atlantic tunas, 1. The name of the nominee and a current representation from each of the swordfish, sharks, and billfish. description of his/her interest in HMS sectors. NMFS also considers species Nominations are being sought to fill or in particular species of sharks, expertise and representation from the approximately one-third (11) of the seats swordfish, tunas, or billfish; fishing regions (Northeast, Mid-Atlantic, on the HMS AP for a 3-year 2. Contact information, including South Atlantic, Gulf of Mexico, and appointment. Individuals with definable mailing address, phone, and email of Caribbean) to ensure the diversity and interests in the recreational and the nominee; balance of the AP. Table 1 includes the commercial fishing and related 3. A statement of background and/or current representation on the HMS AP industries, environmental community, qualifications; by sector, region and species with terms academia, and non-governmental 4. A written commitment that the that are expiring identified in bold. It is organizations are considered for nominee shall actively participate in not meant to indicate that NMFS will membership in the HMS AP (note that good faith in the meetings and tasks of only consider persons who have there are no Academic terms expiring, the HMS AP; and expertise in the species or fishing

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regions that are listed. Rather, NMFS will aim toward having as diverse and balanced an AP as possible.

The intent is to have a group that, as given the responsibilities of the HMS Five additional members on the HMS a whole, reflects an appropriate and AP. AP include one member representing equitable balance and mix of interests each of the following Councils: New

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England Fishery Management Council, December 2013 through December 2014. Protection Act (MMPA; 16 U.S.C. 1361 the Mid-Atlantic Fishery Management Per the Marine Mammal Protection Act, et seq.) directs the Secretary of Council, the South Atlantic Fishery we are requesting comments on our Commerce to authorize, upon request, Management Council, the Gulf of proposal to issue an Authorization to the incidental, but not intentional, Mexico Fishery Management Council, Point Blue to incidentally harass, by taking of small numbers of marine and the Caribbean Fishery Management Level B harassment only, four species of mammals of a species or population Council. The HMS AP also includes 22 marine mammals during the year-long stock, by United States citizens who ex-officio participants: 20 research project. engage in a specified activity (other than representatives of the coastal states and DATES: We must receive comments and commercial fishing) within a specified two representatives of the interstate information no later than December 5, geographical region if: (1) We make commissions (the Atlantic States Marine 2013. certain findings; (2) the taking is limited Fisheries Commission and the Gulf to harassment; and (3) we provide a ADDRESSES: Address your comments on States Marine Fisheries Commission). notice of a proposed authorization to the the application to P. Michael Payne, NMFS will provide the necessary public for review. Chief, Permits and Conservation administrative support, including We shall allow authorization for the Division, Office of Protected Resources, technical assistance, for the HMS AP. incidental taking of small numbers of National Marine Fisheries Service, 1315 However, NMFS will not compensate marine mammals if we find that the East-West Highway, Silver Spring, MD participants with monetary support of taking will have a negligible impact on 20910. The mailbox address for any kind. Depending on availability of the species or stock(s), and will not have providing email comments is ITP.Cody@ funds, members may be reimbursed for an unmitigable adverse impact on the noaa.gov. Please include 0648–XC837 in travel costs related to the HMS AP availability of the species or stock(s) for the subject line. We are not responsible meetings. subsistence uses (where relevant). The for email comments sent to addresses authorization must set forth the C. Meeting Schedule other than the one provided here. permissible methods of taking; other Meetings of the HMS AP will be held Comments sent via email, including all means of effecting the least practicable as frequently as necessary but are attachments, must not exceed a 10- adverse impact on the species or stock routinely held twice each year—once in megabyte file size. and its habitat (i.e., mitigation); and All comments received are a part of the spring, and once in the fall. The requirements pertaining to the the public record and we will generally meetings may be held in conjunction monitoring and reporting of such with public hearings. post them to http://www.nmfs.noaa.gov/ takings. We have defined ‘‘negligible pr/permits/incidental.htm#applications impact’’ in 50 CFR 216.103 as ‘‘an Dated: November 1, 2013. without change. All Personal Identifying James P. Burgess, impact resulting from the specified Information (for example, name, activity that cannot be reasonably Acting Deputy Director, Office of Sustainable address, etc.) voluntarily submitted by Fisheries, National Marine Fisheries Service. expected to, and is not reasonably likely the commenter may be publicly to, adversely affect the species or stock [FR Doc. 2013–26600 Filed 11–5–13; 8:45 am] accessible. Do not submit confidential through effects on annual rates of BILLING CODE 3510–22–P business information or otherwise recruitment or survival.’’ sensitive or protected information. Section 101(a)(5)(D) of the MMPA To obtain an electronic copy of the DEPARTMENT OF COMMERCE established an expedited process by application, write to the previously which citizens of the United States can mentioned address, telephone the National Oceanic and Atmospheric apply for an authorization to contact listed here (see FOR FURTHER Administration incidentally take marine mammals by INFORMATION CONTACT) or access the harassment. Section 101(a)(5)(D) of the RIN 0648–XC837 documents on our Web page at: http:// Act establishes a 45-day time limit for www.nmfs.noaa.gov/pr/permits/ our review of an application followed Takes of Marine Mammals Incidental to incidental.htm#applications. by a 30-day public notice and comment Specified Activities; Seabird and We will prepare a separate NEPA period on any proposed authorization Pinniped Research Activities in Central analysis to evaluate the environmental for the incidental harassment of small California, 2013–2014 effects related to the scope of our federal numbers of marine mammals. Within 45 action, which is the proposed issuance AGENCY: National Marine Fisheries days of the close of the public comment Service (NMFS), National Oceanic and of an Authorization to Point Blue for period, we must either issue or deny the Atmospheric Administration (NOAA), their proposed seabird and pinniped authorization and must publish a notice Commerce. research activities. This notice presents in the Federal Register within 30 days detailed information on the scope of our ACTION: Notice; proposed incidental of our determination to issue or deny federal action under NEPA (i.e., the harassment authorization; request for the authorization. proposed Authorization including comments. Except with respect to certain mitigation measures and monitoring) activities not pertinent here, the Marine SUMMARY: We, NMFS, have received an and we will consider comments Mammal Protection Act defines application from Point Blue submitted in response to this notice as ‘‘harassment’’ as: Any act of pursuit, Conservation Science (Point Blue, we prepare our NEPA analysis. torment, or annoyance which (i) has the formerly PRBO Conservation Science), The public can view documents cited potential to injure a marine mammal or requesting an Incidental Harassment in this notice by appointment, during marine mammal stock in the wild [Level Authorization (Authorization) to take regular business hours, at the previously A harassment]; or (ii) has the potential marine mammals, by harassment, mentioned address. to disturb a marine mammal or marine incidental to conducting proposed FOR FURTHER INFORMATION CONTACT: mammal stock in the wild by causing seabird and pinniped research activities Jeannine Cody, Office of Protected disruption of behavioral patterns, on Southeast Farallon Island, An˜ o Resources, NMFS (301) 427–8401. including, but not limited to, migration, Nuevo Island, and Point Reyes National SUPPLEMENTARY INFORMATION: Section breathing, nursing, breeding, feeding, or Seashore in central California from 101(a)(5)(D) of the Marine Mammal sheltering [Level B harassment].

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Summary of Request The current Authorization expires on usually involve one or two observers We received an application on July December 5, 2013 (77 FR 73989, conducting daily censuses of seabirds or 17, 2013, from Point Blue requesting the December 7, 2012). This is the conducting mark/recapture studies of taking by harassment of small numbers organization’s sixth request for an breeding seabirds on Southeast Farallon of marine mammals incidental to Authorization and they will submit a Island. The researchers plan to access conducting seabird and pinniped monitoring report to us no later than 90 the island’s two landing areas, the North research activities on Southeast Farallon days after the expiration of the current Landing and the East Landing, by 14 to Island, An˜ o Nuevo Island, and Point Authorization. 18 ft (4.3 to 5.5 m) open motorboats which are hoisted onto the island using Reyes National Seashore in central Description of the Specified Geographic a derrick system and then travel by foot California. Point Blue, along with Region to coastal areas of the island to view partners Oikonos Ecosystem Knowledge The proposed action area consists of breeding seabirds from behind an and Point Reyes National Seashore, plan the following three locations in the observation blind. to conduct the proposed activities for northeast Pacific Ocean: The potential for incidental take one year. These partners are conducting South Farallones Islands related to the mark/recapture studies is this research under cooperative very low as these activities are agreements with the U.S. Fish and The South Farallon Islands consist of conducted within the interior of the Wildlife Service in consultation with Southeast Farallon Island located at island away from the intertidal areas ° ′ ″ ° ′ ″ the Gulf of the Farallones National 37 41 54.32 N; 123 0 8.33 W and West where the pinnipeds haul out. Most Marine Sanctuary. We determined the End Island. These two islands are potential for incidental take would application complete and adequate on directly adjacent to each other and occur when the researchers approach or August 27, 2013. separated by only a 30-foot (ft) (9.1 depart the intertidal area by motorboat Their proposed research activities meter (m)) channel. The South Farallon or when the researchers walk within 50 would involve monitoring and Islands have a land area of ft (15.2 m) of the haulout areas to enter censusing seabird colonies; observing approximately 120 acres (0.49 square the observation blinds to observe seabird nesting habitat; restoring nesting kilometers (km)) and are part of the shorebirds. burrows; observing breeding elephant Farallon National Wildlife Refuge. The seals, and resupplying a field station. islands are located near the edge of the Field Station Resupply on Southeast The proposed activities would occur in continental shelf 28 miles (mi) (45.1 km) Farallon Island the vicinity of pinniped haul out sites west of San Francisco, CA, and lie Point Blue proposes to resupply the located on Southeast Farallon Island within the waters of the Gulf of the field station once every two weeks at a (37°41′54.32″ N; 123°0′8.33″ W), An˜ o Farallones National Marine Sanctuary. maximum frequency of 26 visits. Nuevo Island (37°6′29.25″ N; An˜ o Nuevo Island Resupply activities involve personnel 122°20′12.20″ W), or within Point Reyes approaching either the North Landing or National Seashore (37°59′38.61″ N; An˜ o Nuevo Island located at ° ′ ″ ° ′ ″ East Landing by motorboat. At East 122°58′24.90″ W) in central California. 37 6 29.25 N; 122 20 12.20 W is one- Landing—the primary landing site—all Acoustic and visual stimuli generated quarter mile (402 m) offshore of An˜ o personnel assisting with the landing by: (1) Noise generated by motorboat Nuevo Point in San Mateo County, CA. would stay on the loading platform approaches and departures; (2) noise This small 25-acre (0.1 square km) approximately 30 ft (9.1 m) above the generated during restoration activities island is part of the An˜ o Nuevo State water. At North Landing, loading and loading operations while Reserve, all of which is owned and operations would occur at the water resupplying the field station; and (3) operated by California State Parks. The level in the intertidal areas. Most human presence during seabird and Island lies within the Monterey Bay potential for incidental take would pinniped research activities, have the National Marine Sanctuary and the An˜ o occur when the researchers approach potential to cause California sea lions Nuevo State Marine Conservation Area. the area by motorboat or when the (Zalophus californianus), Pacific harbor Point Reyes National Seashore researchers load or unload supplies seals (Phoca vitulina), northern elephant onshore. seals (Mirounga angustirostris), and Point Reyes National Seashore located Steller sea lions (Eumetopias jubatus) is approximately 40 miles (64.3 km) Seabird Research on An˜ o Nuevo Island hauled out on Southeast Farallon Island, north of San Francisco Bay and also lies Point Blue and its partners propose to An˜ o Nuevo Island, or Point Reyes within the Gulf of the Farallones monitor seabird burrow nesting habitat National Seashore to flush into the National Marine Sanctuary. The quality and to conduct habitat surrounding water or to cause a short- proposed research areas (Life Boat restoration at a maximum frequency of term behavioral disturbance for marine Station, Drakes Beach, and Point Bonita) 20 visits per year. This activity involves mammals in the proposed areas. These are within the headland coastal areas of two to three researchers accessing the types of disturbances are the principal the National Park. north side of the island by a 12 ft (3.7 means of marine mammal taking Description of the Specified Activity m) Zodiac boat. Once onshore, the associated with these activities. Point researchers will check subterranean nest Blue has requested an authorization to Seabird Research on Southeast Farallon boxes and restore any nesting habitat for take 5,390 California sea lions, 526 Island approximately 15 minutes. harbor seals, 190 northern elephant Point Blue proposes to conduct: (1) Most potential for incidental take seals, and 20 Steller sea lions Daily observations of seabird colonies at would occur at the landing beach on the (Eumetopias jubatus) by Level B a maximum frequency of three 15- north side of the island when the harassment only. minute visits per day; and (2) conduct researchers arrive and depart to check To date, we have issued five 1-year daily observations of breeding common the boxes. Non-breeding pinnipeds may Incidental Harassment Authorizations to murres (Uria aalge) at a maximum occasionally be present, including Point Blue (formerly known as PRBO frequency of one, 5-hour visit per day California sea lions that may be hauled Conservation Science) for the conduct of between September 2013, and out near a small group of subterranean the same activities from 2007 to 2013. September 2014. These activities seabird nest boxes on the island terrace.

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In both locations researchers are located seabird and pinniped research at the in spring when immature seals and more than 50 ft (15.2 m) away from any proposed research areas on Southeast adult females return to molt. During the pinnipeds which may be hauled out. Farallon Island, An˜ o Nuevo Island, and time they are onshore they are fasting Point Reyes National Seashore are (NPS, 2013b). Seabird Research on Point Reyes primarily California sea lions, northern At Southeast Farallon, the population National Seashore elephant seals, Pacific harbor seals, and consists of approximately 500 animals The National Park Service in to a lesser extent the eastern distinct (FNMS, 2013). Northern elephant seals collaboration with Point Blue monitors population segment (DPS) of the Steller began recolonizing the South Farallon seabird breeding and roosting colonies; sea lion, which NMFS has removed Islands in the early 1970s (Stewart et al., conducts habitat restoration; removes from the list of threatened species under 1994) at which time the colony grew non-native plants; monitors intertidal the U.S. Endangered Species Act of rapidly. In 1983 a record 475 pups were areas; maintains coastal dune habitat. 1973 (ESA; 16 U.S.C. 1531 et seq.), born on the South Farallones (Stewart et Seabird monitoring usually involves one effective November, 2013. al., 1994). Since then, the size of the or two observers conducting the survey We refer the public to Carretta et al., South Farallones colony has declined, by small boats (12 to 22 ft; 3.6 to 6.7 m) (2013) for general information on these stabilizing in the early 2000s and then along the Point Reyes National Seashore species which we present below this declining further over the past six years shoreline. Researchers would visit the section. The publication is available at: (USFWS, 2013). In 2012, a total of 90 site at a maximum frequency of 20 times http://www.nmfs.noaa.gov/pr/sars/pdf/ cows were counted on the South per year, with an emphasis on po2012.pdf. Farallones, and 60 pups were weaned increasing monitoring during the (USFWS, 2013). Point Blue’s average Northern Elephant Seal nesting season. Researchers would monthly counts from 2000 to 2009 conduct occasional, intermittent visits Northern elephant seals are not listed ranged from 20 individuals in July to during the rest of the year. as threatened or endangered under the nearly 500 individuals in November A majority of the research occurs in Endangered Species Act, nor are they (USFWS, 2013). areas where marine mammals are not categorized as depleted under the Northern elephant seals are present present. However, the potential for Marine Mammal Protection Act. The on the islands and in the waters incidental harassment will occur at the estimated population of the California surrounding the South Farallones year- landing beaches along Point Reyes Breeding Stock is approximately round for either breeding or molting; Headland, boat ramps, or parking lots 124,000 animals and the maximum however, they are more abundant where northern elephant seals, harbor population growth rate is 11.7 percent during breeding and peak molting seals, or California sea lions may be (Carretta et al., 2013). seasons (Le Boeuf and Laws 1994, hauled out in the vicinity. Northern elephant seals range in the Sydeman and Allen, 1997). They live eastern and central North Pacific Ocean, and feed in deep, offshore waters the Pinniped Research on West End Island from as far north as Alaska and as far remainder of the year. Pinniped research activities involve south as Mexico. Northern elephant In mid-December, adult males begin surveying breeding northern elephant seals spend much of the year, generally arriving on the South Farallones, closely seals on West End Island between early about nine months, in the ocean. They followed by pregnant females on the December and late February. At least are usually underwater, diving to depths verge of giving birth. Females give birth three researchers would visit the site at of about 1,000 to 2,500 ft (330–800 m) to a single pup, generally in late a maximum frequency of five times per for 20- to 30-minute intervals with only December or January (Le Boeuf and year. To conduct the census, the short breaks at the surface. They are Laws, 1994) and nurse their pups for researchers would travel by foot rarely seen out at sea for this reason. approximately four weeks (Reiter et al., approximately 1,500 ft (457.2 m) above While on land, they prefer sandy 1978). Upon pup weaning, females mate the site to conduct the census. beaches. with an adult male and then depart the Historically, a few juvenile Steller sea Northern elephant seals breed and islands. The last adult breeders depart lions may haul out on a spit of rocks give birth in California (U.S.) and Baja the islands in mid-March. The spring called Shell Beach Rocks below the California (Mexico), primarily on peak of elephant seals on the rookery transit path to the northern elephant offshore islands (Stewart et al., 1994), occurs in April, when females and seal haul out. Thus, the potential for from December to March (Stewart and immature seals (approximately one to incidental harassment of Steller sea Huber, 1993). Males feed near the four years old) arrive at the colony to lions may occur when the researchers eastern Aleutian Islands and in the Gulf molt (a one month process) (USFWS, transit above Shell Beach Rocks. of Alaska, and females feed further 2013). The year’s new pups remain on We expect that acoustic and visual south, south of 45° N. (Stewart and the island throughout both of these stimuli resulting from the proposed Huber, 1993; Le Boeuf et al., 1993). peaks, generally leaving by the end of motorboat operations and human Adults return to land between March April (USFWS, 2013). presence has the potential to harass and August to molt, with males The lowest numbers of elephant seals marine mammals. We also expect that returning later than females. Adults present on the rookery occurs during these disturbances would be temporary return to their feeding areas again June, July, and August, when sub-adult and result, at worst, in a temporary between their spring/summer molting and adult males molt. Another peak of modification in behavior and/or low- and their winter breeding seasons. young seals return to the rookery for a level physiological effects (Level B At Point Reyes, the population ranges haul-out period in October, and at that harassment) of certain species of marine from 1,500 and 2,000 animals (NPS, time some individuals undergo partial mammals. 2013a). Adult northern elephant seals molt (Le Boeuf and Laws, 1994). At An˜ o visit Point Reyes twice a year (NPS, Nuevo Island the population ranges Description of the Marine Mammals in 2013a). They arrive in early winter from from 900 to 1,000 adults. the Area of the Proposed Specified their feeding grounds off Alaska and the Observers first sighted elephant seals Activity largest congregations occur in the on An˜ o Nuevo Island in 1955 and today The marine mammals most likely to winter, when the females arrive to the population ranges from 900 to 1,000 be harassed incidental to conducting deliver their pups and nurse them, and adults (M. Lowry, unpubl. data). Males

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began to haul out on the mainland in months, although on occasion, several 100 to 150 animals (M. Lowry, 1965. California State Park reports that thousand sea lions can arrive depending unpublished data). by 1988/1989, approximately 2,000 upon local prey resources (S. Allen, Steller Sea Lion elephant seals came ashore to An˜ o unpublished data). On An˜ o Nuevo Nuevo (CSP, 2012). Island, California sea lions may haulout Steller sea lions consist of two distinct population segments: the California Sea Lion at one of eight beach areas on the perimeter of the island (see Figure 2 in western and eastern distinct population ° California sea lions are not listed as the Application). The island’s average segments divided at 144 West threatened or endangered under the population ranges from 4,000 to 9,500 longitude (Cape Suckling, Alaska). On Endangered Species Act, nor are they animals (M. Lowry, unpublished data). October 23, 2013 NMFS found that the categorized as depleted under the eastern distinct population segment of Marine Mammal Protection Act. The Pacific Harbor Seal Steller sea lions has recovered. As a California sea lion is now a full species, Pacific harbor seals are not listed as result of the finding, NMFS removed separated from the Galapagos sea lion threatened or endangered under the them from the list of threatened species (Z. wollebaeki) and the extinct Japanese Endangered Species Act, nor are they under the ESA. The eastern distinct sea lion (Z. japonicus) (Brunner 2003, categorized as depleted under the population segment is depleted under Wolf et al., 2007, Schramm et al., 2009). Marine Mammal Protection Act. The the MMPA. The estimated population of the U.S. estimated population of the California Steller sea lions range along the North stock of California sea lion is stock of Pacific harbor seals is Pacific Rim from northern Japan to approximately 296,750 animals and the approximately 26,667 animals (Carretta California (Loughlin et. al., 1984), with current maximum population growth et. al., 2012). centers of abundance and distribution in the Gulf of Alaska and Aleutian Islands, rate is 12 percent (Carretta et. al., 2012). The animals inhabit near-shore California sea lion breeding areas are respectively. The species is not known coastal and estuarine areas from Baja on islands located in southern to migrate, but individuals disperse California, Mexico, to the Pribilof California, in western Baja California, widely outside of the breeding season Islands in Alaska. Pacific harbor seals Mexico, and the Gulf of California. (late May through early July), thus are divided into two subspecies: P. v. During the breeding season, most potentially intermixing with animals stejnegeri in the western North Pacific, California sea lions inhabit southern from other areas. near Japan, and P. v. richardsi in the California and Mexico. Rookery sites in The western segment of Steller sea northeast Pacific Ocean. The latter southern California are limited to the lions inhabit central and western Gulf of subspecies, recognized as three separate San Miguel Islands and the southerly Alaska, Aleutian Islands, as well as stocks, inhabits the west coast of the Channel Islands of San Nicolas, Santa coastal waters and breed in Asia (e.g., continental United States, including: Barbara, and San Clemente (Carretta et. Japan and Russia). The eastern segment The outer coastal waters of Oregon and al., 2012). Males establish breeding includes sea lions living in southeast Washington states; Washington state territories during May through July on Alaska, British Columbia, California, inland waters; and Alaska coastal and both land and in the water. Females and Oregon. come ashore in mid-May and June inland waters. In 2012, the estimated population of where they give birth to a single pup In California, over 500 harbor seal the eastern distinct population segment approximately four to five days after haulout sites are widely distributed ranged from a minimum of 52,847 up to arrival and will nurse pups for about a along the mainland and offshore 72,223 animals and the maximum week before going on their first feeding islands, and include rocky shores, population growth rate is 12.1 percent trip. Females will alternate feeding trips beaches and intertidal sandbars (Lowry (Allen and Angliss, 2012). with nursing bouts until the pup is et. al., 2005). Harbor seals mate at sea The eastern distinct population weaned between four and 10 months of and females give birth during the spring segment of Steller sea lions breeds on age (NMML, 2010). and summer, although, the pupping rookeries located in southeast Alaska, Adult and juvenile males will migrate season varies with latitude. Pups are British Columbia, Oregon, and as far north as British Columbia, Canada nursed for an average of 24 days and are California. There are no rookeries while females and pups remain in ready to swim minutes after being born. located in Washington state. Steller sea southern California waters in the non- Harbor seal pupping takes place at many lions give birth in May through July and breeding season. In warm water (El locations and rookery size varies from a breeding commences a couple of weeks Nin˜ o) years, some females are found as few pups to many hundreds of pups. after birth. Pups are weaned during the far north as Washington and Oregon, In California, over 500 harbor seal winter and spring of the following year. presumably following prey. haulout sites are widely distributed Despite the wide-ranging movements The U.S. stock of California sea lion along the mainland and offshore of juveniles and adult males in is the only stock present in the proposed islands, and include rocky shores, particular, exchange between rookeries research area and in recent years, beaches and intertidal sandbars (Lowry by breeding adult females and males California sea lions have begun to breed et al., 2005). On the Farallon Islands, (other than between adjoining rookeries) annually in small numbers at Southeast approximately 40 to 120 Pacific harbor appears low, although males have a Farallon and An˜ o Nuevo Islands. seals haul out in the intertidal areas higher tendency to disperse than On the Farallon Islands, California sea (Point Blue unpublished data). Harbor females (NMFS, 1995; Trujillo et al., lions haul out in many intertidal areas seals at Point Reyes National Seashore 2004; Hoffman et al., 2006). A year round, fluctuating from several haul out at nine locations with an northward shift in the overall breeding hundred to several thousand animals. annual population of up to 4,000 distribution has occurred, with a California sea lions at Point Reyes animals (M. Lowry, unpublished data). contraction of the range in southern National Seashore haul out at only a few On An˜ o Nuevo Island, harbor seals may California and new rookeries locations, but will occur on human haulout at one of eight beach areas on established in southeastern Alaska structures such as boat ramps. The the perimeter of the island (see Figure (Pitcher et al., 2007). annual population averages around 300 2 in Point Blue’s Application) and the The current population of Steller sea to 500 during the fall through spring island’s average population ranges from lions in the proposed research area is

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estimated to number between 50 and effects of sounds from motorboat reproductive state, time of day, and 750 animals. Overall, counts of non- operations and the appearance of many other factors (Richardson et al., pups at trend sites in California and researchers might include hearing 1995; Wartzok et al., 2004; Southall et Oregon have been relatively stable or impairment or behavioral disturbance al., 2007; Weilgart, 2007). If a sound increasing slowly since the 1980s (Allen (Southall, et al., 2007). source displaces marine mammals from and Angliss, 2012). an important feeding or breeding area Hearing Impairment Point Blue estimates that between 50 for a prolonged period, impacts on and 150 Steller sea lions live on the Marine mammals produce sounds in individuals and populations could be Farallon Islands. On Southeast Farallon various important contexts—social significant (e.g., Lusseau and Bejder, Island, the abundance of females interactions, foraging, navigating, and 2007; Weilgart, 2007). declined an average of 3.6 percent per responding to predators. The best Numerous studies have shown that year from 1974 to 1997 (Sydeman and available science suggests that human activity can flush harbor seals Allen, 1999). pinnipeds have a functional aerial off haulout sites (Allen et al., 1984; The National Marine Fisheries hearing sensitivity between 75 hertz Calambokidis et al., 1991; Suryan and Service’s Southwest Fisheries Science (Hz) and 75 kilohertz (kHz) and can Harvey, 1999; and Mortenson et al., Center estimates between 400 and 600 produce a diversity of sounds, though 2000). The Hawaiian monk seal live on An˜ o Nuevo Island (Point Blue generally from 100 Hz to several tens of (Monachus schauinslandi) has been unpublished data, 2008; Southwest kHz (Southall, et al., 2007). shown to avoid beaches that have been Fisheries Science Center unpublished Exposure to high intensity sound for disturbed often by humans (Kenyon, data, 2008). At An˜ o Nuevo Island off a sufficient duration may result in 1972). And in one case, human central California, a steady decline in auditory effects such as a noise-induced disturbance appeared to cause Steller ground counts started around 1970, and threshold shift—an increase in the sea lions to desert a breeding area at there was an 85 percent reduction in the auditory threshold after exposure to Northeast Point on St. Paul Island, breeding population by 1987 (LeBoeuf noise (Finneran, Carder, Schlundt, and Alaska (Kenyon, 1962). et al., 1991) Ridgway, 2005). Factors that influence In 1997, Henry and Hammil (2001) Pup counts at An˜ o Nuevo Island the amount of threshold shift include conducted a study to measure the declined five percent annually through the amplitude, duration, frequency impacts of small boats (i.e., kayaks, the 1990s (NOAA Stock Assessment, content, temporal pattern, and energy canoes, motorboats and sailboats) on 2003), and have apparently stabilized distribution of noise exposure. The harbor seal haulout behavior in Me´tis between 2001 and 2005 (M. Lowry, magnitude of hearing threshold shift Bay, Quebec, Canada. During that study, SWFSC unpublished data). In 2000, the normally decreases over time following the authors noted that the most frequent combined pup estimate for both islands cessation of the noise exposure. The disturbances (n=73) were caused by was 349. In 2005, the pup estimate was amount of threshold shift just after lower speed, lingering kayaks and 204 on the Island. Pup counts on the exposure is called the initial threshold canoes (33.3 percent) as opposed to Farallon Islands have generally varied shift. If the threshold shift eventually motorboats (27.8 percent) conducting from five to 15 (Hastings and Sydeman, returns to zero (i.e., the threshold high speed passes. The seal’s flight 2002; Point Blue unpublished data). returns to the pre-exposure value), it is reactions could be linked to a surprise Pups have not been born at Point Reyes called temporary threshold shift factor by kayaks-canoes which approach Headland since the 1970s and Steller (Southall et al., 2007). slowly, quietly and low on water sea lions are seen in very low numbers Pinnipeds have the potential to be making them look like predators. there currently (S. Allen, unpublished disturbed by airborne and underwater However, the authors note that once the data). noise generated by the small boats animals were disturbed, there did not equipped with outboard engines appear to be any significant lingering Other Marine Mammals in the Proposed (Richardson, Greene, Malme, and effect on the recovery of numbers to Action Area Thomson, 1995). However, there is a their pre-disturbance levels. In California (southern) sea otters dearth of information on acoustic effects conclusion, the study showed that boat (Enhydra lutris nereis), listed as of motorboats on pinniped hearing and traffic at current levels has only a threatened under the Endangered communication and to our knowledge temporary effect on the haulout Species Act and categorized as depleted there has been no specific behavior of harbor seals in the Me´tis under the Marine Mammal Protection documentation of hearing impairment Bay area. Act, usually range in coastal waters in free-ranging pinnipeds exposed to In 2004, Johnson and Acevedo- within two km of shore. Point Blue has small motorboats during realistic field Gutierrez (2007) evaluated the efficacy not encountered California sea otters on conditions. of buffer zones for watercraft around Southeast Farallon Island, An˜ o Nuevo harbor seal haulout sites on Yellow Behavioral Disturbance Island, or Point Reyes National Seashore Island, Washington state. The authors during the course of seabird or pinniped Disturbances resulting from human estimated the minimum distance research activities over the past five activity can impact short- and long-term between the vessels and the haul-out years. This species is managed by the pinniped haul out behavior (Renouf et sites; categorized the vessel types; and U.S. Fish and Wildlife Service and is al., 1981; Schneider and Payne, 1983; evaluated seal responses to the not considered further in this notice. Terhune and Almon, 1983; Allen et al., disturbances. During the course of the 1984; Stewart, 1984; Suryan and seven-weekend study, the authors Potential Effects on Marine Mammals Harvey, 1999; Mortenson et al., 2000; recorded 14 human-related disturbances Acoustic and visual stimuli generated and Kucey and Trites, 2006). which were associated with stopped by: (1) Motorboat operations; and (2) the Disturbance includes a variety of effects, powerboats and kayaks. During these appearance of researchers may have the including subtle to conspicuous changes events, hauled out seals became potential to cause Level B harassment of in behavior, movement, and noticeably active and moved into the any pinnipeds hauled out on Southeast displacement. Reactions to sound, if water. The flushing occurred when Farallon Island, An˜ o Nuevo Island, or any, depend on species, state of stopped kayaks and powerboats were at Point Reyes National Seashore. The maturity, experience, current activity, distances as far as 453 and 1,217 ft (138

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and 371 m) respectively. The authors Anticipated Effects on Habitat if great white sharks (Carcharodon note that the seals were unaffected by We do not anticipate that the carcharias) or killer whales (Orcinas passing powerboats, even those proposed operations would result in any orca). If Point Blue and/or its designees approaching as close as 128 ft (39 m), temporary or permanent effects on the see predators in the area, they must not possibly indicating that the animals had habitats used by the marine mammals in disturb the animals until the area is free become tolerant of the brief presence of the proposed area, including the food of predators. the vessels and ignored them. The sources they use (i.e., fish and (6) Keep voices hushed and bodies authors reported that on average, the invertebrates). While it is anticipated low to the ground in the visual presence seals quickly recovered from the that the specified activity may result in of pinnipeds. disturbances and returned to the marine mammals avoiding certain areas (7) Conduct seabird observations at haulout site in less than or equal to 60 due to temporary ensonification, this North Landing on Southeast Farallon minutes. Seal numbers did not return to impact to habitat is temporary and Island in an observation blind, shielded pre-disturbance levels within 180 reversible and was considered in further from the view of hauled out pinnipeds. minutes of the disturbance less than one detail earlier in this document, as (8) Crawl slowly to access seabird nest quarter of the time observed. The study behavioral modification. The main boxes on An˜ o Nuevo Island if pinnipeds concluded that the return of seal impact associated with the proposed are within view. numbers to pre-disturbance levels and activity will be temporarily elevated (9) Coordinate research visits to the relatively regular seasonal cycle in noise levels and the associated direct intertidal areas of Southeast Farallon abundance throughout the area counter effects on marine mammals, previously Island (to reduce potential take) and the idea that disturbances from discussed in this notice. coordinate research goals for An˜ o Nuevo powerboats may result in site Island to minimize the number of trips abandonment (Johnson and Acevedo- Proposed Mitigation to the island. Gutierrez, 2007). In order to issue an incidental take (10) Coordinate monitoring schedules As a general statement from the authorization under section 101(a)(5)(D) on An˜ o Nuevo Island, so that areas near available information, pinnipeds of the Marine Mammal Protection Act, any pinnipeds would be accessed only exposed to intense (approximately 110 we must set forth the permissible once per visit. to 120 decibels re: 20 mPa) non-pulse methods of taking pursuant to such (11) Have the lead biologist serve as sounds often leave haulout areas and activity, and other means of effecting an observer to evaluate incidental take. seek refuge temporarily (minutes to a the least practicable adverse impact on We have carefully evaluated the few hours) in the water (Southall et al., such species or stock and its habitat, applicant’s proposed mitigation 2007). Based on the available data, paying particular attention to rookeries, measures and have considered a range previous monitoring reports from Point mating grounds, and areas of similar of other measures in the context of Blue, and studies described here, we significance, and the availability of such ensuring that we have prescribed the anticipate that any pinnipeds found in species or stock for taking for certain means of effecting the least practicable the vicinity of the proposed project subsistence uses. adverse impact on the affected marine could have short-term behavioral Point Blue has based the mitigation mammal species and stocks and their reactions to the noise attributed to Point measures which they will implement habitat. Our evaluation of potential Blue’s motorboat operations and human during the proposed research, on the measures included consideration of the presence related to the seabird and following: (1) Protocols used during following factors in relation to one pinniped research. We would expect the previous Point Blue seabird and another: pinnipeds to return to a haulout site pinniped research activities as required (1) The manner in which, and the within 60 minutes of the disturbance by our previous authorizations and degree to which, we expect that the (Allen et al., 1985). The effects to Incidental Take Statement for the successful implementation of the pinnipeds appear at the most, to Biological Opinion for these activities; measure would minimize adverse displace the animals temporarily from (2) recommended best practices in impacts to marine mammals; their haul out sites and we do not Richardson et al. (1995); and (3) the (2) The proven or likely efficacy of the expect that the pinnipeds would Terms and Conditions of NMFS specific measure to minimize adverse permanently abandon a haul-out site Scientific Research Permit 17152–00. impacts as planned; and during the conduct of the proposed To reduce the potential for (3) The practicability of the measure research. The maximum disturbance to disturbance from acoustic and visual for applicant implementation. Steller sea lions would result in the stimuli associated with the activities Based on our evaluation of Point animals slowly flushing into the water Point Blue and/or its designees has Blue’s proposed measures, we have in response to presence of the proposed to implement the following preliminarily determined that the researchers. mitigation measures for marine mitigation measures provide the means Finally, no research activities would mammals: of effecting the least practicable adverse occur on pinniped rookeries. Breeding (1) Abide by the Terms and impacts on marine mammals species or animals are concentrated in areas where Conditions of NMFS Scientific Research stocks and their habitat, paying researchers would not visit. Therefore, Permit 17152–00. particular attention to rookeries, mating we do not expect mother and pup (2) Postpone beach landings on An˜ o grounds, and areas of similar separation or crushing of pups during Nuevo Island until pinnipeds that may significance. flushing. be present on the beach have slowly Proposed Monitoring The potential effects to marine entered the water. mammals described in this section of (3) Select a pathway of approach to In order to issue an incidental take the document do not take into research sites that minimizes the authorization for an activity, section consideration the proposed monitoring number of marine mammals harassed. 101(a)(5)(D) of the Marine Mammal and mitigation measures described later (4) Avoid visits to sites used by Protection Act states that we must set in this document (see the ‘‘Proposed pinnipeds for pupping. forth ‘‘requirements pertaining to the Mitigation’’ and ‘‘Proposed Monitoring (5) Monitor for offshore predators and monitoring and reporting of such and Reporting’’ sections). do not approach hauled out pinnipeds taking.’’ The Act’s implementing

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regulations at 50 CFR 216.104(a)(13) observed throughout all monitoring immediately report the incident to the indicate that requests for an activities. Incidental Take Program Supervisor, authorization must include the (iii) An estimate of the number (by Permits and Conservation Division, suggested means of accomplishing the species) of marine mammals that are Office of Protected Resources, at 301– necessary monitoring and reporting that known to have been exposed to acoustic 427–8401 and/or by email to will result in increased knowledge of or visual stimuli associated with the [email protected] and ITP.Cody@ the species and our expectations of the seabird and pinniped research activities. noaa.gov and the Southwest Regional level of taking or impacts on (iv) A description of the Stranding Coordinator at (562) 980– populations of marine mammals present implementation and effectiveness of the 3230 ([email protected]). The in the action area. monitoring and mitigation measures of report must include the same As part of its 2013 application, Point the Authorization and full information identified in the paragraph Blue proposes to sponsor marine documentation of methods, results, and above this section. Activities may mammal monitoring during the present interpretation pertaining to all continue while we review the project, in order to implement the monitoring. circumstances of the incident. We will mitigation measures that require real- In the unanticipated event that the work with Point Blue to determine time monitoring, and to satisfy the specified activity clearly causes the take whether modifications in the activities monitoring requirements of the of a marine mammal in a manner are appropriate. incidental harassment authorization. prohibited by the authorization (if In the event that Point Blue discovers The Point Blue researchers will issued), such as an injury (Level A an injured or dead marine mammal, and monitor the area for pinnipeds during harassment), serious injury, or mortality the lead visual observer determines that all research activities. Monitoring (e.g., vessel-strike, stampede, etc.), Point the injury or death is not associated activities will consist of conducting and Blue shall immediately cease the with or related to the authorized recording observations on pinnipeds specified activities and immediately activities (e.g., previously wounded within the vicinity of the proposed report the incident to the Incidental animal, carcass with moderate to research areas. The monitoring notes Take Program Supervisor, Permits and advanced decomposition, or scavenger would provide dates, location, species, Conservation Division, Office of damage), Point Blue will report the the researcher’s activity, behavioral Protected Resources, NMFS, at 301– incident to the Incidental Take Program state, numbers of animals that were alert 427–8401 and/or by email to Supervisor, Permits and Conservation or moved greater than one meter, and [email protected] and ITP.Cody@ Division, Office of Protected Resources, numbers of pinnipeds that flushed into noaa.gov and the Southwest Regional at 301–427–8401 and/or by email to the water. Stranding Coordinator at (562) 980– [email protected] and ITP.Cody@ Point Blue has complied with the 3230 ([email protected]). The noaa.gov and the Southwest Regional monitoring requirements under the report must include the following Stranding Coordinator at (562) 980– information: previous authorizations for the 2007 • 3230 ([email protected]), within through 2013 seasons. The results from Time, date, and location (latitude/ 24 hours of the discovery. Point Blue previous Point Blue’s monitoring longitude) of the incident; staff will provide photographs or video • Description and location of the reports support our findings that the footage (if available) or other incident (including water depth, if proposed mitigation measures, which documentation of the stranded animal applicable); sighting to us. we also required under the 2007–2012 • Environmental conditions (e.g., Authorizations provide the means of wind speed and direction, Beaufort sea Estimated Take by Incidental effecting the least practicable adverse state, cloud cover, and visibility); Harassment impact on the species or stock. • Description of all marine mammal Point Blue will submit a monitoring observations in the 24 hours preceding Except with respect to certain report on the December 6, 2012 through the incident; activities not pertinent here, the Marine December 5, 2013 research period by • Species identification or Mammal Protection Act defines January, 2014. Upon receipt and review, description of the animal(s) involved; ‘‘harassment’’ as: Any act of pursuit, we will post this annual report on our • Fate of the animal(s); and torment, or annoyance which (i) has the Web site at http://www.nmfs.noaa.gov/ • Photographs or video footage of the potential to injure a marine mammal or pr/permits/incidental.htm#applications. animal(s) (if equipment is available). marine mammal stock in the wild [Level A harassment]; or (ii) has the potential Proposed Reporting Point Blue shall not resume its activities until we are able to review the to disturb a marine mammal or marine Point Blue will submit a final circumstances of the prohibited take. mammal stock in the wild by causing monitoring report to us no later than 90 We shall work with Point Blue to disruption of behavioral patterns, days after the expiration of the determine what is necessary to including, but not limited to, migration, Incidental Harassment Authorization, if minimize the likelihood of further breathing, nursing, breeding, feeding, or we issue it. The final report will prohibited take and ensure Marine sheltering [Level B harassment]. describe the operations conducted and Mammal Protection Act compliance. We propose to authorize take by Level sightings of marine mammals near the Point Blue may not resume their B harassment only for the proposed proposed project. The report will activities until notified by us via letter, pinniped and seabird research activities provide full documentation of methods, email, or telephone. on Southeast Farallon Island, An˜ o results, and interpretation pertaining to In the event that Point Blue discovers Nuevo Island, and Point Reyes National all monitoring. The final report will an injured or dead marine mammal, and Seashore. Acoustic (i.e., increased provide: the lead visual observer determines that sound) and visual stimuli generated (i) A summary and table of the dates, the cause of the injury or death is during these proposed activities may times, and weather during all seabird unknown and the death is relatively have the potential to cause marine and pinniped research activities. recent (i.e., in less than a moderate state mammals in the harbor area to (ii) Species, number, location, and of decomposition as we describe in the experience temporary, short-term behavior of any marine mammals next paragraph), Point Blue will changes in behavior.

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Based on Point Blue’s previous Steller sea lions could be potentially be present; (2) the maximum number of research experiences, with the same affected by Level B behavioral disturbances; and (3) the estimated activities conducted in the proposed harassment over the course of the number of days that an animal could be research area, and on marine mammal effective period of the proposed present in the proposed area. We research activities in these areas, we Authorization. derived these estimates from the results estimate that approximately 5,104 We base these estimates by of the 2007–2012 monitoring reports California sea lions, 526 harbor seals, multiplying three components: (1) The and anecdotal information from Point 190 northern elephant seals, and 20 maximum number of animals that could Blue scientists.

TABLE 1—ESTIMATES OF THE POSSIBLE NUMBERS OF MARINE MAMMALS EXPOSED TO ACOUSTIC AND VISUAL STIMULI DURING POINT BLUE’S PROPOSED SEABIRD AND PINNIPED RESEARCH DURING DECEMBER, 2013–DECEMBER, 2014

Maximum Maximum estimated estimated Estimated number of days with Requested number of Activity number number of animal presence incidental takes present disturbances

California sea lions: Requested take = 5,104

...... E. Landing—15 ...... E. Landing—1,215...... N. Landing—22 ...... N. Landing—1,782. SEFI Daily Observations ...... 27 3 Other Areas—4 ...... Other Areas—324. SEFI Murre Research ...... 26 1 Other Areas—17 ...... Other Areas—442. SEFI Field Station Resupply ...... 31 1 E. Landing—13 ...... E. Landing—403. ANI Seabird Monitoring ...... 68 1 Other Areas—12 ...... Other Areas—816. ANI Intermittent Activities ...... 110 1 Other Areas—1 ...... Other Areas—110. PRNS Seabird Monitoring ...... 3 1 Other Areas—4 ...... Other Areas—12.

Harbor seals: Requested Take = 526

...... E. Landing—4 ...... E. Landing—60...... N. Landing—7 ...... N. Landing—105. SEFI Daily Observations ...... 5 3 Other Areas—18 ...... Other Areas—270. SEFI Murre Research ...... 2 1 N. Landing—9 ...... N. Landing—18...... E. Landing—2 ...... E. Landing—24. SEFI Field Station Resupply ...... 12 1 N. Landing—2 ...... N. Landing—24. ANI Seabird Monitoring ...... 2 1 Other Areas—5 ...... Other Areas—10. PRNS Seabird Monitoring ...... 15 1 Other Areas—1 ...... Other Areas—15.

Northern elephant seals: Requested Take = 190

...... E. Landing—4 ...... E. Landing—24. SEFI Daily Observations ...... 2 3 N. Landing—7 ...... N. Landing—42. SEFI Murre Research ...... 4 1 N. Landing—5 ...... N. Landing—20. SEFI Field Station Resupply ...... 2 1 E. Landing—1 ...... E. Landing—2. ANI Seabird Monitoring ...... 10 1 Other Areas—10 ...... Other Areas—100. PRNS Seabird Monitoring ...... 2 1 Other Areas—1 ...... Other Areas—2.

Steller sea lions: Requested Take = 20

SEFI Daily Observations ...... 2 3 Other Areas—1 ...... Other Areas—6. SEFI Murre Research ...... 9 1 Other Areas—1 ...... Other Areas—9. SEFI Field Station Resupply ...... 1 1 E. Landing—1 ...... E. Landing—1. ANI Seabird Monitoring ...... 1 1 Other Areas—2 ...... Other Areas—2. ANI Intermittent Activities ...... 1 1 Other Areas—1 ...... Other Areas—1. PRNS Seabird Monitoring ...... 1 1 Other Areas—1 ...... Other Areas—1. Other Areas: Elephant Seal Colony (SEFI), Sea Lion Cove (SEFI), Landing Cove (ANI), and Drakes Beach (PRNS).

Estimates of the numbers of marine potential risk for injury, serious injury, Seashore. Point Blue conducts bone fide mammals that might be affected are or mortality. Thus, we do not propose research on marine mammals, the based on consideration of the maximum to authorize any injury, serious injury or results of which may contribute to the number of marine mammals that could mortality. We expect all potential takes basic knowledge of marine mammal be disturbed by approximately 1,908 to fall under the category of Level B biology or ecology, or are likely to visits to Southeast Farallon Island, An˜ o harassment only. identify, evaluate, or resolve Nuevo Island, and Point Reyes National conservation problems. Encouraging and Coordinating Seashore during the course of the Research Negligible Impact and Small Numbers proposed activity. Analyses and Determinations There is no evidence that Point Blue’s Point Blue will continue to coordinate planned activities could result in injury, monitoring of pinnipeds during the We typically include our negligible serious injury or mortality within the research activities occurring on impact and small numbers analyses and action area. The required mitigation and Southeast Farallon Island, An˜ o Nuevo determinations under the same section monitoring measures will minimize any Island, and Point Reyes National heading of our Federal Register notices.

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Despite co-locating these terms, we research activities. Minor and brief marine mammal species or stocks for acknowledge that negligible impact and responses, such as short-duration startle subsistence use. There are no relevant small numbers are distinct standards or alert reactions, are not likely to subsistence uses of marine mammals in under the MMPA and treat them as constitute disruption of behavioral the study area (northeastern Pacific such. The analyses presented below do patterns, such as migration, nursing, Ocean) that implicate section not conflate the two standards; instead, breeding, feeding, or sheltering. 101(a)(5)(D) of the MMPA. each standard has been considered (2) The availability of alternate areas independently and we have applied the for pinnipeds to avoid the resultant Endangered Species Act relevant factors to inform our negligible acoustic and visual disturbances from On October 23, 2013 NMFS impact and small numbers the research operations. Results from announced the removal of the eastern determinations. previous monitoring reports also show We have defined ‘‘negligible impact’’ that the pinnipeds returned to the distinct population segment of Steller in 50 CFR 216.103 as ‘‘. . . an impact various sites and did not permanently sea lions from the list of threatened resulting from the specified activity that abandon haul-out sites after Point Blue species under the ESA. With the cannot be reasonably expected to, and is conducted their pinniped and research delisting, federal agencies proposing not reasonably likely to, adversely affect activities. actions that may affect the eastern the species or stock through effects on (3) There is no potential for large- Steller sea lions are no longer required annual rates of recruitment or survival.’’ scale movements leading to injury, to consult with NMFS under section 7 In making a negligible impact serious injury, or mortality because the of the ESA. This delisting will be determination, we consider: researchers must delay ingress into the effective by the time that we make our (1) The number of anticipated landing areas until after the pinnipeds final determinations on the proposed injuries, serious injuries, or mortalities; present have slowly entered the water. issuance of an Authorization to Point (2) The number, nature, and intensity, (4) The limited access of Point Blue’s Blue. and duration of Level B harassment; and researchers to Southeast Farallon Island, (3) The context in which the takes An˜ o Nuevo Island, and Point Reyes National Environmental Policy Act occur (e.g., impacts to areas of National Seashore during the pupping (NEPA) significance, impacts to local season. populations, and cumulative impacts We do not anticipate that any injuries, To meet our NEPA requirements for when taking into account successive/ serious injuries, or mortalities would the issuance of an Authorization to contemporaneous actions when added occur as a result of Point Blue’s Point Blue, we intend to prepare an to baseline data); proposed activities, and we do not Environmental Assessment (EA) titled (4) The status of stock or species of propose to authorize injury, serious ‘‘Environmental Assessment for the marine mammals (i.e., depleted, not injury or mortality. These species may Issuance of an Incidental Harassment depleted, decreasing, increasing, stable, exhibit behavioral modifications, Authorization to Take Marine Mammals impact relative to the size of the including temporarily vacating the area by Harassment Incidental to Conducting population); during the proposed seabird and Seabird and Pinniped Research in (5) Impacts on habitat affecting rates pinniped research activities to avoid the Central California.’’ Prior to making a of recruitment/survival; and resultant acoustic and visual final decision on the issuance of an (6) The effectiveness of monitoring disturbances. Further, these proposed Authorization, we would decide and mitigation measures. activities would not take place in areas whether or not to issue a Finding of No As mentioned previously, we estimate of significance for marine mammal Significant Impact (FONSI). that four species of marine mammals feeding, resting, breeding, or calving could be potentially affected by Level B and would not adversely impact marine Proposed Authorization harassment over the course of the mammal habitat. Due to the nature, proposed Authorization. For each degree, and context of the behavioral As a result of these preliminary species, these numbers are small harassment anticipated, the activities determinations, we propose to authorize numbers (each, less than or equal to two are not expected to impact rates of the take of marine mammals incidental percent) relative to the population size. recruitment or survival. to Point Blue’s proposed seabird and These incidental harassment numbers Based on the analysis contained pinniped research activities in the represent approximately 1.82 percent of herein of the likely effects of the northeast Pacific Ocean, provided they the U.S. stock of California sea lion, 1.74 specified activity on marine mammals incorporate the previously mentioned percent of the California stock of Pacific and their habitat, and taking into mitigation, monitoring, and reporting harbor seal, 0.15 percent of the consideration the implementation of the requirements. The duration of the California breeding stock of northern mitigation and monitoring measures, we Incidental harassment Authorization elephant seal, and 0.04 percent of the have preliminarily determined that the would not exceed one year from the eastern distinct population segment of total taking from the proposed activities effective date. Steller sea lion. will have a negligible impact on the For reasons stated previously in this affected species or stocks; and that Information Solicited document and based on the following impacts to affected species or stocks of We request interested persons to factors, Point Blue’s specified activities marine mammals would be mitigated to are not likely to cause long-term the lowest level practicable. submit comments and information behavioral disturbance, abandonment of concerning this proposed take the haulout area, injury, serious injury, Impact on Availability of Affected authorization (see ADDRESSES). or mortality because: Species or Stock for Taking for Concurrent with the publication of this (1) The effects of the pinniped and Subsistence Uses notice in the Federal Register, we will seabird research activities would be Section 101(a)(5)(D) of the MMPA forward copies of this application to the limited to short-term startle responses also requires us to determine that the Marine Mammal Commission and its and localized behavioral changes due to taking will not have an unmitigable Committee of Scientific Advisors. the short and sporadic duration of the adverse effect on the availability of

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Dated: November 1, 2013. DEPARTMENT OF ENERGY pwrmkt/WestConnect/Default.htm. Donna S. Wieting, Western will post official comments Director, Office of Protected Resources, Western Area Power Administration received to its Web site after the close of the comment period. Western must National Marine Fisheries Service. Loveland Area Projects, Colorado [FR Doc. 2013–26596 Filed 11–5–13; 8:45 am] receive comments by the end of the River Storage Project, Pacific consultation and comment period to BILLING CODE 3510–22–P Northwest-Pacific Southwest Intertie ensure they are considered in Western’s Project, Central Arizona Project, and decision process. Parker-Davis Project—Rate Order No. FOR FURTHER INFORMATION CONTACT: Mr. WAPA–163 DEPARTMENT OF ENERGY Thomas Hackett, Rates Team Lead, AGENCY: Western Area Power Colorado River Storage Project Administration, DOE. Management Center, 150 East Social [OE Docket No. PP–362] ACTION: Notice of Proposed Formula Hall Avenue, Suite 300, Salt Lake City, Notice of Availability for the Draft Rates for Western Area Power UT 84111–1580, telephone (801) 524– Environmental Impact Statement and Administration (Western) Transmission 5503, or email [email protected]. Announcement of Public Hearings for Projects to Enter into WestConnect’s SUPPLEMENTARY INFORMATION: the Proposed Champlain Hudson Point-to-Point Regional Transmission WestConnect consists of a group of Power Express Transmission Line Service Participation Agreement (PA). electric utilities currently providing Project; Correction transmission service in the Western SUMMARY: Western is proposing new Interconnection. Its members are a formula rates to participate in AGENCY: U.S. Department of Energy. mixture of investor- and consumer- WestConnect’s PA. The proposed owned utilities and Western. The ACTION: Notice of availability and public formula rates under Rate Schedule WC– WestConnect membership encompasses hearings; correction. 8 would become effective June 1, 2014, an interconnected grid stretching from and remain in effect through May 30, western Nebraska to southern California 2019. Western, along with other SUMMARY: The Department of Energy and from Wyoming to the United States- WestConnect participants (Participants), (DOE) published a document in the Mexico border. Western began has participated in the WestConnect Federal Register of November 1, 2013, participating in the Experiment in June Pricing Experiment (Experiment) since announcing the availability for the Draft 2009, which offered potential customers its inception in June 2009. On June 28, the option of scheduling a single Environmental Impact Statement and 2013, the Federal Energy Regulatory public hearings for the proposed transaction for hourly, non-firm, point- Commission (FERC) issued an order to-point transmission service over Champlain Hudson Power Express (143 FERC ¶ 61,291) conditionally transmission line project. This multiple transmission providers’ accepting the PA and regional tariffs. systems at a single rate. The original document corrects an error in that FERC ordered that the Participants in notice. term of the Experiment was 2 years and the filing submit separate compliance expired on June 30, 2011. In 2011, filings. Western has determined that no FOR FURTHER INFORMATION CONTACT: WestConnect filed with FERC to extend changes are necessary to Western’s Requests for additional information the term of the Experiment for 2 Open Access Transmission Tariff additional years, until June 30, 2013. should be directed to Brian Mills at (Tariff) because Western will continue [email protected]. To participate in the Experiment to offer this transmission service under during its total 4-year term, Western had Correction the existing Tariff Schedule 8. For to convert its ‘‘all-hours,’’ non-firm, Western to implement the permanent point-to-point transmission rates into In the Federal Register of November arrangement, however, Western needs to on-peak and off-peak rates, similar to 1, 2013 in FR Doc. 2013–26080, 78 FR adopt new formula rates. Publication of other Participants. Western’s FERC- 65622, please make the following this Federal Register notice begins the approved Tariff transmission rate correction: formal process for the proposed formula designs for all regions yield an ‘‘all- On page 65622, third column, under rates. hours’’ transmission rate. Western’s the heading DATES, the second sentence DATES: The consultation and comment transmission rates do not make a rate is corrected to read: ‘‘The public period will begin today and will end distinction between on-peak and off- comment period started on November 1, December 6, 2013. Western will accept peak, but rather spread the annual 2013, with the publication in the written comments any time during the revenue requirements over all hours of Federal Register by the U.S. consultation and comment period. The the year. Western established these on- proposed action constitutes a minor rate Environmental Protection Agency of its peak and off-peak rates using the adjustment as defined by 10 CFR part Notice of Availability of the Draft EIS, authority granted to Western’s 903. As such, Western has determined Administrator in Delegation Order No. and will continue until December 16, it is not necessary to hold a public 2013.’’ 00–037.00A to set rates for short-term information or public comment forum. sales. Issued in Washington, DC, on November 1, ADDRESSES: Send written comments to: On April 16, 2013, WestConnect 2013. Ms. Lynn C. Jeka, Colorado River submitted to FERC an Amended and Brian Mills, Storage Project Manager, Colorado River Restated PA that, in essence, offers the NEPA Compliance Officer, Office of Storage Project Management Center, 150 coordinated hourly, non-firm, point-to- Electricity Delivery and Energy Reliability. East Social Hall Avenue, Suite 300, Salt point transmission service at a single [FR Doc. 2013–26573 Filed 11–5–13; 8:45 am] Lake City, UT 84111–1580, fax (801) rate on a permanent basis, effective July 524–5017, or email WestConnect@ 1, 2013. On June 28, 2013, FERC issued BILLING CODE 6450–01–P wapa.gov. Western will post an order conditionally accepting the PA information about the rate process on its and regional tariffs. In its order, FERC Web site at http://www.wapa.gov/dsw/ stated it was approving the proposal

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based on voluntary participation, and rates for on-peak and off-peak hours and Central Arizona Project (CAP), and any customer that does not want to take the appropriate rate schedule for the Parker-Davis Project (P–DP). Rate service under the WestConnect Tariff WestConnect transmission product. Schedule WC–8 will describe the provision may continue to take service Western is proposing a single rate formula and reference the individual under the Participant’s standard tariff schedule, effective June 1, 2014, through TP’s converted rates posted on the provisions. May 30, 2019, for all applicable Western appropriate Web sites and Open Access In order for Western to participate in Transmission Projects (TP): Colorado Same Time Information System the PA on a permanent basis, Western River Storage Project (CRSP), Loveland (OASIS). needs to establish permanent, hourly, Area Projects (LAP), Pacific Northwest- non-firm, point-to-point transmission Pacific Southwest Intertie Project (INT), Proposed Formula Rate Calculation:

Legal Authority Availability of Information Dated: October 29, 2013. The proposed action constitutes a Mark A. Gabriel, All documents related to this action Administrator. minor rate adjustment. Western has are available for inspection and copying [FR Doc. 2013–26572 Filed 11–5–13; 8:45 am] determined it is not necessary to hold a at the following Western locations: BILLING CODE 6450–01–P public information or a public comment Desert Southwest Regional Office, 615 forum for this proposed minor rate South 43rd Avenue, Phoenix, Arizona; adjustment as defined by 10 CFR part Rocky Mountain Regional Office, 5555 903. After a review of public comments, ENVIRONMENTAL PROTECTION East Crossroads Boulevard, Loveland, Western will take further action on the AGENCY Colorado; and Colorado River Storage proposed rates consistent with 10 CFR [EPA–HQ–OPPT–2003–0004; FRL–9402–1] part 903. Project Management Center, 150 East Social Hall Avenue, Suite 300, Salt Lake Western is proposing converted rates Access to Confidential Business City, Utah. These documents are also for non-firm transmission service rates Information by Arcadis U.S., Inc. for CRSP, LAP, INT, CAP, and P–DP available on Western’s Web site at http: under the Department of Energy //www.wapa.gov/dsw/pwrmkt/ AGENCY: Environmental Protection Organization Act (42 U.S.C. 7152); the WestConnect/Default.htm. Agency (EPA). Reclamation Act of 1902 (ch. 1093, 32 Ratemaking Procedure Requirements ACTION: Notice. Stat. 388), as amended and supplemented by subsequent laws, Environmental Compliance SUMMARY: EPA has authorized its particularly section 9(c) of the contractor, Arcadis U.S., Inc. of Reclamation Project Act of 1939 (43 In compliance with the National Highlands Ranch, CO, to access U.S.C. 485h(c)); section 5 of the Flood Environmental Policy Act of 1969 information which has been submitted Control Act of 1944 (16 U.S.C. 825s); (NEPA) (42 U.S.C. 4321, et seq.), the to EPA under section 8 of the Toxic and other acts that specifically apply to Council on Environmental Quality Substances Control Act (TSCA). Some of the projects involved. Regulations for implementing NEPA (40 the information may be claimed or By Delegation Order No. 00–037.00A, CFR parts 1500–1508), and DOE NEPA determined to be Confidential Business effective October 25, 20013, the Implementing Procedures and Information (CBI). Secretary of Energy delegated: (1) The Guidelines (10 CFR part 1021), Western DATES: Access to the confidential data authority to develop power and has determined this action is occurred on or about October 21, 2013. transmission rates to Western’s categorically excluded from preparing FOR FURTHER INFORMATION CONTACT: Administrator; (2) the authority to an environmental assessment or an For technical information contact: confirm, approve, and place such rates environmental impact statement. Scott Sherlock, Environmental into effect on an interim basis to the Assistance Division (7408M), Office of Deputy Secretary of Energy; and (3) the Determination Under Executive Order Pollution Prevention and Toxics, authority to confirm, approve, and place 12866 Environmental Protection Agency, 1200 into effect on a final basis, to remand, Western has an exemption from Pennsylvania Ave. NW., Washington, or to disapprove such rates to FERC. centralized regulatory review under DC 20460–0001; telephone number: Existing Department of Energy (DOE) Executive Order 12866; accordingly, no (202) 564–8257; fax number: (202) 564– procedures for public participation in 8251; email address: Sherlock.Scott@ clearance of this notice by the Office of power rate adjustments (10 CFR part epa.gov. Management and Budget is required. 903) were published on September 18, For general information contact: The 1985. TSCA-Hotline, ABVI-Goodwill, 422

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South Clinton Ave., Rochester, NY Pollution Prevention and Toxics, in the Toxic Substances Control Act 14620; telephone number: (202) 554– response to EPA’s letter dated (TSCA). Some of the information may 1404; email address: TSCA-Hotline@ September 9, 2012, requesting have been claimed or determined to be epa.gov. information relating to curing. Confidential Business Information (CBI). SUPPLEMENTARY INFORMATION: In accordance with 40 CFR 2.306(j), DATES: Access to the confidential data EPA has determined that under EPA occurred on or about August 1, 2013. I. General Information contract number EP–C–09–027, Arcadis FOR FURTHER INFORMATION CONTACT: A. Does this notice apply to me? required access to CBI submitted to EPA For technical information contact: under section 8 of TSCA to perform Scott Sherlock, Environmental This action is directed to the public successfully the duties specified under Assistance Division (7408M), Office of in general. This action may, however, be the contract. Arcadis personnel were Pollution Prevention and Toxics, of interest to all who manufacture, given access to information submitted to Environmental Protection Agency, 1200 process, or distribute industrial EPA under section 8 of TSCA. Some of Pennsylvania Ave. NW., Washington, chemicals. Since other entities may also the information may be claimed or DC 20460–0001; telephone number: be interested, the Agency has not determined to be CBI. (202) 564–8257; fax number: (202) 564– attempted to describe all the specific EPA is issuing this notice to inform 8251; email address: sherlock.scott@ entities that may be affected by this all submitters of information under epa.gov. action. If you have any questions section 8 of TSCA that EPA has For general information contact: The regarding the applicability of this action provided Arcadis access to these CBI TSCA-Hotline, ABVI-Goodwill, 422 to a particular entity, consult the materials on a need-to-know basis only. South Clinton Ave., Rochester, NY technical person listed under FOR All access to TSCA CBI under this 14620; telephone number: (202) 554– FURTHER INFORMATION CONTACT. contract is taking place at EPA 1404; email address: TSCA-Hotline@ B. How can I get copies of this document Headquarters and Arcadis’ site located epa.gov. and other related information? in Research Triangle Park, NC, in SUPPLEMENTARY INFORMATION: accordance with EPA’s TSCA CBI EPA has established a docket for this I. General Information action under docket identification (ID) Protection Manual. number EPA–HQ–OPPT–2003–0004. Access to TSCA data, including CBI, A. Does this notice apply to me? will continue until March 31, 2014. If All documents in the docket are listed This action is directed to the public the contract is extended, this access will in the docket index available at http:// in general. This action may, however, be also continue for the duration of the www.regulations.gov. Although listed in of interest to all who manufacture, extended contract without further the index, some information is not process, or distribute industrial notice. publicly available, e.g., CBI or other chemicals. Since other entities may also Arcadis personnel have signed information whose disclosure is be interested, the Agency has not restricted by statute. Certain other nondisclosure agreements and were attempted to describe all the specific material, such as copyrighted material, briefed on appropriate security entities that may be affected by this will be publicly available only in hard procedures before they were permitted action. If you have any questions copy. Publicly available docket access to TSCA CBI. regarding the applicability of this action materials are available electronically at List of Subjects to a particular entity, consult the http://www.regulations.gov, or, if only technical person listed under FOR Environmental protection, available in hard copy, at the OPPT FURTHER INFORMATION CONTACT. Confidential business information. Docket. The OPPT Docket is located in B. How can I get copies of this document the EPA Docket Center (EPA/DC) at Rm. Dated: October 30, 2013. and other related information? 3334, EPA West Bldg., 1301 Matthew G. Leopard, Constitution Ave. NW., Washington, Director, Information Management Division, EPA has established a docket for this DC. The EPA/DC Public Reading Room Office of Pollution Prevention and Toxics. action under docket identification (ID) hours of operation are 8:30 a.m. to 4:30 [FR Doc. 2013–26640 Filed 11–5–13; 8:45 am] number EPA–HQ–OPPT–2003–0004. p.m., Monday through Friday, excluding BILLING CODE 6560–50–P All documents in the docket are listed legal holidays. The telephone number of in the docket index available at http:// the EPA/DC Public Reading Room is www.regulations.gov. Although listed in (202) 566–1744, and the telephone ENVIRONMENTAL PROTECTION the index, some information is not number for the OPPT Docket is (202) AGENCY publicly available, e.g., CBI or other 566–0280. Docket visitors are required information whose disclosure is [EPA–HQ–OPPT–2003–0004; FRL–9402–3] to show photographic identification, restricted by statute. Certain other pass through a metal detector, and sign Access to Confidential Business material, such as copyrighted material, the EPA visitor log. All visitor bags are Information by Science Applications will be publicly available only in hard processed through an X-ray machine International Corporation and Its copy. Publicly available docket and subject to search. Visitors will be Identified Subcontractors materials are available electronically at provided an EPA/DC badge that must be http://www.regulations.gov, or, if only visible at all times in the building and AGENCY: Environmental Protection available in hard copy, at the OPPT returned upon departure. Agency (EPA). Docket. The OPPT Docket is located in ACTION: Notice. the EPA Docket Center (EPA/DC) at Rm. II. What action is the agency taking? 3334, EPA West Bldg., 1301 Under EPA contract number EP–C– SUMMARY: EPA has authorized its Constitution Ave. NW., Washington, 09–027, contractor Arcadis of 630 Plaza contractor, Science Applications DC. The EPA/DC Public Reading Room Drive, Highlands Ranch, CO are International Corporation (SAIC) of hours of operation are 8:30 a.m. to 4:30 assisting EPA by reviewing and McLean, VA, and its subcontractors to p.m., Monday through Friday, excluding assessing the completeness of access information which has been legal holidays. The telephone number of information submitted to the Office of submitted to EPA under all sections of the EPA/DC Public Reading Room is

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(202) 566–1744, and the telephone Dated: October 21, 2013. FOR FURTHER INFORMATION CONTACT: Rose number for the OPPT Docket is (202) Matthew G. Leopard, Kyprianou, Field and External Affairs 566–0280. Docket visitors are required Director, Information Management Division, Division (7506P), Office of Pesticide to show photographic identification, Office of Pollution Prevention and Toxics. Programs, Environmental Protection pass through a metal detector, and sign [FR Doc. 2013–26641 Filed 11–5–13; 8:45 am] Agency, 1200 Pennsylvania Ave. NW., the EPA visitor log. All visitor bags are BILLING CODE 6560–50–P Washington, DC 20460–0001; telephone processed through an X-ray machine number: (703) 305–5354; fax number: and subject to search. Visitors will be (703) 305–5884; email address: provided an EPA/DC badge that must be ENVIRONMENTAL PROTECTION [email protected]. AGENCY visible at all times in the building and SUPPLEMENTARY INFORMATION: returned upon departure. [EPA–HQ–OPP–2013–0406; FRL–9400–2] I. General Information II. What action is the agency taking? Pesticides; Repellency Awareness A. What is the agency’s authority for Graphic; Notice of Availability taking this action? Under EPA Contract Number GS– 35F–4461G, Order Number EP–G13H– AGENCY: Environmental Protection Sections 2 through 34 of the Federal 00665, contractor SAIC of 1701 SAIC Agency (EPA). Insecticide, Fungicide, and Rodenticide Drive, McLean, VA; Essential Software ACTION: Notice. Act (FIFRA) (7 U.S.C. 136–136y). Inc of 9024 Mistwood Drive, Potomac, SUMMARY: EPA is seeking comment on a B. Does this action apply to me? MD; and Impact Innovations Systems repellency awareness graphic for You may be potentially affected by Inc., of 9720 Capital Court, Manassas, producers of skin-applied insect this action if you manufacture, VA., are assisting EPA by developing, repellent products to voluntarily place distribute, sell, or use skin-applied enhancing, maintaining, and operating a on repellent product labels. This is part insect repellent products. The following variety of database applications. They of a voluntary, ongoing effort to enhance list of North American Industrial will also assist with interfaces and public health information on, and to Classification System (NAICS) codes is linkages to other applications. improve the clarity of, pesticide product not intended to be exhaustive, but rather In accordance with 40 CFR 2.306(j), labeling for consumers. Under this provides a guide to help readers EPA has determined that under EPA effort, producers of skin-applied insect determine whether this document Contract Number GS–35F–4461G, Order repellent products can seek to use a applies to them. Potentially affected Number EP–G13H–00665, SAIC and its standardized repellency awareness entities may include: • subcontractors required access to CBI graphic that will clearly communicate to Manufacturers of these products, submitted to EPA under all sections of consumers the estimated number of which includes pesticide and other TSCA to perform successfully the duties hours mosquitoes and/or ticks are agricultural chemical manufacturers repelled by a product when used as specified under the contract. SAIC and (NAICS code 325320), as well as other directed. With this notice, EPA is also its subcontractors’ personnel were given manufacturers in similar industries such seeking comment on a guidance as cosmetics (NAICS code 325620). access to information submitted to EPA document that describes the • Manufacturers who may also be under all sections of TSCA. Some of the recommended criteria and processes for distributors of these products, which information may have been claimed or companies to voluntarily request the use includes drug and druggists’ merchant determined to be CBI. of this graphic. wholesalers (NAICS code 424210). EPA is issuing this notice to inform DATES: Comments must be received on • Retailers of skin-applied insect all submitters of information under all or before March 6, 2014. repellent products (some of which may sections of TSCA that EPA has provided ADDRESSES: Submit your comments, also be manufacturers), which includes SAIC and its subcontractors access to identified by docket identification (ID) nursery, garden center, and farm supply these CBI materials on a need-to-know number EPA–HQ–OPP–2013–0406, by stores (NAICS code 444220), basis only. All access to TSCA CBI one of the following methods: supermarkets (NAICS code 445110), and under this contract is taking place at • Federal eRulemaking Portal: http:// sporting goods stores (NAICS code EPA Headquarters, in accordance with www.regulations.gov. Follow the online 451110). • EPA’s TSCA CBI Protection Manual. instructions for submitting comments. Users of skin-applied insect Do not submit electronically any repellent products, including the Access to TSCA data, including CBI, information you consider to be general public, as well as landscaping will continue until March 26, 2015. If Confidential Business Information (CBI) services (NAICS code 561730), sports the contract is extended, this access will or other information whose disclosure is and recreation institutions (NAICS code also continue for the duration of the restricted by statute. 611620), child daycare services (NAICS extended contract without further • Mail: OPP Docket, Environmental code 624410), and recreational and notice. Protection Agency Docket Center (EPA/ vacation camps (NAICS code 721214). DC), (28221T), 1200 Pennsylvania Ave. SAIC and its subcontractors’ C. What should I consider as I prepare personnel have signed nondisclosure NW., Washington, DC 20460–0001. • my comments for EPA? agreements and were briefed on Hand Delivery: To make special appropriate security procedures before arrangements for hand delivery or 1. Submitting CBI. Do not submit this they were permitted access to TSCA delivery of boxed information, please information to EPA through CBI. follow the instructions at http:// regulations.gov or email. Clearly mark www.epa.gov/dockets/contacts.htm. the part or all of the information that List of Subjects Additional instructions on you claim to be CBI. For CBI commenting or visiting the docket, information in a disk or CD–ROM that Environmental protection, along with more information about you mail to EPA, mark the outside of the Confidential business information. dockets generally, is available at http:// disk or CD–ROM as CBI and then www.epa.gov/dockets. identify electronically within the disk or

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CD–ROM the specific information that the following paragraphs, the guidance consumers were aware that mosquitoes is claimed as CBI. In addition to one identifies the credible information and and ticks can carry potentially complete version of the comment that scientific underpinning that the Agency dangerous diseases, and they wanted to includes information claimed as CBI, a generally believes is necessary to know how long they may be protected copy of the comment that does not support the information provided in the from those pests. Consumers also contain the information claimed as CBI repellency awareness graphic. responded that they would like this must be submitted for inclusion in the Additionally, the guidance describes for information to be clear, concise, and in public docket. Information so marked companies and EPA scientists a method large print on product labels. will not be disclosed except in for calculating the number of hours for EPA intends for the repellency accordance with procedures set forth in the repellency claim(s) that would be awareness graphic to address these 40 CFR part 2. included as part of the repellency consumer needs. The repellency 2. Tips for preparing your comments. awareness graphic. The guidance also awareness graphic is intended to be When submitting comments, remember describes the process for requesting use displayed prominently on participating to: of the graphic through applications for products for quick and easy i. Identify the document by docket ID new or amended registrations. identification by the consumer. number and other identifying EPA believes the approach to Prototypes of this graphic were information (subject heading, Federal determine repellency claim(s) described presented to the consumers Register date and page number). in the guidance strikes a reasonable participating in the focus groups and ii. Follow directions. The Agency may balance between rigorous testing design national survey, with consumers ask you to respond to specific questions and cost containment. For example, indicating that they understood the or organize comments by referencing a some stakeholder comments suggested a meaning of the information in the Code of Federal Regulations (CFR) part more standardized testing methodology. graphic, and that they would be likely or section number. While this may enhance consistency to look for this graphic when shopping iii. Explain why you agree or disagree; across tests, it would drive up costs. for skin-applied insect repellents (Ref. suggest alternatives and substitute Since the objective of efficacy testing is 2). language for your requested changes. to assess and characterize the general To ensure that a variety of issues and iv. Describe any assumptions and performance of each repellent rather opinions were considered during the provide any technical information and/ than permit rigorous comparisons across development of this effort, EPA or data that you used. products, EPA believes that the requested feedback from several key v. If you estimate potential costs or approach outlined in the guidance will stakeholder groups. Starting in May burdens, explain how you arrived at give reasonably consistent predictions 2012, EPA presented the concept, draft your estimate in sufficient detail to to consumers while ensuring that this guidance document, and draft graphic to allow for it to be reproduced. program is affordable for companies to OPP’s federal advisory committee, the vi. Provide specific examples to implement and flexible enough to allow Pesticide Program Dialogue Committee illustrate your concerns and suggest for future advances in scientific testing (PPDC), which represents various alternatives. methodology. industry groups, non-governmental vii. Explain your views as clearly as EPA is making available information organizations, public health possible, avoiding the use of profanity on a Web page for consumers (http:// professionals, state, local, and tribal or personal threats. www.epa.gov/pesticides/insect/ governments, and federal agencies (Refs. viii. Make sure to submit your repellency-awareness.html) that 3–5). Also beginning in May 2012, EPA comments by the comment period describes the graphic and how to asked state regulatory officials deadline identified. interpret as well as providing examples participating in the State-FIFRA Issues of the graphic. In the future, EPA will Research Evaluation Group’s Pesticide II. Overview be launching a new, detailed Web page Operations and Management (SFIREG EPA is preparing to launch a new on insect repellents. The new page will POM) working committee for their voluntary effort to enhance public include a list of the products approved reactions to the idea (Refs. 6–8). health information and to improve the by EPA to use the graphic on the Additionally, in March 2013, EPA clarity of pesticide product labeling for product label. Additionally, the new presented and received independent consumers. Producers of skin-applied page will provide general information to scientific advice from the Scientific insect repellent products can seek to use the public about preventative measures Advisory Panel (SAP) on certain aspects a standardized repellency awareness consumers can take to protect of the effort (Ref. 9). EPA’s responses to graphic that will clearly communicate to themselves and their families from the SAP’s comments relating to the consumers the estimated number of mosquito and tick bites and the repellency awareness graphic are hours mosquitoes and/or ticks are potential diseases they may transmit. available in the docket for this notice repelled by the product when used as When launched, the final URL for the (Ref. 10). directed. Participation will be voluntary program will be http://www2.epa.gov/ Throughout the development of this and has been developed for producers of insect-repellents. effort, EPA has also collaborated with skin-applied insect repellent products experts at other federal agencies such as subject to FIFRA registration III. Background the Centers for Disease Control and requirements. The repellency awareness graphic was Prevention (CDC) and the U.S. With this announcement, EPA is created in response to feedback obtained Department of Agriculture (USDA), seeking public comment on the graphic through focus groups and a national among others. The USDA and CDC have as well as a guidance document that is online survey conducted by EPA in supported EPA’s efforts to provide clear intended to assist producers in 2010 and 2011, respectively (Ref. 2). and readily visible information about understanding the process for During the focus groups and survey, repellent products to consumers. The requesting and obtaining approval for consumers indicated that they wanted CDC has indicated that the graphic the use of the graphic (Ref. 1). Taking information about which types of appears to complement their efforts to into consideration comments provided insects are repelled and the number of promote effective personal protection by the various stakeholders described in hours those insects are repelled. Most activities for the prevention of vector-

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borne diseases such as West Nile virus Evaluation Group (SFIREG) Pesticides FOR FURTHER INFORMATION CONTACT: and Lyme disease (Ref. 11). Operations and Management (POM) For technical information contact: Working Committee. Final SFIREG POM Kathy Calvo, Chemical Control Division IV. Request for Comment Meeting Minutes for May 30–31, 2012. (7405M), Office of Pollution Prevention http://www.aapco.org/meetings/minutes/ EPA is providing this opportunity for _ _ _ and Toxics, Environmental Protection the public to provide comments and 2012/may30/pom mins 05 2012.pdf. 7. SFIREG POM Working Committee. Final Agency, 1200 Pennsylvania Ave. NW., input on the new repellency awareness SFIREG POM Meeting Minutes for Washington, DC 20460–0001; telephone graphic before it is implemented. September 17–18, 2012. http:// number: (202) 564–8089; fax number: Specifically, the Agency requests www.aapco.org/meetings/minutes/2012/ (202) 564–4765; email address: comment on the following: sep17/pom_mins_09_2012.pdf. [email protected]. • Would addition of the repellency 8. SFIREG POM Working Committee. Final For general information contact: The awareness graphic help you choose an SFIREG POM Meeting Minutes for April TSCA-Hotline, ABVI-Goodwill, 422 insect repellent; would it improve the 22–23, 2013. http://www.aapco.org/ _ South Clinton Ave., Rochester, NY clarity of label information? meetings/minutes/2013/apr22/final 14620; telephone number: (202) 554– • Is the repellency awareness pom_mins_04_2013.pdf. 9. EPA. Scientific Advisory Panel (SAP). 1404; email address: TSCA-Hotline@ graphic’s design, as shown on the epa.gov. program’s Web page, easy to March 19–21, 2013: Scientific Issues Concerning the Draft Product understand? SUPPLEMENTARY INFORMATION: • Performance Data Needs Assessment for What information would be helpful Products Claiming Efficacy Against I. General Information to have on our Web site about Invertebrate Pests. Background A. Does this action apply to me? repellency awareness? Is the current documents available at Docket ID No.: information useful and clear to you? EPA–HQ–OPP–2012–0574. Additional This action is directed to the public EPA is also seeking comment on a information available at http:// in general. This action may, however, be guidance document that describes the www.epa.gov/scipoly/sap/meetings/ of interest to those persons who are recommended criteria and processes for 2013/031913meeting.html. concerned about data on health and/or companies to voluntarily request the use 10. EPA. OPP. EPA Response to Scientific environmental effects and other of this graphic. While EPA does not Advisory Panel Comments Related to the Proposed Repellency Awareness characteristics of the chemicals. Since intend to formally respond to all Graphic. September 2013. Docket ID No. other entities may also be interested, the comments that are submitted, they will EPA–HQ–OPP–2013–0406. Agency has not attempted to describe all be taken into consideration as EPA 11. Kyprianou, Rose. Memorandum on the specific entities that may be affected finalizes the repellency awareness Federal Interagency Consultations by this action. graphic and guidance. If substantive During Development of the Repellency comments are received, EPA may, if Awareness Graphic. September 2013. B. How can I get copies of this document necessary and appropriate, revise Docket ID No.: EPA–HQ–OPP–2013– and other related information? aspects of the graphic or the guidance. 0406. All documents in the dockets are In addition, EPA may decide in List of Subjects available at http://www.regulations.gov response to any comments, to provide or at the Office of Pollution Prevention additional helpful information through Environmental protection, and Toxics Docket (OPPT Docket), the Web site. Administrative practice and procedure, Environmental Protection Agency Agricultural commodities, Pesticides Docket Center (EPA/DC), EPA West V. References and pests. Bldg., Rm. 3334, 1301 Constitution Ave. As indicated under ADDRESSES, a Dated: October 28, 2013. NW., Washington, DC. The Public docket has been established for this James Jones, Reading Room is open from 8:30 a.m. to notice under docket ID number EPA– Assistant Administrator, Office of Chemical 4:30 p.m., Monday through Friday, HQ–OPP–2013–0406. The following is a Safety and Pollution Prevention. excluding legal holidays. The telephone listing of the documents that are [FR Doc. 2013–26244 Filed 11–5–13; 8:45 am] number for the Public Reading Room is specifically referenced in this action. BILLING CODE 6560–50–P (202) 566–1744, and the telephone 1. U.S. Environmental Protection Agency number for the OPPT Docket is (202) (EPA). Office of Pesticide Programs 566–0280. Please review the visitor (OPP). Repellency Awareness Guidance. ENVIRONMENTAL PROTECTION instructions and additional information For Skin-Applied Insect Repellent AGENCY about the docket available at http:// Producers. August 2013. Document ID www.epa.gov/dockets. No.: 730–C–13–001. Docket ID No.: EPA– [EPA–HQ–OPPT–2013–0677; FRL–9400–9] HQ–OPP–2013–0406. II. Test Data Submissions 2. EPA. OPP. Insect Repellent Product Toxic Substances Control Act Labeling Consumer Survey Report. April Chemical Testing; Receipt of Test Data Section 4(d) of TSCA (15 U.S.C. 2012. Docket ID No.: EPA–HQ–OPP– 2603(d)) requires EPA to publish a 2013–0406. AGENCY: Environmental Protection notice in the Federal Register reporting 3. EPA. OPP. Pesticide Program Dialogue Agency (EPA). the receipt of test data submitted Committee, May 3–4, 2012 Meeting. ACTION: Notice. pursuant to test rules promulgated http://www.epa.gov/pesticides/ppdc/ under TSCA section 4(a) (15 U.S.C. 2012/may/meeting.html. SUMMARY: This notice announces EPA’s 2603(a)). Each notice must: 4. EPA. OPP. Pesticide Program Dialogue receipt of test data on 21 chemicals. 1. Identify the chemical substance or Committee, November 29–30, 2012 These data were submitted pursuant to mixture for which data have been Meeting. http://www.epa.gov/pesticides/ 3 test rules issued by EPA under section received. ppdc/2012/november/nov-mtg.html. 5. EPA. OPP. Pesticide Program Dialogue 4 of the Toxic Substance Control Act 2. List the uses or intended uses of Committee, July 10–11, 2013 Meeting. (TSCA). The purpose of this notice is to such chemical substance or mixture and http://www.epa.gov/pesticides/ppdc/ alert the public about test data received the information required by the 2013/july/july2013-mtg.html. between June 29, 2011, and July 31, applicable standards for the 6. State-FIFRA Issues, Research, and 2013. development of test data.

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3. Describe the nature of the test data entitled ‘‘Testing for Certain High (docket ID number EPA–HQ–OPPT– developed. Production Volume Chemicals; Second 2009–0112). EPA has received test data for the Group of Chemicals’’ published in the The tables in this unit contain the following three test rules: Federal Register issue of January 7, described information required by • EPA received data on 4 chemicals 2011 (76 FR 1067) (FRL–8846–9) TSCA section 4(d). See the applicable listed in the TSCA section 4 test rule (docket ID number EPA–HQ–OPPT– CFR citations, listed in the title of each entitled ‘‘Testing for Certain High 2007–0531). table, for test data requirements. Data Production Volume Chemicals,’’ • EPA received data on 5 chemicals received can be found by referencing the published in the Federal Register issue listed in the TSCA section 4 test rule docket ID numbers and document of March 16, 2006 (71 FR 13708) (FRL– entitled ‘‘Testing for Certain High numbers listed in the tables. See Unit 7335–2) (docket identification (ID) Production Volume Chemicals; Third I.B. of this document for additional number EPA–HQ–OPPT–2005–0033). Group of Chemicals,’’ published in the information about dockets. EPA reviews • EPA received data on 12 chemicals Federal Register issue of October 21, of test data are added to the appropriate listed in the TSCA section 4 test rule 2011 (76 FR 65385) (FRL–8885–5) docket upon completion.

TABLE 1—DATA RECEIVED IN RESPONSE TO TSCA SECTION 4 TEST RULE AT 40 CFR 799.5085, TESTING OF CERTAIN HIGH PRODUCTION VOLUME CHEMICALS, DOCKET IDENTIFICATION NUMBER EPA–HQ–OPPT–2005–0033

Chemical identity Use(s) Data received Document No.

1,3-Propanediol, 2,2-bis Manufacturing demolition explosive and blast- Determination of the Biodegradability of Pen- 0411 [(nitrooxy)methyl]-, dinitrate ing caps. taerythritol Tetranitrate (PETN) Using Semi- (ester) (CAS No.78–11–5). Continuous Activated Sludge, Study 2. Additional Information about Biodegradation, 0465 Study 2. Additional Information about Reproduction/ 0458 Developmental Oral Toxicity Screen. 9,10-Anthracenedione (CAS Intermediate for dyes and organics; organic An Oral Reproduction/Developmental Toxicity 0413 No. 84–65–1). inhibitor; and bird repellent for seeds. Screening Study of Anthraquinone in Rats, Revised Final Report. Imidodicarbonic diamide (CAS Analytical reagent, especially for proteins ...... Melting Point; Boiling Point; n-Octanol/Water 0359 No. 57–13–6). Partition Coefficient; Water Solubility. Biodegradation; Acute Toxicity to Fish; Acute 0360 Toxicity to Daphnia; Toxicity to Algae; Acute Toxicity to Mammals; Bacterial Re- verse Mutation Assay; Chromosomal Aber- rations; Combined Repeated Dose Toxicity with Reproductive/Developmental Screen. Benzenesulfonic acid, [[4-[[4- Intermediate for antifouling paint agents; cata- Water Solubility ...... 0440 (phenylamino) phenyl] [4- lyst in organic reactions; used by offset ink n-Octanol/Water Partition Coefficient ...... 0441 (phenylimino)-2,5- makers to produce inks for heat set, cold Biodegradation ...... 0437, 0438 cyclohexadien-1-ylidene] set, and sheet-fed applications. 96-Hour Acute Toxicity Study in Zebra Fish 0436 methyl] phenyl] amino]-(CAS (Brachydanio rerio). 0443 No. 1324–76–1). Acute Toxicity Study in Daphnia Magna with C.I. Pigment Blue 61 (Static). Fresh Water Algal Growth Inhibition Test with 0442, 0452 C.I. Pigment Blue 61. Acute Toxicity to Mammals (in Rats) ...... 0426 Salmonella Typhimurium/Escherichia Coli Re- 0416, 0417, verse Mutation Assay (Standard Plate Test 0418 and Preincubation Test) with Alkali Blue Dry 6100/Lot 2219308, Lot 2236308, and Lot 2231308. Chromosomal Aberrations (Reflexblau 3 G 0421, 0322 TTR Micronucleus Test in Male and Fe- male NJRI Mice after Oral Administration). A Combined 28-Day Repeated Dose Toxicity 0445 Study with the Reproduction/Developmental Toxicity Screening Test of C.I. Pigment Blue 61 in Rats by Oral Gavage. Note: CAS = Chemical Abstracts Service Registry Number.

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TABLE 2—DATA RECEIVED IN RESPONSE TO TSCA SECTION 4 TEST RULE AT 40 CFR 799.5087, TESTING OF CERTAIN HIGH PRODUCTION VOLUME CHEMICALS; SECOND GROUP OF CHEMICALS, DOCKET IDENTIFICATION NUMBER EPA– HQ–OPPT–2007–0531

Chemical identity Use(s) Data received Document No.

Acetaldehyde (CAS No. 75– Intermediate used in manufacture of many A Dosage Range-Finding 10-Day Oral (Drink- 0714 07–0). products, including pyridines, acetate ing Water) Toxicity Study in Rats; Analytical esters, pentaerythritol, peracetic acid, 1,3- Method Validation, Compatibility, and Sta- butylene glycol (1,3-Butanediol), and acetic bility Study in Deionized Water; Combined acid. 28-Day Repeated Dose Oral (Drinking Water) Toxicity Study with the Reproduc- tion/D Developmental Toxicity Screening Test in Rats. Acute Toxicity to Daphnia; Toxicity to Aquatic 0673 Plants (Algae). 1,3-Propanediol, 2,2- Manufacturing demolition explosive and blast- Acute Toxicity to the Cladoceran (Daphnia 0713 bis[(nitrooxy) methyl]-, ing caps. magna) Under Static-Renewal Test Condi- dinitrate (ester) (CAS No. tions; Acute Toxicity to the Fathead Minnow 78–11–5). (Pimephales promelas) Under Static-Re- newal Test Conditions. Determination of Biodegradability Using Semi- 0644 Continuous Activated Sludge. 1H,3H-Benzo[1,2-c:4,5- Epoxy curing and cross-linking agent; plasti- Physical/Chemical Properties ...... 0590 c′]difuran-1,3,5,7-tetrone cizers and synthetics intermediate. Vapor Pressure; Water Partition Coefficient; 0691 (CAS No. 89–32–7). Water Solubility. Phenol, 4,4′-methylenebis[2,6- In metalworking fluids as an antioxidant; as a Chronic Toxicity to Daphnia; Toxicity to Plants 0678 bis(1,1-dimethylethyl)- (CAS primary antioxidant/stabilizer in plastics. (Algae). No. 118–82–1). Methanone, diphenyl- (CAS In hair mousse as a fixative for heavy per- Biodegradation; Aquatic toxicity to Daphnia; 0654 No. 119–61–9). fumes; in making antihistamines, hypnotics, Aquatic Toxicity to Plants (Algae); insecticides and ultraviolet absorbers; fla- Daphnids Acute Immobilization and Repro- voring; polymerization inhibitor for styrene; duction; Algal Growth Inhibition. in industry product finishes. Ready Biodegradation; Acute Toxicity to 0602 Daphnia; Acute Toxicity to Plants (Algae); Chronic Toxicity to Daphnia; Chronic Tox- icity to Plants (Algae). Ethanedioic acid (CAS No. Rust remover; antirust metal cleaners and Determination of the Melting Point, Boiling 0712 144–62–7). coatings; flame-proofing and cross-linking Point, Vapor Pressure, and Water Solu- agent in cellulose fabrics; reducing agent in bility; Ready Biodegradability in a Closed mordent wool dying; acid dye stabilizing Bottle; Acute Toxicity on Zebrafish agent in nylon; scouring agent for cotton (Brachydanio rerio); Acute Immobilization to printing; dye stripper for wool; degumming Daphnia (Daphnia magna); Growth Inhibi- silk; separation and recovery of rare earth tion on Algae (Pseudokirchneriella elements from ore; bleaching leather and subcapitata); In Vitro Mammalian Chro- masonry; cleaning aluminum and wood mosome Aberration; Validation of Analytical decks; synthetic intermediate for pharma- Method. ceuticals. Methanesulfinic acid, hydroxy-, Stripping and discharge agent for textiles; Determination of Mutagenic Potential (Bac- 0592 monosodium salt (CAS No. bleaching agent 2–15 for molasses; vat terial Reverse Mutation). 149–44–0). color printing pastes; polymerization of ethylenic compounds; manufacturing of arsphenamines. 1,3,5-Triazine- Manufacture of bactericides and biocides ...... Toxicity to the Alga Pseudokirchneriella 0683 1,3,5(2H,4H,6H)-triethanol Subcapitata Over a 72-Hour Exposure Pe- (CAS No. 4719–04–4). riod. Algal Inhibition Test ...... 0679 D-gluco-heptonic acid, mono- Chelating agent in cosmetics, dairy cleaners, Reverse Mutation Assay (Ames Test) Using 0718 sodium salt, (2.xi.)- (CAS bottle cleaners, food contact paper and pa- Salmonella Typhimurium and Escherichia No. 31138–65–5). perboard manufacturing, metal cleaning, Coli, Amendment to Final Report. kier boiling, caustic boil-off, paint stripping, Algal Inhibition ...... 0716 boiler water additive for food processing, Acute Toxicity to Rainbow Trout ...... 0715 and as ingredient in aluminum etchant Acute Oral Toxicity in the Rat—Up-and-Down 0710 sequestrant; latex stabilizer; intravenous Procedure. pharmaceuticals. Micronucleus Test in the Mouse ...... 0709 Reverse Mutation Assay (Ames Test) Using 0688 Salmonella Typhimurium and Escherichia Coli. Assessment of Ready Biodegradability; Man- 0687 ometric Respirometry. Daphnia 48-hour Acute Immobilization ...... 0719 n-Octanol/Water Partition Coefficient; Water 0639 Solubility. Determination of General Physico-Chemical 0723 Properties.

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TABLE 2—DATA RECEIVED IN RESPONSE TO TSCA SECTION 4 TEST RULE AT 40 CFR 799.5087, TESTING OF CERTAIN HIGH PRODUCTION VOLUME CHEMICALS; SECOND GROUP OF CHEMICALS, DOCKET IDENTIFICATION NUMBER EPA– HQ–OPPT–2007–0531—Continued

Chemical identity Use(s) Data received Document No.

C.I. Leuco Sulphur Black 1 Fingerprint dye...... Freezing Point; Vapor Pressure; n-Octanol/ 0675 (CAS No. 66241–11–0). Water Partition Coefficient; Water Solubility; Ready Biodegradation; Acute Toxicity to Fish; Acute Toxicity to Daphnia; Algal Tox- icity; Acute Oral Toxicity; Bacterial Reverse Mutation (Ames Test); In Vitro Mammalian Cell Gene Mutation; Repeated Dose/Repro- ductive/Developmental Toxicity in Rats; Boiling Point; In Vitro Chromosome Aberra- tion Test. Castor oil, oxidized (CAS No. Plasticizer in lacquers, artificial leathers, hy- Melting Point; Boiling Point; Ready 0674 68187–84–8). draulic fluids, and adhesives. Biodegradability; Reverse Mutation Using Bacteria (Salmonella Typhimurium and Escherichia Coli); In Vitro Mammalian Chromosome Aberration in Chinese Ham- ster V79 Cells; Combined 28-day Repeated Dose Oral Toxicity Screening Study. Benzenediamine, ar,ar-diethyl- No current use identified ...... Vapor Pressure; n-Octanol/Water Partition 0677 ar-methyl- (CAS No. 68479– Coefficient; Water Solubility; Aquatic Tox- 98–1). icity; Acute Toxicity to Fish; Acute Toxicity to Daphnia. Melting Point; Genotoxicity (Chromosomal 0665 Damage). Melting Point; Genotoxicity (Chromosomal 0660 Damage). Mammalian Toxicity: Reproductive/Develop- 0645 mental Toxicity Screening. Subchronic 21-Day Dermal Toxicity ...... 0633 Aquatic Toxicity; Toxicity to Plants (Algae); In 0632 Vitro Bacterial Reverse Mutation; Chromo- somal Damage; Reproductive/Develop- mental Toxicity. Note: CAS = Chemical Abstracts Service Registry Number.

TABLE 3—DATA RECEIVED IN RESPONSE TO TSCA SECTION 4 TEST RULE AT 40 CFR 799.5089, TESTING OF CERTAIN HIGH PRODUCTION VOLUME CHEMICALS; THIRD GROUP OF CHEMICALS, DOCKET IDENTIFICATION NUMBER EPA–HQ– OPPT–2009–0112

Chemical identity Use(s) Data received Document No.

Benzenesulfonyl chloride (CAS Intermediate for benzene sulfonamides, Reverse Mutation Assay (Ames Test) Using 0128 No. 98–09–9). thiophenol, glybuzole, n-2-chloroethyl am- Salmonella Typhimurium and Escherichia ides, and benzonitrile; reagent for Friedel- Coli. Crafts sulfonylation; insecticides and Daphnia 48-Hour Acute Immobilization Test; 0140 miticides. Algal Inhibition Test. Chromosome Aberration Test in Human 0134 Lymphocytes, In Vitro. Benzene, 1-chloro-4- Solvent for industrial cleaning, aerosols, ad- Growth Inhibition Test on Algae; Ready 0141 (trifluoromethyl)- (CAS No. hesives, coatings, inks, and electronic ap- Biodegradability in a Manometric 98–56–6). plications; 1, 1, 1-trichloroethane alter- Respirometry Test; Validation of the Analyt- native; dye intermediate; dielectric fluid; ical Method for the Determination of Ben- dinitroaniline herbicide intermediate; ingre- zene, 1-Chloro-4-(Trifluoromethyl)-. dient in home maintenance product. Benzenesulfonic acid, 3-nitro-, Stabilizer for fiber reactive dyeing; assistant in Vapor Pressure; Reproductive/D Develop- 0144 sodium salt (1:1) (CAS No. discharge printing; viscosity control agent in mental Toxicity Screening Test; Character- 127–68–4). cosmetics; oxidizing agent in demetalizers ization Study; Validation of Analytical Meth- and industrial cleaners; anti-reduction agent. od Concentration in Dose-Formulation; Acute Oral Toxicity; Repeat Dose 14-day Oral Toxicity Study (Dose Range Finding Study). Propanoic acid, 2-methyl-, 3- Plasticizer ...... Acute Oral Toxicity in the Rat, Up-and-Down 138 (benzoyloxy)-2,2,4- Procedure; Reverse Mutation Assay (Ames trimethylpentyl ester (CAS Test) Using Salmonella Typhimurium and No. 22527–63–5). Escherichia Coli.

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TABLE 3—DATA RECEIVED IN RESPONSE TO TSCA SECTION 4 TEST RULE AT 40 CFR 799.5089, TESTING OF CERTAIN HIGH PRODUCTION VOLUME CHEMICALS; THIRD GROUP OF CHEMICALS, DOCKET IDENTIFICATION NUMBER EPA–HQ– OPPT–2009–0112—Continued

Chemical identity Use(s) Data received Document No.

Freezing Point; Boiling Point; Vapor Pressure; 0145 n-Octanol/Water Partition Coefficient; Water Solubility; Ready Biodegradation; Toxicity to Daphnia; Toxicity to Plants (Algae); In Vitro Mammalian Chromosomal Aberration. Benzenesulfonic acid, Esterification and acetylation catalyst; catalyst Boiling Point; Vapor Pressure; n-Octanol/ 0110 dimethyl- (CAS No. 25321– for coatings and foundry resins; in the prep- Water Partition Coefficient. 41–9). aration of esters; hardening agent in plas- tics; activator for nicotine insecticides; cur- ing agent for resins, phenolic foundry res- ins; descaling agent in foundry sand cast- ings; plating aid in electroplating baths; hydrotrope for agricultural formulations; sur- factant in cosmetics. Note: CAS = Chemical Abstracts Service Registry Number.

Authority: 15 U.S.C. 2603. other forms of information technology; Estimated Time per Response: 1–15 List of Subjects and ways to further reduce the hours (average). information collection burden on small Total Annual Burden: 20,610 hours. Environmental protection, Hazardous business concerns with fewer than 25 Total Annual Costs: $200,000. substances. employees. Nature of Response: Required to Dated: October 30, 2013. The FCC may not conduct or sponsor obtain or retain benefits. The statutory Maria J. Doa, a collection of information unless it authority for this information collection Director, Chemical Control Division, Office displays a currently valid control is contained in Section 4(i) and 340 of of Pollution Prevention and Toxics. number. No person shall be subject to the Communications Act of 1934, as [FR Doc. 2013–26644 Filed 11–5–13; 8:45 am] any penalty for failing to comply with amended. Nature and Extent of Confidentiality: BILLING CODE 6560–50–P a collection of information subject to the PRA that does not display a valid Office There is no need for confidentiality with of Management and Budget (OMB) this collection of information. control number. Privacy Impact Assessment: No FEDERAL COMMUNICATIONS impact(s). COMMISSION DATES: Written PRA comments should Needs and Uses: 47 CFR 76.54(b) be submitted on or before January 6, states significant viewing in a cable Information Collections Being 2014. If you anticipate that you will be television or satellite community for Reviewed by the Federal submitting comments, but find it signals not shown as significantly Communications Commission difficult to do so within the period of viewed under 47 CFR 76.54(a) or (d) time allowed by this notice, you should AGENCY: Federal Communications may be demonstrated by an advise the contact listed below as soon Commission. independent professional audience as possible. ACTION: Notice and request for survey of over-the-air television homes ADDRESSES: comments. Direct all PRA comments to that covers at least two weekly periods the Federal Communications separated by at least thirty days but no SUMMARY: The Federal Communications Commission via email to [email protected] more than one of which shall be a week Commission (FCC), as part of its and [email protected]. between the months of April and continuing effort to reduce paperwork FOR FURTHER INFORMATION CONTACT: For September. If two surveys are taken, burdens, invites the general public and additional information about the they shall include samples sufficient to other Federal agencies to take this information collection, contact Cathy assure that the combined surveys result opportunity to comment on the Williams at (202) 418–2918. in an average figure at least one following information collection, as SUPPLEMENTARY INFORMATION: standard error above the required required by the Paperwork Reduction OMB Control Number: 3060–0311. viewing level. Act (PRA) of 1995. Comments are Title: 47 CFR 76.54, Significantly 47 CFR 76.54(c) is used to notify requested concerning whether the Viewed Signals; Method to be followed interested parties, including licensees or proposed collection of information is for Special Showings. permittees of television broadcast necessary for the proper performance of Form Number: Not applicable. stations, about audience surveys that are the functions of the Commission, Type of Review: Extension of a being conducted by an organization to including whether the information shall currently approved collection. demonstrate that a particular broadcast have practical utility; the accuracy of Respondents: Business or other for- station is eligible for significantly the Commission’s burden estimate; profit entities. viewed status under the Commission’s ways to enhance the quality, utility, and Number of Respondents and rules. The notifications provide clarity of the information collected; Responses: 500 respondents, 1,274 interested parties with an opportunity to ways to minimize the burden of the responses. review survey methodologies and file collection of information on the Frequency of Response: On occasion objections. respondents, including the use of reporting and third party disclosure 47 CFR 76.54(e) and (f), are used to automated collection techniques or requirements. notify television broadcast stations

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about the retransmission of significantly Number of Respondents and Form Number: Not applicable. viewed signals by a satellite carrier into Responses: 1,812 respondents and 1,812 Type of Review: Extension of a these stations’ local market. respondents. currently approved collection. OMB Control Number: 3060–0016. Estimated Hours per Response: 0.50 Respondents: Business or other for- Title: Application for Authority to hours. profit entities. Construct or Make Changes in a Low Frequency of Response: Third party Number of Respondents and Power TV, TV Translator or TV Booster disclosure requirement; weekly Responses: 1,428 respondents and Station, FCC Form 346; 47 CFR reporting requirement. 12,686 responses. 74.787(c) and 74.793(d); LPTV Out-of- Total Annual Burden: 47,112 hours. Estimated Time per Response: 0.5–1 Core Digital Displacement Application. Total Annual Cost: None. hour. Form Number: FCC Form 346. Obligation to Respond: Required to Frequency of Response: On occasion Type of Review: Extension of a obtain or retain benefits. The statutory reporting requirement; Third party currently approved collection. authority for this collection is contained disclosure requirement. Respondents: Businesses or other for- in Sections 309 and 337 of the Total Annual Burden: 12,402 hours. profit entities; Not-for-profit Communications Act of 1934, as Total Annual Costs: None. institutions; and State, local or tribal amended. Obligation to Respond: Required to government. Nature and Extent of Confidentiality: obtain or retain benefits. The statutory Number of Respondents: 3,500 Confidentiality is not required with this authority for this collection is contained respondents and 3,500 responses. collection of information. in Sections 4(i), 4(j), 303(r), 339 and 340 Estimated Time per Response: 2.5–7 Privacy Impact Assessment: No of the Communications Act of 1934, as hours. impact(s). amended. Frequency of Response: On occasion Needs and Uses: Section 73.682(d) of Nature and Extent of Confidentiality: reporting requirement; third party the Commission’s rules incorporates by There is no need for confidentiality with disclosure requirement. reference the Advanced Television this collection of information. Total Annual Burden: 33,250 hours. Systems Committee, Inc. (‘‘ATSC’’) Privacy Impact Assessment: No Total Annual Costs: $19,418,000. Program System and Information impact(s). Nature of Response: Required to Protocol (‘‘PSIP’’) standard ‘‘A/65C.’’ Needs and Uses: 47 CFR 76.122, obtain or retain benefits. The statutory PSIP data is transmitted along with a TV 76.123, 76.124 and 76.127 are used to authority for this collection of broadcast station’s digital signal and protect exclusive contract rights information is contained in Section provides viewers (via their DTV negotiated between broadcasters, 154(i), 303, 307, 308 and 309 of the receivers) with information about the distributors, and rights holders for the Communications Act of 1934, as station and what is being broadcast, transmission of network, syndicated, amended. and sports programming in the Nature and Extent of Confidentiality: such as program information. The broadcasters’ recognized market areas. There is no need for confidentiality with Commission has recognized the utility Rule sections 76.122 and 76.123 this collection. that the ATSC PSIP standard offers for implement statutory requirements to Privacy Impact Assessment: No both broadcasters and consumers (or provide rights for in-market stations to impact(s). viewers) of digital television (‘‘DTV’’). Needs and Uses: FCC Form 346 is ATSC PSIP standard A/65C requires assert non-duplication and exclusivity used by licensees/permittees/applicants broadcasters to provide detailed rights. when applying for authority to construct programming information when OMB Control Number: 3060–0653. or make changes in a Low Power transmitting their broadcast signal. This Title: Sections 64.703(b) and (c), Television, TV Translator or TV Booster standard enhances consumers’ viewing Consumer Information—Posting by broadcast station. experience by providing detailed Aggregators. 47 CFR 74.793(d) require that certain information about digital channels and Form No.: N/A. digital low power and TV translator programs, such as how to find a Type of Review: Extension of a stations submit information as to program’s closed captions, multiple currently approved collection. vertical radiation patterns as part of streams and V-chip information. This Respondents: Business or other for- their applications (FCC Forms 346 and standard requires broadcasters to profit entities. 301–CA) for new or modified populate the Event Information Tables Number of Respondents: 56,075 construction permits. (‘‘EITs’’) (or program guide) with respondents; 5,339,038 responses. 47 CFR 74.787(c) require that all low accurate information about each event Estimated Time per Response: .017 to power station with facilities on out-of- (or program) and to update the EIT if 3 hours. core channels (channels 52–59) submit more accurate information becomes Frequency of Response: On occasion a digital displacement (FCC Form 346) available. The previous ATSC PSIP reporting requirement; Third party application proposing an in-core standard A/65–B did not require disclosure requirement. channel (channels 2–51, excluding broadcasters to provide such detailed Obligation to Respond: Required to channel 37) not later than September 1, programming information but only obtain or retain benefits. The statutory 2011. general information. authority for this information collection OMB Control Number: 3060–1104. OMB Control Number: 3060–0960. is found at section 226 [47 U.S.C. 226] Title: Section 73.682(d), DTV Title: 47 CFR 76.122, Satellite Telephone Operator Services codified at Transmission and Program System and Network Non-duplication Protection 47 CFR 64.703 (b) Consumer Information Protocol (‘‘PSIP’’) Rules; 47 CFR 76.123, Satellite Information. Standards. Syndicated Program Exclusivity Rules; Total Annual Burden: 174,401 hours. Form Number: N/A. 47 CFR 76.124, Requirements for Total Annual Cost: $1,688,168. Type of Review: Extension of a Invocation of Non-duplication and Privacy Act Impact Assessment: An currently approved collection. Syndicated Exclusivity Protection; 47 assurance of confidentiality is not Respondents: Business or other for- CFR 76.127, Satellite Sports Blackout offered because this information profit entities; not for-profit institutions. Rules. collection does not require the

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collection of personally identifiable requirements are necessary to ensure advise the contact listed below as soon information (PII) from individuals. that licensees do not cause interference as possible. Nature and Extent of Confidentiality: to each other and that licensees who ADDRESSES: Direct all PRA comments to No impact(s). undertake to transition to the new band the Federal Communications Needs and Uses: The information plan receive reimbursement for eligible Commission via email to [email protected] collection requirements included under costs. and [email protected]. this OMB Control Number 3060–0653, Federal Communications Commission. FOR FURTHER INFORMATION CONTACT: For requires aggregators (providers of Marlene H. Dortch, additional information about the telephones to the public or to transient Secretary, Office of the Secretary, Office of information collection, contact Cathy users of their premises) under 47 U.S.C. Managing Director. Williams at (202) 418–2918. 226(c)(1)(A), 47 CFR 64.703(b) of the [FR Doc. 2013–26595 Filed 11–5–13; 8:45 am] SUPPLEMENTARY INFORMATION: Commission’s rules, to post in writing, BILLING CODE 6712–01–P OMB Control Number: 3060–0175. on or near such phones, information Title: Section 73.1250, Broadcasting about the pre-subscribed operator Emergency Information. services, rates, carrier access, and the FEDERAL COMMUNICATIONS Form Number: N/A. FCC address to which consumers may COMMISSION Type of Review: Extension of a direct complaints. Section 64.703(c) of currently approved collection. the Commission’s rules requires the Information Collections Being Respondents: Business or other for- posted consumer information to be Reviewed by the Federal profit entities. added when an aggregator has changed Communications Commission Under Number of Respondents and the pre-subscribed operator service Delegated Authority Responses: 50 respondents; 50 provider (OSP) no later than 30 days AGENCY: Federal Communications responses. following such change. Consumers will Commission. Estimated Time per Response: 1 hour. use this information to determine Frequency of Response: On occasion whether they wish to use the services of ACTION: Notice and request for comments. reporting requirement. the identified OSP. Total Annual Burden: 50 hours. OMB Control Number: 3060–1094. SUMMARY: The Federal Communications Total Annual Cost: None. Title: Licensing, Operation, and Commission (FCC), as part of its Obligation to Respond: Required to Transition of the 2500–2690 MHz Band. continuing effort to reduce paperwork obtain or retain benefits. The statutory Form Number: N/A. burdens, invites the general public and authority for this collection is contained Type of Review: Revision of a other Federal agencies to take this in Section 154(i) of the Communications currently approved collection. opportunity to comment on the Act of 1934, as amended. Respondents: Business or other for- following information collection, as Nature and Extent of Confidentiality: profit entities, not-for-profit institutions, required by the Paperwork Reduction There is no need for confidentiality with and state, local, or tribal government. Act (PRA) of 1995. Comments are this collection of information. Number of Respondents: 42 requested concerning whether the Privacy Impact Assessment(s): No respondents, 282 responses. proposed collection of information is impact(s). Estimated Time per Response: .5–2 necessary for the proper performance of Needs and Uses: 47 CFR 73.1250(e) hours. the functions of the Commission, states immediately upon cessation of an Frequency of Response: On occasion including whether the information shall emergency during which broadcast and one time reporting requirements, have practical utility; the accuracy of facilities were used for the transmission third-party disclosure requirement and the Commission’s burden estimate; of point-to-point messages under recordkeeping requirement. ways to enhance the quality, utility, and paragraph (b) of this section, or when Obligation to Respond: Required to clarity of the information collected; daytime facilities were used during obtain or retain benefits. The statutory ways to minimize the burden of the nighttime hours by an AM station in authority is contained in 47 U.S.C. 151, collection of information on the accordance with paragraph (f) of this 154(i), 301, 303(f), 303(g), 303(r), 307, respondents, including the use of section, a report in letter form shall be 308, 316. automated collection techniques or forwarded to the FCC in Washington, Total Annual Burden: 147 hours. other forms of information technology; DC, setting forth the nature of the Total Annual Cost: $11,550. and ways to further reduce the emergency, the dates and hours of the Privacy Impact Assessment: No information collection burden on small broadcasting of emergency information, impact(s). business concerns with fewer than 25 and a brief description of the material Nature and Extent of Confidentiality: employees. carried during the emergency. A There is no need for confidentiality. The FCC may not conduct or sponsor certification of compliance with the Respondents or applicants may request a collection of information unless it non-commercialization provision of materials or information submitted to displays a currently valid control paragraph (f) of this section must the Commission be withheld from number. No person shall be subject to accompany the report where daytime public inspection under 47 CFR 0.459 of any penalty for failing to comply with facilities are used during nighttime the Commission’s rules. a collection of information subject to the hours by an AM station, together with Needs and Uses: The information PRA that does not display a valid Office a detailed showing, under the relating to substantial service is used by of Management and Budget (OMB) provisions of that paragraph, that no the Commission staff to satisfy control number. other broadcast service existed or was requirements for licensees to DATES: Written PRA comments should adequate. demonstrate substantial service. be submitted on or before January 6, The Commission adopted on Without this information, the 2014. If you anticipate that you will be September 9, 2004, the Report and Commission would not be able to carry submitting comments, but find it Order (R&O), In the Matter of out its statutory responsibilities. The difficult to do so within the period of Amendment of Parts 73 and 74 of the third party disclosure coordination time allowed by this notice, you should Commission’s Rules to Establish Rules

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for Digital Low Power Television, Number of Respondents and licensee to continue operations; (2) the Television Translator, and Television Responses: 50 respondents; 150 commencement or modification of Booster Stations and to Amend Rules for responses. wireless service is delayed beyond that Digital Class A Television Stations, MB Estimated Time per Response: 2 period (in which case the period will be Docket No. 03–185, FCC 04–220. The hours. extended); or (3) the Commission stays following rule sections which contain Frequency of Response: On occasion the effect of the interference information requirements were adopted: reporting requirement; Third party notification, upon request. 47 CFR 74.703(f) states that a licensee of disclosure requirement. 47 CFR 74.703(h) requires in each a digital low power TV (LPTV) or TV Obligation to Respond: Required to instance where suspension of operation translator station operating on a channel obligation or retain benefits. The is required, the licensee shall submit a from 52–69 is required to eliminate at statutory authority for this collection is full report to the FCC in Washington, its expense any condition of contained in Section 154(i) of the DC, after operation is resumed, interference caused to the operation of Communications Act of 1934, as containing details of the nature of the or services provided by existing and amended. interference, the source of the future commercial or public safety Total Annual Burden: 300 hours. interfering signals, and the remedial wireless licensees in the 700 MHz Total Annual Cost: $300,000. steps taken to eliminate the interference. Privacy Act Impact Assessment: No bands. The offending digital LPTV or impact(s). OMB Control Number: 3060–0707. translator station must cease operations Nature and Extent of Confidentiality: Title: Over-the-Air Reception Devices immediately upon notification by any There is no need for confidentiality with (OTARD). primary wireless licensee, once it has this collection of information. Type of Review: Extension of a been established that the digital low Needs and Uses: The Commission currently approved collection. power TV or translator station is causing adopted on September 9, 2004, the Respondents: State or Local, or Tribal the interference. Report and Order (R&O), In the Matter Government. 47 CFR 74.703(g) states that an of Amendment of Parts 73 and 74 of the Number of Respondents and existing or future wireless licensee in Commission’s Rules to Establish Rules Responses: 77 respondents; 77 the 700 MHz bands may notify (certified for Digital Low Power Television, responses. mail, return receipt requested), a digital Television Translator, and Television Estimated Time per Response: 2–6 low power TV or TV translator Booster Stations and to Amend Rules for hours. operating on the same channel or first Digital Class A Television Stations, MB Frequency of Response: On occasion adjacent channel of its intention to Docket No. 03–185, FCC 04–220. The reporting; third party disclosure. initiate or change wireless operations following rule sections which contain Obligation to Respond: Required to and the likelihood of interference from information requirements were adopted: obtain or retain benefits. The statutory the low power TV or translator station 47 CFR 74.703(f) states that a licensee authority for this collection of within its licensed geographic service of a digital low power TV (LPTV) or TV information is contained in Section 207 area. The notice should describe the translator station operating on a channel of the Communications Act of 1934, as facilities, associated service area and from 52–69 is required to eliminate at amended. operations of the wireless licensee with its expense any condition of Total Annual Burden: 288 hours. sufficient detail to permit an evaluation interference caused to the operation of Total Annual Cost: 17,100. of the likelihood of interference. Upon or services provided by existing and Privacy Act Impact Assessment: No receipt of such notice, the digital LPTV future commercial or public safety impact. or TV translator licensee must cease wireless licensees in the 700 MHz Nature and Extent of Confidentiality: operation within 120 days unless: (1) It bands. The offending digital LPTV or There is no need for confidentiality with obtains the agreement of the wireless translator station must cease operations this collection of information. licensee to continue operations; (2) the immediately upon notification by any Needs and Uses: Section 207 of the commencement or modification of primary wireless licensee, once it has Telecommunications Act of 1996 (‘‘1996 wireless service is delayed beyond that been established that the digital low Act’’) directs the Commission to period (in which case the period will be power TV or translator station is causing promulgate rules prohibiting restrictions extended); or (3) the Commission stays the interference. on viewers’ ability to receive over-the- the effect of the interference 47 CFR 74.703(g) states that an air signals by television broadcast, notification, upon request. existing or future wireless licensee in multichannel multipoint distribution, or 47 CFR 74.703(h) requires in each the 700 MHz bands may notify (certified direct broadcast satellite services. instance where suspension of operation mail, return receipt requested), a digital In a Report and Order, Memorandum is required, the licensee shall submit a low power TV or TV translator Opinion and Order and Further Notice full report to the FCC in Washington, operating on the same channel or first of Proposed Rulemaking, CS Docket No. DC, after operation is resumed, adjacent channel of its intention to 96–83, FCC 96–328, released August 6, containing details of the nature of the initiate or change wireless operations 1996, the Commission fully interference, the source of the and the likelihood of interference from implemented Section 207 of the 1996 interfering signals, and the remedial the low power TV or translator station Act by adopting final rules for a steps taken to eliminate the interference. within its licensed geographic service preemption of state, local and non- OMB Control Number: 3060–0236. area. The notice should describe the governmental regulations that impair facilities, associated service area and viewers ability to receive over-the-air Title: Sections 74.703, Interference. operations of the wireless licensee with signals. In doing so, the FCC Form Number: Not applicable. sufficient detail to permit an evaluation acknowledged the necessity of allowing Type of Review: Extension of a of the likelihood of interference. Upon state, local and non-governmental currently approved collection. receipt of such notice, the digital LPTV entities to continue to enforce certain Respondents: Business or other for- or TV translator licensee must cease regulations and restrictions, such as profit entities; not for profit institutions; operation within 120 days unless: (1) It those serving safety purposes, and State, local or Tribal Government. obtains the agreement of the wireless therefore exempted them from its

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prohibition. Also, state, local and non- Needs and Uses: FCC Form 387 is The FCC may not conduct or sponsor governmental entities were permitted to used by licensees and permittees of full- a collection of information unless it file petitions for waivers. power television stations to detail their displays a currently valid OMB Control On September 25, 1998, the digital television (DTV) transition status Number. No person shall be subject to Commission released an Order on and to report the completion of their any penalty for failing to comply with Reconsideration, FCC 98–214, in this transition-specifically, that they have a collection of information subject to the proceeding that further modified and begun operating their full facility as Paperwork Reduction Act (PRA) that clarified Section 207 rules. Among other authorized by the post-transition DTV does not display a valid Control things, the Order on Reconsideration Table Appendix B. The DTV transition Number. clarified how declaratory rulings and deadline passed on June 12, 2009, DATES: Written Paperwork Reduction meaning that full-power television waivers in this matter are to be served Act (PRA) comments should be stations may now broadcast only in on all interested parties. If a local submitted on or before January 6, 2014. digital. However, there are still some government seeks a declaratory ruling or If you anticipate that you will be full-power TV stations that, because of a waiver, it must take steps to afford submitting comments, but find it a ‘‘tolling’’ event, have not commenced reasonable, constructive notice to difficult to do so within the period of digital broadcasting (and so are off-the- residents in its jurisdiction (e.g., by time allowed by this notice, you should air) or that are not operating at their full, placing notices in a local newspaper of advise the FCC contact listed below as authorized digital facility. Therefore, general circulation). Certificates of soon as possible. service and proof of constructive notice such stations are required to file the ADDRESSES: also must be provided to the FCC Form 387 if and when they Submit your PRA comments Commission with the petition. In this commence full, authorized digital to Leslie F. Smith, Federal regard, the petitioner should provide the operations. Communications Commission (FCC), via Commission with a copy of the notice the Internet at [email protected]. To Federal Communications Commission. submit your PRA comments by email, and an explanation of where the notice Marlene H. Dortch, was placed and how many people the send them to [email protected]. Secretary, Office of the Secretary, Office of FOR FURTHER INFORMATION CONTACT: For notice might reasonably have reached. Managing Director. Effective January 22, 1999, FCC 98– additional information, contact Leslie F. [FR Doc. 2013–26594 Filed 11–5–13; 8:45 am] 273, the Commission amended the rules Smith at (202) 418–0217, or via the BILLING CODE 6712–01–P so that it applies to rental property Internet at [email protected]. where the renter has an exclusive use SUPPLEMENTARY INFORMATION: area, such as a balcony or patio. FEDERAL COMMUNICATIONS OMB Control Number: 3060–XXXX. In FCC 00–366, the Commission then COMMISSION Title: US Telecom Forbearance FCC further amended the rule so that it 13–69 Conditions. applies to customer-end antennas that Notice of Public Information Form Number: N/A receive and transmit fixed wireless Collection(s) Being Reviewed by the Type of Review: New collection. signals. This amendment became Federal Communications Commission, Respondents: Business or other for- effective on May 25, 2001. Comments Requested profit. OMB Control Number: 3060–1105. Number of Respondents and Title: Digital TV Transition Status AGENCY: Federal Communications Responses: 11 respondents; 11 Report, FCC Form 387. Commission. responses. Form Number: FCC Form 387. ACTION: Notice; request for comments. Estimated Time per Response: 40–232 Type of Review: Extension of a hours. SUMMARY: As part of its continuing effort currently approved collection. Frequency of Response: One-time and to reduce paperwork burden and as Respondents: Business or other for- annual reporting requirements. required by the Paperwork Reduction profit entities; not-for-profit institutions. Obligation to Respond: Voluntary. Number of Respondents and Act (PRA) of 1995 (44 U.S.C. 3501— Statutory Authority: 47 U.S.C 160, 201, Responses: 20 respondents and 20 3520), the Federal Communications 202, 218, 254(k), and 272(e). responses. Commission (FCC) invites the general Total Annual Burden: 2,096 hours. Estimated Time per Response: 2 public and other Federal agencies to Total Annual Costs: $104,800. hours. take this opportunity to comment on the Privacy Act Impact Assessment: No Frequency of Response: One-time following information collection(s). impact(s). reporting requirement. Comments are requested concerning: Nature and Extent of Confidentiality: Total Annual Burden: 40 hours. Whether the proposed collection of If respondents submit information Total Annual Cost: $22,000. information is necessary for the proper which respondents believe is Obligation to Respond: Required to performance of the functions of the confidential, respondents may request obtain or retain benefits. The statutory Commission, including whether the confidential treatment of such authority for this collection of information shall have practical utility; information pursuant to section 0.459 of information is contained in Sections 1, the accuracy of the Commission’s the Commission’s rules, 47 CFR 0.459. 4(i) and (j), 7, 301, 302, 303, 307, 308, burden estimate; ways to enhance the Needs and Uses: In a May 2013 309, 312, 316, 318, 319, 324, 325, 336, quality, utility, and clarity of the Memorandum Opinion and Order (FCC and 337 of the Communications Act of information collected; ways to minimize 13–69), the Commission acted on a 1934, 47 U.S.C. 151, 154(i) and (j), 157, the burden of the collection of petition filed by US Telecom and 301, 302a, 303, 307, 308, 309, 312, 316, information on the respondents, granted forbearance relief to the full 318, 319, 324, 325, 336, and 337. including the use of automated extent supported by the record. This Nature and Extent of Confidentiality: collection techniques or other forms of collection covers conditional Confidentiality is not required for this information technology; and further forbearance relief granted by the collection of information. ways to reduce the information burden Commission from cost assignment rules, Privacy Impact Assessment: No for small business concerns with fewer property record rules, ARMIS report 43– impact(s). than 25 employees. 01, and structural separation

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requirements for Independent ILECs. send it by email to FHFA at II. Introduction The data, information, and documents [email protected] to ensure acquired through this collection will timely receipt by FHFA. Please include This notice satisfies the Privacy Act allow the Commission to meet its ‘‘2013–N–15,’’ in the subject line of the requirement that an agency publishes a statutory requirements while allowing message. system of records notice in the Federal carriers to obtain forbearance relief. • U.S. Mail, United Parcel Service, Register when there is an addition or change to an agency’s systems of Federal Communications Commission. Federal Express, or Other Mail Service: The mailing address for comments is: records. Congress has recognized that Marlene H. Dortch, Alfred M. Pollard, General Counsel, application of all requirements of the Secretary, Office of the Secretary, Office of Attention: Comments/2013–N–15, Privacy Act to certain categories of Managing Director. Federal Housing Finance Agency, 400 records may have an undesirable and [FR Doc. 2013–26593 Filed 11–5–13; 8:45 am] Seventh Street SW., Washington, DC often unacceptable effect upon agencies BILLING CODE 6712–01–P 20024. Please note that all mail sent to in the conduct of necessary public FHFA via the U.S. Postal Service is business. Consequently, Congress routed through a national irradiation established general exemptions and FEDERAL HOUSING FINANCE facility, a process that may delay specific exemptions that could be used AGENCY delivery by approximately two weeks. to exempt records from provisions of the [No. 2013–N–15] For any time-sensitive correspondence, Privacy Act. Congress also required that please plan accordingly. exempting records from provisions of Privacy Act of 1974; Systems of • Hand Delivered/Courier: The hand the Privacy Act would require the head Records delivery address is: Alfred M. Pollard, of an agency to publish a determination General Counsel, Attention: Comments/ to exempt a record from the Privacy Act AGENCY: Federal Housing Finance 2013–N–15, Federal Housing Finance as a rule in accordance with the Agency. Agency, 400 Seventh Street SW., Administrative Procedure Act. The ACTION: Notice of proposed revision of Washington, DC 20024. Deliver the Acting Director of FHFA has determined an existing system of records and package to the Seventh Street entrance that records and information in these establishment of a new system of Guard Desk, First Floor, on business two systems of records are not exempt records. days between 9 a.m. to 5 p.m. from the requirements of the Privacy See SUPPLEMENTARY INFORMATION for Act. SUMMARY: In accordance with the additional information on submission As required by the Privacy Act, 5 requirements of the Privacy Act of 1974, and posting of comments. as amended (Privacy Act), the Federal U.S.C. 552a(r), and pursuant to FOR FURTHER INFORMATION CONTACT: Housing Finance Agency (FHFA) gives paragraph 4c of Appendix I to OMB Stacy J. Easter, Privacy Act Officer, notice of and requests comments on the Circular No. A–130, ‘‘Federal Agency [email protected] or (202) 649–3803, or proposed revision of an existing Privacy Responsibilities for Maintaining David A. Lee, Senior Agency Official for Act system of records and the Records About Individuals,’’ dated Privacy, [email protected] or (202) 649– February 8, 1996 (61 FR 6427, 6435 establishment of a new system of 3803 (not toll-free numbers), Federal records. The revised system, February 20, 1996), FHFA has submitted Housing Finance Agency, Eighth Floor, a report describing the systems of ‘‘Photographic Files’’ (FHFA–5), 400 Seventh Street SW., Washington, records covered by this notice to the contains photographic materials, in DC 20024. The telephone number for Committee on Oversight and print and electronic format, related to the Telecommunications Device for the Government Reform of the House of FHFA staff and events, and will be Deaf is (800) 877–8339. newly named ‘‘Photographic, Video, Representatives, the Committee on SUPPLEMENTARY INFORMATION: Voice, and Similar Files.’’ The proposed Homeland Security and Governmental new system, ‘‘Online Forms’’ (FHFA– I. Comments Affairs of the Senate, and the Office of 22), will contain records related to FHFA seeks public comments on the Management and Budget. members of the public. revised and proposed systems of III. Proposed Systems of Records DATES: The effective date of the notice records, and will take all comments into is December 16, 2013 unless comments consideration. See 5 U.S.C. 552a(e)(4) The system of records ‘‘Photographic necessitate otherwise. FHFA will and (11). In addition to referencing Files’’ (FHFA–5) is being revised to publish a new notice if, in order to ‘‘Comments/2013–N–15,’’ please update the system name, address new review comments, the effective date is reference the title and the system of categories of individuals covered, delayed or if changes are made based on records number your comment address new records that will be comments received. To be assured of addresses. collected, and make non-substantive consideration, comments must be All comments received will be posted edits. The system’s new name will be received on or before December 6, 2013. without change on the FHFA Web site ‘‘Photographic, Video, Voice, and ADDRESSES: Submit comments only at http://www.fhfa.gov, and will include Similar Files.’’ The system contains once, identified by ‘‘2013–N–15,’’ using any personal information you provide, photographs including hardcopy and any one of the following methods: such as name, address (mailing and electronic images, video, audio, names, • Email: Comments to Alfred M. email), and telephone numbers. In date of visit, participation in events and Pollard, General Counsel, may be sent addition, copies of all comments programs, and biographies of speakers, by email to [email protected]. received will be available for public trainers, and others. FHFA uses these Please include ‘‘2013–N–15,’’ in the inspection on business days between photographic records for distribution subject line of the message. the hours of l0 a.m. and 3 p.m., at the and reproduction in agency documents • Federal eRulemaking Portal: http:// Federal Housing Finance Agency, 400 and communications such as reports, www.regulations.gov. Follow the Seventh Street SW., Washington, DC agency plans, training materials, press instructions for submitting comments. If 20024. To make an appointment to releases, briefing materials, research you submit your comment to the inspect comments, please call the Office documents, newsletters, and Federal eRulemaking Portal, please also of General Counsel at (202) 649–3804. presentations.

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The proposed new system ‘‘Online or information contained herein may the purpose for which FHFA collected Forms’’ (FHFA–22) will contain specifically be disclosed outside FHFA the records. information submitted by individuals or as a routine use pursuant to 5 U.S.C. (6) To a Congressional office from the their representatives, to FHFA. FHFA 552a(b)(3) as follows: record of an individual in response to will use this information to (1) When (a) It is suspected or an inquiry from the Congressional office communicate with and respond to confirmed that the security or made at the request of that individual. individuals who submit a form online confidentiality of information in the (7) To contractor personnel, grantees, with FHFA. system of records has been volunteers, interns, and others The revised and proposed systems of compromised; (b) FHFA has determined performing or working on a contract, records notices are set out in their that as a result of the suspected or service, grant, cooperative agreement, or entirety and described in detail below. confirmed compromise there is a risk of project for FHFA. harm to economic or property interests, (8) To a court, magistrate, or FHFA–5 identity theft or fraud, or harm to the administrative tribunal in the course of SYSTEM NAME: security or integrity of this system or presenting evidence, including Photographic, Video, Voice, and other systems or programs (whether disclosures to opposing counsel or Similar Files. maintained by FHFA or another agency witnesses in the course of civil or entity) that rely upon the discovery, litigation, or settlement SECURITY CLASSIFICATION: compromised information; and (c) the negotiations, or in connection with None. disclosure is made to such agencies, criminal law proceedings, or in entities, and persons who are reasonably response to a subpoena from a court of SYSTEM LOCATION: necessary to assist in connection with competent jurisdiction. Federal Housing Finance Agency, 400 FHFA’s efforts to respond to the (9) To the Office of Management and Seventh Street SW., Washington, DC suspected or confirmed compromise Budget, Department of Justice (DOJ), 20024. and prevent, minimize, or remedy such Department of Labor, Office of CATEGORIES OF INDIVIDUALS COVERED BY THE harm. Personnel Management, Equal SYSTEM: (2) Where there is an indication of a Employment Opportunity Commission, Current and former Federal Housing violation or potential violation of law, Office of Special Counsel, Department Finance Agency (FHFA) employees and whether civil, criminal or regulatory in of Homeland Security, or other Federal contractor personnel; visitors from nature, and whether arising by general agencies to obtain advice regarding Federal, state, or local agencies; statute or particular program statute, or statutory, regulatory, policy, and other speakers; trainers; employees of FHFA’s by regulation, rule or order issued requirements related to the purpose for regulated entities; congressional staff; pursuant thereto, the relevant records in which FHFA collected the records. the press, trade and academic the system of records may be referred, (10) To DOJ (including United States organizations; and members of the as a routine use, to the appropriate Attorney Offices) or other Federal public. agency, whether federal, state, local, agencies conducting litigation or in tribal, foreign or a financial regulatory proceedings before any court, or CATEGORIES OF RECORDS IN THE SYSTEM: organization that are charged with the adjudicative or administrative body, Records contain photographs responsibility of investigating or when it is necessary to the litigation and including hardcopy and electronic prosecuting such violation or charged one of the following is a party to the images, video, audio, names, date of with enforcing or implementing a litigation or has an interest in such visit, participation in events and statute, or rule, regulation or order litigation: programs, and biographies of speakers, issued pursuant thereto. 1. FHFA; trainers, and others. (3) To any individual during the 2. Any employee of FHFA in his/her course of any inquiry or investigation official capacity; AUTHORITY FOR MAINTENANCE OF THE SYSTEM: conducted by FHFA, or in connection 3. Any employee of FHFA in his/her The system is established and with civil litigation, if FHFA has reason individual capacity where DOJ or FHFA maintained pursuant to 12 U.S.C. 4513. to believe that the individual to whom has agreed to represent the employee; or PURPOSE(S): the record is disclosed may have further 4. The United States or any agency information about the matters related thereof, is a party to the litigation or has FHFA uses these records for therein, and those matters appeared to an interest in such litigation, and FHFA reproduction in agency documents and be relevant at the time to the subject determines that the records are both communications such as reports, agency matter of the inquiry. relevant and necessary to the litigation plans, training materials, press releases, (4) To any individual with whom and the use of such records is briefing materials, research documents, FHFA contracts to reproduce, by typing, compatible with the purpose for which newsletters, announcements, photocopy or other means, any record FHFA collected the records. promotional materials presentations, within this system for use by FHFA and (11) To the National Archives and educational programs, FHFA’s internal its employees in connection with their Records Administration or other Federal and external Web sites, social media official duties or to any individual who agencies pursuant to records sites, and at FHFA-sponsored events is utilized by FHFA to perform clerical management inspections being such as meetings, conferences, or stenographic functions relating to the conducted under the authority of 44 seminars, tributes, receptions, and official business of FHFA. U.S.C. 2904 and 2906. ceremonies. (5) To members of advisory (12) To a Federal agency, ROUTINE USES OF RECORDS MAINTAINED IN THE committees that are created by FHFA or organization, or individual for the SYSTEM, INCLUDING CATEGORIES OF USERS AND by Congress to render advice and purpose of performing audit or oversight THE PURPOSE OF SUCH USES: recommendations to FHFA or to operations as authorized by law, but In addition to those disclosures Congress, to be used solely in only such information as is necessary generally permitted under 5 U.S.C. connection with their official, and relevant to such audit or oversight 552a(b) of the Privacy Act, these records designated functions and is related to function.

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(13) To Fannie Mae, Freddie Mac, or with the procedures set forth in 12 CFR offered, years of experience, DUNS, a Federal Home Loan Bank as it relates part 1204. GSA, NAICS and GWAC number, to the purpose for which FHFA organization affiliations, special CONTESTING RECORD PROCEDURES: collected the records. category status, and past performance Direct requests to contest or appeal an references), and related information. DISCLOSURE TO CONSUMER REPORTING adverse decision for a record to the AGENCIES: Privacy Act Appeals Officer. Appeals AUTHORITY FOR MAINTENANCE OF THE SYSTEM: None. may either be mailed to the Privacy Act The system is established and Appeals Officer, Federal Housing maintained pursuant to 12 U.S.C. 4513. POLICIES AND PRACTICES FOR STORING, Finance Agency, 400 Seventh Street RETRIEVING, ACCESSING, RETAINING AND PURPOSE(S): DISPOSING OF RECORDS IN THE SYSTEM: SW., Washington, DC 20024, or submitted electronically at http:// FHFA uses the records in this system STORAGE: www.fhfa.gov/Default.aspx?Page=236 in to communicate with individuals who Records in this system are stored on accordance with the procedures set submit a form online with FHFA. The hardcopy and electronic media. forth in 12 CFR part 1204. forms will allow FHFA to respond to complaints, appeals, inquires and RETRIEVABILITY: RECORD SOURCE CATEGORIES: requests for information; to review and By name, photograph, video file, Information is provided by the subject post comments on proposed rules/ audio file, date of event, name of event, of the record, authorized regulations; to review feedback received or program. representatives, supervisors, employers, on FHFA proposed or implemented other employees, other Federal, state, or SAFEGUARDS: initiatives; and to compile a list of local agencies, and commercial entities. potential vendors and contractors. The Records are maintained in controlled forms will also assist FHFA and those access areas. Buildings where records EXEMPTIONS CLAIMED FOR THE SYSTEM: who will respond to the submitter with are stored have security cameras and 24- None. consumer issues involving Fannie Mae, hour security guard service. Electronic Freddie Mac, and the Federal Home records are protected by restricted FHFA–22 Loan Banks. access procedures, including user SYSTEM NAME: identifications and passwords. Only Online Forms. ROUTINE USES OF RECORDS MAINTAINED IN THE FHFA staff whose official duties require SYSTEM, INCLUDING CATEGORIES OF USERS AND access are allowed to view, administer, SECURITY CLASSIFICATION: THE PURPOSE OF SUCH USES: and control these records. None. In addition to those disclosures generally permitted under 5 U.S.C. RETENTION AND DISPOSAL: SYSTEM LOCATION: 552a(b) of the Privacy Act, these records Records are maintained and disposed Federal Housing Finance Agency, 400 or information contained herein may of in accordance with the appropriate Seventh Street SW., Washington, DC specifically be disclosed outside FHFA National Archives and Records 20024, and any alternate work site as a routine use pursuant to 5 U.S.C. Administration General Records utilized by employees of the Federal 552a(b)(3) as follows: Schedules and FHFA Records Retention Housing Finance Agency (FHFA) or (1) When (a) It is suspected or and Disposition Schedules. Records are individuals assisting such employees. confirmed that the security or disposed of according to accepted CATEGORIES OF INDIVIDUALS COVERED BY THE confidentiality of information in the techniques. SYSTEM: system of records has been SYSTEM MANAGER(S) AND ADDRESS: Individuals who contact FHFA with compromised; (b) FHFA has determined Office of Congressional Affairs and questions, comments, to file a complaint that as a result of the suspected or Communications, 400 Seventh Street or appeal, to request or provide confirmed compromise there is a risk of SW., Washington, DC 20024. information, to request consumer harm to economic or property interests, assistance, to respond to a proposed identity theft or fraud, or harm to the NOTIFICATION PROCEDURES: rule, or who wish to conduct business security or integrity of this system or Direct inquiries as to whether this with FHFA. other systems or programs (whether system contains a record pertaining to maintained by FHFA or another agency an individual to the Privacy Act Officer. CATEGORIES OF RECORDS IN THE SYSTEM: or entity) that rely upon the Inquiries may either be mailed to the Records contain the following compromised information; and (c) the Privacy Act Officer, Federal Housing information about an individual who disclosure is made to such agencies, Finance Agency, 400 Seventh Street submits a form on FHFA’s Web site: entities, and persons who are reasonably SW., Washington, DC 20024, or Name, address, telephone number, fax necessary to assist in connection with submitted electronically at http:// number, email address, property FHFA’s efforts to respond to the www.fhfa.gov/Default.aspx?Page=236 in information, borrower information, suspected or confirmed compromise accordance with the procedures set organization name and type, and prevent, minimize, or remedy such forth in 12 CFR part 1204. government agency name and type, job harm. position, and representative of (2) Where there is an indication of a RECORD ACCESS PROCEDURES: submitter; correspondence and records violation or potential violation of law, Direct requests for access to the of communication between FHFA and whether civil, criminal or regulatory in Privacy Act Officer. Requests may either individuals submitting information, nature, and whether arising by general be mailed to the Privacy Act Officer, including copies of supporting statute or particular program statute, or Federal Housing Finance Agency, 400 documents; information regarding a by regulation, rule or order issued Seventh Street SW., Washington, DC company wishing to do business with pursuant thereto, the relevant records in 20024, or submitted electronically at FHFA (i.e., company name, address, the system of records may be referred, http://www.fhfa.gov/ telephone number, Web site address, as a routine use, to the appropriate Default.aspx?Page=236 in accordance description of supplies or services agency, whether federal, state, local,

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tribal, foreign or a financial regulatory adjudicative or administrative body, RETENTION AND DISPOSAL: organization charged with the when it is necessary to the litigation and Records are retained and disposed of responsibility of investigating or one of the following is a party to the in accordance with the appropriate prosecuting such violation or charged litigation or has an interest in such National Archives and Records with enforcing or implementing a litigation: Administration General Records statute, or rule, regulation or order 1. FHFA; Schedules and FHFA Records Retention issued pursuant thereto. 2. Any employee of FHFA in his/her and Disposition Schedules. Disposal is (3) To any individual during the official capacity; by shredding or other appropriate course of any inquiry or investigation 3. Any employee of FHFA in his/her disposal system. conducted by FHFA, or in connection individual capacity where DOJ or FHFA with civil litigation, if FHFA has reason has agreed to represent the employee; or SYSTEM MANAGER(S) AND ADDRESS: to believe that the individual to whom 4. The United States or any agency Office of Congressional Affairs and the record is disclosed may have further thereof, is a party to the litigation or has information about the matters related Communications, 400 Seventh Street an interest in such litigation, and FHFA SW., Washington, DC 20024. therein, and those matters appeared to determines that the records are both be relevant at the time to the subject relevant and necessary to the litigation matter of the inquiry. NOTIFICATION PROCEDURES: and the use of such records is (4) To any individual with whom Direct inquiries as to whether this compatible with the purpose for which FHFA contracts to reproduce, by typing, system contains a record pertaining to FHFA collected the records. photocopy or other means, any record an individual to the Privacy Act Officer. (11) To the National Archives and within this system for use by FHFA and Inquiries may either be mailed to the Records Administration (NARA) or its employees in connection with their Privacy Act Officer, Federal Housing other Federal agencies pursuant to official duties or to any individual who Finance Agency, 400 Seventh Street records management inspections being is utilized by FHFA to perform clerical SW., Washington, DC 20024, or conducted under the authority of 44 or stenographic functions relating to the submitted electronically at http:// U.S.C. 2904 and 2906. official business of FHFA. www.fhfa.gov/Default.aspx?Page=236 in (5) To members of advisory (12) To a Federal agency, accordance with the procedures set committees that are created by FHFA or organization, or individual for the forth in 12 CFR part 1204. by Congress to render advice and purpose of performing audit or oversight recommendations to FHFA or to operations as authorized by law, but RECORD ACCESS PROCEDURES: only such information as is necessary Congress, to be used solely in Direct requests for access to the connection with their official, and relevant to such audit or oversight function. Privacy Act Officer. Requests may either designated functions and is related to be mailed to the Privacy Act Officer, the purpose for which FHFA collected (13) To Fannie Mae, Freddie Mac, or the Federal Home Loan Banks as it Federal Housing Finance Agency, 400 the records. Seventh Street SW., Washington, DC (6) To a Congressional office from the relates to the purpose for which FHFA 20024, or submitted electronically at record of an individual in response to collected the record. http://www.fhfa.gov/ an inquiry from the Congressional office Default.aspx?Page=236 in accordance made at the request of that individual. DISCLOSURE TO CONSUMER REPORTING AGENCIES: with the procedures set forth in 12 CFR (7) To contractor personnel, grantees, part 1204. volunteers, interns, and others None. performing or working on a contract, POLICIES AND PRACTICES FOR STORING, CONTESTING RECORD PROCEDURES: service, grant, cooperative agreement, or RETRIEVING, ACCESSING, RETAINING, AND Direct requests to contest or appeal an project for FHFA. DISPOSING OF RECORDS IN THE SYSTEM: (8) To a court, magistrate, or adverse decision for a record to the administrative tribunal in the course of STORAGE: Privacy Act Appeals Officer. Appeals presenting evidence, including Records are maintained in electronic may either be mailed to the Privacy Act disclosures to opposing counsel or format and stored in a computerized Appeals Officer, Federal Housing witnesses in the course of civil database. Finance Agency, 400 Seventh Street discovery, litigation, or settlement SW., Washington, DC 20024, or negotiations, or in connection with RETRIEVABILITY: submitted electronically at http:// criminal law proceedings, or in Records may be retrieved by name, www.fhfa.gov/Default.aspx?Page=236 in response to a subpoena from a court of address, or some other unique identifier. accordance with the procedures set competent jurisdiction. forth in 12 CFR part 1204. (9) To the Office of Management and SAFEGUARDS: Budget, Department of Justice (DOJ), Records are safeguarded in a secured RECORD SOURCE CATEGORIES: Department of Labor, Office of environment. Buildings where records Information is provided by the subject Personnel Management, Equal are stored have security cameras and 24- of the record or an authorized Employment Opportunity Commission, hour security guard service. representative. Office of Special Counsel, Department Computerized records are safeguarded of Homeland Security, or other Federal through use of access codes and other EXEMPTIONS CLAIMED FOR THE SYSTEM: agencies to obtain advice regarding information technology security None. statutory, regulatory, policy, and other measures. Paper records are safeguarded requirements related to the purpose for by locked file rooms, locked file Dated: October 31, 2013. which FHFA collected the records. cabinets, or locked safes. Access to the Edward J. DeMarco, (10) To DOJ, (including United States records is restricted to those who Acting Director, Federal Housing Finance Attorney Offices), or other Federal require the records in the performance Agency. agency conducting litigation or in of official duties related to the purposes [FR Doc. 2013–26574 Filed 11–5–13; 8:45 am] proceedings before any court, or for which the system is maintained. BILLING CODE 8070–01–P

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FEDERAL MARITIME COMMISSION corrections to existing agreement Corp. (NVO & OFF), 8225 NW 80th language. Street, Miami, FL 33166. Officer: John Notice of Agreements Filed By Order of the Federal Maritime O. Crespo, President (QI), Application Commission. Type: Add Trade Name Rolasa USA. The Commission hereby gives notice C J International, Inc. (OFF), 519 S. of the filing of the following agreements Dated: November 1, 2013. Rachel E. Dickon, Ellwood Avenue, Baltimore, MD under the Shipping Act of 1984. 21224. Officers: Shannon Alexander, Assistant Secretary. Interested parties may submit comments Secretary (QI), Curt Perry, Director, on the agreements to the Secretary, [FR Doc. 2013–26585 Filed 11–5–13; 8:45 am] Application Type: QI Change. Federal Maritime Commission, BILLING CODE 6730–01–P Cargo Freight Services, Ltd. (NVO), 510 Washington, DC 20573, within ten days Plaza Drive, Suite 2720, College Park, of the date this notice appears in the GA 30349. Officer: Alice Y. Chan, FEDERAL MARITIME COMMISSION Federal Register. Copies of the President (QI), Application Type: QI agreements are available through the Change. Commission’s Web site (www.fmc.gov) Ocean Transportation Intermediary License Applicants Concert Group Logistics, Inc. (NVO & or by contacting the Office of OFF), 1430 Branding Avenue, Suite Agreements at (202)–523–5793 or The Commission gives notice that the 150, Downers Grove, IL 60515. [email protected]. following applicants have filed an Officers: Dominick Muzi, President Agreement No.: 010979–058. application for an Ocean Transportation (QI), Gordon Devens, Secretary, Title: Caribbean Shipowners Intermediary (OTI) license as a Non- Application Type: Add Trade Name Association. Vessel-Operating Common Carrier XPO Global Logistics. Parties: CMA CGM, S.A.; Crowley (NVO) and/or Ocean Freight Forwarder Embarque Tineo LLC (NVO & OFF), 431 Caribbean Services LLC; Hybur Ltd.; (OFF) pursuant to section 19 of the River Street, Paterson, NJ 07524. King Ocean Services Limited; Seaboard Shipping Act of 1984 (46 U.S.C. 40101). Officers: Gilberto Tineo, Managing Marine, Ltd.; Seafreight Line, Ltd.; Notice is also given of the filing of Member (QI), Franklyn Tineo, Tropical Shipping and Construction applications to amend an existing OTI Member, Application Type: New NVO Company Limited; and Zim Integrated license or the Qualifying Individual (QI) & OFF License. Shipping Services, Ltd. for a licensee. Export Logistics & Shipping, Inc. (OFF), Filing Party: Wayne R. Rohde, Esq.; Interested persons may contact the 608 Timber Bay Circle East, Oldsmar, Cozen O’Connor, 1627 I Street NW., Office of Ocean Transportation FL 34677. Officer: Antonia E. Washington, DC 20006. Intermediaries, Federal Maritime Kliniewski, President (QI), Synopsis: The amendment would add Commission, Washington, DC 20573, by Application Type: New OFF License. US Lines Limited as a party to the telephone at (202) 523–5843 or by email Express Logistics Services, LLC (NVO & agreement. at [email protected]. OFF), 4600 NW 74th Avenue, Miami, FL 33166. Officers: Klaus E. Minoprio, Agreement No.: 011284–072. Action One Logistics, Inc. (NVO & OFF), 115 Fulford Avenue, Suite 102, Bel Manager (QI), Carlos J. Novoa, Title: Ocean Carrier Equipment Air, MD 21014. Officers: Belinda E. Managing Member, Application Type: Management Association Agreement. Richardson, Vice President (QI), New NVO & OFF. Parties: Alianca Navegacao e Logistica David S. Edwards, President, Fortunella, Inc. dba Fu Yuan Logistics, Ltda.; APL Co. Pte. Ltd.; American Application Type: QI Change. Inc. (NVO & OFF), 11639 Goldring President Lines, Ltd.; A.P. Moller- Alpha Global Enterprise LLC dba ITS Road, Arcadia, CA 91006. Officers: Maersk A/S; CMA CGM, S.A.; Atlantic Container Line (NVO), 46 West Chris Lee, Vice President (QI), Christy Container Line; China Shipping Lincoln Avenue, Valley Stream, NY Lee, President, Application Type: Container Lines Co., Ltd; China 11580. Officers: Philip Lam, New NVO & OFF License. Shipping Container Lines (Hong Kong) Operating Manager (QI), Joseph Lam, Global Business Link Inc. (NVO), 3327 Co., Ltd.; Companhia Libra de Member, Application Type: New NVO Hollins Ferry Road, Halethorpe, MD Navegacao; Compania Libra de License. 21227. Officers: Gayton J. Thomas, Navegacion Uruguay S.A.; Compania Altex US, LLC (NVO & OFF), 1 Saville CEO (QI), Abdullah W. Alsawi, Sud Americana de Vapores, S.A.; Avenue, Eddystone, PA 19022. President, Application Type: QI COSCO Container Lines Company Officers: Natalia Henao, President Change. Limited; Evergreen Line Joint Service (QI), Jorge I. Echeverri, Vice President, Global Transhipping Inc (OFF), 2801 Agreement; Hamburg-Su¨ d; Hapag-Lloyd Application Type: New NVO & OFF NW 74th Avenue, Suite 204, Miami, AG; Hapag-Lloyd USA LLC; Hanjin License. FL 33122. Officer: Gus Mojica, Shipping Co., Ltd.; Hyundai Merchant Andes Logistics USA LLC (NVO & OFF) President (QI), Application Type: Marine Co. Ltd.; Kawasaki Kisen Kaisha, 7500 NW 25 Street, #7, Miami, FL New OFF License. Ltd.; Mediterranean Shipping Company, 33122. Officers: Jacqueline Galindo, Icon Logistics Services LLC (OFF), S.A.; Mitsui O.S.K. Lines Ltd.; Nippon Managing Member (QI), Cristobal 14725B Baltimore Avenue, Suite B, Yusen Kaisha Line; Norasia Container Huidobro, Managing Member, Laurel, MD 20707. Officers: Gbenga Lines Limited; Orient Overseas Application Type: New NVO & OFF Yinusa, President (QI), Musiliu Container Line Limited; Yang Ming License. Adelaja, Member, Application Type: Marine Transport Corp.; and Zim Ark Transportation Ltd. (NVO & OFF), QI Change. Integrated Shipping Services, Ltd. 17830 Englewood Drive, Suite 23, JMJ Logistics, Inc. (NVO & OFF), 320 Filing Party: Jeffrey F. Lawrence, Esq. Middleburg Heights, OH 44130. NW 200 Avenue, Pembroke Pines, FL and Donald J. Kassilke, Esq.; Cozen Officer: George Hurst, Chief Executive 33029. Officers: Jose C. Estrada, O’Connor; 1627 I Street NW., Suite Member (QI), Application Type: New President (QI), Maria Estrada, Vice 1100; Washington, DC 20006. NVO & OFF License. President, Application Type: QI and Synopsis: The amendment clarifies Asecomer International Corporation dba Add OFF Service. the agreement authority and makes Interworld Freight Inc. dba Junior Marine Express, Inc. (NVO), 249 several non-substantive clerical Cargo, Inc. dba Intercontinental Lines Concordia Street, Mayaguez, PR

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00680. Officers: Maribel M. Rivera, (QI), Uche Mozie, President, supporting statements and approved Vice President (QI), Nestor Gonzalez- Application Type: New NVO & OFF collection of information instruments Romero, President, Application Type: License. are placed into OMB’s public docket New NVO License. Transportation Insight, LLC (OFF), 328 files. The Federal Reserve may not Marisol International, LLC (NVO & 1st Avenue NW, Hickory, NC 28601– conduct or sponsor, and the respondent OFF), 2424 W. Kingsley, Suite C, 6123. Officers: Rick Brumett, Vice is not required to respond to, an Springfield, MO 65807. Officers: Carie President (QI), Paul Thompson, information collection that has been L. Samuel, Chief Compliance Officer Chairman, Application Type: New extended, revised, or implemented on or (QI), Micah L. Hoist, President, OFF License. after October 1, 1995, unless it displays Application Type: QI change and add Transtek Logistics, LLC dba Freight a currently valid OMB control number. Trade Name Marisol Worldwide, LLC. Logistics International (NVO), 3505 DATES: Comments must be submitted on Maruzen of America, Inc. dba Maruzen NW 107th Avenue, Suite C, Doral, FL or before January 6, 2014. Container Lines (U.S.A.) (NVO & 33178. Officers: Gabriel de Godoy, ADDRESSES: You may submit comments, OFF), 19640 Rancho Way, Dominguez Manager (QI), Jeff Bader, Manager, identified by FR 2248 by any of the Hills, CA 90220. Officers: Yuji Inoue, Application Type: New NVO License. following methods: Executive Vice President (QI), Hideaki Universal Concord Co., Inc. (NVO), • Agency Web site: http:// Suzuki, Chairman, Application Type: 13353 Alondra Blvd., Suite 200C, www.federalreserve.gov. Follow the QI Change. Santa Fe Springs, CA 90670. Officers: instructions for submitting comments at Mirach Shipping, Inc. dba Marlin Zhi Yong Xu, President (QI), Qin Fang http://www.federalreserve.gov/apps/ Shipping (NVO & OFF), 1162 Hasting Xu, Secretary, Application Type: New foia/proposedregs.aspx. Place, Baldwin, NY 11510. Officer: NVO License. • Federal eRulemaking Portal: http:// Kamran Ali, President (QI), vmlog international logistics U.S.A. www.regulations.gov. Follow the Application Type: New NVO & OFF ‘‘L.L.C.’’ (NVO & OFF), 7025 Hodgson instructions for submitting comments. License. Memorial Drive, Suite B, Savannah, • Email: regs.comments@ Miragrown Logistics Corporation (NVO), GA 31406. Officers: Carey Giffis, Vice federalreserve.gov. Include OMB 2370 West Carson Street, Suite 130, President (QI), Francisco V. Mello, number in the subject line of the Torrance, CA 90501. Officers: President, Application Type: New message. Marianne Thai, Secretary (QI), Zhimin NVO & OFF License. • FAX: (202) 452–3819 or (202) 452– Wei, President, Application Type: Volta Group International, LLC dba 3102. Add Trade Name Lucky Consol Inc. Volta Express International, LLC • Mail: Robert deV. Frierson, Mol Consolidation Service (America) (OFF), 322 Chapanoke Road, Suite Secretary, Board of Governors of the Inc. (NVO & OFF), 2727 Paces Ferry 107, Raleigh, NC 27603. Officers: Joan Federal Reserve System, 20th Street and Road, Building 2, Suite 600, Atlanta, Atkins-Ansah, Member (QI), Smith N. Constitution Avenue NW., Washington, GA 30307. Officers: Jeffrey M. Ansah, Member, Application Type: DC 20551. Bumgardner, Senior Vice President New OFF License. All public comments are available (QI), Larry Wu, CEO, Application By the Commission. from the Board’s Web site at http:// Type: New NVO & OFF License www.federalreserve.gov/apps/foia/ One Freight Logistics Inc. (NVO & OFF), Dated: October 31, 2013. proposedregs.aspx as submitted, unless 3460 Wilshire Blvd., Suite 1114, Los Rachel E. Dickon, modified for technical reasons. Angeles, CA 90010. Officer: Hee Jung Assistant Secretary. Accordingly, your comments will not be Yoo, President (QI), Application [FR Doc. 2013–26584 Filed 11–5–13; 8:45 am] edited to remove any identifying or Type: New NVO & OFF License. BILLING CODE 6730–01–P Overseas Group USA, LLC dba CSC contact information. Public comments Consol USA (NVO & OFF), 8201 NW may also be viewed electronically or in paper form in Room MP–500 of the 56th Street, Miami, FL 33166. Officer: FEDERAL RESERVE SYSTEM Carlos A. Sanchez, Managing Member Board’s Martin Building (20th and C (QI), Application Type: QI Change. Proposed Agency Information Streets NW.) between 9:00 a.m. and 5:00 Planet Distributors Corp. dba Planet Collection Activities; Comment p.m. on weekdays. Logistics (NVO & OFF), 671 West 18th Request Additionally, commenters may send a Street, Hialeah, FL 33010. Officers: copy of their comments to the OMB Omar Chaya, President, Mariela AGENCY: Board of Governors of the Desk Officer—Shagufta Ahmed—Office Masciave, Stockholder, Application Federal Reserve System. of Information and Regulatory Affairs, Type: New NVO & OFF License. SUMMARY: On June 15, 1984, the Office Office of Management and Budget, New Schooner Lines Company (NVO), 1821 of Management and Budget (OMB) Executive Office Building, Room 10235 Beyer Avenue, Floor 2D, delegated to the Board of Governors of 725 17th Street NW., Washington, DC Philadelphia, PA 19115. Officers: the Federal Reserve System (Board) its 20503 or by fax to (202) 395–6974. Mykola Chobotar, Chief Executive approval authority under the Paperwork FOR FURTHER INFORMATION CONTACT: A Manager (QI), James Madden, Chief Reduction Act (PRA), pursuant to 5 CFR copy of the PRA OMB submission, Operating Manager, Application 1320.16, to approve of and assign OMB including the proposed reporting form Type: QI Change. control numbers to collection of and instructions, supporting statement, Seagull Logistics, Inc. (NVO), 15105–D information requests and requirements and other documentation will be placed John J. Delany Drive, Suite 162, conducted or sponsored by the Board into OMB’s public docket files, once Charlotte, NC 28277. Officer: Inderjeet under conditions set forth in 5 CFR approved. These documents will also be K. Harisinghani, President (QI), 1320 Appendix A.1. Board-approved made available on the Federal Reserve Application Type: New NVO License. collections of information are Board’s public Web site at: http:// SGK ocean lines corporation (NVO & incorporated into the official OMB www.federalreserve.gov/apps/ OFF), 7038 Sundance Meadows Lane, inventory of currently approved reportforms/review.aspx or may be Richmond, TX 77407. Officers: collections of information. Copies of the requested from the agency clearance Sumera Sanaullah, Vice President Paperwork Reduction Act Submission, officer, whose name appears below.

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Federal Reserve Board Clearance pursuant the Federal Reserve Act (12 accordance with the requirements of the Officer—Cynthia Ayouch—Office of the U.S.C. 225(a)). Obligation to respond to Monetary Control Act of 1980, which Chief Data Officer, Board of Governors this information collection is voluntary. requires that, over the long run, fees for of the Federal Reserve System, Individual respondent data are Federal Reserve priced services be Washington, DC 20551 (202) 452–3829. confidential under section (b)(4) of the established on the basis of all direct and Telecommunications Device for the Deaf Freedom of Information Act (5 U.S.C. indirect costs, including the PSAF. (TDD) users may contact (202) 263– 552). DATES: The new fee schedules become 4869, Board of Governors of the Federal Abstract: The FR 2248 is collected effective January 2, 2014. Reserve System, Washington, DC 20551. monthly as of the last calendar day of FOR FURTHER INFORMATION CONTACT: For SUPPLEMENTARY INFORMATION: the month from a stratified sample of questions regarding the fee schedules: finance companies. Each monthly report Susan V. Foley, Associate Director, Request for Comment on Information collects balance sheet data on major (202/452–3596); Samantha J. Pelosi, Collection Proposal categories of consumer and business Manager, Retail Payments, (202/530– The following information collection, credit receivables and on major short- 6292); Linda S. Healey, Senior Financial which is being handled under this term liabilities. For quarter-end months Services Analyst, (202/452–5274), delegated authority, has received initial (March, June, September, and Division of Reserve Bank Operations Board approval and is hereby published December), additional asset and liability and Payment Systems. For questions for comment. At the end of the comment items are collected to provide a full regarding the PSAF: Gregory L. Evans, period, the proposed information balance sheet. A supplemental section Deputy Associate Director, (202/452– collection, along with an analysis of collects data on securitized assets. The 3945); Brenda L. Richards, Manager, comments and recommendations data are used to construct universe Financial Accounting, (202/452–2753); received, will be submitted to the Board estimates of finance company holdings, or John W. Curle, Senior Financial for final approval under OMB delegated which are published in the monthly Analyst, (202/452–3916), Division of authority. Comments are invited on the statistical releases Finance Companies Reserve Bank Operations and Payment following: (G.20) and Consumer Credit (G.19), in Systems. For users of a. Whether the proposed collection of the quarterly statistical release Flow of Telecommunications Device for the Deaf information is necessary for the proper Funds Accounts of the United States (TDD) only, please call 202/263–4869. performance of the Federal Reserve’s (Z.1), and in the Federal Reserve Copies of the 2014 fee schedules for the functions; including whether the Bulletin (Tables 1.51, 1.52, and 1.55). check service are available from the information has practical utility; Current Actions: The Federal Reserve Board, the Federal Reserve Banks, or the b. The accuracy of the Federal proposes to revise the FR 2248 by: (1) Reserve Banks’ financial services Web Reserve’s estimate of the burden of the Separating Other Consumer Loans into site at www.frbservices.org. proposed information collection, three data items: Government- SUPPLEMENTARY INFORMATION: including the validity of the guaranteed Student Loans, Private methodology and assumptions used; Student Loans, and Other Consumer I. Private Sector Adjustment Factor and c. Ways to enhance the quality, Loans, (2) combining Non-recourse debt Priced Services utility, and clarity of the information to associated with financing and Notes, A. Overview—Each year, as required be collected; bonds and debentures into Notes, by the Monetary Control Act of 1980, d. Ways to minimize the burden of bonds, debentures and other debt, and the Reserve Banks set fees for priced information collection on respondents, (3) increasing the panel size from 70 to services provided to depository including through the use of automated 150 finance companies. The proposed institutions. These fees are set to collection techniques or other forms of changes to the FR 2248 would be recover, over the long run, all direct and information technology; and effective with the January 31, 2014, indirect costs and imputed costs, e. Estimates of capital or start up costs report date. including financing costs, taxes, and and costs of operation, maintenance, certain other expenses, as well as the and purchase of services to provide Board of Governors of the Federal Reserve System, November 1, 2013. return on equity (profit) that would have information. Robert deV. Frierson, been earned if a private business firm Proposal to approve under OMB provided the services. The imputed Secretary of the Board. delegated authority the extension for costs and imputed profit are collectively three years, with revision, of the [FR Doc. 2013–26589 Filed 11–5–13; 8:45 am] referred to as the PSAF. From 2003 following report: BILLING CODE 6210–01–P through 2012, the Reserve Banks Report title: Domestic Finance recovered 99.5 percent of their total Company Report of Consolidated Assets expenses (including imputed costs) and FEDERAL RESERVE SYSTEM and Liabilities. targeted after-tax profits or return on Agency form number: FR 2248. [Docket No. OP–1468] equity (ROE) for providing priced OMB control number: 7100–0005. services.12 Effective Date: January 31, 2014. Federal Reserve Bank Services Frequency: Monthly, Quarterly, and 1 The ten-year recovery rate is based on the pro Semi-annually. AGENCY: Board of Governors of the forma income statement for Federal Reserve priced Reporters: Domestic finance Federal Reserve System. services published in the Board’s Annual Report. companies and mortgage companies. ACTION: Notice. Effective December 31, 2006, the Reserve Banks Estimated annual reporting hours: implemented Statement of Financial Accounting SUMMARY: Standards (SFAS) No. 158: Employers’ Accounting 750 hours. The Board of Governors of the for Defined Benefit Pension and Other Estimated average hours per response: Federal Reserve System (Board) has Postretirement Plans [Accounting Standards Monthly, 20 minutes; Quarterly, 30 approved the private sector adjustment Codification (ASC) 715 Compensation—Retirement minutes; Semi-annually, 10 minutes. factor (PSAF) for 2014 of $23.4 million Benefits], which resulted in recognizing a cumulative reduction in equity related to the priced Number of respondents: 150. and the 2014 fee schedules for Federal services’ benefit plans. Including this cumulative General description of report: This Reserve priced services and electronic reduction from 2006 to 2012 in equity results in information collection is authorized access. These actions were taken in Continued

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Table 1 summarizes 2012 actual, 2013 recovery rates for all priced services. percent in 2013 and budgeted to be estimated, and 2014 budgeted cost- Cost recovery is estimated to be 104.9 102.3 percent in 2014.

TABLE 1—AGGREGATE PRICED SERVICES PRO FORMA COST AND REVENUE PERFORMANCE a [$ Millions]

54 e 3 1 b 2 c 4 d Recovery rate Year Revenue Total expense Net income (roe) Targeted roe after targeted roe [1–2] [1/(2+4)](%)

2012 (actual) ...... 449.8 423.0 26.8 8.9 104.1 2013 (estimate) ...... 439.2 414.6 24.6 4.2 104.9 2014 (budget) ...... 422.0 407.1 14.9 5.5 102.3 a Calculations in this table and subsequent pro forma cost and revenue tables may be affected by rounding. b For 2012, revenue includes net income on clearing balances (NICB). Clearing balances were assumed to be invested in short-term Treasury securities and federal funds. NICB equals the imputed income from these investments less earnings credits granted to holders of clearing bal- ances. The cost of earnings credits is based on the discounted three-month Treasury bill rate. For 2013, revenue includes imputed investment in- come from additional equity imputed to meet minimum capital requirements. c The calculation of total expense includes operating, imputed, and other expenses. Imputed and other expenses include taxes, FDIC insur- ance, Board of Governors’ priced services expenses, the cost of float, and interest on imputed debt, if any. Credits or debits related to the ac- counting for pension plans under FAS 158 [ASC 715] are also included. d Targeted ROE is the after-tax ROE included in the PSAF. For 2012, the targeted ROE reflects average actual clearing balance levels through July 2012. The clearing balance program was eliminated in 2012; therefore, the clearing balances are not included in the 2013 or 2014 priced services balance sheet. e The recovery rates in this and subsequent tables do not reflect the unamortized gains or losses that must be recognized in accordance with FAS 158 [ASC 715]. Future gains or losses, and their effect on cost recovery, cannot be projected.

Table 2 portrays an overview of cost- 2013 budget, 2013 estimate, and 2014 recovery performance for the ten-year budget by priced service. period from 2003 to 2012, 2012 actual,

TABLE 2—PRICED SERVICES COST RECOVERY [Percent]

Priced service 2003–2012 2012 2013 2013 2014 Actual Budget Estimate Budget a

All services ...... 99.5 104.1 102.7 104.9 102.3 Check ...... 98.8 108.8 107.1 111.9 108.0 FedACH ...... 102.1 101.0 100.0 100.5 99.5 Fedwire Funds and NSS ...... 101.6 98.8 98.3 98.0 98.5 Fedwire Securities ...... 102.2 100.3 101.6 103.0 98.5 a The 2014 budget figures reflect preliminary budget information from the Reserve Banks. The Reserve Banks will transmit final budget data to the Board in November 2013, for Board consideration in December 2013. The 2013 budget figures reflect the final budgets as approved by the Board in December 2012.

1. 2013 Estimated Performance—The recover 98.0 percent of its costs. The to be financed on the imputed priced- Reserve Banks estimate that they will shortfall is due to both lower revenue, services balance sheet and an increase recover 104.9 percent of the costs of associated with less-than-anticipated in the cost of equity. providing priced services in 2013, volume growth, and greater costs, 3. 2014 Projected Performance—The including total expense and targeted associated with technological upgrades. Reserve Banks project a priced services ROE, compared with a budgeted Greater-than-expected check volume cost-recovery rate of 102.3 percent in recovery rate of 102.7 percent, as shown processed by the Reserve Banks has 2014, with a net income of $14.9 in table 2. Overall, the Reserve Banks been the single most significant factor million, compared to a targeted ROE of estimate that they will fully recover influencing priced services cost $5.5 million. The Reserve Banks project actual and imputed costs and earn net recovery. that the check service will fully recover income of $24.6 million, compared with 2. 2014 Private Sector Adjustment its costs in 2014. The Reserve Banks the target of $4.2 million. Although the Factor—The 2014 PSAF for Reserve also anticipate that the FedACH Service, check service, the FedACH Service, and Bank priced services is $23.4 million. the Fedwire Funds and National the Fedwire Securities Service are This amount represents an increase of Settlement Service, and Fedwire expected to achieve full cost recovery in $9.3 million from the 2013 PSAF of Securities Service will not achieve full- 2013, the Fedwire Funds and National $14.1 million. This increase is primarily cost recovery because of costs associated Settlement Services is expected to the result of a change in the net assets with multiyear technology initiatives to

cost recovery of 92.1 percent for the ten-year period. business strategy. These initiatives have included several years of under recovery in prior periods. For This measure of long-run cost recovery is also streamlining management structures, reducing instance, the Reserve Banks reduced the number of published in the Board’s Annual Report. staffing levels, increasing productivity, and offices at which paper checks are processed from 2 Over this period, the Reserve Banks have selectively raising fees. These initiatives largely forty-five at the beginning of 2003 to one location undertaken a range of cost-reduction and revenue- involved the check service, which contributes in 2010. The System’s electronic check processing generation initiatives as part of their long-term significantly to overall cost recovery and drove was also consolidated at one Federal Reserve site.

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modernize their processing platforms. the FedReceipt Plus Forward and • The Reserve Banks will increase the These investments are expected to gain Return products from $0.005 to $0.004.6 Tier 1 per-item pre-incentive fee from efficiencies, improve the overall quality $0.65 to $0.69 per transaction, decrease FedACH of operations, and enhance the Reserve the Tier 2 per-item pre-incentive fee Banks’ ability to offer additional • The Reserve Banks will increase the from $0.25 to $0.24, and decrease the services to depository institutions. FedACH monthly settlement fee from Tier 3 per-item pre-incentive fee from The primary risks to the Reserve $50 to $55 per routing number and $0.145 to $0.14.10 Banks’ ability to achieve their targeted increase the account servicing fee from • The Reserve Banks will increase the cost recovery rates are unanticipated $37 to $45 per routing number. In National Settlement Service’s settlement volume and revenue reductions and the addition, Reserve Banks will raise the file charge from $25 to $30 and the potential for cost overruns with the fee for the use of automated notification settlement charge per entry from $1.20 technology modernization initiatives. In of change (NOC) functionality from to $1.50. light of these risks, the Reserve Banks $0.15 to $0.20 per item and introduce a Fedwire Securities will continue to refine their business participation fee of $5 per month for • and operational strategies to manage each routing number with NOC activity The Reserve Banks will keep prices aggressively operating costs, to leverage during a month. unchanged in 2014. efficiencies gained from technology • The Reserve Banks also will FedLine Access Solutions initiatives, and to increase product restructure the batch/item monitoring • The Reserve Banks will increase the revenue. fee for the Origination Monitoring price for FedLine Command Plus by 4.2014 Pricing—The following Service and RDFI Alert Service by $200 per month and FedLine Direct by summarizes the Reserve Banks’ changes implementing two volume-based tiers $500 per month. in fee schedules for priced services in with per batch fees of $0.007 for up to • 2014: The Reserve Banks will no longer 500,000 batches each month and include user subscriptions for priced Check $0.0035 for greater than 500,000 batches services within FedLine packages. each month.7 • The Reserve Banks will introduce a Depository institutions that wish to • The Reserve Banks will offer a new tier to each level of the FedForward access priced services will be required discount of $0.0025 off FedACH receipt Select Mixed Image Cash Letter (ICL) to purchase user subscriptions in packs fees for receiving depository financial products.3 The Reserve Banks also will of five (5-packs). The FedMail email institutions (RDFIs) that originate and raise the daily fee for Select Mixed subscriber 5-packs will be $10 per receive items on the same routing Level 1 from $2,000 to $2,200. month, and 5-packs for all other • The Reserve Banks announced in number (‘‘on-us’’ transactions). FedLine packages will be $80 per October a 12:30 p.m. deadline for Fedwire Funds and National Settlement month. FedLine packages will continue FedReturn Mixed ICL deposits, which to include unlimited subscriptions to • The Reserve Banks will increase the will provide an opportunity for paying nonpriced services. per-item fee on all transfers that exceed banks to return items to the bank of first • The Reserve Banks will raise the $10 million (high-value transfer deposit one day earlier.4 The ICL fee monthly fees for the 56K additional surcharge) from $0.12 to $0.15 and the will be the same as the ICL fee for the dedicated electronic access connection per-item fee on all transfers that exceed 1:00 a.m. deadline for FedReturn Mixed by $500 and the dial-only VPN $100 million from $0.30 to $0.36. The ICL deposits, while the item fees will be surcharge by $200. The Reserve Banks Reserve Banks will also increase the the same as the item fees for the 9:00 will also raise the monthly fee for end-of-day origination surcharge from p.m. deadline. The Reserve Banks also FedMail fax by $10. Additionally, the $0.21 to $0.26 and increase the monthly will reduce the FedReturn Mixed ICL Reserve Banks will increase the monthly fee for the usage of the FedPayments per-item fees for tier 1 and tier 2, and fees for the Accounting Totals by Manager import/export tool from $30 to increase the per-item fees for tier 3, tier Service Line (ACTS) reports. $45.8 In addition, the Reserve Banks 4, PDF, and substitute checks.5 • The Reserve Banks will include one • will increase the monthly participation FedLine subscriber 5-pack and one The Reserve Banks will discontinue 9 the Choice Receiver program, which fee from $85 to $90. FedMail subscriber 5-pack within the provides pricing incentives to those FedComplete 100 Plus and 6 FedReceipt is electronic presentment of forward customers that agree to designate the items to paying banks or delivery of return items FedComplete 200 Plus bundled Federal Reserve as their sole electronic to depositary banks. products without an increase in presentment point and electronic return 7 The FedACH Risk® Origination Monitoring published fees. Additionally, the point. At the same time, the Reserve Service helps originating depository financial FedComplete 100 product will be institutions (ODFIs) mitigate ACH origination risk eliminated. Banks will reduce the per-item fees for for forward item batches. The service addresses operational, credit, and third-party risk associated 5. 2014 Price Index—Figure 1 3 The Reserve Banks offer customers the option of with ACH payments, regardless of the location or compares indexes of fees for the Reserve sending FedForward ICLs for items drawn on number of sending points. The service allows Banks’ priced services with the GDP specific endpoints in a separate cash letter, which ODFIs to set cumulative credit and/or debit price index starting in 2005, which is combines a high fixed fee with a lower variable fee. processing limits (caps) for certain forward ACH All eligible items in the cash letter receive batches processed by FedACH. The FedACH Risk the first full year the Reserve Banks immediate availability while ineligible items RDFI Alert Service is available to help RDFIs offered Check 21 services. The price receive deferred availability of the next business manage their ACH receipt risk. The RDFI File Alert day. A current list of FedForward endpoint tier Service allows an RDFI to set debit and credit 10 The per-item pre-incentive fee is the fee that listings and Select Mixed endpoints can be found thresholds (dollar amount, addenda/item count, or the Reserve Banks charge for transfers that do not _ at http://www.frbservices.org/servicefees/check21 both) for FedACH output files. qualify for incentive discounts. The Tier 1 per-item _ endpoint listing.html. 8 This fee is charged to any Fedwire Funds pre-incentive fee applies to the first 14,000 4 The announcement can be found at http:// participant that originates a Fedwire Funds transfer transfers, the Tier 2 per-item pre-incentive fee www.frbservices.org/files/communications/pdf/ message via the FedPayments Manager (FPM) applies to the next 76,000 transfers, and the Tier 3 check/100313_deposit_deadline.pdf. Funds tool and has the import/export processing per-item pre-incentive fee applies to any additional 5 The FedReturn endpoint tiers listing may be option setting active at any point during the month. transfers. The Reserve Banks apply an 80 percent found at http://www.frbservices.org/servicefees/ 9 This fee is only charged when there is Fedwire incentive discount to every transfer over 60 percent check21_endpoint_listing.html. Funds transfer activity in a given month. of a customer’s historic benchmark volume.

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index for Reserve Bank priced services nearly 1 percent. The price index for the 2005 to 2014, the price index for total is projected to increase approximately 1 Fedwire Funds and National Settlement priced services is expected to decrease percent in 2014 from the 2013 level. The Services is projected to increase 31 percent. In comparison, for the price index for Check 21 services is approximately 8 percent. The price period 2005 to 2012, the GDP price projected to decrease approximately 2 index for the Fedwire Securities index increased 14 percent. percent. The price index for the Services is projected to decrease FedACH Service is projected to decrease approximately 1 percent. For the period

B. Private Sector Adjustment Factor— priced services pro forma financial actual net pension asset or liabilities is The method for calculating the statements. also included on the balance sheet.11 financing and equity costs in the PSAF The portion of Federal Reserve assets The equity financing rate is the requires determining the appropriate that will be used to provide priced targeted ROE rate produced by the imputed levels of debt and equity and services during the coming year is capital asset pricing model (CAPM). In the CAPM, the required rate of return on then applying the applicable financing determined using information about a firm’s equity is equal to the return on rates. In this process, a pro forma actual assets and projected disposals balance sheet using estimated assets and a risk-free asset plus a market risk and acquisitions. The priced portion of premium. To implement the CAPM, the liabilities associated with the Reserve these assets is determined based on the Banks’ priced services is developed, and risk-free rate is based on the three- allocation of the related depreciation month Treasury bill; the beta is assumed the remaining elements that would exist expense. The priced portion of actual are imputed, as if these priced services to equal to 1.0, which approximates the Federal Reserve liabilities consists of risk of the market as a whole; and the were provided by a private business postemployment/postretirement firm. The same generally accepted benefits, accounts payable, and other 11 accounting principles that apply to The pension assets are netted with the pension liabilities. The priced portion of the liabilities and reported as a net asset or net liability commercial-entity financial statements as required by Accounting Standards Codification apply to the relevant elements in the (ASC) 715 Compensation—Retirement Benefits.

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market risk premium is based on the Debt and equity financing. The 5 percent of total assets.13 In 2013, monthly returns in excess of the risk- imputed short- and long-term debt additional equity of $58.1 million was free rate over the most recent 40 years. financing rates are derived from the imputed to meet the minimum capital- The resulting ROE influences the dollar nonfinancial commercial paper rates to-risk-weighted-asset constraint (the level of the PSAF because this is the from the Federal Reserve Board’s H.15 corresponding imputed investment return a shareholder would require in Selected Interest Rates release and the income from this additional equity was order to invest in a private business annual Merrill Lynch Corporate & High $0.1 million). In 2014, equity was firm. Yield Index rate, respectively. The rates imputed to meet the ratio of long-term For simplicity, given that federal for debt and equity financing are debt to long-term debt plus equity corporate income tax rates are applied to the priced services estimated observed in the market. graduated, state income tax rates vary, imputed liabilities and imputed equity In 2014, $22.2 million and $119.3 and various credits and deductions can derived from the target capital structure. million of short- and long-term debt, apply, an actual income tax expense is The increase in the 2014 PSAF is due respectively, was imputed to meet the not calculated for Reserve Bank priced primarily to an increase in the debt and asset funding requirements and to services. Instead, the Board targets a equity costs resulting from imputed debt reflect the ratio of long-term debt to pretax ROE that would provide and equity that was required to offset a equity observed in the market (Table 4). sufficient income to fulfill the priced reduction in pension and other benefit In 2013, $14.4 million in short-term services’ imputed income tax liabilities that were used to fund priced debt was imputed to meet short-term obligations. To the extent that actual services assets in 2013. funding requirements. performance results are greater or less Projected 2014 Federal Reserve Table 5 shows the imputed PSAF than the targeted ROE, income taxes are priced-services assets, reflected in table elements for 2014 and 2013, including adjusted using an imputed income tax 3, have increased $85.7 million 2013 the pretax ROE and other required PSAF rate. levels, as a result of the increase in costs. The 2014 long-term debt costs Capital structure. The capital imputed investments from estimated increased to $7.0 million from zero in structure is imputed based on the items in process of collection and the 2013 due to imputing $119.3 million in imputed funding need (assets less shift in the net pension liability to a net long-term debt. The 2014 ROE of $8.7 liabilities), subject to minimum equity pension asset. million represents an increase of $1.9 Credit float, which represents the constraints. Short-term debt is imputed million over the 2013 ROE of $6.8 difference between items in process of to fund the imputed short-term funding million and is due to a higher equity collection and deferred credit items, need. The ratio of long-term debt and level and pre-tax ROE. Imputed sales increased to $600.0 million in 2014 equity is imputed to meet the priced taxes increased to $3.5 million in 2014 from $550.0 million in 2013.12 The services long-term funding need based from $3.3 million in 2013. The effective projected increase for 2014 is primarily on the capital structure of the U.S. income tax rate used in 2014 decreased due to the increased use of products that publicly traded firm market. The level to 37.2 percent from 38.5 percent in generate credit float. of equity must meet the minimum As shown in table 3, the amount of 2013. The priced services portion of the equity constraints, which follow the equity imputed for the 2014 PSAF is Board’s expenses increased $0.1 million FDIC requirements for a well-capitalized $82.3 million, an increase of to $4.1 million in 2014 from $4.0 institution of at least 5 percent of total approximately $10.1 million from the million in 2013. assets and 10 percent of risk-weighted equity imputed for 2013. In accordance BILLING CODE 6210–01–P assets. Any imputed equity that exceeds with FAS 158 [ASC 715], this amount that needed to meet minimum equity 13 On September 10, 2013, the FDIC issued an includes an accumulated other interim rule, effective in 2015, pertaining to the risk constraints is offset by a reduction in comprehensive loss (AOCI) of $497.5 imputed long-term debt. When imputed weighting of regulatory capital and to the inclusion million. The capital-to-total-assets ratio of AOCI in the calculation of regulatory capital. equity is larger than what can be offset and the capital-to-risk-weighted-assets Under the agencies’ general risk-based capital rules, by imputed debt, the excess is imputed most components of AOCI are not reflected in a ratio must be equal to or greater than the banking organization’s regulatory capital. The as investments in Treasury Securities. regulatory requirements for a well- Effective tax rate. As with the Reserve Banks will continue to include capitalized depository institution. The accumulated other comprehensive income or losses imputed capital structure, the effective ratio of capital to risk-weighted assets (78 FR 55346, September 10, 2013). The Office of tax rate is calculated based on data from the Comptroller of the Currency and the Board of exceeds 10 percent, and equity exceeds U.S. publicly traded firms. The tax rate Governors of the Federal Reserve System published a final rule that replaces their existing risk-based is the mean of the weighted average 12 Credit float occurs when the Reserve Banks and leverage capital rules and this final rule is rates of the U.S. publicly traded firm present transactions to the paying bank prior to consistent with the interim final rule published by market over the past 5 years. providing credit to the depositing bank. the FDIC (78 FR 62017, October 11, 2013).

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C. Check Service—Table 7 shows the budgeted cost-recovery performance for 2012 actual, 2013 estimated, and 2014 the commercial check service.

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1. 2013 Estimate—For 2013, the have influenced significantly the check volume will decline 14 percent from Reserve Banks estimate that the check services cost recovery.25 2012 levels.26 The proportion of checks service will recover 111.9 percent of The decline in checks collected by the deposited and presented electronically total expenses and targeted ROE, Reserve Banks reflects the decline in the through the Reserve Banks continues to compared with the budgeted recovery number of checks written generally. grow (see table 8). The Reserve Banks rate of 107.1 percent. The Reserve Banks Through August, total forward check expect that year-end 2013 FedForward expect to recover all actual and imputed volume is 7 percent lower and total deposit and FedReceipt presentment costs of providing check services and return check volume is 13 percent lower penetration rates will exceed 99.9 27 earn a net income of $22.7 million (see than for the same period last year. For percent. The Reserve Banks also table 7). Greater-than-expected check full-year 2013, the Reserve Banks expect that year-end 2013 FedReturn volumes processed by the Reserve estimate that their total forward check and FedReceipt Return volume Banks and lower-than-expected costs collection volume will decline nearly 7 penetration rates will reach 99.0 percent percent and their total return check and 97.0 percent, respectively.28

25 The greater-than-expected check volume is customer sends forward collection items drawn on 27 FedForward is the electronic forward check attributed to two new FedForward deposit options specific forward collection routing numbers in collection product. FedReceipt is electronic that were introduced in late 2011: premium mixed separate cash letters. presentment with accompanying images. and select mixed. The premium mixed option 26 Total Reserve Bank forward check volumes are 28 FedReturn is the electronic check return allows customers to send forward collection items expected to drop from roughly 6.4 billion in 2012 product. FedReceipt Return is the electronic in a mixed cash letter for a higher cash letter fee to 6.0 billion in 2013. Total Reserve Bank return and lower electronic per-item fee. The select mixed check volumes are expected to drop from roughly delivery of returned checks with accompanying option offers similar incentives; however, the 48.8 million in 2012 to 41.9 million in 2013. images.

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2. 2014 Pricing—In 2014, the Reserve more efficient check processing FedForward Select Mixed Image Cash Banks project that the check service will platform and the decommissioning of Letters (ICL), for items drawn on recover 108.0 percent of total expenses the legacy platform.29 specific routing numbers in a separate and targeted ROE. Revenue is projected The Reserve Banks estimate that total cash letter, which combines a high fixed to be $163.4 million, a decline of 17 Reserve Bank forward check volumes fee with a lower variable fee. The percent from 2013. This decline is will decline nearly 9 percent to 5.4 Reserve Banks will introduce a third tier driven largely by projected reductions billion and return check volumes will to each level of the FedForward Select in both forward check collection and decline approximately 14 percent to Mixed ICL product and will expand the return check volume. Total expenses for 36.2 million in 2014. The decline in number of eligible routing numbers by the check service are projected to be Reserve Bank check volume can be 828 for a total of 5,411 routing numbers. $149.4 million, a decline of 14 percent attributed to the continued decline in At the same time, the Reserve Banks from 2013. The reduction in check costs check use nationwide. will raise the daily fee for FedForward is driven primarily by the cost savings The Reserve Banks offer depository Select Mixed Level 1 from $2,000 to associated with the implementation of a institutions the option of sending $2,200 (see Table 9).

The Reserve Banks announced in deposit one day earlier. The ICL fee will deadline. The Reserve Banks also will October a 12:30 p.m. deadline for be the same as the ICL fee for the 1:00 reduce FedReturn Mixed ICL per-item FedReturn Mixed ICL deposits, which a.m. deadline for FedReturn Mixed ICL fees for tier 1 and tier 2, and increase will provide an opportunity for paying deposits, and item fees will be the same per-item fees for tier 3, tier 4, PDF, and banks to return items to the bank of first as the item fees for the 9:00 p.m. substitute checks (see Table 10).

29 The Reserve Banks completed a multi-year check platform modernization initiative in October 2012.

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The Reserve Banks will discontinue the FedReceipt Plus Forward and lower-than-anticipated revenue, and the Choice Receiver program, which Return products from $0.005 to $0.004. higher-than-expected support and provides pricing incentives to those Risks to the Reserve Banks’ ability to overhead costs. achieve budgeted 2014 cost recovery for customers that agree to designate the D. FedACH Service—Table 11 shows Federal Reserve as their sole electronic the check service include greater-than- the 2012 actual, 2013 estimate, and 2014 presentment point and electronic return expected check volume losses to budgeted cost-recovery performance for point. At the same time, the Reserve correspondent banks, aggregators, and Banks will reduce the per-item fees for direct exchanges, which would result in the commercial FedACH service.

1. 2013 Estimate—The Reserve Banks 2. 2014 Pricing—The Reserve Banks The Reserve Banks will increase the estimate that the FedACH service will project that the FedACH service will FedACH monthly settlement fee from recover 100.5 percent of total expenses recover 99.5 percent of total expenses $50 to $55 per routing number and will and targeted ROE. The Reserve Banks and targeted ROE in 2014. Total revenue increase the account servicing fee from expect to recover all actual and imputed is expected to increase $5.6 million $37 to $45 per routing number. In costs of providing FedACH services and from the 2013 estimate, primarily addition, Reserve Banks will raise the earn net income of $1.8 million. because of the projected 3.0 percent fee for the use of automated notification Through August, FedACH commercial growth in FedACH commercial of change (NOC) functionality from origination volume was 3.6 percent origination and receipt volume. Total $0.15 to $0.20 per item and will higher than it was during the same expenses are budgeted to increase $6.4 introduce a NOC participation fee of $5 period last year. For the full year, the million from the 2013 estimate because per month. The Reserve Banks also will restructure the batch/item monitoring Reserve Banks estimate that volume of costs associated with the fee for the Origination Monitoring growth will continue at the current development of a new FedACH Service and RDFI Alert Service by trend. technology platform. implementing two volume-based tiers

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with per-batch fees of $0.007 for up to cost recovery for the FedACH service is exchanges and a shift of volume to the 500,000 batches each month and cost overruns associated with private-sector operator. $0.0035 for greater than 500,000 batches unanticipated problems with technology E. Fedwire Funds and National each month. The Reserve Banks will upgrades and higher-than-expected Settlement Services—Table 12 shows offer a discount of $0.0025 off FedACH support and overhead costs. Other risks the 2012 actual, 2013 estimate, and 2014 receipt fees for RDFIs that originate and include lower-than-expected volume budgeted cost-recovery performance for receive items on the same routing and associated revenue due to 30 the Fedwire Funds and National number (‘‘on-us’’ transactions). unanticipated mergers and acquisitions The primary risk to the Reserve Settlement Services. and loss of market share due to direct Banks’ ability to achieve budgeted 2014

1. 2013 Estimate—The Reserve Banks project total expenses to increase $11.8 addition, the Reserve Banks will estimate that the Fedwire Funds and million from the 2013 estimate. This increase the FedPayments Manager National Settlement Services will increase is due primarily to ongoing import/export monthly fee from $30 to recover 98.0 percent of total expenses projects to upgrade the Fedwire $45. The Reserve Banks believe that and targeted ROE, compared with a application and related information these increases are reasonable given the 2013 budgeted recovery rate of 98.3 technology infrastructure. significant value that these services percent. For the full year, the Reserve The Reserve Banks will increase the provide to the customer. Lastly, the Banks estimate that Fedwire Funds surcharge for transfers exceeding $10 Reserve Banks will increase the monthly online volume will exceed the budget million from $0.12 to $0.15 and the participation fee from $85 to $90. The by 3.0 percent. Although volume is surcharge for transfers exceeding $100 Reserve Banks estimate that the price 31 higher than originally projected, million from $0.30 to $0.36. The increases will result in an approximate revenue is expected to be lower because Reserve Banks believe that high-value 13.5 percent average price increase for of a different-than-projected distribution transfer surcharges are an equitable way Fedwire Funds customers. of volume across the fee structure. With to shift more of the cost associated with regard to the National Settlement Fedwire resiliency to those high-value With respect to the National Service, the Reserve Banks estimate that payments that drive the need for such Settlement Service, the Reserve Banks the volume of settlement files will resiliency. will increase the settlement file fee from exceed projections by 6.3 percent while The Reserve Banks also will adjust the $25 to $30 and the settlement entry fee the volume of settlement entries will be incentive pricing fees and related from $1.20 to $1.50. The Reserve Banks higher by 2.4 percent. benchmark volume for the Fedwire project volume growth to remain at 2013 2. 2014 Pricing—The Reserve Banks Funds Service. First, the Reserve Banks levels. will increase prices on average by 13.5 will increase the Tier 1 per item pre- The Reserve Banks’ proposed Fedwire percent in order for the Fedwire Funds incentive fee (the fee before volume Funds and National Settlement Services and National Settlement Services to discounts are applied) from $0.65 to fees are consistent with their multi-year recover 98.5 percent of total expenses $0.69. Second, the Reserve Banks will strategy to minimize pricing volatility and targeted ROE. The pricing strategy decrease the Tier 2 per item pre- while undertaking the ongoing is sensitive to the competitive incentive fee from $0.25 to $0.24. Third, technology upgrades and related vulnerabilities of different customer the Reserve Banks will decrease the Tier information technology infrastructure segments and focuses price increases on 3 per item pre-incentive fee from $0.145 projects.32 The primary risk to the value-added aspects of the service. The to $0.140. Finally, the Reserve Banks Reserve Banks’ ability to achieve Reserve Banks project total revenue to will increase the benchmark at which budgeted 2014 cost recovery for these increase $12.6 million from the 2013 customers receive volume-based services is cost overruns associated with estimate. This projected revenue discounts from 50 percent of a increase is primarily the result of price customer’s historical average of daily managing the complexity of these increases for the Fedwire Funds and the transfer activity to 60 percent. technology upgrades. National Settlement Services and a 2.0 The Reserve Banks will increase the F. Fedwire Securities Service—Table percent projected growth in Fedwire late-day (after 5:00 p.m. ET) origination 13 shows the 2012 actual, 2013 Funds volume. The Reserve Banks surcharge from $0.21 to $0.26. In estimate, and 2014 budgeted cost

30 An RDFI’s use of the FedACH risk management 31 In 2013, the Reserve Banks introduced a $0.30 32 The Reserve Banks expect costs associated with services could be enhanced with the inclusion of high-value surcharge for both the senders and the upgrades to peak in 2013 and 2014. on-us items. receivers of transfers exceeding $100 million.

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recovery performance for the Fedwire Securities Service.33

BILLING CODE 6210–01–C decrease by 6.2 percent, and the number interface. The FedMail email package 1. 2013 Estimate—The Reserve Banks of agency securities maintained will provides access to basic information estimate that the Fedwire Securities decrease by 1.2 percent. The estimated services via fax or email, while two Service will recover 103.0 percent of decrease in securities maintenance and FedLine Web packages offer FedMail total expenses and targeted ROE, online transfer activity reflects a lower email options plus online attended compared with a 2013 budgeted issuance of mortgage-backed securities access to a range of services, including recovery rate of 101.6 percent. The due to the recent uptick in mortgage cash services, FedACH information higher-than-expected cost recovery is rates. The number of accounts is also services, and check services. Two primarily due to higher-than-projected expected to decrease largely due to the FedLine Advantage packages expand volumes and associated revenue. historically high proportion of empty upon the FedLine Web packages and Specifically, continued low mortgage accounts, which customers continue to offer attended access to critical rates have resulted in higher mortgage- close. transactional services: FedACH, backed securities issuance and thus The Reserve Banks propose no price Fedwire Funds, and Fedwire Securities. higher issues maintenance and online change for the Fedwire Securities Four unattended access packages are transfer activity. In addition, account Service for 2014. computer-to-computer, IP-based maintenance activity is higher than G. FedLine Access—The Reserve interfaces designed for medium-to high- expected as customers have been Banks charge fees for the electronic volume customers. The FedLine closing empty accounts at a slower rate connections that depository institutions Command package offers an unattended than originally projected. For the full use to access priced services and connection to FedACH, as well as most year, the Reserve Banks expect total allocate the costs and revenue accounting information services. The revenue to exceed the budget by 8.9 associated with this electronic access to three remaining packages are FedLine percent or $2.2 million. the various priced services. There are Direct packages, which allow for 2. 2014 Pricing—The Reserve Banks currently five FedLine channels through unattended connections at one of three project that the Fedwire Securities which customers can access the Reserve connection speeds to FedACH, Fedwire Service will recover 98.5 percent of total Banks’ priced services: FedMail®, Funds, and Fedwire Securities expenses and targeted ROE driven by a FedLine Web®, FedLine Advantage®, transactional and information services projected decrease in volume and FedLine Command®, and FedLine and to most accounting information revenue in 2014. The Reserve Banks Direct®.35 The Reserve Banks package services. project that revenue will decrease by these channels into nine FedLine Many of the FedLine access solutions $1.4 million compared with 2013 packages, described in the two fee changes in 2014 are designed to estimates. Expenses are expected to paragraphs that follow, that are encourage customers to migrate to more decrease by $0.4 million, partly supplemented by a number of premium efficient access solutions. The Reserve reflecting higher Treasury (or a` la carte) access and accounting Banks will increase the fees on legacy reimbursements.34 The Reserve Banks information options. In addition, the services, such as an additional $10 per expect costs associated with the Reserve Banks offer FedComplete month for FedMail Fax, $500 per month Fedwire modernization program to packages, which are bundled offerings for FedLine Direct (56K), $500 for a 56K increase. of a FedLine Advantage connection and additional connection, and $200 per In calculating projected Fedwire a fixed number of FedACH, Fedwire month for the Dial-Only VPN surcharge. Securities revenue for 2014, the Reserve Funds, and Check 21-enabled services. In addition, the Reserve Banks will Banks project that online transfer Five attended access packages offer make other changes to FedLine pricing activity will decline by 7.6 percent, the access to critical payment and for 2014 to improve alignment of value number of accounts maintained will information services via a web-based and revenue. In particular, the Reserve

33 The Reserve Banks provide transfer services for U.S. Treasury assesses fees for the securities transfer volume will remain flat, while the Reserve securities issued by the U.S. Treasury, federal transfer component of the service. The Reserve Banks expect agency transfers to decrease. government agencies, government-sponsored Banks assess a fee for the funds settlement Therefore, the higher projected ratio of Treasury to enterprises, and certain international institutions. component of a Treasury securities transfer; this agency transfers will result in Treasury reimbursing The priced component of this service, reflected in component is not treated as a priced service. a higher portion of total costs. this memorandum, consists of revenues, expenses, 34 Treasury reimbursement is calculated largely 35 FedMail, FedLine Web, FedLine Advantage, and volumes associated with the transfer of all non- by multiplying costs by the ratio of Treasury to FedLine Command, and FedLine Direct are Treasury securities. For Treasury securities, the agency transfers. In 2014, Treasury projects its registered trademarks of the Federal Reserve Banks.

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Banks will increase the monthly fees for respectively. These FedComplete market position deriving from such legal FedLine Command Plus by $200 and packages will include one FedLine differences. If any proposed changes monthly fees for Accounting Totals by subscriber 5-pack and one FedMail create such an effect, the Board must Service Line (ACTS) reports. subscriber 5-pack. further evaluate the changes to assess The Reserve Banks will no longer whether the benefits associated with the II. Analysis of Competitive Effect include user subscriptions for priced changes—such as contributions to services within FedLine packages. All operational and legal changes payment system efficiency, payment Depository institutions that wish to considered by the Board that have a system integrity, or other Board access priced services will be required substantial effect on payments system objectives—can be achieved while to purchase user subscriptions in packs participants are subject to the minimizing the adverse effect on of five (5-packs). The FedMail email competitive impact analysis described competition. subscriber 5-pack will be $10 per in the March 1990 policy, ‘‘The Federal The Board projects that the 2014 fees, month, and 5-packs for all other Reserve in the Payments System.’’ 36 fee structures, and changes in service FedLine packages will be $80 per Under this policy, the Board assesses will not have a direct and material month. FedLine packages will continue whether proposed changes would have adverse effect on the ability of other to include unlimited subscriptions to a direct and material adverse effect on service providers to compete effectively nonpriced services. the ability of other service providers to with the Reserve Banks in providing The Reserve Banks will eliminate the compete effectively with the Federal similar services. The fees should permit FedComplete 100 product. Depository Reserve in providing similar services the Reserve Banks to earn a ROE that is institutions will have the option to because of differing legal powers or comparable to overall market returns choose either the FedComplete 100 Plus constraints or because of a dominant and provide for full cost recovery over or FedComplete 200 Plus packages, the long run. which are $775 and $1,300 per month, 36 Federal Reserve Regulatory Service, 9–1558. BILLING CODE 6210–01–P

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By order of the Board of Governors of the ‘‘Submit a Comment’’ that corresponds inventions by furnishing the name and Federal Reserve System, October 31, 2013. with ‘‘Information Collection 9000– address of licensor, date of license Robert deV. Frierson, 0096, Patents’’. Follow the instructions agreement, patent number, brief Secretary of the Board. provided at the ‘‘Submit a Comment’’ description of item or component, [FR Doc. 2013–26560 Filed 11–5–13; 8:45 am] screen. Please include your name, percentage or dollar rate of royalty per BILLING CODE 6210–01–C company name (if any), and unit, unit price of contract item, and ‘‘Information Collection 9000–0096, number of units (FAR 27.202–5, 52.227– Patents’’ on your attached document. 6, and 52.227–9). • DEPARTMENT OF DEFENSE Fax: 202–501–4067. Public comments are particularly • Mail: General Services invited on: Whether this collection of GENERAL SERVICES Administration, Regulatory Secretariat information is necessary for the proper ADMINISTRATION Division (MVCB), IC 9000–0096, 1800 F performance of functions of the FAR, Street NW., 2nd Floor, Washington, DC and whether it will have practical NATIONAL AERONAUTICS AND 20405. utility; whether our estimate of the SPACE ADMINISTRATION Instructions: Please submit comments public burden of this collection of only and cite Information Collection information is accurate, and based on [OMB Control No. 9000–0096; Docket No. 9000–0096, Patents, in all 2013–0077; Sequence No. 10] valid assumptions and methodology; correspondence related to this ways to enhance the quality, utility, and Federal Acquisition Regulation; collection. Submit comments regarding clarity of the information to be Submission for OMB Review; Patents this burden estimate or any other aspect collected; and ways in which we can of this collection of information, minimize the burden of the collection of AGENCIES: Department of Defense (DOD), including suggestions for reducing this information on those who are to General Services Administration (GSA), burden to: FAR Desk Officer, OMB, respond, through the use of appropriate and National Aeronautics and Space Room 10102, NEOB, Washington, DC technological collection techniques or Administration (NASA). 20503. All comments received will be other forms of information technology. ACTION: Notice of request for comments posted without change to http:// A notice was published in the Federal regarding an extension to an existing www.regulations.gov, including any Register at 78 FR 30304, on May 22, OMB clearance. personal and/or business confidential 2013. information provided. SUMMARY: B. Analysis of Public Comments Under the provisions of the FOR FURTHER INFORMATION CONTACT: Ms. Paperwork Reduction Act, the Marissa Petrusek, Procurement Analyst, Two respondents submitted Regulatory Secretariat will be at 202–501–0136. For information comments on the extension of the submitting to the Office of Management pertaining to status or publication previsouly approved information and Budget (OMB) a request to review schedules, contact the Regulatory collection. The analysis of the public and approve an extension of a Secretariat at 202–501–4755. comment is summarized as follows: previously approved information SUPPLEMENTARY INFORMATION: collection requirement concerning A. Approval To Extend This patents. A. Purpose Information Collection Requirement DATES: Submit comments on or before The patent coverage in Federal Comment: One respondent December 6, 2013. Acquisition Regulation (FAR) subpart commented that the extension of the ADDRESSES: Submit comments 27.2 requires the contractor to report information collection would violate the identified by Information Collection each notice of a claim of patent or fundamental purposes of the Paperwork 9000–0096, Patents, by any of the copyright infringement that came to the Reduction Act because the analysis following methods: contractor’s attention in connection significantly underestimates the • Regulations.gov: http:// with performing a Government contract paperwork burden imposed by this www.regulations.gov. (FAR 27.202–1 and 52.227–2). requirement and has therefore not Submit comments via the Federal The contractor is also required to provided sufficient justification for the eRulemaking portal by searching for report all royalties anticipated or paid in requested extension. The respondent ‘‘9000–0096; Patents’’. Select the link excess of $250 for the use of patented further stated that the agency and OMB

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should assess the need to extend this C. Collective Burden of Compliance C. Annual Reporting Burden information collection requirement in Comment: One respondent objects to This information collection reflects a the context of assessing the total the overall collective burden imposed slight adjustment from what was information collection burden. The by the Government on all respondents. published in the Federal Register at 78 respondent further commented that the Response: The Councils cannot FR 30304, on May 22, 2013, for the ‘‘collective burden of compliance’’ effectively address the broad allegations number of respondents required to required of the Government acquisition with regard to the accuracy and utility comply with FAR 52.227–2, 52.227–6 community annually totals over 30 of the entire collective burden imposed and 52.227–9. This change is primarily million hours. According to the on all Federal acquisitions. The due to a re-evaluation based on respondent, the collective burden Councils can only effectively address consultations with subject matter greatly exceeds the agency’s estimates each individual collection requirement experts and updated data retrieved from and outweighs any potential utility of that is under consideration for OMB the Federal Business Opportunities Web the extension. approval. The Councils constantly site. Comment: A second respondent noted review information collection For FAR 52.227–2, data extrapolated that this extension should not be from the Federal Business Opportunties granted unless it is a no cost extension requirements imposed by the FAR Web site indicates that there were a total to the government. The burden is small regulations for ways to reduce the of 18 solicitations. The Government and understood prior to contract award. burdens and still achieve the objectives Response: The criteria for extension of of the regulations, whether based on estimates that there are an additional 18 an information collection requirement policy or statute. solicitations which were not accounted must be based primarily on the need for in Federal Business Opportunties. It D. Agencies’ Estimated Burden Should is further estimated that each and use for the required information. It Be Increased is essential for contractors to report solicitation would result in responsibility requirements, regardless Comment: One respondent provided approximately two contract awards, or of the number of responses. If the that the Agency should reassess the 72 (36 * 2) unique vendors. Of the 72 agencies have determined that the estimated total burden hours and revise unique vendors, it is estimated that information is essential to protect the the estimate upwards to be more approximately 30 percent or 20 unique interests of the Government, then the accurate, as was done in FAR Case vendors would have claims of patent (or extension should be approved. 2007–006. copyright) infringement made against Response: The Council takes serious them as a result of their contract work B. Accuracy of the Data Estimates consideration, during the open requiring government notification. It is Comment: One respondent comment period, to all comments estimated that there is an average of one commented that the agency did not received and will adjust the paperwork response per contract, resulting in accurately estimate the public burden, burden estimate based on reasonable approximately 20 responses per year. challenging that the agency’s considerations provided by the Two burden hours are estimated per methodology for calculating the burden respondents. This is evidenced, as the response to monitor claims of patent or is insufficient and inadequate and does respondent notes, in FAR Case 2007– copyright infringement and prepare, not reflect the total burden. The 006 where an adjustment was made review, and submit the required respondent stated that— from the total preparation hours from 3 notification. It is estimated that this • Thirty respondents responding just to 60. This change was made work would be completed by a mid- once annually is grossly understated. considering particularly the hours that level program manager and an attorney. Under FAR 52.227–6, Royalty would be required for review within the For FAR 52.227–6, data extrapolated Information, any response to a company, prior to release to the from the Federal Business Opportunties solicitation containing costs or charges Government. In this particular instance, Web site indicates that there were a total for royalties totaling more than $250 the burden was prepared using the of eight solicitations. The Government triggers this information collection. burden hours method taking into estimates that there are an additional 12 • The Agencies estimate the hours consideration the time, effort and solicitations which were not accounted per response of thirty minutes (.5 hours) financial resources put on the entity for in Federal Business Opportunties, is inadequate. Each information submitting the information. This totaling 20. It is further estimated that collection requirement effectively includes reviewing instructions; using each solicitation would result in imposes three separate requirements on technology to collect, process, and approximately two contract awards, or the public: (1) The need to monitor disclose information; adjusting existing 40 (20 * 2) unique vendors, required to whether reporting is required; (2) the practices to comply with requirements; submit royalty information with their need to compile and collect the required searching data sources; completing and proposal. Of the 40 unique vendors, it information; and (3) the need to disclose reviewing the response; and is estimated that approximately 10 that information to the Government. transmitting or disclosing information. percent or four unique vendors would Response: Based on data extrapolated The estimated hours must also be be required to submit additional from the Federal Business Operations viewed as an average between the hours information prior to contract award. It is Web site, and in consultation with that a simple disclosure by a very small estimated that there is an average of one subject matter experts, the Councils business might require and the much response per solicitation, resulting in have increased the number of higher numbers that might be required approximately 44 responses per year. respondents and the burden hour for a very complex disclosure by a major One burden hours is estimated per estimates from 30 to 104 respondents corporation. Also, it must be noted that response to disclose the requested and from .5 hours to 1 hour, and the burden includes estimated hours information in the proposal including separated out the data. This re- only for those actions which a company such items as the amount of royalty evaluation resulted in slightly upward would not undertake in the normal paid, the patent numbers and a brief adjustment from the data previously course of business. In this instances, the description of the component on which published in the Federal Register at 78 total burden hours were revised slightly the royalty is paid, and to submit the FR 30304, on May 22, 2013. upwards. required notification. It is estimated that

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one hour is needed to provide a copy of DEPARTMENT OF HEALTH AND ‘‘Approved Drug Products With the current license agreement and redact HUMAN SERVICES Therapeutic Equivalence Evaluations,’’ any proprietary data, and to submit it to which is known generally as the the government. It is estimated that this Food and Drug Administration ‘‘Orange Book.’’ Under FDA regulations, work would be completed by a mid- [Docket No. FDA–2013–P–0631] drugs are removed from the list if the level program manager. Agency withdraws or suspends For FAR 52.227–9, data extrapolated Determination That MOBAN approval of the drug’s NDA or ANDA from Federal Business Opportunties (Molindone Hydrochloride) Tablets (5 for reasons of safety or effectiveness or Web site indicates that there was a total Milligrams, 10 Milligrams, 25 if FDA determines that the listed drug of one solicitation. The Government Milligrams, 50 Milligrams, and 100 was withdrawn from sale for reasons of estimates that there are an additional Milligrams) and Capsules (5 safety or effectiveness (21 CFR 314.162). nine solicitations which were not Milligrams, 10 Milligrams, and 25 A person may petition the Agency to accounted for in Federal Business Milligrams) Were Not Withdrawn From determine, or the Agency may Opportunties, totaling 10. It is further Sale for Reasons of Safety or determine on its own initiative, whether estimated that each solicitation would Effectiveness a listed drug was withdrawn from sale result in approximately one contract for reasons of safety or effectiveness. award, or 10 unique vendors. It is also AGENCY: Food and Drug Administration, This determination may be made at any estimated that each contract will have HHS. time after the drug has been withdrawn three subcontractors, for a total of 30 ACTION: Notice. from sale, but must be made prior to unique subcontractor vendors. Of the 40 approving an ANDA that refers to the (10 + 30) unique vendors, it is estimated SUMMARY: The Food and Drug listed drug (21 CFR 314.161). FDA may that approximately 100 percent or 40 Administration (FDA) has determined not approve an ANDA that does not unique vendors would be required to that MOBAN (molindone hydrochloride refer to a listed drug. submit a statement of royalties paid. It (HCl)) tablets (5 milligrams (mg), 10 mg, MOBAN (molindone HCl) tablets (5 is estimated that there is an average of 25 mg, 50 mg, and 100 mg) and capsules mg, 10 mg, 25 mg, 50 mg, and 100 mg) one response per solicitation, resulting (5 mg, 10 mg, and 25 mg) were not and capsules (5 mg, 10 mg, and 25 mg) in approximately 40 responses per year. withdrawn from sale for reasons of are the subject of NDA 017111, held by 0.5 burden hours are estimated per safety or effectiveness. This Endo Pharmaceuticals, and initially response to submit a statement of determination will allow FDA to approved on January 18, 1974. MOBAN royalties paid or required to be paid by approve abbreviated new drug (molindone HCl) tablets (5 mg, 10 mg, the contract. applications (ANDAs) for MOBAN 25 mg, 50 mg, and 100 mg) and capsules a. FAR 52.227–2: (molindone HCl) tablets (5 mg, 10 mg, (5 mg, 10 mg, and 25 mg) are indicated Number of Respondents: 20. 25 mg, 50 mg, and 100 mg) and capsules for the management of schizophrenia. Responses per Respondent: 1. (5 mg, 10 mg, and 25 mg) if all other MOBAN (molindone HCl) tablets (5 mg, Total Responses: 20. legal and regulatory requirements are 10 mg, 25 mg, 50 mg, and 100 mg) and Average Burden Hours per met. capsules (5 mg, 10 mg, and 25 mg) are currently listed in the ‘‘Discontinued Response: 2. FOR FURTHER INFORMATION CONTACT: Drug Product List’’ section of the Orange Total Burden Hours: 40. Emily Helms Williams, Center for Drug b. FAR 52.227–6: Book. Number of Respondents: 44. Evaluation and Research, Food and CorePharma, LLC, submitted a citizen Responses per Respondent: 1. Drug Administration, 10903 New petition dated May 22, 2013 (Docket No. Total Responses: 44. Hampshire Ave., Bldg. 51, Rm. 6217, FDA–2013–P–0631), under 21 CFR Average Burden Hours per Silver Spring, MD 20993–0002, 301– 10.30, requesting that the Agency Response: 1. 796–3381. determine whether MOBAN (molindone Total Burden Hours: 44. SUPPLEMENTARY INFORMATION: In 1984, HCl) tablets (5 mg, 10 mg, 25 mg, 50 mg, c. FAR 52.227–9: Congress enacted the Drug Price and 100 mg) were withdrawn from sale Number of Respondents: 40. Competition and Patent Term for reasons of safety or effectiveness. Responses per Respondent: 1. Restoration Act of 1984 (Pub. L. 98–417) Although the citizen petition did not Total Responses: 40. (the 1984 amendments), which address MOBAN (molindone HCl) Average Burden Hours per authorized the approval of duplicate capsules (5 mg, 10 mg, and 25 mg), that Response: .5. versions of drug products under an dosage form has also been discontinued, Total Burden Hours: 20. ANDA procedure. ANDA applicants and on our own initiative, we have also Obtaining Copies of Proposals: must, with certain exceptions, show that determined that MOBAN (molindone Requesters may obtain a copy of the the drug for which they are seeking HCl) capsules (5 mg, 10 mg, and 25 mg) information collection documents from approval contains the same active were not withdrawn for safety or the General Services Administration, ingredient in the same strength and effectiveness reasons. Regulatory Secretariat (MVCB), 1800 F dosage form as the ‘‘listed drug,’’ which After considering the citizen petition Street NW., Washington, DC 20405, is a version of the drug that was and reviewing Agency records and telephone 202–501–4755. Please cite previously approved. ANDA applicants based on the information we have at this OMB Control No. 9000–0096, Patents, in do not have to repeat the extensive time, FDA has determined under all correspondence. clinical testing otherwise necessary to § 314.161 that MOBAN (molindone HCl) Dated: October 31, 2013. gain approval of a new drug application tablets (5 mg, 10 mg, 25 mg, 50 mg, and Karlos Morgan, Sr., (NDA). 100 mg) and capsules (5 mg, 10 mg, and Acting Director, Federal Acquisition Policy The 1984 amendments include what 25 mg) were not withdrawn for reasons Division, Office of Government-wide is now section 505(j)(7) of the Federal of safety or effectiveness. The petitioner Acquisition Policy, Office of Acquisition Food, Drug, and Cosmetic Act (21 U.S.C. has identified no data or other Policy, Office of Government-wide Policy. 355(j)(7)), which requires FDA to information suggesting that MOBAN [FR Doc. 2013–26578 Filed 11–5–13; 8:45 am] publish a list of all approved drugs. (molindone HCl) tablets (5 mg, 10 mg, BILLING CODE 6820–EP–P FDA publishes this list as part of the 25 mg, 50 mg, and 100 mg) and capsules

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(5 mg, 10 mg, and 25 mg) were (ANDAs) for iron sucrose injection. The In March 2012, FDA posted on its withdrawn for reasons of safety or draft guidance is a revised version of a Web site a draft guidance for industry effectiveness. We have carefully previously issued draft guidance on the on the Agency’s recommendations for reviewed our files for records same subject. BE studies to support ANDAs for iron concerning the withdrawal of MOBAN DATES: Although you can comment on sucrose injection (Draft Iron Sucrose (molindone HCl) tablets (5 mg, 10 mg, any guidance at any time (see 21 CFR Injection BE Recommendations of 2012). 25 mg, 50 mg, and 100 mg) and capsules 10.115(g)(5)), to ensure that the Agency In that draft guidance, FDA (5 mg, 10 mg, and 25 mg) from sale. We considers your comments on this draft recommended an in vivo fasting BE have also independently evaluated guidance before it begins work on the study with pharmacokinetic endpoints relevant literature and data for possible final version of the guidance, submit and in vitro studies. FDA has postmarketing adverse events. We have either electronic or written comments reconsidered the recommendations in found no information that would on the draft guidance by January 6, the Draft Iron Sucrose Injection BE indicate that these products were 2014. Recommendations of 2012 and has withdrawn from sale for reasons of decided to revise it. At this time, FDA safety or effectiveness. ADDRESSES: Submit written requests for is withdrawing the Draft Iron Sucrose Accordingly, the Agency will single copies of the draft guidance to the Injection BE Recommendations of 2012 continue to list MOBAN (molindone Division of Drug Information, Center for and is issuing a revised draft guidance HCl) tablets (5 mg, 10 mg, 25 mg, 50 mg, Drug Evaluation and Research, Food for industry, the Draft Iron Sucrose and 100 mg) and capsules (5 mg, 10 mg, and Drug Administration, 10903 New Injection BE Recommendations of 2013. and 25 mg) in the ‘‘Discontinued Drug Hampshire Ave., Bldg. 51, Rm. 2201, In this revised draft guidance, FDA Product List’’ section of the Orange Silver Spring, MD 20993–0002. Send recommends that for the in vivo Book. The ‘‘Discontinued Drug Product one self-addressed adhesive label to pharmacokinetic study the difference List’’ delineates, among other items, assist that office in processing your between total iron and transferrin- drug products that have been requests. See the SUPPLEMENTARY bound iron be used to demonstrate BE discontinued from marketing for reasons INFORMATION section for electronic of generic iron sucrose injection other than safety or effectiveness. access to the draft guidance document. products. FDA is no longer ANDAs that refer to MOBAN Submit electronic comments on the recommending baseline-adjusted total (molindone HCl) tablets (5 mg, 10 mg, draft guidance to http:// iron and baseline-adjusted transferrin- 25 mg, 50 mg, and 100 mg) or capsules www.regulations.gov. Submit written bound iron be used to demonstrate BE (5 mg, 10 mg, and 25 mg) may be comments to the Division of Dockets of generic iron sucrose injection approved by the Agency as long as they Management (HFA–305), Food and Drug products. The revised draft guidance meet all other legal and regulatory Administration, 5630 Fishers Lane, Rm. also provides updated information requirements for the approval of 1061, Rockville, MD 20852. about the recommended studies for in ANDAs. If FDA determines that labeling FOR FURTHER INFORMATION CONTACT: Kris vitro characterization and criteria for for these drug products should be Andre, Center for Drug Evaluation and waiver of in vivo testing. revised to meet current standards, the Research (HFD–600), Food and Drug In March 2005, Luitpold Agency will advise ANDA applicants to Administration, 7520 Standish Pl., Pharmaceuticals, Inc. (Luitpold), submit such labeling. Rockville, MD 20855, 240–276–8866. manufacturer of the reference listed drug, Venofer, submitted (through its SUPPLEMENTARY INFORMATION: Dated: October 31, 2013. attorneys) a citizen petition requesting Leslie Kux, I. Background that FDA withhold approval of any Assistant Commissioner for Policy. ANDA or 505(b)(2) application for a In the Federal Register of June 11, [FR Doc. 2013–26550 Filed 11–5–13; 8:45 am] generic iron sucrose injection unless 2010 (75 FR 33311), FDA announced the BILLING CODE 4160–01–P certain conditions were satisfied, availability of a guidance for industry including conditions related to entitled ‘‘Bioequivalence demonstrating BE (Docket No. FDA– DEPARTMENT OF HEALTH AND Recommendations for Specific 2005–P–0319, formerly 2005P–0095/ HUMAN SERVICES Products,’’ which explained the process CP1). FDA is reviewing the issues raised that would be used to make product- in the petition and is also reviewing the Food and Drug Administration specific BE recommendations available supplemental information and to the public on FDA’s Web site at [Docket No. FDA–2007–D–0369] comments that have been submitted to http://www.fda.gov/Drugs/Guidance the docket for that petition. FDA will Draft Guidance for Industry on ComplianceRegulatoryInformation/ consider any comments on the Draft Bioequivalence Recommendations for Guidances/default.htm. As described in Iron Sucrose Injection BE Iron Sucrose; Availability that guidance, FDA adopted this process Recommendations of 2013 before as a means to develop and disseminate responding to Luitpold’s citizen AGENCY: Food and Drug Administration, product-specific BE recommendations petition. HHS. and provide a meaningful opportunity This draft guidance is being issued ACTION: Notice. for the public to consider and comment consistent with FDA’s good guidance on those recommendations. This notice practices regulation (21 CFR 10.115). SUMMARY: The Food and Drug announces the availability of draft BE The draft guidance, when finalized, will Administration (FDA) is announcing the recommendations for iron sucrose represent the Agency’s current thinking availability of a draft guidance for injection (Draft Iron Sucrose Injection on the design of BE studies to support industry entitled ‘‘Bioequivalence BE Recommendations of 2013). ANDAs for iron sucrose injection. It Recommendations for Iron Sucrose.’’ Venofer (iron sucrose injection), new does not create or confer any rights for The recommendations provide specific drug application 021135, was initially or on any person and does not operate guidance on the design of approved by FDA in November 2000. to bind FDA or the public. An bioequivalence (BE) studies to support There are no approved ANDAs for this alternative approach may be used if abbreviated new drug applications product. such approach satisfies the

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requirements of the applicable statutes either electronic or written comments complexities of the superiority clinical and regulations. on the draft guidance by February 4, trial design, where an investigational 2014. II. Comments drug is found to be superior on a ADDRESSES: Submit written requests for clinical endpoint while ensuring that all Interested persons may submit either single copies of the draft guidance to the patients in trials receive appropriately electronic comments regarding this Division of Drug Information, Center for active treatment regimens. The draft document to http://www.regulations.gov Drug Evaluation and Research, Food guidance includes a discussion of or written comments to the Division of and Drug Administration, 10903 New noninferiority clinical trial designs, Dockets Management (see ADDRESSES). It Hampshire Ave., Bldg. 51, Rm. 2201, with justification for a noninferiority is only necessary to send one set of Silver Spring, MD 20993–0002. Send margin in the setting of treatment- comments. Identify comments with the one self-addressed adhesive label to shortening regimens. The draft guidance docket number found in brackets in the assist that office in processing your also discusses clinical trials designed to heading of this document. Received requests. See the SUPPLEMENTARY comments may be seen in the Division include patients with drug-resistant INFORMATION section for electronic tuberculosis. of Dockets Management between 9 a.m. access to the draft guidance document. and 4 p.m., Monday through Friday, and Submit electronic comments on the This draft guidance is being issued will be posted to the docket at http:// draft guidance to http:// consistent with FDA’s good guidance www.regulations.gov. www.regulations.gov. Submit written practices regulation (21 CFR 10.115). III. Electronic Access comments to the Division of Dockets The draft guidance, when finalized, will Management (HFA–305), Food and Drug represent the Agency’s current thinking Persons with access to the Internet Administration, 5630 Fishers Lane, Rm. on ‘‘Pulmonary Tuberculosis: may obtain the document at either 1061, Rockville, MD 20852. Developing Drugs for Treatment.’’ It http://www.fda.gov/Drugs/Guidance FOR FURTHER INFORMATION CONTACT: does not create or confer any rights for ComplianceRegulatoryInformation/ Eileen Navarro, Center for Drug or on any person and does not operate Guidances/default.htm or http:// to bind FDA or the public. An www.regulations.gov. Evaluation and Research, Food and Drug Administration, 10903 New alternative approach may be used if Dated: October 31, 2013. Hampshire Ave., Bldg. 22, Rm. 6126, such approach satisfies the Leslie Kux, Silver Spring, MD 20993–0002, 301– requirements of the applicable statutes Assistant Commissioner for Policy. 796–1300; or Joseph G. Toerner, Center and regulations. [FR Doc. 2013–26570 Filed 11–5–13; 8:45 am] for Drug Evaluation and Research, Food II. The Paperwork Reduction Act of BILLING CODE 4160–01–P and Drug Administration, 10903 New Hampshire Ave., Bldg. 22, Rm. 6244, 1995 Silver Spring, MD 20993–0002, 301– This draft guidance refers to DEPARTMENT OF HEALTH AND 796–1300. previously approved collections of HUMAN SERVICES SUPPLEMENTARY INFORMATION: information that are subject to review by Food and Drug Administration I. Background the Office of Management and Budget (OMB) under the Paperwork Reduction [Docket No. FDA–2013–D–1319] FDA is announcing the availability of a draft guidance for industry entitled Act of 1995 (44 U.S.C. 3501–3520). The collections of information in 21 CFR Draft Guidance for Industry on ‘‘Pulmonary Tuberculosis: Developing Pulmonary Tuberculosis: Developing Drugs for Treatment.’’ The purpose of part 312 and 21 CFR part 314 have been Drugs for Treatment; Availability this draft guidance is to assist sponsors approved under OMB control numbers in the development of antimycobacterial 0910–0014 and 0910–0001, respectively. AGENCY: Food and Drug Administration, drugs for the treatment of pulmonary III. Comments HHS. tuberculosis. ACTION: Notice. Tuberculosis remains endemic in the Interested persons may submit either United States and is epidemic in many electronic comments regarding this SUMMARY: The Food and Drug parts of the world. Current treatment for document to http://www.regulations.gov Administration (FDA) is announcing the tuberculosis involves administration of or written comments to the Division of availability of a draft guidance for multiple-drug regimens for a minimum Dockets Management (see ADDRESSES). It industry entitled ‘‘Pulmonary of 6 months. The development of new is only necessary to send one set of Tuberculosis: Developing Drugs for drugs for treatment of pulmonary comments. Identify comments with the Treatment.’’ The purpose of the draft tuberculosis remains an important docket number found in brackets in the guidance is to assist sponsors in the public health goal. Some of the public development of antimycobacterial drugs heading of this document. Received health challenges to be addressed in the comments may be seen in the Division for the treatment of pulmonary treatment of tuberculosis include: (1) of Dockets Management between 9 a.m. tuberculosis. This guidance applies to The administration of new drug and 4 p.m., Monday through Friday, and the development of a single regimens for shorter periods of time; (2) will be posted to the docket at http:// investigational drug as well as new drugs that do not have drug-drug www.regulations.gov. development of two or more interactions with the drugs used to treat unmarketed investigational drugs for human immunodeficiency virus/ IV. Electronic Access use in combination. acquired immunodeficiency syndrome; DATES: Although you can comment on and (3) new drugs that are active in the Persons with access to the Internet any guidance at any time (see 21 CFR treatment of patients with drug-resistant may obtain the document at either 10.115(g)(5)), to ensure that the Agency tuberculosis. This draft guidance http://www.fda.gov/Drugs/Guidance considers your comment on this draft addresses these issues in the context of ComplianceRegulatoryInformation/ guidance before it begins work on the clinical trial designs for new drugs. The Guidances/default.htm or http:// final version of the guidance, submit draft guidance addresses the www.regulations.gov.

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Dated: October 30, 2013. recommendations to http:// TABLE 1—NEW DRAFT PRODUCT-SPE- Leslie Kux, www.regulations.gov. Submit written CIFIC BE RECOMMENDATIONS FOR Assistant Commissioner for Policy. comments to the Division of Dockets DRUG PRODUCTS—Continued [FR Doc. 2013–26549 Filed 11–5–13; 8:45 am] Management (HFA–305), Food and Drug M ...... Mesna. BILLING CODE 4160–01–P Administration, 5630 Fishers Lane, Rm. 1061, Rockville, MD 20852. Methenamine hippurate. FOR FURTHER INFORMATION CONTACT: Kris Methocarbamol. DEPARTMENT OF HEALTH AND Andre´, Center for Drug Evaluation and N ...... Nicotine (multiple reference listed drugs). Research (HFD–600), Food and Drug HUMAN SERVICES Nicotine polacrilex (multiple ref- Administration, 7520 Standish Pl., erence listed drugs). Food and Drug Administration Rockville, MD 20855, 240–276–8866. P ...... Phentermine hydrochloride. [Docket No. FDA–2007–D–0369] SUPPLEMENTARY INFORMATION: Prednisone. I. Background Draft and Revised Draft Guidances for III. Drug Products for Which Revised Industry Describing Product-Specific In the Federal Register of June 11, Draft Product-Specific BE Bioequivalence Recommendations; 2010 (75 FR 33311), FDA announced the Recommendations Are Available Availability availability of a guidance for industry entitled ‘‘Bioequivalence FDA is announcing revised draft AGENCY: Food and Drug Administration, Recommendations for Specific product-specific BE recommendations HHS. Products,’’ which explained the process for drug products containing the ACTION: Notice. that would be used to make product- following active ingredients: specific BE recommendations available SUMMARY: The Food and Drug to the public on FDA’s Web site at TABLE 2—REVISED DRAFT PRODUCT- Administration (FDA) is announcing the http://www.fda.gov/Drugs/Guidance SPECIFIC BE RECOMMENDATIONS availability of additional draft and ComplianceRegulatoryInformation/ FOR DRUG PRODUCTS revised draft product-specific Guidances/default.htm. As described in bioequivalence (BE) recommendations. that guidance, FDA adopted this process A ...... Acitretin. The recommendations provide product- as a means to develop and disseminate Amphetamine aspartate; Amphet- specific guidance on the design of BE product-specific BE recommendations amine sulfate; Dextro- studies to support abbreviated new drug and provide a meaningful opportunity amphetamine saccharate; Dex- applications (ANDAs). In the Federal for the public to consider and comment troamphetamine sulfate. Register of June 11, 2010, FDA on those recommendations. Under that B ...... Bumetanide. announced the availability of a guidance process, draft recommendations are Bupropion hydrobromide. for industry entitled ‘‘Bioequivalence posted on FDA’s Web site and Bupropion hydrochloride (multiple Recommendations for Specific announced periodically in the Federal reference listed drugs and dos- Products,’’ which explained the process Register. The public is encouraged to age forms). that would be used to make product- submit comments on those C ...... Cefixime. Celecoxib. specific BE recommendations available recommendations within 60 days of Colesevelam hydrochloride. their announcement in the Federal to the public on FDA’s Web site. The BE D ...... Doxorubicin hydrochloride. recommendations identified in this Register. FDA considers any comments Drospirenone; Ethinyl estradiol. notice were developed using the process received and either publishes final L ...... Lanthanum carbonate. described in that guidance. recommendations or publishes revised Lenalidomide. DATES: Although you can comment on draft recommendations for comment. O ...... Oxybutynin chloride. any guidance at any time (see 21 CFR Recommendations were last announced R ...... Rivastigmine. 10.115(g)(5)), to ensure that the Agency in the Federal Register on June 20, 2013 T ...... Tacrolimus (multiple strengths). considers your comments on these draft (78 FR 37230). This notice announces Testosterone (multiple reference listed drugs and dosage forms). and revised draft guidances before it draft product-specific begins work on the final versions of the recommendations, either new or guidances, submit either electronic or revised, that are being posted on FDA’s For a complete history of previously written comments on the draft and Web site concurrently with publication published Federal Register notices revised draft product-specific BE of this notice. related to product-specific BE recommendations listed in this notice II. Drug Products for Which New Draft recommendations, please go to http:// by January 6, 2014. Product-Specific BE Recommendations www.regulations.gov and enter Docket ADDRESSES: Submit written requests for Are Available No. FDA–2007–D–0369. single copies of the individual BE FDA is announcing new draft These draft and revised draft guidances to the Division of Drug product-specific BE recommendations guidances are being issued consistent Information, Center for Drug Evaluation for drug products containing the with FDA’s good guidance practices and Research, Food and Drug following active ingredients: regulation (21 CFR 10.115). These Administration, 10903 New Hampshire guidances represent the Agency’s Ave., Bldg. 51, Rm. 2201, Silver Spring, TABLE 1—NEW DRAFT PRODUCT-SPE- current thinking on product-specific MD 20993–0002. Send one self- CIFIC BE RECOMMENDATIONS FOR design of BE studies to support ANDAs. addressed adhesive label to assist that They do not create or confer any rights DRUG PRODUCTS office in processing your requests. See for or on any person and do not operate SUPPLEMENTARY INFORMATION to bind FDA or the public. An the section B ...... Bedaquiline fumarate. for electronic access to the draft Bupropion hydrochloride. alternative approach may be used if guidance recommendations. C ...... Clobazam. such approach satisfies the Submit electronic comments on the E ...... Etodolac (multiple reference listed requirements of the applicable statutes draft product-specific BE drugs and dosage forms). and regulations.

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IV. Comments Dockets Management (HFA–305), Food guidance development has shown that Interested persons may submit either and Drug Administration, 5630 Fishers there are many reasons that CDRH staff electronic comments on any of the Lane, Rm. 1061, Rockville, MD 20852. may not complete the entire agenda of specific BE recommendations posted on FOR FURTHER INFORMATION CONTACT: guidances it undertakes. Staffs are FDA’s Web site to http:// Philip Desjardins, Center for Devices frequently diverted from guidance www.regulations.gov or written and Radiological Health, Food and Drug development to other priority activities. comments to the Division of Dockets Administration, 10903 New Hampshire In addition, at any time new issues may Management (see ADDRESSES). It is only Ave., Bldg. 66, Rm. 5452, Silver Spring, arise to be addressed in guidance that necessary to send one set of comments. MD 20993–0002, 301–796–5678. could not have been anticipated at the Identify comments with the docket SUPPLEMENTARY INFORMATION: time the annual list is generated. These number found in brackets in the may involve newly identified public I. Background heading of this document. The health issues. guidances, notices, and received During negotiations over the Medical FDA anticipates that feedback from comments may be seen in the Division Device User Fee Amendments of 2012 stakeholders, including draft language of Dockets Management between 9 a.m. (MDUFA III), Title II, Food and Drug for guidance documents, will allow and 4 p.m., Monday through Friday, and Administration Safety and Innovation CDRH to better prioritize and more will be posted to the docket at http:// Act (Pub. L. 112–144), FDA agreed, in efficiently draft guidances that will be www.regulations.gov. return for additional funding from useful to industry and other industry, to meet a variety of stakeholders. FDA intends to update the V. Electronic Access quantitative and qualitative goals list each year. Persons with access to the Internet intended to help get safe and effective may obtain the document at either medical devices to market more quickly. FDA invites interested persons to http://www.fda.gov/Drugs/Guidance These commitments include annually submit comments on any or all of the ComplianceRegulatoryInformation/ posting a list of prioritized medical guidance documents on the lists. FDA Guidances/default.htm or http:// device guidance documents that the has established a docket where www.regulations.gov. Agency intends to publish within 12 comments on the FY 2014 lists, draft Dated: October 31, 2013. months of the date this list is published language for guidance documents on Leslie Kux, each fiscal year (the ‘‘A-list’’) and a list those topics, suggestions for new or Assistant Commissioner for Policy. of device guidance documents that the different guidances, and relative priority Agency intends to publish, as the of guidance documents may be [FR Doc. 2013–26546 Filed 11–5–13; 8:45 am] Agency’s guidance-development submitted (see ADDRESSES). FDA BILLING CODE 4160–01–P resources permit each fiscal year (the believes this docket is an important tool ‘‘B-list’’). In addition to posting lists of for receiving information from DEPARTMENT OF HEALTH AND prioritized device guidance documents, interested parties and for sharing this HUMAN SERVICES FDA has committed to updating its Web information with the public. Similar site in a timely manner to reflect the information about planned guidance Food and Drug Administration Agency’s review of previously development is included in the annual published guidance documents, Agency-wide notice issued under its [Docket No. FDA–2012–N–1021] including the deletion of guidance good guidance practices (21 CFR Medical Device User Fee and documents that no longer represent the 10.115(f)(5)). The CDRH lists, however, Modernization Act; Notice to Public of Agency’s interpretation of, or policy on, will be focused exclusively on device- Web Site Location of Fiscal Year 2014 a regulatory issue, and notation of related guidances and will be made Proposed Guidance Development guidance documents that are under available on FDA’s Web site at the review by the Agency. Fulfillment of beginning of each FY from 2013 to 2017. AGENCY: Food and Drug Administration, this commitment will be reflected To access the lists of guidance HHS. through the issuance of updated documents CDRH is intending to ACTION: Notice. guidance on existing topics, removal of publish in FY 2014, visit FDA’s Web guidances that that no longer reflect SUMMARY: The Food and Drug site http://www.fda.gov/ FDA’s current thinking on a particular MedicalDevices/ Administration (FDA or the Agency) is topic, and annual updates to the A-list announcing the Web site location where DeviceRegulationandGuidance/ and B-list announced in this notice. Overview/MDUFAIII/ucm321367.htm. the Agency will post two lists of This notice announces the Web site guidance documents the Center for location of the two lists of guidance II. Request for Comments Devices and Radiological Health (CDRH) documents which CDRH is intending to is intending to publish in Fiscal Year publish during FY 2014. We note that Interested persons may submit either (FY) 2014. In addition, FDA has the Agency is not required to publish electronic comments regarding this established a docket where stakeholders every guidance on either list if the document to http://www.regulations.gov may provide comments and/or propose resources needed would be to the or written comments to the Division of draft language for those topics, suggest detriment of meeting quantitative Dockets Management (see ADDRESSES). It new or different guidance documents, review timelines and statutory is only necessary to send one set of and comment on the priority of topics obligations. The Agency is not comments. Identify comments with the for guidance. precluded from issuing guidance docket number found in brackets in the DATES: Submit either electronic or documents that are not on either list. heading of this document. Received written comments at any time. FDA and CDRH priorities are subject comments may be seen in the Division ADDRESSES: Submit electronic to change at any time. Topics on this of Dockets Management between 9 a.m. comments on the proposed guidance to and past guidance priority lists may be and 4 p.m., Monday through Friday, and http://www.regulations.gov. Submit removed or modified based on current will be posted to the docket at http:// written comments to the Division of priorities. CDRH’s experience in www.regulations.gov.

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Dated: October 30, 2013. FDA will post the agenda perspectives of its review divisions. By Leslie Kux, approximately 5 days before the meeting the end of FY 2015, FDA will initiate Assistant Commissioner for Policy. at: http://www.fda.gov/ForIndustry/ another public process for determining [FR Doc. 2013–26547 Filed 11–5–13; 8:45 am] UserFees/PrescriptionDrugUserFee/ the disease areas for FYs 2016 and 2017. BILLING CODE 4160–01–P ucm370867.htm. More information, including the list of FOR FURTHER INFORMATION CONTACT: disease areas and a general schedule of Graham Thompson, Center for Drug meetings, is posted on FDA’s Web site DEPARTMENT OF HEALTH AND Evaluation and Research, Food and at http://www.fda.gov/ForIndustry/ HUMAN SERVICES Drug Administration, 10903 New UserFees/PrescriptionDrugUserFee/ ucm326192.htm. Food and Drug Administration Hampshire Ave., Bldg. 51, Rm. 1199, Silver Spring, MD 20993, 301–796– II. Public Meeting Information [Docket No. FDA–N–2013–1328] 5003, Fax: 301–847–8443, email: [email protected]. A. Purpose and Scope of the Meeting Sickle Cell Disease Public Meeting on SUPPLEMENTARY INFORMATION: As part of Patient-Focused Drug Patient-Focused Drug Development Development, FDA will obtain patient I. Background on Patient-Focused Drug AGENCY: and patient stakeholder input on sickle Food and Drug Administration, Development HHS. cell disease and on current approaches ACTION: Notice of public meeting; FDA has selected sickle cell disease to to treatment. Approximately 100,000 request for comments. be the focus of a meeting under Patient- people in the United States, and Focused Drug Development, an millions of people worldwide, have SUMMARY: The Food and Drug initiative that involves obtaining a better sickle cell disease. Sickle cell disease is Administration (FDA) is announcing a understanding of patients’ perspectives an inherited red blood cell disorder public meeting and an opportunity for on the severity of the disease and the resulting from a mutation in the beta public comment on Patient-Focused available therapies for the condition. globin gene. Red blood cells are more Drug Development for sickle cell Patient-Focused Drug Development is prone to an abnormal shape and disease. Patient-Focused Drug being conducted to fulfill FDA’s rigidity, causing multi-organ damage Development is part of FDA’s performance commitments made as part over time. Some of the effects of sickle performance commitments in the fifth of the authorization of PDUFA V under cell disease are painful crises, increased authorization of the Prescription Drug Title I of the Food and Drug Safety and risk of infections, stroke, pulmonary User Fee Act (PDUFA V). The public Innovation Act (Pub. L. 112–144). The hypertension, acute chest syndrome, meeting is intended to allow FDA to full set of performance commitments is recurrent priapism, gallstones, and obtain patients’ perspectives on the available on the FDA Web site at kidney dysfunction. impact of sickle cell disease on daily life http://www.fda.gov/downloads/ Therapies to prevent the and on available therapies for sickle cell forindustry/userfees/ complications of sickle cell disease are disease. prescriptiondruguserfee/ limited and can include prescription DATES: The public meeting will be held ucm270412.pdf. medications and blood transfusions. on February 7, 2014; from 10 a.m. to 4 FDA has committed to obtain the Bone marrow transplantation is an p.m. Registration to attend the meeting patient perspective in 20 disease areas option for some patients. Other must be received by January 27, 2014. during the course of PDUFA V. For each therapies, such as pain medications, See the SUPPLEMENTARY disease area, the Agency will conduct a antibiotics, supplemental oxygen, and INFORMATION section for information public meeting to discuss the disease vitamin supplements, are used to on how to register for the meeting. and its impact on patients’ daily lives, manage specific health effects of the Submit electronic or written comments the types of treatment benefit that disease. New approaches to treating by April 8, 2014. matter most to patients, and patients’ sickle cell disease or preventing its ADDRESSES: The meeting will be held at perspectives on available therapies for complications are being explored, the FDA White Oak Campus, 10903 sickle cell disease. These meetings will including new medications, advances in New Hampshire Ave., Bldg. 31 include participation of FDA review transplantation, and gene therapies. Conference Center, in Sections B and C divisions, the relevant patient FDA is interested in obtaining a better of the Great Room (Rm. 1503), Silver community, and other interested understanding of patients’ perspectives Spring, MD 20993. Entrance for the stakeholders. on sickle cell disease, including the public meeting participants is through On April 11, 2013, FDA published a symptoms that matter most to patients, Building 1, where routine security notice (78 FR 21613) in the Federal limitations to current treatment check procedures will be performed. For Register announcing the disease areas approaches, opportunities for new more information on parking and for meetings in fiscal years (FYs) 2013 treatment approaches, and specific security procedures, please refer to through 2015, the first 3 years of the 5- considerations regarding sickle cell http://www.fda.gov/AboutFDA/ year PDUFA V timeframe. To develop disease in pediatric patients. WorkingatFDA/BuildingsandFacilities/ the list of disease areas, the Agency The questions that will be asked of WhiteOakCampusInformation/ used several criteria that were outlined patients and patient stakeholders at the ucm241740.htm. in the April 2013 notice. The Agency meeting are listed in this section, Submit electronic comments to obtained public comment on these organized by topic. For each topic, a www.regulations.gov. Submit written criteria and potential disease areas brief patient panel discussion will begin comments to the Division of Dockets through a notice for public comment the dialogue, followed by a facilitated Management (HFA–305), Food and Drug published in the Federal Register on discussion inviting comments from Administration, 5630 Fishers Lane, rm. September 24, 2012 (77 FR 58849), and other patient and patient stakeholder 1061, Rockville, MD 20852. All through a public meeting held on participants. In addition to input comments should be identified with the October 25, 2012. In selecting the generated through this public meeting, docket number found in brackets in the disease areas, FDA carefully considered FDA is interested in receiving patient heading of this document. the public comments received and the input addressing these questions

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through written comments that can be b. What are the biggest problems with FOR FURTHER INFORMATION CONTACT) at submitted to the public docket (see these treatments? (Examples may least 7 days before the meeting. ADDRESSES). When submitting include side effects of medicine, going Patients who are interested in comments to the docket, please provide to the hospital for treatment, frequent presenting comments as part of the some context to your comment by blood tests, etc.) How do these problems initial panel discussions will be asked indicating whether you are an affect your daily life? to indicate in their registration which adolescent or young adult, or older 2. Besides prescription medications, topic(s) they wish to address. They will adult. If you are commenting on behalf what else do you do to prevent or treat also be asked to send a brief summary of a child or other loved one who has any negative effects of your sickle cell of responses to the topic questions to sickle cell disease, please indicate that disease? Please describe any [email protected]. Panelists and answer the following questions as medications purchased at a store will be notified of their selection soon much as possible from the patient’s without a prescription, home remedies, after the close of registration on January perspective. diet changes, massages, or other 27, 2014. FDA will try to accommodate therapies. all patients and patient stakeholders Topic 1: The Effects of Sickle Cell a. What specific parts of your sickle who wish to speak, either through the Disease That Matter Most to You cell disease do these treatments panel discussion or audience 1. Of all of the ways that sickle cell address? participation; however, the duration of disease affects your health, which one to b. How well do these treatments work comments may be limited by time three effects have the greatest impact on for you? constraints. your life? (Examples may include pain c. What are the biggest problems with Interested members of the public, crises, breathing problems, difficulty these treatments? including those who attend the meeting concentrating, tiredness, infections, and 3. What parts of your sickle cell in person or through the Webcast, are others.) disease do your current treatments not invited to provide electronic or written 2. How does sickle cell disease affect treat at all or not as well as you would responses to the questions pertaining to your life on an ‘‘average’’ day? like? Topics 1 and 2 to the public docket (see a. Are there activities that you cannot 4. Assuming that there is no cure for ADDRESSES). Comments may be do at all or as well as you would like sickle cell disease, what specific things submitted until April 8, 2014. on these ‘‘average’’ days? Please would you look for in an ideal Dated: October 31, 2013. describe, using specific examples. treatment? (Examples may include sleeping 5. If you had the opportunity to Leslie Kux, through the night, concentrating at work consider participating in a clinical trial Assistant Commissioner for Policy. or at school, participating in physical studying experimental treatments for [FR Doc. 2013–26548 Filed 11–5–13; 8:45 am] activities, and others.) sickle cell disease, what things would BILLING CODE 4160–01–P 3. How does sickle cell disease affect you consider when deciding whether or your life on the ‘‘worst’’ days, such as not to participate? Examples may days when you have a pain crisis or include how severe your sickle cell DEPARTMENT OF HEALTH AND have to be hospitalized for some reason? disease is, how well current treatments HUMAN SERVICES a. Are there activities that you cannot are working for you, your concern about Food and Drug Administration do at all or as well as you would like serious risks, and other things. on these ‘‘worst’’ days? Please describe, B. Meeting Attendance and/or [Docket No. FDA–2013–N–1285] using specific examples. Participation 4. What worries you most about how Smith Miller and Patch Inc. et al.; sickle cell disease could affect your If you wish to attend this meeting, Proposal to Withdraw Approval of 14 health in the future? visit https://patientfocusedsickle New Drug Applications; Opportunity 5. What specific concerns do you have cell.eventbrite.com. Please register by for a Hearing about sickle cell disease: January 27, 2014. Those who are unable AGENCY: Food and Drug Administration, a. In infants and young children? to attend the meeting in person can b. In adolescents and young adults? register to participate in a live Webcast HHS. c. In older adults? of the meeting. You will be asked to ACTION: Notice. indicate in your registration whether Topic 2: Perspectives on Treatments for you plan to attend in person or via the SUMMARY: The Food and Drug Sickle Cell Disease Webcast. Your registration should also Administration (FDA) is announcing an 1. Are you currently using any contain your complete contact opportunity to request a hearing on the prescription medicines or medical information, including name, title, Agency’s proposal to withdraw approval treatments to prevent or treat any affiliation, address, email address, and of 14 new drug applications (NDAs) negative effects of your sickle cell phone number. from multiple sponsors. The basis for disease? Please describe these Seating will be limited, so early the proposal is that the sponsors have treatments, which may include blood registration is recommended. repeatedly failed to file required annual transfusions, supplemental oxygen and Registration is free and will be on a first- reports for these applications. prescription medications such as come, first-served basis. However, FDA DATES: Submit written requests for a hydroxyurea, antibiotics, pain may limit the number of participants hearing by December 6, 2013; submit medications, and others. from each organization based on space data and information in support of the a. How well do these treatments work limitations. Registrants will receive hearing request by January 6, 2014. for you? For example, how well do they confirmation once they have been ADDRESSES: Identify your requests for a reduce your number of pain crises, accepted. Onsite registration on the day hearing, supporting data, and other hospitalizations, or strokes? How well of the meeting will be based on space comments with Docket No. FDA–2013– do they help you manage your pain, availability. If you need special N–1285, and submit this information to breathing difficulties, or other health accommodations because of disability, the Division of Dockets Management effects? please contact Graham Thompson (see (HFA–305), Food and Drug

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Administration, 5630 Fishers Lane, Rm. Silver Spring, MD 20993–0002, 301– applications in accordance with 1061, Rockville, MD 20852. 796–3601. § 314.81 (21 CFR 314.81). The holders of FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: The the approved applications listed in table Florine P. Purdie, Center for Drug holders of approved applications to 1 have failed to submit the required Evaluation and Research, Food and market new drugs for human use are annual reports and have not responded Drug Administration, 10903 New required to submit annual reports to to the Agency’s request by certified mail Hampshire Ave., Bldg. 51, Rm. 6366, FDA concerning each of their approved for submission of the reports.

TABLE 1—APPROVED NDAS FOR WHICH REQUIRED REPORTS HAVE NOT BEEN MADE

Application No. Drug Applicant

NDA 004979 ...... Multi-Vitamin Tablets ...... Smith Miller and Patch Inc., P.O. Box 367, San Ger- man, PR 00753. NDA 008176 ...... Methostan (methandriol) Tablets ...... Do. NDA 008326 ...... Methischol (inositol/vitamin B12/racemethionine/choline USV Pharmaceutical Corp., 500 Virginia Dr., Fort chloride) Injection. Washington, PA 19034–2779. NDA 008362 ...... Corticotropin Injection ...... Vitarine Pharmaceuticals Inc., 227–15 North Conduit Ave., Springfield Gardens, NY 11413. NDA 009346 ...... ACTH (corticotropin) Injection ...... Parke-Davis, 201 Tabor Rd., Morris Plains, NJ 07950. NDA 009515 ...... Hyrye (riboflavin 5’-phosphate sodium) Injection ...... S.F. Durst and Co., Inc., 5317–21 North Third St., Philadelphia, PA 19120. NDA 010415 ...... Flamotide (riboflavin 5’-phosphate sodium) Injection ..... Philadelphia Ampoule Laboratories, 400 Green St., Philadelphia, PA 19123. NDA 010565 ...... Duracton (corticotropin) Injection ...... Nordic Biochemicals Inc., 45 Bay State Rd., Boston, MA 02215. NDA 010791 ...... Rubivite (cyanocobalamin) Injection ...... Bel Mar Laboratories, Inc., 6–10 Nassau Ave., Inwood, NY 11696. NDA 010831 ...... Corticotropin Injection ...... Organics/LaGrange, Inc., 1935 Techny Rd., Suite 14, Northbrook, IL 60062. NDA 011015 ...... RU–B–12–1000 (cyanocobalamin) Injection ...... Dow Pharmaceutical Corp., 9550 North Zionsville Rd., Indianapolis, IN 46268. NDA 011578 ...... Efacin (niacin) Tablet ...... Person and Covey, Inc., 616 Allen Ave., Glendale, CA 91201. NDA 017861 ...... Acthar Gel Synthetic (seractide acetate) Injection ...... Armour Pharmaceutical Co., P.O. Box 511, Kankakee, IL 60901. NDA 018087 ...... Thyrel TRH (protirelin) Injection ...... Ferring Pharmaceuticals, Inc., 400 Rella Blvd., Suite 300, Suffern, NY 10901.

Therefore, notice is given to the that requires a hearing (see DATES). Any A request for a hearing may not rest holders of the approved applications other interested person may also submit upon mere allegations or denials, but listed in table 1 and to all other comments on this notice. The must present specific facts showing that interested persons that the Director of procedures and requirements governing there is a genuine and substantial issue the Center for Drug Evaluation and this notice of opportunity for a hearing, of fact that requires a hearing. Reports Research proposes to issue an order notice of participation and request for a submitted to remedy the deficiencies under section 505(e) of the Federal hearing, information and analyses to must be complete in all respects in Food, Drug, and Cosmetic Act (FD&C justify a hearing, other comments, and accordance with § 314.81. If the Act) (21 U.S.C. 355(e)) withdrawing a grant or denial of a hearing are submission is not complete or if a approval of the applications and all contained in § 314.200 and in 21 CFR request for a hearing is not made in the amendments and supplements thereto part 12. required format or with the required on the ground that the applicants have reports, the Commissioner of Food and failed to submit reports required under The failure of an applicant to file a Drugs will enter summary judgment § 314.81. timely written notice of participation against the person who requests the In accordance with section 505 of the and request for a hearing, as required by hearing, making findings and FD&C Act and part 314 (21 CFR part § 314.200, constitutes an election by that conclusions, and denying a hearing. 314), the applicants are hereby provided applicant not to avail itself of the All submissions under this notice of an opportunity for a hearing to show opportunity for a hearing concerning the opportunity for a hearing must be filed why the applications listed previously proposal to withdraw approval of the in four copies. Except for data and should not be withdrawn and an applications and constitutes a waiver of information prohibited from public opportunity to raise, for administrative any contentions concerning the legal disclosure under 21 U.S.C. 331(j) or 18 determination, all issues relating to the status of the drug products. FDA will U.S.C. 1905, the submissions may be legal status of the drug products covered then withdraw approval of the seen in the Division of Dockets by these applications. applications and the drug products may Management (see ADDRESSES) between 9 An applicant who decides to seek a not thereafter lawfully be marketed, and a.m. and 4 p.m., Monday through hearing must file the following: (1) A FDA will begin appropriate regulatory Friday, and will be posted to the docket written notice of participation and action to remove the products from the at http://www.regulations.gov. request for a hearing (see DATES) and (2) market. Any new drug product This notice is issued under the the data, information, and analyses marketed without an approved new Federal Food, Drug, and Cosmetic Act relied on to demonstrate that there is a drug application is subject to regulatory (section 505 (21 U.S.C. 355)) and under genuine and substantial issue of fact action at any time. authority delegated to the Director,

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Center for Drug Evaluation and including the validity of the these surveys will be used by Clinical Research, by the Commissioner of Food methodology and assumptions used; (3) Center personnel: (1) To evaluate the and Drugs. The quality, utility, and clarity of the perceptions of various Clinical Center Dated: October 30, 2013. information to be collected; and (4) customers and other partners of Clinical Whether the proposed collection Janet Woodcock, Center services; (2) to assist with the minimizes the burden of the collection design of modifications of these Director, Center for Drug Evaluation and of information on those who are to Research. services, based on customer input; (3) to respond, including the use of develop new services, based on [FR Doc. 2013–26491 Filed 11–5–13; 8:45 am] appropriate automated, electronic, customer need; (4) to evaluate the BILLING CODE 4160–01–P mechanical, or other technological perceptions of various Clinical Center collection techniques or other forms of customers and other partners of information technology. implemented service modifications, and DEPARTMENT OF HEALTH AND To Submit Comments and for Further HUMAN SERVICES (5) for hospital accreditation. These Information: To obtain a copy of the surveys are voluntary and necessary for National Institutes of Health data collection plans and instruments, the proper performance of Clinical submit comments in writing, or request Center functions and will almost Proposed Collection; 60-Day Comment more information on the proposed certainly lead to quality improvement Request; Customer and Other Partners project, contact: Dr. David K. activities that will enhance and/or Satisfaction Surveys Henderson, Deputy Director for Clinical streamline the Clinical Center’s Care, National Institutes of Health operations. The major mechanisms by Summary: In compliance with the Clinical Center, 10 Center Drive, Bldg. requirement of Section 3506(c)(2)(A) of which the Clinical Center will request 10, Rm. 6–1480, Bethesda, MD 20892 or customer input is through surveys and the Paperwork Reduction Act of 1995 call non-toll-free number (301) 496– for the opportunity for public comment focus groups. The surveys will be 3515 or email your request, including tailored specifically to each class of on the proposed data collection projects, your address to: [email protected]. Formal the National Institutes of Health Clinical customer and to that class of customer’s requests for additional plans and needs. Surveys will either be collected Center (CC) will publish periodic instruments must be requested in summaries of proposed projects to be as written documents, as faxed writing. documents, mailed electronically or submitted to the Office of Management Comment Due Date: Comments collected via the web or by telephone and Budget (OMB) for review and regarding this information collection are from customers. Information gathered approval. best assured of having their full effect if from these surveys of Clinical Center Written comments and/or suggestions received within 60 days of the date of customers and other partners will be from the public and affected agencies this publication. are invited to address one or more of the Proposed Collection: Title: Generic presented to, and used directly by, following points: (1) Whether the Clearance for Surveys of Customers and Clinical Center management to enhance proposed collection of information is Other Partners, 0925–0458, Expiration the services and operations of our necessary for the proper performance of Date 12/31/2013, Type of Submission: organization. the function of the agency, including Extension, National Institutes of Health OMB approval is requested for 3 whether the information will have Clinical Center (CC), National Institutes years. There are no costs to respondents practical utility; (2) The accuracy of the of Health (NIH). other than their time. The total agency’s estimate of the burden of the Need and Use of Information estimated annualized burden hours are proposed collection of information, Collection: The information collected in 4,900. FY 2014

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

Clinical Center Patients ...... 5000 1 30/60 2500 Family Members of Patients ...... 2000 1 30/60 1000 Visitors to the Clinical Center ...... 500 1 10/60 84 NIH Intramural Collaborators ...... 2000 1 10/60 334 Vendors and Collaborating Commercial Enterprises ...... 500 1 20/60 167 Professionals and Organizations Referring Patients ...... 2000 1 20/60 667 Regulators ...... 30 1 20/60 10 Volunteers ...... 275 1 30/60 138

FY 2015

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

Clinical Center Patients ...... 5000 1 30/60 2500 Family Members of Patients ...... 2000 1 30/60 1000 Visitors to the Clinical Center ...... 500 1 10/60 84 NIH Intramural Collaborators ...... 2000 1 10/60 334 Vendors and Collaborating Commercial Enterprises ...... 500 1 20/60 167 Professionals and Organizations Referring Patients ...... 2000 1 20/60 667 Regulators ...... 30 1 20/60 10

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FY 2015—Continued

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

Volunteers ...... 275 1 30/60 138

FY 2016

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

Clinical Center Patients ...... 5000 1 30/60 2500 Family Members of Patients ...... 2000 1 30/60 1000 Visitors to the Clinical Center ...... 500 1 10/60 84 NIH Intramural Collaborators ...... 2000 1 10/60 334 Vendors and Collaborating Commercial Enterprises ...... 500 1 20/60 167 Professionals and Organizations Referring Patients ...... 2000 1 20/60 667 Regulators ...... 30 1 20/60 10 Volunteers ...... 275 1 30/60 138

Dated: October 28. 2013. The RG of the agent often correlates Middle East Respiratory Syndrome David K. Henderson, with the minimum containment level coronavirus (MERS-CoV) Deputy Director for Clinical Care, CC, required for experiments subject to the National Institutes of Health. NIH Guidelines. Updating Appendix B MERS-CoV is an emerging infectious [FR Doc. 2013–26610 Filed 11–5–13; 8:45 am] by revising the risk groups for certain disease agent that was originally BILLING CODE 4140–01–P organisms, or adding new organisms, identified in 2012 in Saudi Arabia. The leads to more uniform containment virus is a member of the order recommendations that are Nidovirales, family Coronaviridae, and DEPARTMENT OF HEALTH AND commensurate with the biosafety risk. causes a severe pulmonary syndrome HUMAN SERVICES The resulting amendments are ‘‘Minor that is similar to what was seen with Actions’’ under Section IV–C–1–(b)–2 of Severe Acute Respiratory Syndrome National Institutes of Health the NIH Guidelines and, therefore, will coronavirus (SARS-CoV). MERS-CoV has been identified as the cause of a Office of Science Policy, Office of be implemented immediately upon severe respiratory disease in 144 Biotechnology Activities; Recombinant publication in the Federal Register. individuals, of which 62 have died (as or Synthetic Nucleic Acid Molecule However, the OBA welcomes public Research: Action Under the NIH comment to inform any future changes of October 25, 2013; source: Centers for Guidelines for Research Involving to Appendix B. Disease Control and Prevention (CDC)— Recombinant or Synthetic Nucleic Acid DATES: Comments may be submitted to http://www.cdc.gov/coronavirus/mers/). Molecules (NIH Guidelines) the OBA in paper or electronic form at The overall mortality rate of MERS-CoV the mailing, fax, and email addresses infection to date is about four times AGENCY: NIH, Public Health Service, shown below under the heading ‘‘FOR higher than what was reported for HHS. FURTHER INFORMATION.’’ All comments SARS-CoV; although it is of note, in ACTION: Notice of Final Action under the should be submitted by December 6, patients over 65 years of age, that NIH Guidelines. 2013. All written comments received in mortality from infection with SARS-CoV response to this notice will be available was reported to exceed 50 percent SUMMARY: The Office of Biotechnology (based on World Health Organization Activities (OBA) is updating Appendix for public inspection in the NIH OBA (WHO) data accessed September 9, B (Classification of Human Etiologic office, 6705 Rockledge Drive, Suite 750, MSC 7985, Bethesda, MD 20892–7985, 2013, http://www.who.int/csr/sars/ Agents on the Basis of Hazard) of the _ _ NIH Guidelines by specifying the risk weekdays between the hours of 8:30 archive/2003 05 07a/en/print.html). As group (RG) classification for two a.m. and 5:00 p.m. was the case for SARS-CoV, there are no organisms: Middle East Respiratory FOR FURTHER INFORMATION CONTACT: If proven preventive or therapeutic Syndrome coronavirus (MERS-CoV) and you have questions, or require measures against this new virus. In Pseudomonas aeruginosa. additional information about these addition, there are many unanswered Background: The NIH Guidelines changes, please contact the OBA by questions regarding this virus, including provide guidance to investigators and email at [email protected] or by telephone questions about how the virus is local Institutional Biosafety Committees at 301–496–9838. Comments may be transmitted. Although the incidence of (IBCs) for setting containment for submitted to the same email address or viral infections caused by MERS-CoV research involving recombinant or by fax to 301–496–9839 or by mail to remains highest in, and largely localized synthetic nucleic acid molecules. the Office of Biotechnology Activities, to the Arabian Peninsula (138 of 144 Section II–A, Risk Assessment, instructs National Institutes of Health, 6705 cases), the high mortality rate associated investigators and IBCs to make an initial Rockledge Drive, Suite 750, Bethesda, with this agent and its epidemic risk assessment based on the RG of the Maryland 20892–7985. Background potential has led to close monitoring by agent that will be manipulated (see information may be obtained by the WHO (http://www.who.int/csr/ Appendix B, Classification of Human contacting the NIH OBA by email at disease/coronavirus_infections/faq/en/ Etiologic Agents on the Basis of Hazard). [email protected]. index.html).

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Under Appendix B of the NIH to Appendix B as an RG2 bacterium. DEPARTMENT OF HEALTH AND Guidelines, most coronaviruses are This is consistent with other HUMAN SERVICES classified as RG2 viruses. Given the assessments of the RG for this pathogen severity of illness seen to date, MERS- by other biosafety guidances, including National Institutes of Health CoV will be added to the list of RG3 the Canadian (http://www.phac- Center for Scientific Review; Amended agents, as was done for SARS-CoV. aspc.gc.ca/lab-bio/res/psds-ftss/ Notice of Meeting However, because little is currently pseudomonas-spp-eng.php) and the known about the source, reservoir, and European Community (http:// Notice is hereby given of a change in epidemiology of this virus, the RG www.bacterio.net/hazard.html#group2) the meeting of the Enabling classification will be reassessed if new guidances. Bioanalytical and Imaging Technologies data emerge relevant to the biosafety Study Section, October 10, 2013, 07:45 risks associated with the agent. In Appendix B–II–A. Risk Group 2 a.m. to October 11, 2013, 06:00 p.m., addition, while research with RG3 (RG2)—Bacterial Agents Including Sheraton Delfina Santa Monica Hotel, agents is often carried out at Biosafety Chlamydia. 530 West Pico Boulevard, Santa Monica, level 3 containment—with appropriate CA 90405 which was published in the The following addition will be made enhancements depending upon the Federal Register on September 12, 2013, to Appendix B–II–A. Risk Group 2 nature of the agent, e.g., increased 78 FR 177 Pg. 56239. respiratory precautions for agents that (RG2)—Bacterial Agents Including The meeting will be held at the are transmissible by the aerosol route— Chlamydia: Renaissance Washington Dupont Circle the RG of an agent is not the only factor Pseudomonas aeruginosa Hotel, 1143 New Hampshire Ave. NW., that determines the containment level. Washington, DC 20037. The meeting As stated in Section II–A of the NIH The following addition will be made will start December 17, 2013 at 9:30 a.m. Guidelines (Risk Assessment) ‘‘once the to Appendix B–III–D Risk Group 3 and end December 18, 2013 at 7:00 p.m. risk group of an agent is identified, this (RG3)—Viruses and Prions: The meeting is closed to the public. should be followed by a thorough consideration of how the agent is to be Middle East Respiratory Syndrome Dated: October 31, 2013. manipulated’’ and there may be coronavirus (MERS-CoV) Carolyn A. Baum, experiments for which a higher Program Analyst, Office of Federal Advisory containment level is warranted. Interim Dated: October 30, 2013. Committee Policy. Laboratory Biosafety Guidelines for Lawrence A. Tabak, [FR Doc. 2013–26529 Filed 11–5–13; 8:45 am] Handling and Processing Specimens Deputy Director, National Institutes of Health BILLING CODE 4140–01–P Associated with MERS-CoV are available on the CDC Web site at the [FR Doc. 2013–26612 Filed 11–5–13; 8:45 am] following URL: http://www.cdc.gov/ BILLING CODE 4140–01–P DEPARTMENT OF HEALTH AND coronavirus/mers/guidelines-lab- HUMAN SERVICES biosafety.html. DEPARTMENT OF HEALTH AND National Institutes of Health Pseudomonas aeruginosa HUMAN SERVICES Bacteria belonging to the genus Eunice Kennedy Shriver National Pseudomonas are ubiquitous in the National Institutes of Health Institute of Child Health & Human environment. They are generally Development; Notice of Closed considered to be opportunistic National Human Genome Research Meeting Institute; Amended Notice of Meeting pathogens, i.e., able to cause disease in Pursuant to section 10(d) of the individuals who are Notice is hereby given of a change in Federal Advisory Committee Act, as immunocompromised. According to the amended (5 U.S.C. App.), notice is CDC, serious pseudomonas infections the meeting of the National Human Genome Research Institute Special hereby given of the following meeting. usually occur in hospitalized patients The meeting will be closed to the and those who are Emphasis Panel, October 15, 2013, 01:00 p.m. to October 15, 2013, 02:30 p.m., public in accordance with the immunocompromised and these provisions set forth in sections infections can lead to severe illness and National Human Genome Research 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., death (http://www.cdc.gov/hai/ Institute, 5635 Fishers Lane, Suite 3055, as amended. The grant applications and organisms/pseudomonas.html). Healthy Rockville, MD 20852 which was the discussions could disclose people can also become ill from published in the Federal Register on confidential trade secrets or commercial Pseudomonas aeruginosa, especially September 16, 2013, 78 FR 26905. property such as patentable material, after exposure to inadequately The October 15, 2013 meeting has and personal information concerning disinfected water. Per the CDC, ‘‘Ear been moved to December 5, 2013. The individuals associated with the grant infections, especially in children, and meeting is closed to the public. applications, the disclosure of which more generalized skin rashes may occur would constitute a clearly unwarranted after exposure to inadequately Dated: October 31, 2013. invasion of personal privacy. chlorinated hot tubs or swimming pools. David Clary, Name of Committee: National Institute of Eye infections have occasionally been Program Analyst, Office of Federal Advisory Child Health and Human Development reported in persons using extended- Committee Policy. wear contact lenses’’ (http:// Special Emphasis Panel; Reproductive [FR Doc. 2013–26540 Filed 11–5–13; 8:45 am] Center’s. www.cdc.gov/hai/organisms/ BILLING CODE 4140–01–P Date: November 7–8, 2013. pseudomonas.html). Time: 8:00 a.m. to 5:00 p.m. Because this bacterium generally Agenda: To review and evaluate grant causes mild disease in healthy applications. individuals and there are antibiotics to Place: Residence Inn Bethesda, 7335 treat such disease, the OBA will add it Wisconsin Avenue, Bethesda, MD 20814.

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Contact Person: Dennis E. Leszczynski, Special Emphasis Panel; Preserving Male Review Group; Reproduction, Andrology, Ph.D., Scientific Review Officer, Division of Fertility After Cancer Therapy by Kyle E. and Gynecology Subcommittee. Scientific Review, National Institute of Child Orwig. Date: November 25, 2013. Health and Human Development, NIH, 6100 Date: November 14, 2013. Time: 3:30 p.m. to 7:00 p.m. Executive Blvd., Room 5B01, Bethesda, MD Time: 12:00 p.m. to 5:00 p.m. Date: November 26, 2013. 20892, 301–435–2717, [email protected]. Agenda: To review and evaluate grant Time: 8:00 a.m. to 5:00 p.m. This notice is being published less than 15 applications. Agenda: To review and evaluate grant days prior to the meeting due to the timing Place: National Institutes of Health, 6100 applications. limitations imposed by the review and Executive Boulevard, Rockville, MD 20852 Place: National Institutes of Health, 6100 funding cycle. (Telephone Conference Call). Executive Boulevard, Rockville, MD 20852 Name of Committee: National Institute of Contact Person: Sathasiva B. Kandasamy, (Telephone Conference Call). Child Health and Human Development Initial Ph.D., Scientific Review Officer, Division of Contact Person: Dennis E. Leszczynski, Review Group; Population Sciences Scientific Review, National Institute of Child Ph.D., Scientific Review Officer, Division of Subcommittee. Health and Human Development, 6100 Scientific Review, National Institute of Child Date: November 7, 2013. Executive Boulevard, Rockville, MD 20892– Health and Human Development, NIH, 6100 Time: 8:00 a.m. to 6:00 p.m. 9304, (301) 435–6680, skandasa@ Executive Blvd., Room 5b01, Bethesda, MD Agenda: To review and evaluate grant mail.nih.gov. 20892, 301–435–2717, [email protected]. applications. This notice is being published less than 15 Name of Committee: National Institute of Place: Residence Inn Bethesda, 7335 days prior to the meeting due to the timing Child Health and Human Development Wisconsin Avenue, Bethesda, MD 20814. limitations imposed by the review and Special Emphasis Panel. Contact Person: Carla T. Walls, Ph.D., funding cycle. Date: November 7, 2013. Scientific Review Officer, Division of Name of Committee: National Institute of Time: 1:00 p.m. to 5:00 p.m. Scientific Review, Eunice Kennedy Shriver Child Health and Human Development Initial Agenda: To review and evaluate grant National Institute of Child Health and Review Group; Obstetrics and Maternal-Fetal applications. Human Development, NIH, 6100 Executive Biology Subcommittee. Place: National Institutes of Health, 6100 Boulevard, Room 5B01, Bethesda, MD Date: November 20, 2013. Executive Boulevard, Rockville, MD 20852 20892–7510, 301–435–6898, wallsc@ Time: 7:00 a.m. to 6:00 p.m. (Telephone Conference Call). mail.nih.gov. Agenda: To review and evaluate grant Contact Person: Cathy J. Wedeen, Ph.D., This notice is being published less than 15 applications. Scientific Review Officer, Division of days prior to the meeting due to the timing Place: Doubletree Hotel Bethesda Scientific Review, OD, Eunice Kennedy limitations imposed by the review and (Formerly Holiday Inn Select), 8120 Shriver National Institute of Child Health funding cycle. Wisconsin Avenue, Bethesda, MD 20814. and Human Development, NIH, 6100 Name of Committee: National Institute of Contact Person: Peter Zelazowski, Ph.D., Executive Blvd., Room 5B01–G, Bethesda, Child Health and Human Development Initial Scientific Review Officer, Division of MD 20892, 301–435–6878, wedeenc@ Review Group; Pediatrics Subcommittee. Scientific Review, Eunice Kennedy Shriver mail.nih.gov. Date: November 12, 2013. National Institute of Child Health and This notice is being published less than 15 Time: 8:00 a.m. to 5:00 p.m. Human Development, NIH, 6100 Executive days prior to the meeting due to the timing Agenda: To review and evaluate grant Blvd., Room 5b01, Bethesda, MD 20892, 301– limitations imposed by the review and applications. 435–6902, [email protected]. funding cycle. Place: Doubletree Hotel Bethesda Name of Committee: National Institute of Name of Committee: National Institute of (Formerly Holiday Inn Select), 8120 Child Health and Human Development Child Health and Human Development Initial Wisconsin Avenue, Bethesda, MD 20814. Special Emphasis Panel; HIV-Infected Review Group; Developmental Biology Contact Person: Rita Anand, Ph.D., Children and Virologic Control. Subcommittee. Scientific Review Officer, Division of Date: November 22, 2013. Date: November 13, 2013. Scientific Review, Eunice Kennedy Shriver Time: 8:00 a.m. to 5:00 p.m. Time: 8:00 a.m. to 5:00 p.m. National Institute of Child Health and Agenda: To review and evaluate grant Date: November 14, 2013. Human Development, NIH, 6100 Executive applications. Time: 8:00 a.m. to 5:00 p.m. Blvd., Room 5B01, Bethesda, MD 20892, Place: Doubletree Hotel Bethesda Date: November 18, 2013. 301–496–1487, [email protected]. (Formerly Holiday Inn Select), 8120 Time: 12:00 p.m. to 5:00 p.m. This notice is being published less than 15 Wisconsin Avenue, Bethesda, MD 20814. Agenda: To review and evaluate grant days prior to the meeting due to the timing Contact Person: Rita Anand, Ph.D., applications. limitations imposed by the review and Scientific Review Officer, Division of Place: National Institutes of Health, 6100 funding cycle. Scientific Review, Eunice Kennedy Shriver Executive Boulevard, Rockville, MD 20852 Name of Committee: National Institute of National Institute of Child Health and (Telephone Conference Call). Child Health and Human Development Human Development, NIH, 6100 Executive Contact Person: Cathy J. Wedeen, Ph.D., Special Emphasis Panel; ZHD1 DSR–Z (55). Blvd., Room 5B01, Bethesda, MD 20892, Scientific Review Officer, Division of Date: November 12, 2013. 301–496–1487, [email protected]. Scientific Review, OD, Eunice Kennedy Time: 10:00 a.m. to 2:00 p.m. Name of Committee: National Institute of Shriver National Institute of Child Health Agenda: To review and evaluate grant Child Health and Human Development And Human Development, NIH, 6100 applications. Special Emphasis Panel; ZHD1 DSR–Z (50). Executive Blvd., Room 5B01–G, Bethesda, Place: National Institutes of Health, 6100 Date: November 22, 2013. MD 20892, 301–435–6878, wedeenc@ Executive Boulevard, Rockville, MD 20852, Time: 12:30 p.m. to 4:30 p.m. mail.nih.gov. (Telephone Conference Call). Agenda: To review and evaluate grant This notice is being published less than 15 Contact Person: Peter Zelazowski, Ph.D., applications. days prior to the meeting due to the timing Scientific Review Officer, Division of Place: National Institutes of Health, 6100 limitations imposed by the review and Scientific Review, Eunice Kennedy Shriver Executive Boulevard, Rockville, MD 20852 funding cycle. National Institute of Child Health and (Telephone Conference Call). Name of Committee: National Institute of Human Development, NIH, 6100 Executive Contact Person: Peter Zelazowski, Ph.D., Child Health and Human Development Blvd., Room 5B01, Bethesda, MD 20892, Scientific Review Officer, Division of Special Emphasis Panel. 301–435–6902, [email protected]. Scientific Review, Eunice Kennedy Shriver Date: November 26, 2013. This notice is being published less than 15 National Institute of Child Health and Time: 12:30 p.m. to 3:30 p.m. days prior to the meeting due to the timing Human Development, NIH, 6100 Executive Agenda: To review and evaluate grant limitations imposed by the review and Blvd., Room 5B01, Bethesda, MD 20892, applications. funding cycle. 301–435–6902, [email protected]. Place: National Institutes of Health, 6100 Name of Committee: National Institute of Name of Committee: National Institute of Executive Boulevard, Rockville, MD 20852 Child Health and Human Development Child Health and Human Development Initial (Telephone Conference Call).

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Contact Person: Cathy J. Wedeen, Ph.D., Date: December 2, 2013. DEPARTMENT OF HEALTH AND Scientific Review Officer, Division of Time: 1:00 p.m. to 4:00 p.m. HUMAN SERVICES Scientific Review, OD, Eunice Kennedy Agenda: To review and evaluate grant Shriver National Institute of Child Health applications. National Institutes of Health And Human Development, NIH, 6100 Place: National Institutes of Health, 6701 Executive Blvd., Room 5B01–G, Bethesda, Rockledge Drive, Bethesda, MD 20892, Center for Scientific Review; Amended MD 20892, 301–435–6878, wedeenc@ (Virtual Meeting). Notice of Meeting mail.nih.gov. Contact Person: Lynn E Luethke, Ph.D., (Catalogue of Federal Domestic Assistance Scientific Review Officer, Center for Notice is hereby given of a change in Program Nos. 93.864, Population Research; Scientific Review, National Institutes of the meeting of the Center for Scientific 93.865, Research for Mothers and Children; Health, 6701 Rockledge Drive, Room 5166, Review Special Emphasis Panel, MSC 7844, Bethesda, MD 20892, (301) 806– 93.929, Center for Medical Rehabilitation October 18, 2013, 02:00 p.m. to October Research; 93.209, Contraception and 3323, [email protected]. 18, 2013, 05:00 p.m., National Institutes Infertility Loan Repayment Program, National Name of Committee: Center for Scientific Institutes of Health, HHS). Review Special Emphasis Panel, Social of Health, 6701 Rockledge Drive, Bethesda, MD 20892, which was Dated: October 31, 2013. Psychology, Personality and Interpersonal Processes Overflow. published in the Federal Register on Michelle Trout, Date: December 2, 2013. September 24, 2013, 78 FR 185 Pgs. Program Analyst, Office of Federal Advisory Time: 2:00 p.m. to 5:00 p.m. 58547–58548. Committee Policy. Agenda: To review and evaluate grant The meeting will start December 18, [FR Doc. 2013–26525 Filed 11–5–13; 8:45 am] applications. 2013 at 2:00 p.m. and end December 18, BILLING CODE 4140–01–P Place: National Institutes of Health, 6701 2013 at 5:00 p.m. The meeting location Rockledge Drive, Bethesda, MD 20892, remains the same. The meeting is closed (Telephone Conference Call). to the public. DEPARTMENT OF HEALTH AND Contact Person: Monica Basco, Ph.D., HUMAN SERVICES Scientific Review Officer, Center for Dated: October 31, 2013. Scientific Review, National Institutes of Carolyn A. Baum, Health, 6701 Rockledge Drive, Room 3220, National Institutes of Health Program Analyst, Office of Federal Advisory MSC 7808, Bethesda, MD 20892, 301–496– Committee Policy. 7010, [email protected]. Center for Scientific Review; Notice of [FR Doc. 2013–26528 Filed 11–5–13; 8:45 am] Closed Meetings Name of Committee: Center for Scientific Review Special Emphasis Panel, Program BILLING CODE 4140–01–P Pursuant to section 10(d) of the Project: Antibody Research Technology Federal Advisory Committee Act, as Center. amended (5 U.S.C. App.), notice is Date: December 3–5, 2013. DEPARTMENT OF HEALTH AND hereby given of the following meetings. Time: 5:00 p.m. to 1:00 p.m. HUMAN SERVICES The meetings will be closed to the Agenda: To review and evaluate grant applications. National Institutes of Health public in accordance with the Place: Hotel Nikko San Francisco, 222 provisions set forth in sections Mason Street, San Francisco, CA 94102. National Heart, Lung, and Blood 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Contact Person: Scott Jakes, Ph.D., Institute; Notice of Closed Meeting as amended. The grant applications and Scientific Review Officer, Center for the discussions could disclose Scientific Review, National Institutes of Pursuant to section 10(d) of the confidential trade secrets or commercial Health, 6701 Rockledge Drive, Room 4198, Federal Advisory Committee Act, as property such as patentable material, MSC 7812, Bethesda, MD 20892, 301–495– amended (5 U.S.C. App.), notice is and personal information concerning 1506, [email protected]. hereby given of the following meeting. individuals associated with the grant Name of Committee: Center for Scientific The meeting will be closed to the applications, the disclosure of which Review Special Emphasis Panel, AREA: public in accordance with the would constitute a clearly unwarranted Population Sciences and Epidemiology. provisions set forth in sections invasion of personal privacy. Date: December 6, 2013. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Time: 12:00 p.m. to 4:00 p.m. as amended. The grant applications and Name of Committee: Center for Scientific Agenda: To review and evaluate grant the discussions could disclose Review Special Emphasis Panel, Special applications. Emphasis Panel: Behavioral Medicine, Place: National Institutes of Health, 6701 confidential trade secrets or commercial Intervention and Outcomes. Rockledge Drive, Bethesda, MD 20892, property such as patentable material, Date: November 21, 2013. (Telephone Conference Call). and personal information concerning Time: 8:00 a.m. to 5:00 p.m. Contact Person: Karin F Helmers, Ph.D., individuals associated with the grant Agenda: To review and evaluate grant Scientific Review Officer, Center for applications, the disclosure of which applications. Scientific Review, National Institutes of would constitute a clearly unwarranted Agenda: Loews L’Enfant Plaza Hotel, 480 Health, 6701 Rockledge Drive, Room 3144, invasion of personal privacy. L’Enfant Plaza SW., Washington, DC 20024– MSC 7770, Bethesda, MD 20892, (301) 254– 2197. 9975, [email protected]. Name of Committee: National Heart, Lung, Contact Person: Lee S Mann, Ph.D., and Blood Institute Special Emphasis Panel, (Catalogue of Federal Domestic Assistance Scientific Review Officer, Center for Cardiovascular Disease Model Resource Program Nos. 93.306, Comparative Medicine; Scientific Review, National Institutes of Related Research Project. 93.333, Clinical Research, 93.306, 93.333, Health, 6701 Rockledge Drive, Room 3186, Date: December 4, 2013. 93.337, 93.393–93.396, 93.837–93.844, MSC 7848, Bethesda, MD 20892, 301–435– Time: 11:00 a.m. to 1:30 p.m. 0677, [email protected]. 93.846–93.878, 93.892, 93.893, National Agenda: To review and evaluate grant This notice is being published less than 15 Institutes of Health, HHS). applications. days prior to the meeting due to the timing Dated: October 31, 2013. Place: National Institutes of Health, Room limitations imposed by the review and Carolyn A. Baum, 7182, 6701 Rockledge Drive Bethesda, MD funding cycle. 20892, (Telephone Conference Call). Program Analyst, Office of Federal Advisory Name of Committee: Center for Scientific Contact Person: Susan Wohler Sunnarborg, Committee Policy. Review Special Emphasis Panel, RFA–DC– Ph.D. Scientific Review Officer, Office of 13–002: Innovative and Novel Approaches [FR Doc. 2013–26530 Filed 11–5–13; 8:45 am] Scientific Review/DERA National, Heart, Toward Inner Ear Regenerative Therapies. BILLING CODE 4140–01–P Lung, and Blood Institute, 6701 Rockledge

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Drive, Room 7182, Bethesda, MD 20892, the discussions could disclose DEPARTMENT OF HEALTH AND [email protected]. confidential trade secrets or commercial HUMAN SERVICES (Catalogue of Federal Domestic Assistance property such as patentable material, Program Nos. 93.233, National Center for and personal information concerning National Institutes of Health Sleep Disorders Research; 93.837, Heart and individuals associated with the grant Vascular Diseases Research; 93.838, Lung National Center for Complementary & Diseases Research; 93.839, Blood Diseases applications, the disclosure of which Alternative Medicine; Notice of Closed and Resources Research, National Institutes would constitute a clearly unwarranted Meeting of Health, HHS). invasion of personal privacy. Pursuant to section 10(d) of the Dated: October 31, 2013. Name of Committee: National Center for Federal Advisory Committee Act, as Michelle Trout, Advancing Translational Sciences Special amended (5 U.S.C. App.), notice is Emphasis Panel, NIH Support Conferences Program Analyst, Office of Federal Advisory hereby given of the following meeting. Committee Policy. and Scientific Meetings. The meeting will be closed to the Date: December 5, 2013. [FR Doc. 2013–26526 Filed 11–5–13; 8:45 am] public in accordance with the Time: 8:00 a.m. to 5:00 p.m. BILLING CODE 4140–01–P provisions set forth in sections Agenda: To review and evaluate grant 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., applications. as amended. The grant applications and Place: National Institutes of Health, 6701 DEPARTMENT OF HEALTH AND the discussions could disclose HUMAN SERVICES Democracy Blvd., Bethesda, MD 20892. Contact Person: Rahat Khan, Ph.D., confidential trade secrets or commercial National Institutes of Health Scientific Review Officer, Office of Scientific property such as patentable material, Review, National Center for Advancing and personal information concerning Center for Scientific Review; Amended Translational Sciences, 6701 Democracy individuals associated with the grant Notice of Meeting Blvd., Room 1078, Bethesda, MD 20892, 301– applications, the disclosure of which 894–7319, [email protected]. would constitute a clearly unwarranted Notice is hereby given of a change in invasion of personal privacy. the meeting of the Cellular and Dated: October 31, 2013. David Clary, Name of Committee: National Center for Molecular Biology of Glia Study Complementary and Alternative Medicine Section, October 21, 2013, 08:00 a.m. to Program Analyst, Office of Federal Advisory Special Emphasis Panel; RFA–AT14–001 and October 21, 2013, 06:00 p.m., Committee Policy. AT14–002: SBIR Methods Development for Doubletree Hotel Bethesda, (Formerly [FR Doc. 2013–26541 Filed 11–5–13; 8:45 am] Natural Products. Holiday Inn Select), 8120 Wisconsin Date: December 13, 2013. Avenue, Bethesda, MD 20814 which BILLING CODE 4140–01–P Time: 7:00 a.m. to 5:00 p.m. was published in the Federal Register Agenda: To review and evaluate grant on September 26, 2013, 78 FR 187 Pgs. applications. DEPARTMENT OF HEALTH AND Place: National Institutes of Health, Two 59361–59362. HUMAN SERVICES Democracy Plaza, 6707 Democracy The meeting will be held at the Boulevard, Bethesda, MD 20892 (Virtual Embassy Suites at the Chevy Chase National Institutes of Health Meeting). Pavilion, 4300 Military Road, Contact Person: Martina Schmidt, Ph.D., Washington, DC 20015. The meeting National Institute of Biomedical Scientific Review Officer, Office of Scientific will start November 14, 2013 at 8:00 Review, National Center for Complementary, Imaging and Bioengineering; Amended & Alternative Medicine, NIH, 6707 a.m. and end November 14, 2013 at 6:30 Notice of Meeting p.m. The meeting is closed to the Democracy Blvd., Suite 401, Bethesda, MD 20892, 301–594–3456, schmidma@ public. Notice is hereby given of a change in mail.nih.gov. Dated: October 31, 2013. the meeting of the National Institute of (Catalogue of Federal Domestic Assistance Carolyn A. Baum, Biomedical Imaging and Bioengineering Program Nos. 93.213, Research and Training Program Analyst, Office of Federal Advisory Special Emphasis Panel, October 10–11, in Complementary and Alternative Medicine, Committee Policy. 2013, 09:00 a.m.–08:00 p.m. National National Institutes of Health, HHS). [FR Doc. 2013–26531 Filed 11–5–13; 8:45 am] Institutes of Health, Two Democracy Dated: October 31, 2013. BILLING CODE 4140–01–P Plaza, Suite 200, 6707 Democracy Michelle Trout, Boulevard, Bethesda, MD 20892, which Program Analyst, Office of Federal Advisory was published in the Federal Register Committee Policy. DEPARTMENT OF HEALTH AND on August 2, 2013, 78 FR 46995. [FR Doc. 2013–26527 Filed 11–5–13; 8:45 am] HUMAN SERVICES The meeting notice is amended to BILLING CODE 4140–01–P National Institutes of Health change the date from October 10–11, 2013, to November 16, 2013, from 9:00 DEPARTMENT OF HEALTH AND National Center for Advancing a.m. to 8:00 p.m. The meeting is closed HUMAN SERVICES Translational Sciences; Notice of to the public. Closed Meeting Dated: October 31, 2013. National Institutes of Health Pursuant to section 10(d) of the David Clary, Center for Scientific Review; Amended Federal Advisory Committee Act, as Program Analyst, Office of Federal Advisory Notice of Meeting amended (5 U.S.C. App.), notice is Committee Policy. Notice is hereby given of a change in hereby given of the following meeting. [FR Doc. 2013–26542 Filed 11–5–13; 8:45 am] The meeting will be closed to the the meeting of the Genetics of Health public in accordance with the BILLING CODE 4140–01–P and Disease Study Section, October 10, provisions set forth in sections 2013, 08:30 a.m. to October 11, 2013, 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., 12:30 p.m., Avenue Hotel Chicago, 160 as amended. The grant applications and E. Huron Street, Chicago, IL 60611

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which was published in the Federal Brown Fund; 97.032, Crisis Counseling; Community Disaster Loans; 97.031, Cora Register on September 12, 2013, 78 FR 97.033, Disaster Legal Services; 97.034, Brown Fund; 97.032, Crisis Counseling; 56239. Disaster Unemployment Assistance (DUA); 97.033, Disaster Legal Services; 97.034, The meeting will start on December 9, 97.046, Fire Management Assistance Grant; Disaster Unemployment Assistance (DUA); 97.048, Disaster Housing Assistance to 97.046, Fire Management Assistance Grant; 2013 at 8:30 a.m. and end on December Individuals and Households in Presidentially 97.048, Disaster Housing Assistance to 10, 2013 at 1:30 PM. The meeting will Declared Disaster Areas; 97.049, Individuals and Households in Presidentially be held at the Renaissance Washington, Presidentially Declared Disaster Assistance— Declared Disaster Areas; 97.049, DC Dupont Circle Hotel, 1143 New Disaster Housing Operations for Individuals Presidentially Declared Disaster Assistance— Hampshire Avenue, Washington, DC and Households; 97.050 Presidentially Disaster Housing Operations for Individuals 20037. The meeting is closed to the Declared Disaster Assistance to Individuals and Households; 97.050 Presidentially public. and Households—Other Needs; 97.036, Declared Disaster Assistance to Individuals Disaster Grants—Public Assistance and Households—Other Needs; 97.036, Dated: October 31, 2013. (Presidentially Declared Disasters); 97.039, Disaster Grants—Public Assistance Carolyn A. Baum, Hazard Mitigation Grant. (Presidentially Declared Disasters); 97.039, Program Analyst, Office of Federal Advisory Hazard Mitigation Grant. W. Craig Fugate, Committee Policy. Administrator, Federal Emergency W. Craig Fugate, [FR Doc. 2013–26532 Filed 11–5–13; 8:45 am] Management Agency. Administrator, Federal Emergency BILLING CODE 4140–01–P [FR Doc. 2013–26537 Filed 11–5–13; 8:45 am] Management Agency. BILLING CODE 9111–23–P [FR Doc. 2013–26536 Filed 11–5–13; 8:45 am] BILLING CODE 9111–23–P DEPARTMENT OF HOMELAND SECURITY DEPARTMENT OF HOMELAND SECURITY DEPARTMENT OF HOMELAND Federal Emergency Management SECURITY Agency Federal Emergency Management Agency U.S. Citizenship and Immigration [Internal Agency Docket No. FEMA–4147– Services DR; Docket ID FEMA–2013–0001] [Internal Agency Docket No. FEMA–4151– DR; Docket ID FEMA–2013–0001] [CIS No. 2538–13; DHS Docket No. USCIS– Santa Clara Pueblo; Amendment No. 1 2013–0006] to Notice of a Major Disaster Santa Clara Pueblo; Amendment No. 1 RIN 1615–ZB24 Declaration to Notice of a Major Disaster Declaration AGENCY: Federal Emergency Extension of the Designation of Management Agency, DHS. AGENCY: Federal Emergency Somalia for Temporary Protected Status ACTION: Notice. Management Agency, DHS. ACTION: Notice. Correction SUMMARY: This notice amends the notice of a major disaster declaration for the SUMMARY: This notice amends the notice In notice document 2013–25969 Santa Clara Pueblo (FEMA–4147–DR), of a major disaster declaration for the beginning on page 65690 in the issue of dated September 27, 2013, and related Santa Clara Pueblo (FEMA–4151–DR), Friday, November 1, 2013 make the determinations. dated October 24, 2013, and related following corrections: 1. On page 65691, in the first column, DATES: determinations. Effective Date: October 29, 2013. in the third paragraph, in the fourth and DATES: FOR FURTHER INFORMATION CONTACT: Effective Date: October 29, 2013. fifth lines ‘‘October 31, 2013 through Dean Webster, Office of Response and FOR FURTHER INFORMATION CONTACT: December 30, 2013’’ should read Recovery, Federal Emergency Dean Webster, Office of Response and ‘‘November 1, 2013 through December Management Agency, 500 C Street SW., Recovery, Federal Emergency 31, 2013’’. Washington, DC 20472, (202) 646–2833. Management Agency, 500 C Street SW., 2. On the same page, in the same SUPPLEMENTARY INFORMATION: The notice Washington, DC 20472, (202) 646–2833. column, in the fourth paragraph, in the of a major disaster declaration for the SUPPLEMENTARY INFORMATION: The notice last two lines ‘‘October 31, 2013 through Santa Clara Pueblo is hereby amended of a major disaster declaration for the December 30, 2013’’ should read to include Public Assistance (Categories Santa Clara Pueblo is hereby amended ‘‘November 1, 2013 through December C–G) and the Hazard Mitigation Grant to include Public Assistance (Categories 31, 2013’’. Program in the following area C–G) and the Hazard Mitigation Grant [FR Doc. C1–2013–25969 Filed 11–5–13; 8:45 am] determined to have been adversely Program in the following area BILLING CODE 1505–01–D affected by the event declared a major determined to have been adversely disaster by the President in his affected by the event declared a major declaration of September 27, 2013. disaster by the President in his DEPARTMENT OF HOMELAND The Santa Clara Pueblo for Public declaration of October 24, 2013. SECURITY Assistance [Categories C–G] (already The Santa Clara Pueblo for Public designated for debris removal and emergency Assistance [Categories C–G] (already U.S. Customs and Border Protection protective measures [Categories A and B] designated for debris removal and emergency Bureau under the Public Assistance program). protective measures [Categories A and B] The Santa Clara Pueblo is eligible to apply under the Public Assistance program). Accreditation and Approval of Saybolt, for assistance under the Hazard Mitigation The Santa Clara Pueblo is eligible to apply LP, as a Commercial Gauger and Grant Program. for assistance under the Hazard Mitigation Laboratory The following Catalog of Federal Domestic Grant Program. Assistance Numbers (CFDA) are to be used The following Catalog of Federal Domestic AGENCY: U.S. Customs and Border for reporting and drawing funds: 97.030, Assistance Numbers (CFDA) are to be used Protection, Department of Homeland Community Disaster Loans; 97.031, Cora for reporting and drawing funds: 97.030, Security.

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ACTION: Notice of accreditation and DEPARTMENT OF HOMELAND labs_scientific_svcs/commercial_ approval of Saybolt, LP, as a commercial SECURITY gaugers/gaulist.ctt/gaulist.pdf gauger and laboratory. Dated: October 30, 2013. Customs and Border Protection Ira S. Reese, Bureau SUMMARY: Notice is hereby given, Executive Director, Laboratories and pursuant to CBP regulations, that Accreditation and Approval of Amspec Scientific Services. Saybolt, LP, has been approved to gauge Services, LLC, as a Commercial [FR Doc. 2013–26607 Filed 11–5–13; 8:45 am] and accredited to test petroleum and Gauger and Laboratory BILLING CODE 9111–14–P petroleum products, organic chemicals and vegetable oils for customs purposes AGENCY: U.S. Customs and Border for the next three years as of July 18, Protection, Department of Homeland DEPARTMENT OF HOMELAND 2013. Security. SECURITY ACTION: Notice of accreditation and DATES: Effective: The accreditation and U.S. Customs and Border Protection approval of AmSpec Services, LLC, as a Bureau approval of Saybolt, LP, as commercial commercial gauger and laboratory. gauger and laboratory became effective Accreditation and Approval of SGS on July 18, 2013. The next triennial SUMMARY: Notice is hereby given, North America, Inc., as a Commercial inspection date will be scheduled for pursuant to CBP regulations, that Gauger and Laboratory July 2016. AmSpec Services, LLC, has been approved to gauge and accredited to test AGENCY: U.S. Customs and Border FOR FURTHER INFORMATION CONTACT: petroleum and petroleum products, Protection, Department of Homeland Approved Gauger and Accredited organic chemicals and vegetable oils for Security. Laboratories Manager, Laboratories and customs purposes for the next three ACTION: Notice of accreditation and Scientific Services, U.S. Customs and years as of February 20, 2013. approval of SGS North America, Inc., as Border Protection, 1300 Pennsylvania DATES: Effective Dates: The a commercial gauger and laboratory. Avenue NW., Suite 1500N, Washington, accreditation and approval of AmSpec DC 20229, tel. 202–344–1060. SUMMARY: Notice is hereby given, Services, LLC, as commercial gauger pursuant to CBP regulations, that SGS SUPPLEMENTARY INFORMATION: Notice is and laboratory became effective on North America, Inc., has been approved hereby given pursuant to 19 CFR 151.12 February 20, 2013. The next triennial to gauge and accredited to test and 19 CFR 151.13, that Saybolt, LP, inspection date will be scheduled for petroleum and petroleum products, 2610 S. Federal Highway, Ft. February 2016. organic chemicals and vegetable oils for Lauderdale, FL 33316, has been FOR FURTHER INFORMATION CONTACT: customs purposes for the next three approved to gauge and accredited to test Approved Gauger and Accredited years as of July 17, 2013. petroleum and petroleum products, Laboratories Manager, Laboratories and DATES: Effective: The accreditation and organic chemicals and vegetable oils for Scientific Services, U.S. Customs and approval of SGS North America, Inc., as customs purposes, in accordance with Border Protection, 1300 Pennsylvania commercial gauger and laboratory the provisions of 19 CFR 151.12 and 19 Avenue NW., Suite 1500N, Washington, became effective on July 17, 2013. The CFR 151.13. Anyone wishing to employ DC 20229, tel. 202–344–1060. next triennial inspection date will be this entity to conduct laboratory SUPPLEMENTARY INFORMATION: Notice is scheduled for July 2016. analyses and gauger services should hereby given pursuant to 19 CFR 151.12 FOR FURTHER INFORMATION CONTACT: request and receive written assurances and 19 CFR 151.13, that AmSpec Approved Gauger and Accredited from the entity that it is accredited or Services, LLC, 360 East Elizabeth Ave, Laboratories Manager, Laboratories and approved by the U.S. Customs and Linden, NJ 07036, has been approved to Scientific Services, U.S. Customs and Border Protection to conduct the gauge and accredited to test petroleum Border Protection, 1300 Pennsylvania specific test or gauger service requested. and petroleum products, organic Avenue NW., Suite 1500N, Washington, Alternatively, inquires regarding the chemicals and vegetable oils for DC 20229, tel. 202–344–1060. specific test or gauger service this entity customs purposes, in accordance with SUPPLEMENTARY INFORMATION: Notice is is accredited or approved to perform the provisions of 19 CFR 151.12 and 19 hereby given pursuant to 19 CFR 151.12 may be directed to the U.S. Customs and CFR 151.13. Anyone wishing to employ and 19 CFR 151.13, that SGS North Border Protection by calling (202) 344– this entity to conduct laboratory America, Inc., 1100 SE 24th Street, Fort 1060. The inquiry may also be sent to analyses and gauger services should Lauderdale, FL 33316, has been request and receive written assurances approved to gauge and accredited to test [email protected]. Please reference the from the entity that it is accredited or petroleum and petroleum products, Web site listed below for a complete approved by the U.S. Customs and organic chemicals and vegetable oils for listing of CBP approved gaugers and Border Protection to conduct the customs purposes, in accordance with accredited laboratories. http://cbp.gov/ specific test or gauger service requested. the provisions of 19 CFR 151.12 and 19 linkhandler/cgov/trade/basic_trade/ _ _ _ Alternatively, inquires regarding the CFR 151.13. Anyone wishing to employ labs scientific svcs/commercial specific test or gauger service this entity this entity to conduct laboratory gaugers/gaulist.ctt/gaulist.pdf. is accredited or approved to perform analyses and gauger services should Dated: October 30, 2013. may be directed to the U.S. Customs and request and receive written assurances Ira S. Reese, Border Protection by calling (202) 344– from the entity that it is accredited or 1060. The inquiry may also be sent to approved by the U.S. Customs and Executive Director, Laboratories and Scientific Services. [email protected]. Please reference the Border Protection to conduct the Web site listed below for a complete specific test or gauger service requested. [FR Doc. 2013–26606 Filed 11–5–13; 8:45 am] listing of CBP approved gaugers and Alternatively, inquiries regarding the BILLING CODE 9111–14–P accredited laboratories. http://cbp.gov/ specific test or gauger service this entity linkhandler/cgov/trade/basic_trade/ is accredited or approved to perform

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may be directed to the U.S. Customs and entity that it is approved by the U.S. petroleum and petroleum products, Border Protection by calling (202) 344– Customs and Border Protection to organic chemicals and vegetable oils for 1060. The inquiry may also be sent to conduct the specific gauger service customs purposes, in accordance with [email protected]. Please reference the requested. Alternatively, inquires the provisions of 19 CFR 151.12 and 19 Web site listed below for a complete regarding the specific gauger service this CFR 151.13. Anyone wishing to employ listing of CBP approved gaugers and entity is accredited or approved to this entity to conduct laboratory accredited laboratories. http://cbp.gov/ perform may be directed to the U.S. analyses and gauger services should linkhandler/cgov/trade/basic_trade/ Customs and Border Protection by request and receive written assurances labs_scientific_svcs/commercial_ calling (202) 344–1060. The inquiry may from the entity that it is accredited or gaugers/gaulist.ctt/gaulist.pdf. also be sent to [email protected]. approved by the U.S. Customs and Dated: October 30, 2013. Please reference the Web site listed Border Protection to conduct the below for a complete listing of CBP specific test or gauger service requested. Ira S. Reese, approved gaugers and accredited Alternatively, inquires regarding the Executive Director, Laboratories and laboratories. http://cbp.gov/linkhandler/ specific test or gauger service this entity Scientific Services. cgov/trade/basic_trade/labs_scientific_ is accredited or approved to perform [FR Doc. 2013–26611 Filed 11–5–13; 8:45 am] svcs/commercial_gaugers/gaulist.ctt/ may be directed to the U.S. Customs and BILLING CODE 9111–14–P gaulist.pdf. Border Protection by calling (202) 344– Dated: October 30, 2013. 1060. The inquiry may also be sent to Ira S. Reese, [email protected]. Please reference the DEPARTMENT OF HOMELAND Web site listed below for a complete SECURITY Executive Director, Laboratories and Scientific Services. listing of CBP approved gaugers and accredited laboratories. http://cbp.gov/ Customs and Border Protection [FR Doc. 2013–26613 Filed 11–5–13; 8:45 am] _ Bureau linkhandler/cgov/trade/basic trade/ BILLING CODE 9111–14–P labs_scientific_svcs/commercial_ Accreditation and Approval of gaugers/gaulist.ctt/gaulist.pdf. AMSPEC Services, LLC, as a DEPARTMENT OF HOMELAND Dated: October 30, 2013. Commercial Gauger SECURITY Ira S. Reese, Executive Director, Laboratories and AGENCY: U.S. Customs and Border U.S. Customs and Border Protection Scientific Services. Protection, Department of Homeland Bureau Security. [FR Doc. 2013–26602 Filed 11–5–13; 8:45 am] BILLING CODE 9111–14–P ACTION: Notice of accreditation and Accreditation and Approval of approval of AmSpec Services, LLC, as a AMSPEC Services, LLC, as a commercial gauger. Commercial Gauger and Laboratory DEPARTMENT OF HOMELAND SECURITY SUMMARY: Notice is hereby given, AGENCY: U.S. Customs and Border pursuant to CBP regulations, that Protection, Department of Homeland Security. U.S. Customs and Border Protection AmSpec Services, LLC, has been Bureau approved to gauge petroleum and ACTION: Notice of accreditation and petroleum products, organic chemicals approval of AmSpec Services, LLC, as a Accreditation and Approval of Saybolt, and vegetable oils for customs purposes commercial gauger and laboratory. LP, as a Commercial Gauger for the next three years as of May 30, SUMMARY: Notice is hereby given, 2013. AGENCY: U.S. Customs and Border pursuant to CBP regulations, that Protection, Department of Homeland DATES: Effective: The accreditation and AmSpec Services, LLC, has been Security. approval of AmSpec Services, LLC, as approved to gauge and accredited to test ACTION: Notice of accreditation and commercial gauger became effective on petroleum and petroleum products, approval of Saybolt, LP, as a commercial May 30, 2013. The next triennial organic chemicals and vegetable oils for gauger. inspection date will be scheduled for customs purposes for the next three May 2016. years as of May 9, 2013. SUMMARY: Notice is hereby given, FOR FURTHER INFORMATION CONTACT: DATES: Effective: The accreditation and pursuant to CBP regulations, that Approved Gauger and Accredited approval of AmSpec Services, LLC, as Saybolt, LP, has been approved to gauge Laboratories Manager, Laboratories and commercial gauger and laboratory petroleum and petroleum products for Scientific Services, U.S. Customs and became effective on May 9, 2013. The customs purposes for the next three Border Protection, 1300 Pennsylvania next triennial inspection date will be years as of July 11, 2013. Avenue NW., Suite 1500N, Washington, scheduled for May 2016. DATES: Effective: The accreditation and DC 20229, tel. 202–344–1060. FOR FURTHER INFORMATION CONTACT: approval of Saybolt, LP, as commercial SUPPLEMENTARY INFORMATION: Notice is Approved Gauger and Accredited gauger became effective on July 11, hereby given pursuant to 19 CFR 151.13, Laboratories Manager, Laboratories and 2013. The next triennial inspection date AmSpec Services, LLC, Chemical Scientific Services, U.S. Customs and will be scheduled for July 2016. Division, 11725 Port Road, Seabrook, Border Protection, 1300 Pennsylvania FOR FURTHER INFORMATION CONTACT: TX 77586, has been approved to gauge Avenue NW., Suite 1500N, Washington, Approved Gauger and Accredited petroleum and petroleum products, DC 20229, tel. 202–344–1060. Laboratories Manager, Laboratories and organic chemicals and vegetable oils for SUPPLEMENTARY INFORMATION: Notice is Scientific Services, U.S. Customs and customs purposes, in accordance with hereby given pursuant to 19 CFR 151.12 Border Protection, 1300 Pennsylvania the provisions of 19 CFR 151.13. and 19 CFR 151.13, that AmSpec Avenue NW., Suite 1500N, Washington, Anyone wishing to employ this entity to Services, LLC, 30 Commercial St., DC 20229, tel. 202–344–1060. conduct gauger services should request Everett, MA 02149, has been approved SUPPLEMENTARY INFORMATION: Notice is and receive written assurances from the to gauge and accredited to test hereby given pursuant to 19 CFR 151.13,

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that Saybolt, LP, 2640 Phyllis St., Unit SUPPLEMENTARY INFORMATION: Notice is DATES: You must submit comments on 100, Jacksonville, FL, has been hereby given pursuant to 19 CFR 151.13, or before December 6, 2013. approved to gauge petroleum and that American Cargo Assurance, 3417– ADDRESSES: Send your comments and petroleum products for customs A Maplewood, Sulphur, LA 70663, has suggestions on this information purposes, in accordance with the been approved to gauge petroleum, collection to the Desk Officer for the provisions of 19 CFR 151.13. Anyone petroleum products, organic chemicals Department of the Interior at OMB– wishing to employ this entity to conduct and vegetable oils for customs purposes, OIRA at (202) 395–5806 (fax) or OIRA_ gauger services should request and in accordance with the provisions of 19 [email protected] (email). receive written assurances from the CFR 151.13. Anyone wishing to employ Please provide a copy of your comments entity that it is approved by the U.S. this entity to conduct gauger services to the Service Information Collection Customs and Border Protection to should request and receive written Clearance Officer, U.S. Fish and conduct the specific gauger service assurances from the entity that it is Wildlife Service, MS 2042–PDM, 4401 requested. Alternatively, inquires approved by the U.S. Customs and North Fairfax Drive, Arlington, VA regarding the specific gauger service this Border Protection to conduct the 22203 (mail), or [email protected] entity is approved to perform may be specific gauger service requested. (email). Please include ‘‘1018–0146’’ in directed to the U.S. Customs and Border Alternatively, inquiries regarding the the subject line of your comments. Protection by calling (202) 344–1060. specific gauger service this entity is FOR FURTHER INFORMATION CONTACT: To The inquiry may also be sent to approved to perform may be directed to request additional information about [email protected]. Please reference the the U.S. Customs and Border Protection this ICR, contact Hope Grey at hope_ Web site listed below for a complete by calling (202) 344–1060. The inquiry [email protected] (email) or 703–358–2482 listing of CBP approved gaugers and may also be sent to [email protected]. (telephone). You may review the ICR accredited laboratories. http://cbp.gov/ Please reference the Web site listed online at http://www.reginfo.gov. Follow linkhandler/cgov/trade/basic_trade/ below for a complete listing of CBP the instructions to review Department of labs_scientific_svcs/commercial_ approved gaugers and accredited the Interior collections under review by gaugers/gaulist.ctt/gaulist.pdf. laboratories. http://cbp.gov/linkhandler/ OMB. Dated: October 30, 2013. cgov/trade/basic_trade/labs_scientific_ SUPPLEMENTARY INFORMATION: svcs/commercial_gaugers/gaulist.ctt/ Ira S. Reese, OMB Control Number: 1018–0146. gaulist.pdf. Executive Director, Laboratories and Title: Depredation Order for Scientific Services. Dated: October 30, 2013. Blackbirds, Grackles, Cowbirds, [FR Doc. 2013–26609 Filed 11–5–13; 8:45 am] Ira S. Reese, Magpies, and Crows, 50 CFR 21.43. BILLING CODE 9111–14–P Executive Director, Laboratories and Service Form Number: 3–202–21– Scientific Services. 2143. [FR Doc. 2013–26601 Filed 11–5–13; 8:45 am] Type of Request: Revision of a DEPARTMENT OF HOMELAND BILLING CODE 9111–14–P currently approved collection. SECURITY Description of Respondents: State and Federal wildlife damage management U.S. Customs and Border Protection personnel; farmers; and individuals. Bureau DEPARTMENT OF THE INTERIOR Respondent’s Obligation: Required to Approval of American Cargo Fish and Wildlife Service obtain or retain a benefit. Assurance, as a Commercial Gauger Frequency of Collection: Annually. [FWS–HQ–MB–2013–N241; F09M29000– Estimated Number of Respondents: AGENCY: U.S. Customs and Border 134–FXMB12320900000] 30. Protection, Department of Homeland Information Collection Request Sent to Estimated Total Annual Responses: Security. the Office of Management and Budget 30. ACTION: Notice of approval of American (OMB) for Approval; Depredation Order Estimated Completion Time per Cargo Assurance, as a commercial for Blackbirds, Grackles, Cowbirds, Response: 2 hours. gauger. Magpies, and Crows Estimated Total Annual Burden Hours: 60. SUMMARY: Notice is hereby given, AGENCY: Fish and Wildlife Service, Abstract: The Migratory Bird Treaty pursuant to CBP regulations, that Interior. Act (MBTA; 16 U.S.C. 703 et seq.) American Cargo Assurance, has been ACTION: Notice; request for comments. implements four treaties concerning approved to gauge petroleum, petroleum migratory birds that the United States products, organic chemicals and SUMMARY: We (U.S. Fish and Wildlife has signed with Canada, Mexico, Japan, vegetable oils for customs purposes for Service) have sent an Information and Russia. Under the treaties, we must the next three years as of July 31, 2013. Collection Request (ICR) to OMB for preserve most species of birds in the DATES: Effective Dates: The approval of review and approval. We summarize the United States, and activities involving American Cargo Assurance, as ICR below and describe the nature of the migratory birds are prohibited except as commercial gauger became effective on collection and the estimated burden and authorized by regulation. July 31, 2013. The next triennial cost. This information collection is This information collection is inspection date will be scheduled for scheduled to expire on November 30, associated with our regulations that July 2016. 2013. We may not conduct or sponsor implement the MBTA. In the Code of FOR FURTHER INFORMATION CONTACT: and a person is not required to respond Federal Regulations (CFR), 50 CFR 21.43 Approved Gauger and Accredited to a collection of information unless it is a depredation order that authorizes Laboratories Manager, Laboratories and displays a currently valid OMB control take of blackbirds, cowbirds, grackles, Scientific Services, U.S. Customs and number. However, under OMB crows, and magpies ‘‘when found Border Protection, 1300 Pennsylvania regulations, we may continue to committing or about to commit Avenue NW., Suite 1500N, Washington, conduct or sponsor this information depredations upon ornamental or shade DC 20229, tel. 202–344–1060. collection while it is pending at OMB. trees, agricultural crops, livestock, or

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wildlife, or when concentrated in such withhold your personal identifying of any animal or plant deemed to be and numbers and manner as to constitute a information from public review, we prescribed by regulation to be injurious health hazard or other nuisance.’’ cannot guarantee that it will be done. to: • All persons or entities acting under Dated: October 31, 2013. Human beings; this depredation order must provide an • Tina A. Campbell, The interests of agriculture, annual report containing the following Chief, Division of Policy and Directives horticulture, and forestry; or information for each species: • • Management, U.S. Fish and Wildlife Service. Wildlife or the wildlife resources of Number of birds taken. the United States. • Months and years in which the [FR Doc. 2013–26518 Filed 11–5–13; 8:45 am] birds were taken. BILLING CODE 4310–55–P The Department of the Interior is • State(s) and county(ies) in which charged with enforcement of this Act. the birds were taken. The Act and regulations at 50 CFR part • General purpose for which the birds DEPARTMENT OF THE INTERIOR 16 allow for the importation of animals were taken (such as for protection of classified as injurious if specific criteria Fish and Wildlife Service agriculture, human health and safety, are met. To effectively carry out property, or natural resources). [FWS–HQ–FHC–2013–N243; responsibilities and protect the aquatic We collect this information so that we FXFR131109WFHS0–FF09F10000–134] resources of the United States, we must will be able to determine how many gather information on the animals being birds of each species are taken each year Proposed Information Collection; imported with regard to their source, and whether the control actions are Injurious Wildlife; Importation destination, and health status. It is also likely to affect the populations of those Certification for Live Fish and Fish imperative that we ensure the species. Eggs qualifications of those individuals who provide the fish health data and sign the Comments: On July 1, 2013, we AGENCY: Fish and Wildlife Service, health certificate upon which we base published in the Federal Register (78 Interior. FR 39309) a notice of our intent to our decision to allow importation. ACTION: Notice; request for comments. request that OMB renew approval for We use three forms to collect this this information collection. In that SUMMARY: We (U.S. Fish and Wildlife information: notice, we solicited comments for 60 Service) will ask the Office of (1) FWS Form 3–2273 (Title 50 days, ending on August 30, 2013. We Management and Budget (OMB) to Certifying Official Form). New received two comments. One renew approval for the information applicants and those seeking commenter objected to the killing of collection (IC) described below. As recertification as a title 50 certifying birds and funding for the Animal and required by the Paperwork Reduction official provide information so that we Plant Health Inspection Service, Act of 1995 and as part of our can assess their qualifications. Wildlife Services. The other commenter continuing efforts to reduce paperwork (2) FWS Form 3–2274 (U.S. Title 50 stated that the State of Wyoming has no and respondent burden, we invite the Certification Form). Certifying officials records for the species covered by the general public and other Federal use this form or their own health depredation order. The commenters did agencies to take this opportunity to certificate to affirm the health status of not address the information collection comment on this IC. This IC is the fish or their reproductive products requirements, and we did not make any scheduled to expire on February 28, to be imported. changes to our requirements. 2014. We may not conduct or sponsor (3) FWS Form 3–2275 (Title 50 We again invite comments concerning and a person is not required to respond Importation Request Form). We use the this information collection on: to a collection of information unless it information on this form to ensure the • Whether or not the collection of displays a currently valid OMB control safety of the shipment and to track and information is necessary, including number. control importations. whether or not the information will DATES: To ensure that we are able to have practical utility; II. Data • consider your comments on this IC, we The accuracy of our estimate of the must receive them by January 6, 2014. OMB Control Number: 1018–0078. burden for this collection of ADDRESSES: Send your comments on the Title: Injurious Wildlife; Importation information; Certification for Live Fish and Fish • Ways to enhance the quality, utility, IC to the Service Information Collection Eggs, 50 CFR 16.13. and clarity of the information to be Clearance Officer, U.S. Fish and collected; and Wildlife Service, MS 2042–PDM, 4401 Service Form Number(s): 3–2273, 3– • Ways to minimize the burden of the North Fairfax Drive, Arlington, VA 2274, and 3–2275. _ collection of information on 22203 (mail); or hope [email protected] Type of Request: Extension of a respondents. (email). Please include ‘‘1018–0078’’ in currently approved collection. Comments that you submit in the subject line of your comments. Description of Respondents: Aquatic response to this notice are a matter of FOR FURTHER INFORMATION CONTACT: To animal health professionals seeking to public record. Before including your request additional information about be certified title 50 inspectors; certified address, phone number, email address, this IC, contact Hope Grey at hope_ title 50 inspectors who have performed or other personal identifying [email protected] (email) or 703–358–2482 health certifications on live salmonids; information in your comment, you (telephone). and any entity wishing to import live should be aware that your entire SUPPLEMENTARY INFORMATION: salmonids or their reproductive comment, including your personal products into the United States. identifying information, may be made I. Abstract Respondent’s Obligation: Required to publicly available at any time. While The Lacey Act (18 U.S.C. 42) (Act) obtain or retain a benefit. you can ask OMB in your comment to prohibits the possession or importation Frequency of Collection: On occasion.

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

FWS Form 3–2273 ...... 16 16 1 hour ...... 16 FWS Form 3–2274 ...... 25 50 30 minutes ...... 25 FWS Form 3–2275 ...... 25 50 15 minutes ...... 13

Total ...... 66 116 ...... 54

III. Comments DEPARTMENT OF THE INTERIOR Please provide a copy of your comments We invite comments concerning this to the Service Information Collection Fish and Wildlife Service information collection on: Clearance Officer, U.S. Fish and • Whether or not the collection of [FWS–HQ–LE–2013–N242; FF09L00200–FX– Wildlife Service, MS 2042–PDM, 4401 information is necessary, including LE12200900000] North Fairfax Drive, Arlington, VA whether or not the information will 22203 (mail), or [email protected] have practical utility; Information Collection Request Sent to (email). Please include ‘‘1018–0092’’ in • The accuracy of our estimate of the the Office of Management and Budget the subject line of your comments. burden for this collection of (OMB) for Approval; Federal Fish and information; Wildlife Permit Applications and FOR FURTHER INFORMATION CONTACT: To • Ways to enhance the quality, utility, Reports—Law Enforcement request additional information about and clarity of the information to be this ICR, contact Hope Grey at hope_ AGENCY: Fish and Wildlife Service, collected; and [email protected] (email) or 703–358–2482 Interior. • Ways to minimize the burden of the (telephone). You may review the ICR ACTION: collection of information on Notice; request for comments. online at http://www.reginfo.gov. Follow respondents. SUMMARY: We (U.S. Fish and Wildlife the instructions to review Department of Comments that you submit in Service) have sent an Information the Interior collections under review by response to this notice are a matter of Collection Request (ICR) to OMB for OMB. public record. We will include or review and approval. We summarize the SUPPLEMENTARY INFORMATION: summarize each comment in our request ICR below and describe the nature of the to OMB to approve this IC. Before collection and the estimated burden and OMB Control Number: 1018–0092. including your address, phone number, cost. This information collection is Title: Federal Fish and Wildlife email address, or other personal scheduled to expire on November 30, identifying information in your Permit Applications and Reports–Law 2013. We may not conduct or sponsor Enforcement, 50 CFR 13 and 14. comment, you should be aware that and a person is not required to respond your entire comment, including your to a collection of information unless it Service Form Number: 3–200–2 and personal identifying information, may displays a currently valid OMB control 3–200–3. be made publicly available at any time. number. However, under OMB Type of Request: Extension of a While you can ask us in your comment regulations, we may continue to currently approved collection. to withhold your personal identifying conduct or sponsor this information Description of Respondents: information from public review, we collection while it is pending at OMB. cannot guarantee that we will be able to Individuals; businesses; scientific DATES: You must submit comments on do so. institutions; and State, local, or tribal or before December 6, 2013. governments. Dated: October 31, 2013. ADDRESSES: Send your comments and Tina A. Campbell, suggestions on this information Respondent’s Obligation: Required to Chief, Division of Policy and Directives collection to the Desk Officer for the obtain or retain a benefit. Management, U.S. Fish and Wildlife Service. Department of the Interior at OMB– Frequency of Collection: On occasion. [FR Doc. 2013–26519 Filed 11–5–13; 8:45 am] OIRA at (202) 395–5806 (fax) or OIRA_ BILLING CODE 4310–55–P [email protected] (email).

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

3–200–2—application and recordkeeping ...... 1,350 1,350 1.25 hours ...... 1,687 3–200–2—report ...... 5 5 1 hour ...... 5 3–200–3—application and recordkeeping ...... 7,843 7,843 1.25 hours ...... 9,804 3–200–3–report ...... 5 5 1 hour ...... 5

Totals ...... 9,203 9,203 ...... 11,501 * Rounded.

Estimated Annual Nonhour Burden for enforcing the ESA or upholding the (1) FWS Form 3–200–2 (Designated Cost: $918,000 for application fees. Convention on International Trade in Port Exception Permit). Under 50 CFR Abstract: The Endangered Species Act Endangered Species (CITES) (see 16 14.11, it is unlawful to import or export (ESA) (16 U.S.C. 1531 et seq.) makes it U.S.C. 1538(e)). This information wildlife or wildlife products at ports unlawful to import or export fish, collection includes the following other than those designated in 50 CFR wildlife, or plants without obtaining permit/license application forms: 14.12 unless you qualify for an prior permission as deemed necessary exception. These exceptions allow

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qualified individuals, businesses, or request that OMB renew approval for Written comments will be accepted scientific organizations to import or this information collection. In that until November 20, 2013. export wildlife or wildlife products at a notice, we solicited comments for 60 ADDRESSES: The meeting will be held at nondesignated port: days, ending on August 16. We received 9:00 a.m. to 10:00 a.m. on November 13, (a) When the wildlife or wildlife no comments in response to that notice. 2013, in Room 234 of the National products will be used as scientific We again invite comments concerning Capital Region Headquarters Building, specimens. this information collection on: at 1100 Ohio Drive SW., Washington, • (b) To minimize deterioration or loss. Whether or not the collection of DC (East Potomac Park). Written (c) To relieve economic hardship. information is necessary, including comments may be sent to the Peter To request an import or export of whether or not the information will Lonsway, Manager, President’s Park, wildlife or wildlife products at have practical utility; National Park Service, 1100 Ohio Drive nondesignated ports, applicants must • The accuracy of our estimate of the SW., Washington, DC 20242. Due to complete FWS Form 3–200–2. burden for this collection of delays in mail delivery, it is Designated port exception permits are information; recommended that comments be valid for 2 years. We may require a • Ways to enhance the quality, utility, provided by fax at (202) 208–1643 or by permittee to file a report on activities and clarity of the information to be email to [email protected]. conducted under authority of the collected; and permit. • Ways to minimize the burden of the FOR FURTHER INFORMATION CONTACT: (2) FWS Form 3–200–3 (Import/ collection of information on Peter Lonsway, Manager, President’s Export License). It is unlawful to import respondents. Park, National Park Service, weekdays or export wildlife or wildlife products Comments that you submit in between 7:30 a.m., and 4:00 p.m., at for commercial purposes without first response to this notice are a matter of (202) 208–1631. obtaining an import/export license (50 public record. Before including your SUPPLEMENTARY INFORMATION: The CFR 14.91). Applicants must complete address, phone number, email address, National Park Service is seeking public FWS Form 3–200–3 to request this or other personal identifying comments and suggestions on the license. We use the information that we information in your comment, you planning of the 2013 National Christmas collect on the application as an should be aware that your entire Tree Lighting and the subsequent 26- enforcement tool and management aid comment, including your personal day event, which opens on December 6, to: (a) Monitor the international wildlife identifying information, may be made 2013, on the Ellipse (President’s Park), market and (b) detect trends and publicly available at any time. While south of the White House. The general changes in the commercial trade of you can ask OMB in your comment to plan and theme for the event is the wildlife and wildlife products. Import/ withhold your personal identifying celebration of the holiday season, where export licenses are valid for 1 year. We information from public review, we park visitors will have the opportunity may require a licensee to file a report on cannot guarantee that it will be done. to view the lighting of the National activities conducted under authority of Dated: October 31, 2013. Christmas Tree, attend musical the import/export license. presentations, and visit the yuletide Tina A. Campbell, Permittees and licensees must displays of the traditional and familiar maintain records that accurately Chief, Division of Policy and Directives American symbols of Christmas, a Management, U.S. Fish and Wildlife Service. describe each importation or national holiday. As in the past, these exportation of wildlife or wildlife [FR Doc. 2013–26516 Filed 11–5–13; 8:45 am] traditional and familiar American products made under the license, and BILLING CODE 4310–55–P symbols will be the National Christmas any additional sale or transfer of the Tree, the smaller trees representing the wildlife or wildlife products. In various states, the District of Columbia DEPARTMENT OF THE INTERIOR addition, licensees must make these and the territories, various seasonal records and the corresponding National Park Service musical presentations, and a traditional inventory of wildlife or wildlife cre`che which is not owned by the products available for our inspection at [NPS–NCR–WHHO–13968; PPNCWHHO00, Federal Government. reasonable times, subject to applicable PPMPSPD1Z.YM0000] The National Park Service will hold a limitations of law. We believe the Notice of Public Meeting and Request meeting at 9:00 a.m. on November 13, burden associated with these for Comments 2013, in Room 234 of the National recordkeeping requirements is minimal Capital Region Headquarters Building, because the records already exist. AGENCY: National Park Service, Interior. at 1100 Ohio Drive SW., Washington, Importers and exporters must complete ACTION: Notice of request for public DC (East Potomac Park). FWS Form 3–177 (Declaration for meeting and public comments on the Persons who would like to comment Importation or Exportation of Fish or planning of the National Christmas Tree at the meeting should notify the Wildlife) for all imports or exports of Lighting and the subsequent 26-day National Park Service by November 13, wildlife or wildlife products. This form event. 2013, by calling Peter Lonsway, provides an accurate description of the Manager, President’s Park, National imports and exports. OMB has approved SUMMARY: The National Park Service is Park Service, weekdays between 7:30 the information collection for FWS seeking public comments and a.m., and 4:00 p.m., at (202) 208–1631. Form 3–177 and assigned OMB Control suggestions on the planning of the 2013 In addition public comments and Number 1018–0012. Normal business National Christmas Tree Lighting and suggestions on the planning of the 2013 practices should produce records (e.g., the subsequent 26-day event. The National Christmas Tree Lighting and invoices or bills of sale) needed to general plan and theme for the event is the subsequent 26-day event may be document additional sales or transfers the celebration of the holiday season submitted in writing. Before including of the wildlife or wildlife products. with the display of the traditional your address, phone number, email Comments: On June 17, 2013, we American symbols of Christmas. address, or other personal identifying published in the Federal Register (78 DATES: The meeting will be held on information in your comment, be FR 36236) a notice of our intent to Wednesday, November 13, 2013. advised that your entire comment—

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including your personal identifying Alternate Transportation Funding DEPARTMENT OF THE INTERIOR information—may be made publicly Ocean Stewardship Topics— available at any time. While you can ask Shoreline Change Bureau of Ocean Energy Management in your comment to withhold from Climate Friendly Parks public review your personal identifying [OMB Number 1010–0106] [MMAA104000] information, we cannot guarantee that 6. Old Business we will be able to do so. 7. New Business Information Collection: Oil Spill Financial Responsibility for Offshore Dated: November 1, 2013. Certificate of Suspension of Condemnation (CSCs) and Private Facilities; Submitted for OMB Review; Alma Ripps, Commercial Businesses in the Comment Request Chief, Office of Policy. Seashore. A vote is required to ACTION: 30-Day notice. [FR Doc. 2013–26597 Filed 11–5–13; 8:45 am] recommend continuation of CSCs BILLING CODE 4310–DL–P issued on a 5-year basis if the SUMMARY: To comply with the Advisory Commission finds CSC Paperwork Reduction Act of 1995 holders continued to operate their DEPARTMENT OF THE INTERIOR (PRA), the Bureau of Ocean Energy businesses as previously approved Management (BOEM) is notifying the National Park Service and continue to meet town zoning public that we have submitted an bylaws. information collection request (ICR) to [NPS–NERO–CACO–14058; PPNECACOS0, 8. Date and Agenda for Next Meeting the Office of Management and Budget PPMPSD1Z.YM0000] 9. Public Comment (OMB) for review and approval. The Notice of December 2, 2013, Meeting 10. Adjournment information collection request (ICR) for Cape Cod National Seashore concerns the paperwork requirements FOR FURTHER INFORMATION CONTACT: Advisory Commission for 30 CFR 553, Oil Spill Financial Further information concerning the Responsibility for Offshore Facilities, as AGENCY: National Park Service, Interior. meeting may be obtained from George E. well as the revised forms. This notice ACTION: Meeting notice. Price, Jr., Superintendent, Cape Cod provides the public a second National Seashore, 99 Marconi Site opportunity to comment on the SUMMARY: This notice sets forth the date Road, Wellfleet, Massachusetts 02667, paperwork burden of this collection. of the 291st Meeting of the Cape Cod or via telephone at (508) 771–2144. DATES: Submit written comments by National Seashore Advisory SUPPLEMENTARY INFORMATION: The December 6, 2013 Commission. Commission was reestablished pursuant ADDRESSES: Submit comments on this DATES: The public meeting of the Cape to Public Law 87–126 as amended by ICR to the Desk Officer for the Cod National Seashore Advisory Public Law 105–280. The purpose of the Department of the Interior at OMB– Commission will be held on Monday, Commission is to consult with the OIRA at (202) 395–5806 (fax) or OIRA_ December 2, 2013, at 1:00 p.m. Secretary of the Interior, or her [email protected] (email). Please (EASTERN). designee, with respect to matters provide a copy of your comments to the ADDRESSES: The Commission members relating to the development of Cape Cod BOEM Information Collection Clearance will meet in the conference room at park National Seashore, and with respect to Officer, Arlene Bajusz, Bureau of Ocean headquarters, 99 Marconi Site Road, carrying out the provisions of sections 4 Energy Management, 381 Elden Street, Wellfleet, Massachusetts 02667. and 5 of the Act establishing the HM–3127, Herndon, Virginia 20170 The two-hundred and ninety first Seashore. (mail) or [email protected] meeting of the Cape Cod National The meeting is open to the public. It (email). Please reference ICR 1010–0106 Seashore Advisory Commission will is expected that 15 persons will be able in your comment and include your take place on Monday, December 2, to attend the meeting in addition to name and return address. 2013, at 1:00 p.m., in the conference Commission members. Interested FOR FURTHER INFORMATION CONTACT: room at park headquarters, 99 Marconi persons may make oral presentations to Arlene Bajusz, Office of Policy, Station, in Wellfleet, Massachusetts, to the Commission during the business Regulations, and Analysis at (703) 787– discuss the following: meeting or file written statements. Such 1025 (phone). You may review the ICR 1. Adoption of Agenda requests should be made to the park and revised forms online at http:// 2. Approval of Minutes of Previous superintendent prior to the meeting. www.reginfo.gov. Follow the Meeting (September 9, 2013) Before including your address, phone instructions to review Department of the 3. Reports of Officers number, email address, or other Interior collections under review by 4. Reports of Subcommittees personal identifying information in your OMB. Update of Pilgrim Nuclear Plant comment, you should be aware that Emergency Planning Subcommittee your entire comment—including your SUPPLEMENTARY INFORMATION: 5. Superintendent’s Report personal identifying information—may OMB Control Number: 1010–0106. Herring Cove North Public Access be made publicly available at any time. Title: 30 CFR 553, Oil Spill Financial Site Plan Environmental While you can ask us in your comment Responsibility for Offshore Facilities. Assessment to withhold your personal identifying Forms: BOEM–1016 through 1023 and Update on Sequestration/FY 14 information from public review, we BOEM–1025. Budget cannot guarantee that we will be able to Abstract: This information collection Update on Dune Shacks do so. request addresses the regulations at 30 Improved Properties/Town Bylaws CFR 553, Oil Spill Financial Dated: October 30, 2013. Herring River Wetland Restoration Responsibility (OSFR) for Offshore Wind Turbines/Cell Towers Alma Ripps, Facilities, including any supplementary Storm Damage Chief, Office of Policy. notices to lessees and operators that Shorebird Management Planning [FR Doc. 2013–26515 Filed 11–5–13; 8:45 am] provide clarification, description, or Highlands Center Update BILLING CODE 4310–WV–P explanation of these regulations, and

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forms BOEM–1016 through 1023 and under the Freedom of Information Act respondents will be the designated BOEM–1025. (5 U.S.C. 552) and its implementing applicants’ insurance agents and The BOEM uses the information regulations (43 CFR part 2) and under brokers, bonding companies, and collected under 30 CFR 553 to verify regulations at 30 CFR 550.197, ‘‘Data guarantors. Some respondents may also compliance with section 1016 of the Oil and information to be made available to be claimants. Pollution Act, as amended (OPA). The the public or for limited inspection.’’ No Estimated Reporting and information is necessary to confirm that items of a sensitive nature are collected. applicants can pay for cleanup and Responses are mandatory. Recordkeeping Hour Burden: The damages resulting from oil spills and Frequency: On occasion or annual. estimated annual hour burden for this other hydrocarbon discharges that Description of Respondents: Holders collection is 22,132 hours. The originate from Covered Offshore of leases, permits, and rights of use and following table details the individual Facilities (COFs). easement in the Outer Continental Shelf components and respective hour burden We will protect information from and in State coastal waters who will estimates of this ICR. respondents considered proprietary appoint designated applicants. Other

BURDEN BREAKDOWN

Average num- Citation 30 CFR 553 Reporting requirement* Hour burden ber of annual Annual burden reponses hours

Various sections...... The burdens for all references to submitting evidence of OSFR, as well as required or 0 supporting information, are covered with the forms below.

Applicability and Amount of OSFR

11(a)(1); 40; 41 ...... Form BOEM–1016—Designated Applicant Informa- 1 200 200 tion Certification. 11(a)(1); 40; 41 ...... Form BOEM–1017—Appointment of Designated Ap- 9 600 5,400 plicant. 11(a)(2) ...... Form BOEM–1025—Independent Designated Appli- 1 200 200 cant Information Certification. 12 ...... Request for determination of OSFR applicability. 2 5 10 Provide required and supporting information. 15 ...... Notify BOEM of change in ability to comply ...... 1 1 1 15(f) ...... Provide claimant written explanation of denial ...... 1 15 15

Subtotal ...... 1,021 5,826

Methods for Demonstrating OSFR

21; 22; 23; 24; 26; 27; 30; 40; 41; 43 Form BOEM–1018—Self-Insurance Information, in- 1 50 50 cluding renewals. Form BOEM–1023—Financial Guarantee ...... 1.5 25 38 29; 40; 41; 43 ...... Form BOEM–1019—Insurance Certificate ...... 120 120 14,400 31; 40; 41; 43 ...... Form BOEM–1020—Surety Bond ...... 24 4 96 32 ...... Proposal and supporting information for alternative 120 1 120 method to evidence OSFR (anticipate no pro- posals, but regulations provide the opportunity).

Subtotal ...... 200 14,704

Requirements for Submitting OSFR Information

40; 41; 43 ...... Form BOEM–1021—Covered Offshore Facilities ...... 6 200 1,200 40; 41; 42...... Form BOEM–1022—Covered Offshore Facility 1 400 400 Changes.

Subtotal ...... 600 1,600

Claims for Oil-Spill Removal Costs and Damages

Subpart F ...... Claims: BOEM is not involved in the claims process. Assessment of burden for claims 0 against the Oil Spill Liability Trust Fund (30 CFR parts 135, 136, 137) falls under the responsibility of the U.S. Coast Guard.

60(d) ...... Claimant request for BOEM assistance to determine 2 1 2 whether a guarantor may be liable for a claim.

Subtotal ...... 1 2

Total Burden ...... 1,822 22,132 * In the future, BOEM may require specified electronic filing of financial/bonding submissions.

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In this renewal, BOEM is splitting the agreement to update/renew expiring or approval. On August 6, 2013, we function of some forms and revising terminated instruments. No change in published a supplementary notice (78 others to clarify the responsibilities and the 24-hour burden is expected. FR 47724) requesting public comment financial obligations of responsible Forms BOEM–1021, Covered Offshore on the revised forms. These notices each parties and applicants, as described in Facilities, and BOEM–1022, Covered provided the required 60-day comment the Outer Continental Shelf Lands Act, Offshore Facility Changes. These forms period. We received one comment from and to better align the terminology and remain essentially the same except for the Marine Mammal Commission, liability with the provisions of OPA. rewording of the subtitles to match the which expressed support for BOEM’s These revisions will better protect the other forms and adding a provision for required information collection as part Federal Government from potential rights-of-way. There is no change in the of a comprehensive Federal/State oil disputes and litigation by clarifying that 1-hour burden for BOEM–1022; spill response program. the primary relationship is between the however, based on respondent input we Public Availability of Comments: responsible party and guarantor and that are increasing the burden for BOEM– Before including your address, phone the designated applicant/operator is 1021 from 3 to 6 hours. number, email address, or other intended to function primarily in an Form BOEM–1023, Financial personal identifying information in your administrative capacity. Guarantee. This new form replaces the comment, you should be aware that The revised forms can be viewed indemnity agreement (previously part of your entire comment—including your online at http://www.reginfo.gov or in BOEM–1018) with a provision that an personal identifying information—may the August 6, 2013, Federal Register affiliated firm, such as a corporate be made publicly available at any time. notice (78 FR 47724). parent, may promise to satisfy any While you can ask us in your comment Form BOEM–1016, Designated claims against the responsible parties. It to withhold your personal identifying Applicant Information Certification. also adds an agreement to update/renew information from public review, we This form remains essentially the same expiring or terminated instruments and cannot guarantee that we will be able to except for updating the choices of forms a signature section. The hour burden is do so. and clarifying the administrative role of estimated as 1.5 hours. the designated applicant. No change in Form BOEM–1025, Independent Dated: October 24, 2013. the 1-hour burden is expected. Designated Applicant Information Deanna Meyer-Pietruszka, Form BOEM–1017, Appointment of Certification. This new form allows a Chief, Office of Policy, Regulations, and Designated Applicant. This form designated applicant, who is not also a Analysis. remains essentially the same except for responsible party, to continue to agree [FR Doc. 2013–26591 Filed 11–5–13; 8:45 am] changing the title, clarifying the to be jointly and severally liable under BILLING CODE 4310–MR–P administrative role of the designated OPA until BOEM promulgates applicant, and adding a column to regulations that will repeal this record depth ranges, when applicable. requirement. We estimate the burden DEPARTMENT OF THE INTERIOR No change in the 9-hour burden is hour to be 1 hour. expected. Estimated Reporting and Office of Surface Mining Reclamation Form BOEM–1018, Self-Insurance Recordkeeping Non-Hour Cost Burden: and Enforcement Information. The original form posed We have identified no reporting and [S1D1S SS08011000 SX066A000 67F potential confusion because it served recordkeeping non-hour cost burdens 134S180110; S2D2S SS08011000 SX066A00 two purposes, both to provide evidence for this collection. 33F 13xs501520] of self-insurance (for responsible Public Disclosure Statement: The PRA parties) and as an indemnity (executed (44 U.S.C. 3501, et seq.) provides that an Notice of Proposed Information by persons other than the responsible agency may not conduct or sponsor a Collection party). Thus, the form has been split collection of information unless it AGENCY: Office of Surface Mining into two forms (BOEM–1018 and displays a currently valid OMB control Reclamation and Enforcement, Interior. BOEM–1023). BOEM–1018 focuses on number. Until OMB approves a self-insurance only and is reworded to collection of information, you are not ACTION: Notice and request for more closely align with the obligated to respond. comments. requirements of OPA, adding an Comments: Section 3506(c)(2)(A) of SUMMARY: In compliance with the the PRA (44 U.S.C. 3501, et seq.) agreement to update/renew expiring or Paperwork Reduction Act of 1995, the requires each agency ‘‘. . . to provide terminated instruments and a signature Office of Surface Mining Reclamation notice . . . and otherwise consult with section. No change in the 1-hour burden and Enforcement (OSM) is announcing members of the public and affected is expected. that the information collection request Form BOEM–1019, Insurance agencies concerning each proposed for Revision; Renewal; and Transfer, Certificate. The language and collection of information . . .’’ Agencies Assignment, or Sale of Permit Rights, agreements in this form have been must specifically solicit comments to: has been forwarded to the Office of reworded for compliance with OPA, to (a) Evaluate whether the collection is Management and Budget (OMB) for clarify that the insurer is responsible for necessary or useful; (b) evaluate the review and reauthorization. The OPA liabilities of the responsible accuracy of the burden estimates; (c) information collection package was parties, and to add an agreement to enhance the quality, usefulness, and previously approved and assigned update/renew expiring or terminated clarity of the information to be control number 1029–0116. This notice instruments. No change in the 120-hour collected; and (d) minimize the burden describes the nature of the information burden is expected. on the respondents, including the use of collection activity and the expected Form BOEM–1020, Surety Bond. The technology. language and agreements in this form To comply with the public burdens. have been reworded for compliance consultation process, on May 1, 2013, DATES: OMB has up to 60 days to with OPA, to clarify that the Surety is BOEM published a Federal Register approve or disapprove the information responsible for OPA liabilities of the notice (78 FR 25472) announcing that collection but may respond after 30 responsible parties, and to add an we would submit this ICR to OMB for days. Therefore, public comments

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should be submitted to OMB by submit relevant information to the or complainant’s filing under section December 6, 2013, in order to be assured regulatory authority to allow the 210.8(b) of the Commission’s Rules of of consideration. regulatory authority to determine Practice and Procedure (19 CFR ADDRESSES: Submit comments to the whether the applicant meets the 210.8(b)). Office of Information and Regulatory requirements for the action anticipated. FOR FURTHER INFORMATION CONTACT: Lisa Affairs, Office of Management and Bureau Form Number: None. R. Barton, Acting Secretary to the Budget, Attention: Department of the Frequency of Collection: Once. Commission, U.S. International Trade Interior Desk Officer, by telefax at (202) Description of Respondents: Surface Commission, 500 E Street SW., 395–5806, or via email to OIRA_ coal mining permit applicants and State Washington, DC 20436, telephone (202) [email protected]. Also, please regulatory authorities. 205–2000. The public version of the send a copy of your comments to John Total Annual Responses: 3,510 complaint can be accessed on the Trelease, Office of Surface Mining responses from permit applicants and Commission’s Electronic Document Reclamation and Enforcement, 1951 3,343 responses from State regulatory Information System (EDIS) at EDIS,1 and Constitution Ave NW., Room 203—SIB, authorities. will be available for inspection during Washington, DC 20240, or electronically Total Annual Burden Hours: 242,179. official business hours (8:45 a.m. to 5:15 to [email protected]. Total Annual Non-wage Costs: p.m.) in the Office of the Secretary, U.S. FOR FURTHER INFORMATION CONTACT: To $902,920. International Trade Commission, 500 E receive a copy of the information Send comments on the need for the Street SW., Washington, DC 20436, collection request, contact John Trelease collection of information for the telephone (202) 205–2000. at (202) 208–2783 or electronically to performance of the functions of the General information concerning the [email protected]. You may also agency; the accuracy of the agency’s Commission may also be obtained by review the information collection burden estimates; ways to enhance the accessing its Internet server at United requests online at http:// quality, utility and clarity of the States International Trade Commission www.reginfo.gov. Follow the information collection; and ways to (USITC) at USITC.2 The public record instructions to review Department of the minimize the information collection for this investigation may be viewed on Interior collections under review by burden on respondents, such as use of the Commission’s Electronic Document OMB. automated means of collection of the Information System (EDIS) at EDIS.3 information, to the address listed above. Hearing-impaired persons are advised SUPPLEMENTARY INFORMATION: OMB Please refer to OMB control number that information on this matter can be regulations at 5 CFR part 1320, which 1029–0116 in all correspondence. obtained by contacting the implement provisions of the Paperwork Before including your address, phone Commission’s TDD terminal on (202) Reduction Act of 1995 (Pub. L. 104–13), number, email address, or other 205–1810. require that interested members of the personal identifying information in your SUPPLEMENTARY INFORMATION: The public and affected agencies have an comment, you should be aware that opportunity to comment on information Commission has received a complaint your entire comment—including your and a submission pursuant to section collection and recordkeeping activities personal identifying information—may [see 5 CFR 1320.8 (d)]. OSM has 210.8(b) of the Commission’s Rules of be made publicly available at any time. Practice and Procedure filed on behalf submitted a request to OMB to renew its While you can ask us in your comment approval for the collection of of BTG International Inc. on October 30, to withhold your personal identifying 2013. The complaint alleges violations information for 30 CFR part 774— information from public review, we Revision; Renewal; and Transfer, of section 337 of the Tariff Act of 1930 cannot guarantee that we will be able to (19 U.S.C. 1337) in the importation into Assignment, or Sale of Permit Rights. do so. OSM is requesting a 3-year term of the United States, the sale for approval for this information collection. Dated: October 31, 2013. importation, and the sale within the An agency may not conduct or Andrew F. DeVito, United States after importation of sponsor, and a person is not required to Chief, Division of Regulatory Support. certain antivenom compositions and products containing the same. The respond to, a collection of information [FR Doc. 2013–26580 Filed 11–5–13; 8:45 am] complaint names as respondents Veteria unless it displays a currently valid OMB BILLING CODE 4310–05–P control number. The OMB control Laboratories of Mexico; BioVeteria Life number for Part 774 is 1029–0116 and Sciences, LLC of Prescott, Arizona; is referenced in § 774.9. Instituto Bioclon S.A. de C.V. of Mexico; INTERNATIONAL TRADE The Silanes Group of Mexico; Rare As required under 5 CFR 1320.8(d), a COMMISSION Federal Register notice soliciting Disease Therapeutics, Inc. of Franklin, Tennessee; and Accredo Health Group, comments on this collection of Notice of Receipt of Complaint; Inc. of Memphis, Tennessee. The information was published on July 24, Solicitation of Comments Relating to complainant requests that the 2013 (78 FR 44597). No comments were the Public Interest received. This notice provides the Commission issue a limited exclusion public with an additional 30 days in AGENCY: U.S. International Trade order, and cease and desist orders. which to comment on the following Commission. Proposed respondents, other interested parties, and members of the information collection: ACTION: Notice. Title: 30 CFR Part 774—Revisions; public are invited to file comments, not Renewals; and Transfer, Assignment, or SUMMARY: Notice is hereby given that to exceed five (5) pages in length, Sale of Permit Rights. the U.S. International Trade inclusive of attachments, on any public OMB Control Number: 1029–0116. Commission has received a complaint Summary: Sections 506 and 511 of entitled Certain Antivenom 1 Electronic Document Information System Public Law 95–87 provide that persons Compositions and Products Containing (EDIS): http://edis.usitc.gov. 2 United States International Trade Commission seeking permit revisions, renewals, the Same, DN 2989; the Commission is (USITC): http://edis.usitc.gov. transfer, assignment, or sale of their soliciting comments on any public 3 Electronic Document Information System permit rights for coal mining activities interest issues raised by the complaint (EDIS): http://edis.usitc.gov.

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interest issues raised by the complaint confidence must request confidential also gives notice of the commencement or section 210.8(b) filing. Comments treatment. All such requests should be of the final phase of its investigations. should address whether issuance of the directed to the Secretary to the The Commission will issue a final phase relief specifically requested by the Commission and must include a full notice of scheduling, which will be complainant in this investigation would statement of the reasons why the published in the Federal Register as affect the public health and welfare in Commission should grant such provided in section 207.21 of the the United States, competitive treatment. See 19 CFR 201.6. Documents Commission’s rules, upon notice from conditions in the United States for which confidential treatment by the the Department of Commerce economy, the production of like or Commission is properly sought will be (Commerce) of affirmative preliminary directly competitive articles in the treated accordingly. All nonconfidential determinations in the investigations United States, or United States written submissions will be available for under sections 703(b) or 733(b) of the consumers. public inspection at the Office of the Act, or, if the preliminary In particular, the Commission is Secretary and on EDIS.5 determinations are negative, upon interested in comments that: This action is taken under the notice of affirmative final (i) Explain how the articles authority of section 337 of the Tariff Act determinations in those investigations potentially subject to the requested of 1930, as amended (19 U.S.C. 1337), under sections 705(a) or 735(a) of the remedial orders are used in the United and of sections 201.10 and 210.8(c) of Act. Parties that filed entries of States; the Commission’s Rules of Practice and appearance in the preliminary phase of (ii) identify any public health, safety, Procedure (19 CFR 201.10, 210.8(c)). the investigations need not enter a or welfare concerns in the United States By order of the Commission. separate appearance for the final phase relating to the requested remedial of the investigations. Industrial users, Issued: October 31, 2013. orders; and, if the merchandise under (iii) identify like or directly Lisa R. Barton, investigation is sold at the retail level, competitive articles that complainant, Acting Secretary to the Commission. representative consumer organizations its licensees, or third parties make in the [FR Doc. 2013–26481 Filed 11–5–13; 8:45 am] have the right to appear as parties in United States which could replace the BILLING CODE 7020–02–P Commission antidumping and subject articles if they were to be countervailing duty investigations. The excluded; Secretary will prepare a public service (iv) indicate whether complainant, INTERNATIONAL TRADE list containing the names and addresses complainant’s licensees, and/or third COMMISSION of all persons, or their representatives, party suppliers have the capacity to [Investigation Nos. 701–TA–501 and 731– who are parties to the investigations. replace the volume of articles TA–1226 (Preliminary)] potentially subject to the requested Background exclusion order and/or a cease and Chlorinated Isocyanurates From China On August 29, 2013, a petition was desist order within a commercially and Japan filed with the Commission and reasonable time; and Commerce by Clearon Corp., South (v) explain how the requested Determinations Charleston, WV, and Occidental remedial orders would impact United On the basis of the record 1 developed Chemical Corporation, Dallas, TX, States consumers. in the subject investigations, the United alleging that an industry in the United Written submissions must be filed no States International Trade Commission States is materially injured or later than by close of business, eight (Commission) determines, pursuant to threatened with material injury by calendar days after the date of sections 703(a) and 733(a) of the Tariff reason of subsidized imports of publication of this notice in the Federal Act of 1930 (19 U.S.C. 1671b(a) and chlorinated isocyanurates from China Register. There will be further 1673b(a)) (the Act), that there is a and LTFV imports of chlorinated opportunities for comment on the reasonable indication that an industry isocyanurates from Japan. Accordingly, public interest after the issuance of any in the United States is materially effective August 29, 2013, the final initial determination in this injured by reason of imports from China Commission instituted countervailing investigation. and Japan of chlorinated isocyanurates, duty investigation No. 701–TA–501 and Persons filing written submissions provided for in subheadings antidumping duty investigation No. must file the original document 2933.69.6015, 2933.69.6021, 731–TA–1226 (Preliminary). electronically on or before the deadlines 2933.69.6050, 3808.50.4000, Notice of the institution of the stated above and submit 8 true paper 3808.94.5000, and 3808.99.9500 of the Commission’s investigations and of a copies to the Office of the Secretary by Harmonized Tariff Schedule of the public conference to be held in noon the next day pursuant to section United States, that are alleged to be sold connection therewith was given by 210.4(f) of the Commission’s Rules of in the United States at less than fair posting copies of the notice in the Office Practice and Procedure (19 CFR of the Secretary, U.S. International 210.4(f)). Submissions should refer to value (LTFV) from Japan and subsidized by the Government of China.2 Trade Commission, Washington, DC, the docket number (‘‘Docket No. 2989’’) and by publishing the notice in the in a prominent place on the cover page Commencement of Final Phase Federal Register of September 10, 2013 and/or the first page. (See Handbook for Investigations (78 FR 55293). The conference was held Electronic Filing Procedures, Electronic Pursuant to section 207.18 of the in Washington, DC, on September 19, Filing Procedures 4 ). Persons with Commission’s rules, the Commission 2013, and all persons who requested the questions regarding filing should opportunity were permitted to appear in contact the Secretary (202–205–2000). 5 Electronic Document Information System person or by counsel. Any person desiring to submit a (EDIS): http://edis.usitc.gov. The Commission transmitted its document to the Commission in 1 The record is defined in sec. 207.2(f) of the determinations in these investigations to Commission’s Rules of Practice and Procedure (19 the Secretary of Commerce on October 4 Handbook for Electronic Filing Procedures: CFR 207.2(f)). http://www.usitc.gov/secretary/fed_reg_notices/ 2 Commissioners Shara L. Aranoff and F. Scott 31, 2013. The views of the Commission rules/handbook_on_electronic_filing.pdf. Kieff did not participate. are contained in USITC Publication

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4431 (November 2013), entitled Tuesday, September 3, 2013 make the Authority: 44 U.S.C. 3507(a)(1)(D). Chlorinated Isocyanurates From China following correction: SUPPLEMENTARY INFORMATION: The and Japan: Investigation Nos. 701–TA– On page 54275, in the third column, Census of Fatal Occupational Injuries 501 and 731–TA–1226 (Preliminary). in the first full paragraph, three lines provides policymakers and the public By order of the Commission. from the bottom ‘‘September 3, 2013’’ should read ‘‘November 4, 2013’’. with comprehensive, verifiable, and Issued: October 31, 2013. timely measures of fatal work injuries. Lisa R. Barton, [FR Doc. C1–2013–21375 Filed 11–5–13; 8:45 am] Data are compiled from various Federal, Acting Secretary to the Commission. BILLING CODE 1505–01–D State, and local sources and include [FR Doc. 2013–26480 Filed 11–5–13; 8:45 am] information on how the incident BILLING CODE 7020–02–P occurred as well as various DEPARTMENT OF LABOR characteristics of the employers and the deceased worker. This information is Office of the Secretary INTERNATIONAL TRADE used for surveillance of fatal work COMMISSION Agency Information Collection injuries and for developing prevention [USITC SE–13–027] Activities; Submission for OMB strategies. This ICR has been classified Review; Comment Request; Census of as a revision, because of minor revisions Sunshine Act Meeting Notice Fatal Occupational Injuries to the collection instrument. This information collection is subject AGENCY HOLDING THE MEETING: United ACTION: Notice. to the PRA. A Federal agency generally States International Trade Commission. cannot conduct or sponsor a collection TIME AND DATE: November 7, 2013 at SUMMARY: The Department of Labor (DOL) is submitting the Bureau of Labor of information, and the public is 11:00 a.m. generally not required to respond to an PLACE: Room 101, 500 E Street SW., Statistics (BLS) sponsored information collection request (ICR) revision titled, information collection, unless it is Washington, DC 20436, Telephone: approved by the OMB under the PRA (202) 205–2000. ‘‘Census of Fatal Occupational Injuries,’’ to the Office of Management and Budget and displays a currently valid OMB STATUS: Open to the public (OMB) for review and approval for use Control Number. In addition, MATTERS TO BE CONSIDERED: in accordance with the Paperwork notwithstanding any other provisions of 1. Agendas for future meetings: none law, no person shall generally be subject 2. Minutes Reduction Act (PRA) of 1995 (44 U.S.C. 3501 et seq.). to penalty for failing to comply with a 3. Ratification List collection of information that does not DATES: Submit comments on or before 4. Vote in Inv. Nos. 701–TA–447 and display a valid Control Number. See 5 December 6, 2013. 731–TA–1116 (Review) (Circular CFR 1320.5(a) and 1320.6. The DOL Welded Carbon-Quality Steel Pipe ADDRESSES: A copy of this ICR with obtains OMB approval for this from China). The Commission is applicable supporting documentation; information collection under Control currently scheduled to complete including a description of the likely Number 1220–0133. The current and file its determinations on or respondents, proposed frequency of approval is scheduled to expire on before November 18, 2013; response, and estimated total burden March 31, 2014; however, it should be may be obtained free of charge from the Commissioners’ opinions will be noted that existing information RegInfo.gov Web site at http:// issued on November 18, 2013. collection requirements submitted to the 5. Outstanding action jackets: none www.reginfo.gov/public/do/ OMB receive a month-to-month PRAViewICR?ref_nbr=201307-1220-004 In accordance with Commission extension while they undergo review. (this link will only become active on the policy, subject matter listed above, not New requirements would only take day following publication of this notice) disposed of at the scheduled meeting, effect upon OMB approval. For or by contacting Michel Smyth by may be carried over to the agenda of the additional substantive information telephone at 202–693–4129 (this is not following meeting. Earlier notification about this ICR, see the related notice a toll-free number) or sending an email of this meeting was not possible. published in the Federal Register on to [email protected]. Issued: November 1, 2013 Submit comments about this request July 12, 2013 (78 FR 49158). By order of the Commission. to the Office of Information and Interested parties are encouraged to William R. Bishop, Regulatory Affairs, Attn: OMB Desk send comments to the OMB, Office of Supervisory Hearings and Information Officer for DOL–BLS, Office of Information and Regulatory Affairs at Officer. Management and Budget, Room 10235, the address shown in the ADDRESSES [FR Doc. 2013–26696 Filed 11–4–13; 11:15 am] 725 17th Street NW., Washington, DC section within 30 days of publication of BILLING CODE 7020–02–P 20503, Fax: 202–395–6881 (this is not a this notice in the Federal Register. In toll-free number), email: OIRA_ order to help ensure appropriate [email protected]. Commenters consideration, comments should DEPARTMENT OF JUSTICE are encouraged, but not required, to mention OMB Control Number 1220– 0133. The OMB is particularly [OMB Number 1122–NEW] send a courtesy copy of any comments to the U.S. Department of Labor- interested in comments that: Agency Information Collection OASAM, Office of the Chief Information • Evaluate whether the proposed Activities; New Collection: Certification Officer, Attn: Information Management collection of information is necessary of Compliance With the Confidentiality Program, Room N1301, 200 Constitution for the proper performance of the and Privacy Provisions of the Violence Avenue NW., Washington, DC 20210, functions of the agency, including Against Women Act, as Amended email: [email protected]. whether the information will have FOR FURTHER INFORMATION CONTACT: practical utility; Correction Michel Smyth by telephone at 202–693– • Evaluate the accuracy of the In notice document 2013–21375 4129 (this is not a toll-free number) or agency’s estimate of the burden of the beginning on page 54275 in the issue of by email at [email protected]. proposed collection of information,

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including the validity of the publication of this Federal Register accordance with procedures set forth in methodology and assumptions used; Notice. 29 CFR Part 2570, Subpart B (76 FR • 1 Enhance the quality, utility, and ADDRESSES: Comments and requests for 66637, 66644, October 27, 2011). clarity of the information to be a hearing should state: (1) The name, Effective December 31, 1978, section collected; and 102 of Reorganization Plan No. 4 of • address, and telephone number of the Minimize the burden of the person making the comment or request, 1978, 5 U.S.C. App. 1 (1996), transferred collection of information on those who and (2) the nature of the person’s the authority of the Secretary of the are to respond, including through the interest in the exemption and the Treasury to issue exemptions of the type use of appropriate automated, manner in which the person would be requested to the Secretary of Labor. electronic, mechanical, or other adversely affected by the exemption. A Therefore, these notices of proposed technological collection techniques or request for a hearing must also state the exemption are issued solely by the other forms of information technology, issues to be addressed and include a Department. e.g., permitting electronic submission of general description of the evidence to be The applications contain responses. presented at the hearing. All written Agency: DOL–BLS. representations with regard to the comments and requests for a hearing (at Title of Collection: Census of Fatal proposed exemptions which are least three copies) should be sent to the Occupational Injuries. summarized below. Interested persons OMB Control Number: 1220–0133. Employee Benefits Security are referred to the applications on file Administration (EBSA), Office of Affected Public: Individuals or with the Department for a complete Exemption Determinations, Room Households; State Local, and Tribal statement of the facts and N–5700, U.S. Department of Labor, 200 Governments; Federal Government; and representations. Private Sector—businesses or other for- Constitution Avenue NW., Washington, profits, farms, and not-for-profit DC 20210. Attention: Application No., Bank of America Corporation Located institutions. stated in each Notice of Proposed in Charlotte, NC Exemption. Interested persons are also Total Estimated Number of [Application No. D–11729] Respondents: 1,878. invited to submit comments and/or Total Estimated Number of hearing requests to EBSA via email or Proposed Exemption Responses: 18,748. FAX. Any such comments or requests Total Estimated Annual Burden should be sent either by email to: The Department is considering Hours: 3,469. [email protected], or by FAX to granting an exemption under the Total Estimated Annual Other Costs (202) 219–0204 by the end of the authority of ERISA section 408(a) and Burden: $0. scheduled comment period. The Code section 4975(c)(2) in accordance applications for exemption and the with the procedures set forth in 29 CFR Dated: October 31, 2013. comments received will be available for Part 2570, subpart B (76 FR 66637, Michel Smyth, public inspection in the Public 66644, October 27, 2011). Departmental Clearance Officer. Documents Room of the Employee [FR Doc. 2013–26496 Filed 11–5–13; 8:45 am] Benefits Security Administration, U.S. Section I: Covered Transactions BILLING CODE 4510–24–P Department of Labor, Room N–1513, If this proposed exemption is granted, 200 Constitution Avenue NW., the restrictions of ERISA sections Washington, DC 20210. 406(a)(1)(D) and 406(b) and the DEPARTMENT OF LABOR Warning: All comments will be made sanctions resulting from the application available to the public. Do not include Employee Benefits Security any personally identifiable information of Code section 4975 (including the loss Administration 2 (such as Social Security number, name, of exemption by reason of Code address, or other contact information) or sections 4975(c)(1)(D), (E) and (F)) shall Proposed Exemptions From Certain not apply to the receipt of Relationship Prohibited Transaction Restrictions confidential business information that you do not want publicly disclosed. All Benefits by an individual for whose AGENCY: Employee Benefits Security comments may be posted on the Internet benefit a Covered Plan is established or Administration, Labor. and can be retrieved by most Internet maintained, or by his or her Family ACTION: Notice of proposed exemptions. search engines. Members, from BAC pursuant to an SUPPLEMENTARY INFORMATION: arrangement in which the Account SUMMARY: This document contains Value of, or the Fees incurred for notices of pendency before the Notice to Interested Persons services provided to, the Covered Plan Department of Labor (the Department) of Notice of the proposed exemptions is taken into account for purposes of proposed exemptions from certain of the will be provided to all interested determining eligibility to receive such prohibited transaction restrictions of the persons in the manner agreed upon by Relationship Benefits, provided that Employee Retirement Income Security the applicant and the Department each condition of Section II of this Act of 1974 (ERISA or the Act) and/or within 15 days of the date of publication proposed exemption is satisfied. the Internal Revenue Code of 1986 (the in the Federal Register. Such notice Code). This notice includes the shall include a copy of the notice of 1 The Department has considered exemption following proposed exemptions: proposed exemption as published in the applications received prior to December 27, 2011 D–11729, Bank of America Corporation; Federal Register and shall inform under the exemption procedures set forth in 29 CFR and L–11760, Intel Corporation. Part 2570, Subpart B (55 FR 32836, 32847, August interested persons of their right to 10, 1990). DATES: All interested persons are invited comment and to request a hearing 2 Pursuant to Code section 408(e)(2)(A)(for an to submit written comments or requests (where appropriate). individual retirement account or individual for a hearing on the pending The proposed exemptions were retirement annuity); Code section 530(e) (for a Coverdell education savings account); Code section exemptions, unless otherwise stated in requested in applications filed pursuant 220(e)(2) (for an Archer medical savings account); the Notice of Proposed Exemption, to section 408(a) of the Act and/or or Code section 223(e)(2) (for a health savings within 45 days from the date of section 4975(c)(2) of the Code, and in account).

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Section II: Conditions Section III: Definitions does not include an employee benefit plan covered by Title I of ERISA, except (a) The Covered Plan whose Account The following definitions apply to for a Simplified Employee Pension Value, or whose Fees paid, are taken this proposed exemption: (SEP) described in Code section 408(k) into account for purposes of (a) The term ‘‘Account Value’’ means investments in cash or securities held in and a Simple Retirement Account determining eligibility to receive described in Code section 408(p) that Relationship Benefits under the the account for which market quotations are readily available. For purposes of provides participants with the arrangement must be established and unrestricted authority to transfer their maintained for the exclusive benefit of the exemption, the term ‘‘cash’’ includes savings accounts that are insured by a balances to IRAs or Simple Retirement the participant covered under the Accounts sponsored by different federal deposit insurance agency and Covered Plan, his or her spouse, or their financial institutions. constitute deposits as that term is beneficiaries. (k) The term ‘‘Keogh Plan’’ means a (b) The Relationship Benefits offered defined in 29 CFR 2550.408b–4(c)(3). pension, profit-sharing, or stock bonus under the arrangement must be of a type The term ‘‘Account Value’’ does not plan qualified under Code section that a Qualified Affiliate could offer include investments that are offered by 401(a) and exempt from taxation under consistent with all applicable federal BAC (or a Qualified Affiliate) Code section 501(a) under which some and state banking laws and all exclusively to Covered Plans. or all of the participants are employees applicable federal and state laws (b) The term ‘‘affiliate’’ includes any described in Code section 401(c). For regulating Broker-Dealers. person directly or indirectly controlling, purposes of this proposed exemption, (c) Where Account Values are taken controlled by, or under common control the term ‘‘Keogh Plan’’ does not include into account for purposes of with Bank of America Corporation. an employee benefit plan covered by determining eligibility to receive (c) The term ‘‘Bank’’ means a bank Title I of ERISA. benefits under the arrangement, the described in Code section 408(n). (l) The term ‘‘Qualified Affiliate’’ Account Values of Covered Plan (d) The term ‘‘BAC’’ means Bank of means any person directly or indirectly accounts shall be treated as favorably, America Corporation and any of its controlling, controlled by, or under for purposes of satisfying such affiliates. common control with BAC that is a eligibility requirements, as the Account (e) The term ‘‘Broker-Dealer’’ means a Bank or Broker-Dealer. Values of other types of customer broker-dealer registered under the (m) The term ‘‘Relationship Benefits’’ accounts. Securities Exchange Act of 1934, as means reduced or no cost financial amended. (d) Where levels of Fees incurred are products and services, including (f) The term ‘‘control’’ means the taken into account for purposes of premium rates of account or investment power to exercise a controlling determining eligibility to receive interest, discounted rates of interest on influence over the management or benefits under the arrangement, the loans, reductions or waivers of policies of a person other than an levels of Fees incurred by Covered Plan otherwise applicable fees and charges, individual. and/or differentiated servicing. accounts shall be treated as favorably, (g) The term ‘‘Covered Plan’’ means for purposes of satisfying such an IRA or other savings account Summary of Facts and Representations eligibility requirements, as the levels of described in section III(j) of this 1. Bank of America Corporation (the Fees incurred by other types of proposed exemption or a Keogh Plan Applicant) is a bank holding company customer accounts. described in section III(k) of this and a financial holding company under (e) The Relationship Benefits offered proposed exemption that is established the Gramm-Leach-Bliley Act of 1999 under the arrangement must be with BAC as trustee or custodian. (GLBA). As of December 31, 2011, Bank provided by a Qualified Affiliate in the (h) The term ‘‘Family Members’’ of America Corporation and its ordinary course of its business as a Bank means beneficiaries of the individual for subsidiaries had total consolidated or Broker-Dealer to customers who whose benefit the Covered Plan is assets of approximately $2.1 trillion. qualify for such benefits, but who do not established or maintained, who would The consumer and corporate banking maintain Covered Plans with a be members of the family as that term business of Bank of America Qualified Affiliate. is defined in Code section 4975(e)(6), or Corporation and its affiliates (together, (f) The combined total of fees for the a brother, a sister, or a spouse of a BAC) is conducted primarily through provision of services to a Covered Plan brother or sister. Bank of America, National Association is not in excess of reasonable (i) The term ‘‘Fees’’ means (BANA). BANA is a national franchise compensation within the meaning of commissions and other fees received by that includes branch and electronic ERISA section 408(b)(2) and Code a Broker-Dealer from the Covered Plan banking, consumer lending services, section 4975(d)(2). for the provision of services, including and credit and debit card services. (g) The investment performance of the but not limited to: Brokerage BAC’s brokerage business, conducted investments made by the Covered Plan commissions, investment management primarily through Merrill Lynch, Pierce, is no less favorable than the investment fees, investment advisory fees, custodial Fenner & Smith Incorporated (Merrill performance of identical investments fees, and administrative fees. Lynch), provides investment services, that could have been made at the same (j) The term ‘‘IRA’’ means an securities trading, research, and time by a customer of BAC who is not individual retirement account described brokerage services to consumer and eligible for (or who does not receive) in Code section 408(a), an individual corporate customers. Merrill Lynch is a Relationship Benefits. retirement annuity described in Code retail brokerage firm with approximately (h) The Relationship Benefits offered section 408(b), a Coverdell education 17,000 financial advisors and offices under the arrangement to the Covered savings account described in Code located in all 50 states and the District Plan customer must be the same as are section 530, an Archer MSA described of Columbia. Together, BANA and offered to non-Covered Plan customers in Code section 220(d), or a health Merrill Lynch serve approximately 57 of Qualified Affiliates having the same savings account described in Code million consumer and small business aggregate Account Value or the same section 223(d). For purposes of this relationships and client accounts with amount of Fees generated. proposed exemption, the term ‘‘IRA’’ more than $2.2 trillion in net assets. In

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the ordinary course of its business, BAC offers the service, it must be a type of companies such as Bank of America (including BANA and Merrill Lynch) service that the bank can offer its own Corporation. The GLBA permits bank provide a range of financial products customers. holding companies that qualify as and services to individuals including 3. PTE 97–11 5 permits an individual ‘‘financial holding companies’’— individual retirement accounts (IRAs) for whose benefit an IRA or Keogh Plan including the Applicant—to affiliate described in Code section 408(a), is established or maintained, or his or broadly with various types of financial individual retirement annuities her family members, to receive services services firms, including full service described in Code section 408(b), at reduced or no cost from a broker- broker-dealers. Furthermore, the Coverdell education savings accounts dealer registered under the Securities enactment of the GLBA greatly described in Code section 530, Archer Exchange Act of 1934 under an facilitated financial services integration MSAs described in Code section 220(d), arrangement in which the account value in the United States and growth of bank- health savings accounts described in or the fees incurred for services affiliated securities operations. Code section 223(d) and Keogh plans provided to the IRA or Keogh Plan is 6. According to the Applicant, (i.e., pension, profit-sharing, or stock considered when determining eligibility another significant U.S. regulatory bonus plans qualified under Code to receive such services. PTE 97–11 development occurred in 1995 when the section 401(a) and exempt from taxation limits the services that broker-dealers U.S. Federal Reserve Board (FRB) under Code section 501(a) under which may offer under a relationship brokerage adopted a rule regarding inter-affiliate some or all of the participants are program to services that are permitted ‘‘combined-balance discount service employees described in Code section under federal and state laws regulating programs’’ offered to individual 401(c)) not covered by Title I of ERISA broker-dealers.6 Furthermore, when an customers of banks and bank affiliates. (each, a ‘‘Covered Plan’’ as defined in affiliate of the broker-dealer offers the In particular, the rule established a safe the proposed exemption and services, the services must be a type that harbor from the statutory restrictions on collectively, the ‘‘Covered Plans’’). For the broker-dealer can offer its own bank tying arrangements so that banks purposes of this proposed exemption, customers. have greater flexibility to package the term ‘‘Covered Plan’’ includes 4. PTEs 93–33 and 97–11 provide products with their affiliates. The Simplified Employee Pensions (SEP) relief from the restrictions of ERISA Applicant represents that the rule described in Code section 408(k) and sections 406(a)(1)(D) and 406(b) and the validated the ability of banks and their Simple Retirement Accounts described sanctions resulting from the application broker-dealer affiliates to offer in Code section 408(p) that provide of Code section 4975, including the loss combined-balance discount programs participants with the unrestricted of exemption of an individual (that meet the safe harbor requirements) authority to transfer their balances to retirement account under Code section to their customers. Furthermore, the IRAs or Simple Retirement Accounts 408(e)(2) by reason of Code section Applicant represents that in 1997, the sponsored by different financial 4975(c)(1)(D), (E) and (F), for FRB reaffirmed the safe harbor when it institutions. individuals for whose benefit an IRA or re-wrote its Regulation Y, which Keogh Plan is established or includes a section dealing with anti- Reduced or No Cost Services in maintained. tying restrictions. The Applicant Prohibited Transaction Exemptions 5. The Applicant states that BAC’s represents that the relationship banking 93–33 and 97–11 decision to offer relationship banking and brokerage benefits described in this 2. The Applicant wishes to offer and brokerage benefits reflects the proposed exemption meet the safe relationship banking and brokerage important changes that have occurred in harbor. benefits that are similar to the reduced the financial industry since PTEs 93–33 7. In 2008, the Department granted an or no cost services contemplated by and 97–11 were issued. In this regard, individual exemption, PTE 2008–02,7 to Prohibited Transaction Exemptions the Applicant notes that PTEs 93–33 Citigroup Inc. (Citigroup) that provides (PTEs) 93–33 and 97–11. PTE 93–33 3 and 97–11 were granted by the relief similar to PTEs 93–33 and 97–11. permits an individual for whose benefit Department prior to the enactment of Under the exemption, individuals for an IRA or Keogh Plan is established or the GLBA. The Applicant represents whose benefit an IRA or Keogh Plan is maintained, or his or her family that the GLBA altered the U.S. legal and established or maintained, and their members, to receive services at reduced regulatory framework governing the family members, can receive both or no cost from a bank under an operations of U.S. bank holding banking and brokerage services at arrangement in which the account reduced or no cost under an balance of the IRA or Keogh Plan is customers a higher interest rate on their arrangement in which the account value considered when determining eligibility investments, provided the conditions of the of, or the fees incurred for services exemption are met. provided to, the IRA or Keogh Plan is to receive such services. PTE 93–33 5 62 FR 5855 (February 7, 1997), as amended at permits banks to offer their customers 64 FR 11042 (March 8, 1999), and as amended at taken into account for purposes of only those services allowed under 67 FR 76425 (December 12, 2002). determining eligibility to receive such applicable federal and state banking 6 In the notice of proposed exemption for PTE 97– services. As part of the arrangement, laws.4 When an affiliate of the bank 11, the following examples of relationship Citigroup contemplated providing brokerage services were listed: financial planning services such as: Reductions or waivers services, direct deposit/debit and automatic fund 3 58 FR 31053 (May 28, 1993), as amended at 59 transfer privileges, enhanced account statements, of fees for services such as checking, FR 22686 (May 2, 1994), and as amended at 64 FR toll-free access to client service centers, check ATM, investment advisory and account 11044 (March 8, 1999). writing privileges, debit/credit cards, special opening or maintenance fees; preferred 4 In the notice of proposed exemption for PTE 93– newsletters, and reduced brokerage and asset lending rates; premium interest 2 (PTE 93–33 subsequently amended PTE 93–2), the management fees. 61 FR 39996, 39997 (July 31, following examples of relationship banking services 1996). In addition, the Department notes that a crediting rates; credit or debit cards were listed: free checking services, discounted safe broker-dealer may offer its customers additional providing services such as enhanced deposit box rents, or free loan closing costs. 56 FR services and benefits as part of its relationship mileage accumulation and reward point 8365, 8366 (February 28, 1991). In addition, the brokerage program. For example, under PTE 97–11, features; and the provision of Department notes that a bank may offer other a broker-dealer may offer its relationship brokerage services or benefits to customers as part of its customers a higher interest rate on their investment information and seminars relationship banking program. For example, under investments, provided the conditions of the PTE 93–33 a bank may offer its relationship banking exemption are met. 7 73 FR 3280 (January 17, 2008).

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that are available on an invitation-only 9. The Applicant offers the following account for purposes of determining basis. example of a Relationship Benefits eligibility to receive Relationship program that could be offered under the Benefits under the arrangement will be Proposed Transactions proposed exemption, if granted: established and maintained for the 8. In 2009, the Applicant acquired An individual client of BAC is the exclusive benefit of the participant Merrill Lynch, which operates a beneficial owner of an IRA with assets of covered under the Covered Plan, his or significant retail securities business. As $25,000 in a 12-month certificate of deposit, her spouse, or their beneficiaries. a result, BAC developed programs that and BAC is the IRA custodian. The client (b) The Relationship Benefits offered link retail banking services with retail also maintains a savings account at BANA under the arrangement will be of a type brokerage services. Under these with a balance of $10,000; a BANA checking that a qualified affiliate could offer account with a balance of $5,000; and a consistent with all applicable federal programs, the Applicant’s affiliates are brokerage account at Merrill Lynch with a able to consider a customer’s combined and state banking laws and all balance of $20,000. BAC makes a applicable federal and state laws balance maintained with the Relationship Benefits program available to Applicants’s affiliates to determine the clients that maintain aggregate balances of regulating broker-dealers. customer’s eligibility to receive various $50,000 or more in accounts eligible to (c) Where account values are taken benefits including bank and broker- participate in the program. Under the into account for purposes of dealer products and services at reduced Relationship Benefits program, certain determining eligibility to receive or no cost. The Applicant does not account fees that might otherwise apply are benefits under the arrangement, the believe these arrangements clearly fall waived for the eligible accounts of qualifying account values of Covered Plan clients, and higher interest rates are paid on accounts will be treated as favorably, for within the relief provided by PTEs 93– certain deposit accounts. Without the 33 and 97–11. Therefore, the Applicant purposes of satisfying such eligibility exemption proposed herein, the client’s IRA requirements, as the account values of requests an exemption to permit the is not an eligible account, so the client fails receipt of certain benefits by an other types of customer accounts. to qualify for the program. Consequently, the (d) Where levels of fees incurred are individual for whose benefit a Covered client’s checking account may be charged a taken into account for purposes of Plan is established or maintained, or his $10 fee for overdraft protection transfers, a determining eligibility to receive or her family members, from BAC, $30 fee for stop payment requests, and/or a benefits under the arrangement, the pursuant to an arrangement in which $3 fee for receiving images of paid checks. levels of fees incurred by Covered Plan the account value of or the fees incurred Additionally, the client’s brokerage account will not be eligible for the 30 free trades per accounts will be treated as favorably for for services provided to the Covered month that would otherwise be available purposes of satisfying such eligibility Plan, is taken into account for purposes through the program. Finally, if the client’s requirements, as the levels of fees of determining eligibility to receive such IRA is not eligible to participate, the interest incurred by other types of customer products and services. The Applicant rate paid on the savings account will be accounts. represents that these products and 0.15% annual percentage yield (APY) rather (e) The Relationship Benefits offered than 0.20% APY, and the interest rate paid services (Relationship Benefits) are under the arrangement will be provided defined as reduced or no cost financial on the IRA’s 12-month certificate of deposit will be 0.35% APY rather than 0.45% APY. by a BAC affiliate in the ordinary course products and services, including of its business as a bank or broker-dealer premium rates of account or investment If the proposed exemption is granted, the client will qualify for program participation to customers who qualify for such interest, discounted rates of interest on due to the IRA’s inclusion as an eligible benefits, but who do not maintain loans, reductions or waivers of account. Therefore, the client will receive Covered Plans with a BAC affiliate. otherwise applicable fees and charges, more favorable interest rates and waived fees (f) The combined total of fees for the and/or differentiated servicing. More under the program. provision of services to a Covered Plan specifically, the Relationship Benefits Statutory Findings will not be in excess of reasonable will include: (1) Higher interest rates on compensation within the meaning of products such as checking accounts, 10. The Applicant represents that the ERISA section 408(b)(2) and Code savings accounts and certificates of statutory criteria needed to grant an section 4975(d)(2). deposit; (2) services with reduced cost exemption under ERISA section 408(a) (g) The investment performance of the or value added features such as and Code section 4975(c)(2) will be investments made by the Covered Plan reductions or waivers of fees on satisfied. First, the proposed exemption will be no less favorable than the checking accounts and ATM access, is administratively feasible because: (1) investment performance of identical reduced or waived investment advisory The conditions and relief of the investments that could have been made and account opening or maintenance requested exemption are comparable to at the same time by a customer of BAC fees, reduced or waived securities those described in PTEs 93–33, 97–11, who is not eligible for (or who does not trading commissions, and preferred and 2008–02; and (2) the requested receive) Relationship Benefits. lending rates; (3) credit or debit cards exemption will not require continued (h) The Relationship Benefits offered that provide services such as enhanced monitoring or other involvement on under the arrangement to the Covered mileage accumulation and reward behalf of the Department. Second, the Plan customer will be the same as are points features; (4) access to enhanced Applicant claims that the proposed offered to non-Covered Plan customers customer support services; and/or (5) exemption is in the interest of the of BAC affiliates having the same investment information and seminars Covered Plans because the plans will aggregate account value or the same that are available on an invitation-only benefit from access to better products amount of fees generated. basis. Differentiated servicing refers to and services available through the the provision of an enhanced level of Relationship Benefits program. Finally, Notice to Interested Persons customer service relative to that which the Applicant claims that the proposed The Applicant represents that since would otherwise be provided, such as exemption is protective of the rights of the number of interested persons is very reduced customer service wait times, the Covered Plan participants and large, it will post notice of this proposed access to specialized customer support beneficiaries because: exemption on its principal consumer representatives, specialized newsletters, (a) The Covered Plan whose account banking and brokerage Web sites in and similar items. value, or whose fees paid, are taken into addition to publication of this notice in

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the Federal Register. The Department (4)(A) Will undergo an examination (g) The Plans retain an independent, must receive written comments and/or by an independent certified public qualified fiduciary (the I/F) or successor requests for a public hearing no later accountant for its last completed taxable to such fiduciary, as defined in Section than 45 days from the date this notice year immediately prior to the taxable III(c), below, to analyze the transactions is published in the Federal Register. year of the reinsurance transaction and to render an opinion that the FOR FURTHER INFORMATION CONTACT: Mr. covered by this proposed exemption, if requirements of Section II(a) through (f) Erin Hesse, U.S. Department of Labor, granted; or and (h) of this proposed exemption have telephone (202) 693–8546. (This is not (B) Has undergone a financial been satisfied. a toll-free number.) examination by the HIDOI within five (h) Participants and beneficiaries in (5) years prior to the end of the year the Plans will receive in subsequent Intel Corporation (Intel or the preceding the year in which such years of every contract of reinsurance Applicant) Located in Santa Clara, CA reinsurance transaction has occurred; involving TAL and the Fronting Insurer [Application No. L–11760] and no less than the immediate and (5) Is licensed to conduct reinsurance objectively determined increased Proposed Exemption transactions by Hawaii, whose law benefits such participants and The Department is considering requires that an actuarial review of beneficiaries received in the initial year granting an exemption under the reserves be conducted annually by an of each such contract involving TAL authority of section 408(a) of the Act independent firm of actuaries and and the Fronting Insurer. and in accordance with the procedures reported to the appropriate regulatory (i) The I/F will: Monitor the set forth in 29 CFR part 2570, Subpart authority. transactions proposed herein on behalf B (76 FR 66637, 66644, October 27, (b) The Plans pay no more than of the Plans on a continuing basis to 2011). adequate consideration for the ensure such transactions remain in the insurance contracts. interest of the Plans; take all appropriate Section I. Transactions (c) No commissions are paid by the actions to safeguard the interests of the If the proposed exemption is granted, Plans with respect to the direct sale of Plans; and enforce compliance with all the restrictions of sections 406(a)(1)(D) such contracts or the reinsurance conditions and obligations imposed on and 406(b) of the Act shall not apply to: thereof. any party dealing with the Plans. (a) The reinsurance of risks and the (d) In the initial year of every (j) In connection with the provision to receipt of premiums therefrom by reinsurance contract involving TAL and participants in the Plans of the Technology Assurance Limited (TAL), a Fronting Insurer, there is an insurance coverage provided by the an affiliate of Intel, as the term immediate and objectively determined Fronting Insurer which is reinsured by ‘‘affiliate’’ is defined in Section III(a) benefit to participants and beneficiaries TAL, the I/F will review all contracts below, in connection with basic and of the Plans in the form of increased (and any renewal of such contracts) of supplemental group term life insurance benefits, and such benefits continue in the reinsurance of risks and the receipt sold by the Minnesota Life Insurance all subsequent years of each such of premiums therefrom by TAL and Company (MN Life), or any successor contract of reinsurance and in every must determine that the requirements of insurance company which is unrelated renewal of each such contract, and will this exemption, if granted, and the terms to Intel (the Fronting Insurer), to the at least approximate the increase in of the increased benefits continue to be Intel Group Life Insurance Plan (the Life benefits that will be effective as of the satisfied. Plan); and publication of the final exemption in the (b) The reinsurance of risks and the Federal Register, as described in this Section III. Definitions receipt of premiums therefrom by TAL, Notice of Proposed Exemption (the (a) The term ‘‘affiliate’’ of a person in connection with basic and Notice). includes any person directly or supplemental accidental death and (e) In the initial year and in indirectly, through one or more dismemberment (AD&D) insurance sold subsequent years of coverage provided intermediaries, controlling, controlled by the Fronting Insurer to the Intel by a Fronting Insurer, the formula used by, or under common control with the Group Accidental Death and by the Fronting Insurer to calculate person; Dismemberment Plan (the AD&D Plan); 8 premiums will be similar to formulae (b) The term ‘‘control’’ means the provided the conditions set forth in used by other insurers providing power to exercise a controlling Section II, below, are satisfied. comparable coverage under similar influence over the management or programs. Furthermore, the premium policies of a person other than an Section II. Conditions charge calculated in accordance with individual. (a) TAL— the formula will be reasonable and will (c) The term ‘‘I/F’’ describes a person, (1) Is a party in interest with respect be comparable to the premium charged or a successor to such person, who is to the Plans by reason of a stock or by the Fronting Insurer and its not Intel or TAL or an affiliate of either partnership affiliation with Intel that is competitors with the same or a better entity; and: described in section 3(14)(E) or 3(14)(G) rating providing the same coverage (1) Does not have an ownership of the Act; under comparable programs. interest in Intel, in TAL, or in an (2) Is licensed to sell insurance or (f) The Fronting Insurer has a affiliate of either; conduct reinsurance operations in at financial strength rating of ‘‘A’’ or better (2) Is not a fiduciary with respect to least one ‘‘State,’’ as defined in section from A. M. Best Company (A. M. Best). the Plans prior to its appointment to 3(10) of the Act; The reinsurance arrangement between serve as the I/F; (3) Has obtained a Certificate of the Fronting Insurer and TAL will be (3) Has acknowledged in writing Authority from the Hawaii Department indemnity insurance only, (i.e., the acceptance of fiduciary responsibility of Insurance (HIDOI), which has neither Fronting Insurer will not be relieved of and has agreed not to participate in any been revoked nor suspended; liability to the Plans should TAL be decision with respect to any transaction unable or unwilling to cover any in which it has an interest that might 8 The AD&D Plan and the Life Plan are together liability arising from the reinsurance affect its best judgment as a fiduciary; referred to herein as the ‘‘Plans.’’ arrangement). and

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(4) Has appropriate training, the Act, as an employer whose $100,000, and so forth up to the experience, and facilities to act on employees are covered by the Plans. maximum of $1,000,000. behalf of the Plans regarding the subject 2. TAL is an insurance company that In addition, basic group term life transactions in accordance with the is wholly owned by Intel. TAL was insurance is available to active part-time fiduciary duties and responsibilities originally incorporated in Hawaii on employees at two times full-time prescribed by the Act. August 5, 2004, and subsequently equivalent eligible annual earnings, For purposes of this definition of an licensed to commence business on multiplied by 62.5% and then rounded ‘‘I/F,’’ no organization or individual September 1, 2004, for the purpose of to the next higher $1,000 if not already may serve as an I/F for any fiscal year reinsuring property and casualty risks of a multiple thereof, subject to a if the gross income received by such Intel. TAL is a party in interest with maximum of $1,000,000 of coverage. For organization or individual (or respect to the Plans pursuant to section example, an employee earning $25,000 partnership or corporation of which 3(14)(G) of the Act because it is a per year would have ‘‘basic life amount’’ such individual is an officer, director, or corporation of which 50 percent (50%) coverage of $32,000, an employee 10 percent or more partner or or more of the combined voting power earning $50,000 per year would have shareholder) for that fiscal year exceeds of all classes of stock entitled to vote is ‘‘basic life amount’’ coverage of $63,000, two percent (2%) of that organization’s owned directly or indirectly held by and so forth up to the maximum of or individual’s annual gross income Intel, an employer any of whose $1,000,000. from all sources for the prior fiscal year employees are covered by the Plans, as 6. The Life Plan also provides from Intel or from TAL, or from an described in section 3(14)(C) of the Act. supplemental group term life coverage affiliate of either (including amounts 3. TAL writes Intel’s Terrorism Risk to full-time and part-time employees of received for services as I/F under any Insurance Act coverage to Intel and its Intel, but not to Intel contract prohibited transaction exemption subsidiaries. For the period and year-to- employees. Under the current terms of granted by the Department). date ended December 31, 2012, TAL the Life Plan, basic supplemental life In addition, no organization or reported total assets of $9,570,558, gross insurance is available to active full-time individual who is an I/F, and no written premiums of $3,300,636, and employees at one to seven times annual partnership or corporation of which earned premiums of $166,200. TAL is earnings as elected by the employee, such organization or individual is an subject to regulation by HIDOI, which multiplied by 100% and then rounded officer, director, or 10 percent (10%) or requires that at least 100% of TAL’s to the next higher $1,000 if not already more partner or shareholder, may reserves be in some combination of a multiple thereof, subject to a acquire any property from, sell any cash, letters of credit, investments in maximum of $2,000,000. Basic property to, or borrow any funds from approved investment policy, premiums supplemental life insurance is available Intel or from TAL, or from any affiliate in the course of collection, or other to active part-time employees at one to of either during the period that such forms approved by HIDOI. seven times annual earnings as elected organization or individual serves as an by the employee, multiplied by 62.5% I/F, and continuing for a period of six 4. The Plans are welfare benefit plans and then rounded to the next higher (6) months after such organization or that provide basic and supplemental $1,000, if not already a multiple thereof, individual ceases to be the I/F, or group term life insurance and basic and subject to a maximum of $2,000,000. negotiates any such transaction during supplemental AD&D coverage to active Supplemental insurance is paid for by the period that such organization or full-time and part-time employees of Intel’s employees through premium individual serves as the I/F. Intel. The Plans are funded through In the event a successor I/F is insurance. contributions. All insurance terminates appointed to represent the interests of Intel’s general full-time employees, at retirement, except as provided for the Plans with respect to the subject part-time employees, and contract under the portability provision found in transactions, there may be no lapse in employees are automatically enrolled in the SPD of the Life Plan. time between the resignation or the basic Life Plan and the basic AD&D 7. The Life Plan further provides termination of the former I/F and the Plan. These employees are eligible to supplemental dependent term life appointment of the successor I/F. participate in supplemental and insurance to full-time and part-time dependent coverage, regardless of age, employees of Intel. Contract employees Summary of Facts and Representations sex, salary or position. The Life Plan are not eligible for this coverage. 1. Intel, which is headquartered in had approximately 48,717 participants, Dependent term life insurance for the Santa Clara, California, develops as of August 31, 2012. Basic group term spouses and domestic partners of Intel’s advanced integrated digital technology life insurance is paid for by Intel employees is available to active full- products (primarily integrated circuits) through employer premium time and part-time employees in the for industries such as computing and contributions. following amounts: $20,000, $50,000, communications. Intel also designs and 5. Under the terms of the Life Plan, $100,000, $150,000, $200,000 or manufactures computing and basic group term life insurance is $250,000, as elected by the employee. communications components, wireless available to active full-time and contract Dependent term life insurance for the and wired connectivity products, as employees at two times eligible annual children of Intel’s employees is well as platforms that incorporate these earnings, multiplied by 100% and then available to active full-time and part- components. rounded to the next higher $1,000 if not time employees in the following For the fiscal year ending December already a multiple thereof, subject to a amounts: $5,000, $10,000, $15,000 or 31, 2012, Intel earned revenue of $53.3 maximum of $1,000,000 of coverage. For $20,000, as elected by the employee. billion and net income of $11.0 billion. example, according to the Summary Dependent term life insurance Intel reported a global employee Plan Description (SPD) for the Life Plan, coverage is paid for by Intel’s employees workforce of 101,671 as of December 31, an employee earning $25,000 per year through premium contributions. All 2011 (with approximately 55,500 would have ‘‘basic life amount’’ dependent insurance terminates upon employees in the United States). Intel is coverage of $50,000, an employee the employee’s retirement except as a party in interest with respect to the earning $50,000 per year would have provided under the portability provision Plans, pursuant to section 3(14)(C) of ‘‘basic life amount’’ coverage of found in the Plans’ SPD.

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8. Under the terms of the AD&D Plan, spouse/same sex domestic partner coverage offered to the Plans by MN Life basic AD&D insurance is available to $50,000; child(ren) $10,000; (b) Option results in the indirect transfer to TAL of active full-time and contract employees 2: spouse/same sex domestic partner the Plans’ premium payments, which of Intel at two times the employee’s $100,000; child(ren) $20,000; (c) Option are plan assets. Section 406(a)(1)(D) of eligible annual earnings, multiplied by 3: Spouse/same sex domestic partner the Act prohibits the transfer to, or use 100%, and then rounded to the next $150,000; child(ren) $30,000; (d) Option by or for the benefit of, a party in higher $1,000, if not already a multiple 4: Spouse/same sex domestic partner interest, of any assets of a plan. thereof. Such AD&D coverage is subject $200,000; child(ren) $40,000; and (e) Accordingly, this proposed exemption, to a maximum of $1,000,000 of Option 5: spouse/same sex domestic if granted, would provide relief from the coverage. In addition, basic AD&D partner $250,000; child(ren) $50,000. prohibitions set forth in section insurance is available to active part-time Dependent AD&D insurance coverage is 406(a)(1)(D) of the Act for the employees of Intel at two times the paid for by Intel’s employees through reinsurance of risks and the receipt of employee’s annual earnings, multiplied premium contributions. Benefits will premiums therefrom by TAL, in by 62.5% and then rounded to the next terminate at the end of the calendar connection with basic and supplemental higher $1,000, if not already a multiple month in which the dependent is no group term life insurance and basic and thereof. Such AD&D coverage is also longer eligible. supplemental AD&D coverage. subject to a maximum of $1,000,000. All 11. From January 1, 2007, until In addition, because the reinsurance basic AD&D insurance that is available December 31, 2012, the Plans’ benefits by TAL of such insurance coverage was to Intel employees is non-contributory were insured by the Metropolitan Life contemplated by Intel at the time that insurance, which means that the Insurance Company (MetLife). Since the Plans obtained insurance coverage employer is required to make premium January 1, 2013, MN Life has been from MN Life, such transactions could contributions. providing direct insurance for the basic constitute violations by Intel of section 9. The AD&D Plan also provides and supplemental group term life 406(b) of the Act. In this regard, section supplemental AD&D insurance to full- insurance and the basic and 406(b)(1) of the Act prohibits a fiduciary time and part-time employees of Intel, supplemental AD&D coverage offered from dealing with the assets of a plan in but not to Intel’s contract employees. under the Plans in accordance with an his own interest or for his own account. AD&D supplemental coverage is agreement MN Life entered into with Section 406(b)(2) of the Act prohibits a available to an active full-time employee Intel. As of September 30, 2012, MN fiduciary from acting in a transaction at one to seven times the annual Life had total assets of approximately involving plan assets on behalf of a earnings as elected by the employee, $28.4 billion. MN Life has agreed to a party whose interests are adverse to multiplied by 100% and then rounded rate guarantee for a 7 year period those of the plan. Section 406(b)(3) of to the next higher $1,000 if not already beginning January 1, 2013, through the Act prohibits a fiduciary from a multiple thereof. The maximum December 31, 2019. It is represented receiving any consideration for his own amount of coverage for an active full- that Intel selected MN Life based upon personal account from any party dealing time Intel employee is $1,000,000. consideration of relevant factors to the with a plan in connection with a AD&D coverage is also available to an arrangement, including the transaction involving plan assets. active part-time employee of Intel at one reasonableness of the fees and the 14. With respect to the Reinsurance to seven times the employee’s full-time quality and quantity of the benefits Agreement between MN Life and TAL, equivalent eligible annual earnings, offered. Both MN Life and MetLife are the Applicant represents that all eligible multiplied by 62.5% and then rounded rated ‘‘A+’’ by A. M. Best. active full-time and part-time employee to the next higher $1,000, if not already The Applicant states that the change participants in the Plans have been a multiple thereof. The maximum in insurance carriers from MetLife to receiving certain increases to their basic amount of coverage is capped at MN Life has not reduced Intel’s or the and supplemental group term life $1,000,000. employees’ overall costs for insurance insurance since January 1, 2013. In this Under the current terms of the AD&D benefits. The costs remain the same for regard, the supplemental group term life Plan, all supplemental AD&D insurance both Intel and the employees. However, and supplemental AD&D benefit is paid for by Intel’s employees through the Applicant represents that the change coverage under the Plans has been premium contributions. Therefore, in carriers has resulted in several increased. According to the Applicant, supplemental AD&D insurance is increased benefits for Intel employees, as noted above, Intel employees are contributory insurance, which means as described below. currently eligible to elect up to seven that the employee is required to make 12. Also, on January 1, 2013, MN Life times their annual salary for premium contributions. All AD&D entered into a reinsurance agreement supplemental group term life insurance insurance terminates at retirement, with TAL to reinsure up to 100% of the and up to six times or seven times their except as provided for under the Plans’ risks with TAL. However, TAL annual salaries for supplemental AD&D portability provision found in the SPD. will not receive any premiums from MN benefits. Formerly, employees who There are 48,437 participants in the Life until this proposed exemption is elected supplemental group term life basic AD&D Plan, of which 21,202 granted. MN Life’s reinsurance insurance and supplemental AD&D participants have elected supplemental agreement with TAL (the Reinsurance coverage were eligible to elect up to five AD&D coverage. Agreement) is ‘‘indemnity only’’—that times and six times their annual 10. The AD&D Plan further provides is, MN Life will not be relieved of its earnings, respectively. The maximum insurance coverage to dependents of liability for benefits under the Plans if amount of coverage for these benefits full-time and part-time employees of TAL is unable or unwilling to satisfy the will remain the same (capped at Intel, but not to dependents of Intel’s liabilities arising from the reinsurance $2,000,000 for the supplemental group contract employees. Dependent AD&D arrangement. term life insurance, and $1,000,000 for insurance for the spouses, domestic 13. As TAL is a party in interest with the supplemental AD&D insurance). partners and children of Intel’s respect to the Plans, the reinsurance of The Applicant represents that the employees is available to active full- the risks associated with the basic and insurance premiums employees pay for time and part-time employees in the supplemental group term life insurance these increases will not be raised unless following amounts: (a) Option 1: and basic and supplemental AD&D the employees elect to increase their

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supplemental life and/or supplemental and related services; (c) access to the bi- expenses, which expenses here include AD&D coverage. The Applicant also monthly electronic financial planning fronting fees, expenses and taxes. explains that if Intel employees seek newsletter, ‘‘Your Money, Your Future;’’ 20. Milliman has determined that the supplemental group term life insurance (d) a computer-generated personalized reinsurance arrangement will result in or AD&D insurance outside of their financial analysis; (e) ConseLine, an an immediate and objectively respective Plans, they would be doing unlimited toll-free telephone access for determined benefit in the form of so in the individual insurance market of one year on financial planning issues; increased supplemental life insurance the state in which they live. In most and (f) six-months of personal financial and AD&D benefits, enhanced will states, the employee would be subjected counseling. preparation and legal services, and new to individual underwriting, and would Intel states that the benefit legacy planning and beneficiary on average, pay higher premiums than enhancements described above will financial counseling services to all on a group basis. impose a financial burden on the participants and beneficiaries of the 15. Intel is providing all of its sponsor of the Plans because, with the Plans. Milliman states that the benefit employees who are participants in the exception of employees electing enhancements provide a means of Plans with access to Ceridian’s Will increased supplemental group term life reducing personal financial risks that Preparation and Legal Services program. and AD&D coverage, Intel will be may be unavailable to many of the This benefit enhancement includes the bearing the $94,000 annual costs. Plans’ participants as individuals, following services: (a) A free 30-minute 18. In connection with this exemption which provides a value to these persons initial consultation per legal issue with request, Milliman, Incorporated even if they never file a claim. an attorney in the Plan participant’s (Milliman) has been engaged to act as 21. The Applicant represents that the state of residence; (b) the creation of the I/F on behalf of the Plans for the proposed exemption is administratively various legal documents, such as a will purpose of evaluating, and if feasible because the reinsurance of the or a financial power of attorney; (c) a appropriate, approving the subject Plans’ risks under the terms of the group referral to a local attorney, access to a transactions. Specifically, William J. term life insurance and AD&D coverage variety of legal forms, and access to an Thomson, FSA, MAAA, Principal and is, among other things, subject to review online legal library; and (d) a 25% Consulting Actuary with Milliman has by an I/F, which can be audited. In discount off an attorney’s normal hourly been appointed to undertake the duties addition, the Applicant notes that Intel rate should an employee retain an of the independent fiduciary. In this has and will bear the cost of the attorney after an initial consultation. regard, Milliman is responsible for exemption application and of notifying Intel is bearing the cost of this benefit conducting a due diligence review and the interested persons. Further, the enhancement. analysis of the proposed transactions Applicant explains that the proposed According to the Applicant, and for providing a written opinion as exemption does not require continued previously, only Intel employees who to whether the arrangement complies monitoring or other involvement by the were enrolled in the supplemental with the Department’s requirements for Department. group term life insurance program had an administrative exemption. Milliman The Applicant also represents that the access to the free will preparation certifies that it is qualified to serve as proposed exemption is in the interest of service offered by Hyatt Legal Plans. the I/F and the personnel who comprise the Plans because the Plans will pay no 16. Further, Intel is providing legacy Milliman are experienced in prohibited more than adequate consideration for planning services to employees to assist transaction exemptions issued by the the insurance contracts with MN Life. them in their time of need. These Department. Milliman represents that it The Applicant further represents that services relate to: (a) Asset distributions; is independent in that it does not have the proposed exemption is protective of (b) last wishes; (c) estate planning; (d) and has not previously had, any the rights of the participants and last will and testament; (e) power of relationship with any party in interest beneficiaries of the Plans because the attorney; (f) healthcare directives; (g) (including any affiliates thereof) exemption requires the review and beneficiary designations; and (h) engaging in the transactions described approval of an I/F, at Intel’s expense. document locator. Legacy planning above. Further, Milliman represents that Specifically, the proposed exemption, if services are provided to all active Intel the gross income it received from Intel, granted, requires that the I/F analyze the employees through secure Web site TAL or MN Life for its fiscal year does subject transactions and render an access. Intel is bearing the full cost of not exceed two percent of its gross opinion regarding whether certain of the this enhancement to the Plan. annual income from all sources. conditions of the exemption were 17. Finally, Intel is providing new 19. In connection with the satisfied, including that: (a) The Plans beneficiary financial counseling services transactions that are the subject of this pay no more than adequate to beneficiaries of all active employees proposed exemption, Milliman, among consideration for the insurance as part of the Plan. In effect, eligible other things: (a) Reviewed a draft of contracts; (b) the Plans pay no individuals are able to receive financial Intel’s request for an administrative commissions with respect to the direct services through exemption from the Department; (b) sale of such contracts or the reinsurance PriceWaterhouseCoopers LLP. The conferred with Intel’s representative to thereof; (c) in the initial year of every beneficiary financial counseling services discuss the transactions and the Plans; contract involving TAL and a Fronting (BFC Services) are available to all and (c) conducted such other due Insurer, there is an immediate and beneficiaries receiving life benefits at no diligence reviews as were deemed objectively determined benefit to additional cost. The BFC Services necessary. Milliman also considered the participants and beneficiaries of the provide the following benefits to premiums to be paid by the Plans for the Plans in the form of increased benefits beneficiaries of Intel employees: (a) A proposed coverage, and determined that approximating the increase in benefits beneficiary guide giving information on the premiums were comparable to the that is effective January 1, 2013, as estate issues, survivor benefits, financial premiums that would have been described herein, and such benefits planning and non-financial issues; (b) charged by a competitor insurer. continue in all subsequent years of each eAdvisor, an integrated planning tool Milliman notes that the premium rate contract and in every renewal of each giving beneficiaries access to online agreed to with MN Life includes a contract; and (d) in the initial year and financial calculators, life event guides percentage allocation for non-claims in subsequent years of coverage

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provided by a Fronting Insurer, the rating providing the same coverage the letters within 10 days of the formula used by the Fronting Insurer to under comparable programs; undeliverable response being received. calculate premiums is similar to (e) The Fronting Insurer will have a All written comments and/or requests formulae used by other insurers financial strength rating of ‘‘A’’ or better for a hearing must be received by the providing comparable coverage under from A. M. Best. The reinsurance Department from interested persons no similar programs. Furthermore, the arrangement between the Fronting later than 50 days after publication of premium charge calculated in Insurer and TAL will be indemnity the Notice in the Federal Register. accordance with the formula will be insurance only; All comments will be made available reasonable and comparable to the (f) The Plans will retain an I/F or to the public. premium charged by the Fronting successor to such fiduciary to analyze Warning: Do not include any Insurer and its competitors with the the transactions and to render an personally identifiable information same or a better rating providing the opinion that certain relevant (such as name, address, or other contact same coverage under comparable requirements of the proposed information) or confidential business programs. exemption, if granted, have been information that you do not want The Applicant states that if exemptive satisfied; publicly disclosed. All comments may relief is granted, any Fronting Insurer (g) Participants and beneficiaries in be posted on the Internet and can be will have a financial strength rating of the Plans will receive in subsequent retrieved by most Internet search ‘‘A’’ or better from A. M. Best, and the years of every contract of reinsurance engines. involving TAL and the Fronting Insurer reinsurance arrangement between the FOR FURTHER INFORMATION CONTACT: Fronting Insurer and TAL will be no less than the immediate and Blessed Chuksorji-Keefe of the indemnity insurance only. objectively determined increased Department, telephone (202) 693–8567. benefits such participant and Finally, the Applicant notes that (This is not a toll-free number.) beneficiary received in the initial year of participants and beneficiaries in the each such contract involving TAL and General Information Plans will receive in subsequent years of the Fronting Insurer; The attention of interested persons is every contract of reinsurance involving (h) The I/F will: Monitor the TAL and the Fronting Insurer no less directed to the following: transactions proposed herein on behalf (1) The fact that a transaction is the than the immediate and objectively of the Plans on a continuing basis to determined increased benefits such subject of an exemption under section ensure such transactions remain in the 408(a) of the Act and/or section participant and beneficiary received in interest of the Plans; take all appropriate the initial year of each such contract 4975(c)(2) of the Code does not relieve actions to safeguard the interests of the a fiduciary or other party in interest or involving TAL and the Fronting Insurer. Plans; and enforce compliance with all 22. In summary, the Applicant disqualified person from certain other conditions and obligations imposed on provisions of the Act and/or the Code, represents that the reinsurance any party dealing with the Plans; and including any prohibited transaction transactions will meet the criteria of (i) In connection with the provision to provisions to which the exemption does section 408(a) of the Act since, among participants in the Plans of the not apply and the general fiduciary other things: insurance coverage provided by the responsibility provisions of section 404 (a) The Plans will pay no more than Fronting Insurer which is reinsured by of the Act, which, among other things, adequate consideration for the TAL, the I/F will review all contracts require a fiduciary to discharge his insurance contracts; (and any renewal of such contracts) of duties respecting the plan solely in the (b) No commissions will be paid by the reinsurance of risks and the receipt interest of the participants and the Plans with respect to the direct sales of premiums therefrom by TAL and will beneficiaries of the plan and in a of such contracts or the reinsurance determine that the requirements of this prudent fashion in accordance with thereof; exemption, if granted, and the terms of section 404(a)(1)(b) of the Act; nor does (c) In the initial year of every contract the benefit enhancements continue to be it affect the requirement of section involving TAL and a Fronting Insurer, satisfied. 401(a) of the Code that the plan must there will be an immediate and Notice to Interested Persons operate for the exclusive benefit of the objectively determined benefit to employees of the employer maintaining participants and beneficiaries of the It is represented that Intel will notify the plan and their beneficiaries; Plans in the form of increased benefits, interested persons of the publication of (2) Before an exemption may be and such benefits will continue in all the Notice in the Federal Register by granted under section 408(a) of the Act subsequent years of each contract and in email and then first class mail to each and/or section 4975(c)(2) of the Code, every renewal of each contract, and will such interested person’s most recent the Department must find that the approximate the increase in benefits address maintained in the records of the exemption is administratively feasible, that are effective January 1, 2013, as administrator of the Plans, if the email in the interests of the plan and of its described in the Notice; is undeliverable. The Notice will also be participants and beneficiaries, and (d) In the initial year and in posted on Intel’s internal Web site. Such protective of the rights of participants subsequent years of coverage provided notification will contain a copy of the and beneficiaries of the plan; by a Fronting Insurer, the formula used Notice, as it appears in the Federal (3) The proposed exemptions, if by the Fronting Insurer to calculate Register on the date of publication, plus granted, will be supplemental to, and premiums will be similar to formulae a copy of the Supplemental Statement, not in derogation of, any other used by other insurers providing as required pursuant to 29 CFR provisions of the Act and/or the Code, comparable coverage under similar 2570.43(a)(2) which will advise all including statutory or administrative programs. Furthermore, the premium interested persons of their right to exemptions and transitional rules. charge calculated in accordance with comment and to request a hearing. Intel Furthermore, the fact that a transaction the formula will be reasonable and will will provide such notification to all is subject to an administrative or be comparable to the premium charged such interested persons within 10 days statutory exemption is not dispositive of by the Fronting Insurer and its of the date of publication of the Notice whether the transaction is in fact a competitors with the same or a better in the Federal Register. Intel will mail prohibited transaction; and

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(4) The proposed exemptions, if DEPARTMENT OF LABOR additional information from one of the granted, will be subject to the express petitioners. condition that the material facts and Employment and Training The petition alleges that production of representations contained in each Administration printers shifted from the Dayton, Ohio application are true and complete, and [TA–W–81,387] facility to a foreign country. In an that each application accurately attachment to the petition, the describes all material terms of the Eastman Kodak Company, IPS— petitioners state that ‘‘a few years back transaction which is the subject of the Dayton Location, Including On-Site our facility . . . shipped the manufacture of . . . fluid systems and exemption. Leased Workers From Adecco, Dayton, Ohio; Notice of Negative Determination controllers to . . . China’’; that ‘‘in 2010 Signed at Washington, DC, this 31st day of on Reconsideration a large portion of the print head October 2013. refurbishment for the 4″ (four inch) Lyssa E. Hall, On March 2, 2012, the Department of product line was shipped to . . . Labor (Department) initiated an Director Office of Exemption Determinations, China’’; that ‘‘all of the printed circuit investigation in response to a Trade Employee Benefits Security Administration, board production and testing was U.S. Department of Labor. Adjustment Assistance (TAA) petition moved to China’’; that a ‘‘portion of the filed on behalf of workers and former [FR Doc. 2013–26506 Filed 11–5–13; 8:45 am] new product under development workers of Eastman Kodak Company, (Stream) was moved to Mexico for BILLING CODE 4510–29–P IPS-Dayton Location, including on-site manufacture’’ in 2011; that people from leased workers from Adecco, Dayton, Malaysia spent months in the fall of Ohio (hereafter referred to as ‘‘Eastman DEPARTMENT OF LABOR 2011 ‘‘to learn the processes of Kodak-IPS-Dayton’’). On May 18, 2012, manufacture so equipment can be sent Employee Benefits Security the Department denied the petition for to their facility in Malaysia’’; and that group eligibility to apply for TAA. The Administration ‘‘production of the new Stream product Department’s Notice of negative is to be done in Malaysia.’’ determination was published in the During the re-opened reconsideration [Exemption Application No. D–11672] Federal Register on June 6, 2012 (77 FR investigation, a former worker stated 33494). that separations at the Dayton, Ohio Withdrawal of Notice of Proposed On August 1, 2012, the Department facility were due to the shift in Exemption Involving the Studley, Inc. issued a Notice of Affirmative production to China and/or Mexico; that Section 401(k) Profit Sharing Plan (the Determination Regarding Application production of ‘‘legacy’’ products were Plan) Located in New York, NY for Reconsideration, applicable to shifted to a facility in China that builds Eastman Kodak-IPS-Dayton. The cameras and desktop printers; that the In the Federal Register dated Department’s Notice of affirmative shift of production to China also November 16, 2012 (77 FR 68842), the determination was published in the resulted in reduced need for ‘‘testing Department of Labor (the Department) Federal Register on August 14, 2012 (77 and repair of new build circuit boards published a notice of proposed FR 48549). and electronic assembly’’; that exemption (the Notice) from the On March 19, 2013, the Department production of ink jet print systems and prohibited transaction restrictions of the issued a Notice of Termination of the ‘‘Four Inch’’ product line were Employee Retirement Income Security Reconsideration Investigation to shifted to China; and that, in April 2012, Act of 1974, as amended, and from workers and former workers of Eastman three of the remaining workers were certain taxes imposed by the Internal Kodak-IPS-Dayton (TA–W–81,387) separated ‘‘because the remaining repair Revenue Code of 1986, as amended. The which stated that the worker group on work was shifted to a third party Notice concerned the proposed cash whose behalf the request for company in the Dayton area.’’ sale by the Plan of an 8.828121% reconsideration was filed is eligible to During the re-opened reconsideration partnership interest (the Interest) in the apply for TAA under the amended investigation, the Department obtained Julien J. Studley N Street Partnership, a certification for TA–W–74,813A. The updated information from Eastman general partnership (the JJS Partnership) Department’s Notice of termination of Kodak Company regarding operations at to Studley, Inc. (the Employer), a party reconsideration investigation was the Dayton, Ohio facility and responses in interest with respect to the Plan. published in the Federal Register on to the afore-mentioned allegations. April 9, 2013 (78 FR 21155). Based on information obtained during Subsequent to the publication of the On June 21, 2013, the Department the re-opened reconsideration Notice in the Federal Register, the issued a Notice of Termination of investigation, the Department Department was informed that Melvin Certification applicable to workers and determines that while there was some Lenkin, Edward J. Lenkin and the EJL former workers eligible to apply for production shift abroad in 2006 to 2008, Trust, who are unrelated parties with TAA under TA–W–74,813A. The no such shift occurred in 2012 and respect to the Plan, purchased the Department’s Notice of Termination of 2013, and that the shift which occurred Interest from the Plan. Accordingly, the Certification was published in the during 2006 to 2008 did not contribute Department hereby withdraws the Federal Register on July 5, 2013 (78 FR to worker separations at the Dayton, Notice from the Federal Register. 40507). In the Notice of Termination of Ohio facility in 2012 and 2013. Certification, the Department stated that Rather, information obtained during Signed at Washington, DC, this 31st day of the reconsideration investigation October 2013. the reconsideration investigation of TA– W–81,387 would be re-opened and a confirmed that worker separations at the Lyssa E. Hall, determination on reconsideration would Dayton, Ohio facility in 2012 and 2013 Director, Office of Exemption Determinations, be issued accordingly. have been part of bankruptcy-related Employee Benefits Security Administration, During the re-opened reconsideration activities, including restructuring and U.S. Department of Labor. investigation, the Department contacted domestic outsourcing of some services, [FR Doc. 2013–26505 Filed 11–5–13; 8:45 am] the workers who filed the initial and have not resulted in a shift of BILLING CODE 4510–29–P petition for information and received production abroad.

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Conclusion The company reports that workers DEPARTMENT OF LABOR After careful review of previously- leased from C-Plant Federal Credit Union, CJ Enterprises, Paschal Employment and Training submitted information and information Administration obtained during the reconsideration Solutions, Ford Technical Services, Henry A. Petter Supply, KB Consultants, investigation, I affirm that the [TA–W–83,010] requirements of the Act, 19 U.S.C. 2272, Henry, Meisenheimer & Grende, SR have not been met and, therefore, affirm Martin Group and CDI Corporation were CTS Automotive LLC, a Subsidiary of the denial of the petition for group employed on-site at the Bristol, Virginia CTS Corporation Including On-Site eligibility for Eastman Kodak Company, location of Bristol Compressors Leased Workers From Metro Staff and IPS-Dayton Location, Dayton, Ohio, to International, Inc. The Department has Aerotek Including Workers Whose apply for adjustment assistance, in determined that these workers were Unemployment Insurance (UI) Wages accordance with Section 223 of the Act, sufficiently under the control of the Are Reported Through D&R 19 U.S.C., 2273. subject firm to be considered leased Technology LLC, Carol Stream, Illinois; Signed in Washington, DC, this 23rd day workers. Amended Certification Regarding of October, 2013. Based on these findings, the Eligibility To Apply for Worker Del Min Amy Chen, Department is amending this Adjustment Assistance Certifying Officer, Office of Trade Adjustment certification to include workers leased In accordance with Section 223 of the Assistance. from C-Plant Federal Credit Union, CJ Trade Act of 1974, as amended (‘‘Act’’), [FR Doc. 2013–26497 Filed 11–5–13; 8:45 am] Enterprises, Paschal Solutions, Ford 19 U.S.C. 2273, the Department of Labor BILLING CODE 4510–FN–P Technical Services, Henry A. Petter issued a Certification of Eligibility to Supply, KB Consultants, Henry, Apply for Worker Adjustment Meisenheimer & Grende, SR Martin Assistance on September 5, 2013, DEPARTMENT OF LABOR Group and CDI Corporation working on- applicable to workers of CTS Employment and Training site at the Paducah, Kentucky location Automotive LLC, a subsidiary of CTS Administration of United States Enrichment Corporation, including on-site leased Corporation. workers from Metro Staff, Inc., and Aerotek, Carol Stream, Illinois. The [TA–W–82,862] The amended notice applicable to TA–W–82,862 is hereby issued as workers are engaged in production of safety sensors for automobiles. The United States Enrichment Corporation, follows: Paducah Gaseous Diffusion Plant, notice was published in the Federal All workers of United States Enrichment Including On-Site Leased Workers Register on October 3, 2013(78 FR Corporation, Paducah Gaseous Diffusion From Diversified Management 61391). Plant, including on-site leased workers from Consultants, Inbounds Engineering, At the request of Illinois State, the Diversified Management Consultants, Llc, Matrix Engineering, Manpower Department reviewed the certification Inbounds Engineering LLC, Matrix for workers of the subject firm. New Inc., Bartlett Nuclear, Inc., C-Plant Engineering, Manpower Inc., Bartlett Federal Credit Union, CJ Enterprises, information from the company shows Nuclear, Inc., C-Plant Federal Credit Union, that some workers separated from Pashacl Solutions, Ford Technical CJ Enterprises, Paschal Solutions, Ford Services, Henry A. Petter Supply, KB employment at the Carol Stream, Illinois Technical Services, Henry A. Petter Supply, location had their wages reported Consultants, Henry, Meisenheimer, & KB Consultants, Henry, Meisenheimer & Grende, SR Martin Group And CDI through a separate unemployment Grende, SR Martin Group and CDI insurance (UI) tax account under the Corporation, Paducah, Kentucky; Corporation, Paducah, Kentucky, who Amended Certification Regarding name D&R Technology LLC. became totally or partially separated from Accordingly, the Department is Eligibility To Apply for Worker employment on or after June 27, 2012, Adjustment Assistance amending this certification to include through July 18, 2015, and all workers in the workers of the subject firm whose In accordance with Section 223 of the group threatened with total or partial unemployment insurance (UI) wages are Trade Act of 1974, as amended (‘‘Act’’), separation from employment on the date of reported through D&R Technology LLC. certification through two years from the date 19 U.S.C. 2273, the Department of Labor The intent of the Department’s of certification, are eligible to apply for issued a Certification of Eligibility to certification is to include all workers of adjustment assistance under Chapter 2 of Apply for Worker Adjustment the subject firm who were adversely Title II of the Trade Act of 1974, as amended. Assistance on July 18, 2013, applicable affected by a shift in the production to to workers of United States Enrichment Signed in Washington, DC, this 24th day of a foreign country. The amended notice Corporation, Paducah Gaseous Diffusion October 2013. applicable to TA–W–83,010 is hereby Plant, including on-site leased workers Michael W. Jaffe, issued as follows: from Diversified Management Certifying Officer, Office of Trade Adjustment All workers of CTS Automotive LLC, a Consultants, Inbounds Engineering LLC, Assistance. subsidiary of CTS Corporation including on- Matrix Engineering, Manpower Inc. and [FR Doc. 2013–26502 Filed 11–5–13; 8:45 am] site leased workers of Metro Staff, Inc., and Bartlett Nuclear, Inc., Paducah, Aerotek, including workers whose BILLING CODE 4510–FN–P Kentucky. The Department’s notice of unemployment insurance (UI) wages are determination was published in the reported through D&R Technology LLC, Carol Federal Register on August 6, 2013 (78 Stream, Illinois, who became totally or FR 47780). partially separated from employment on or after August 20, 2012, through September 5, At the request of the company official, 2015, and all workers in the group threatened the Department reviewed the with total or partial separation from certification for workers of the subject employment on date of certification through firm. The workers were engaged in the two years from the date of certification, are production of low enrichment uranium. eligible to apply for adjustment assistance

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under Chapter 2 of Title II of the Trade Act All workers from Salter Labs, a subsidiary workers of the Milwaukie, Oregon of 1974, as amended. of RoundTable Healthcare Partners, location of Blount International, Signed at Washington, DC, this 24th day of including on-site leased workers from Select Carlton, Blount, Inc. October 2013. Staffing, Kelly Services and Exact Staff, The amended notice applicable to Arvin, California, who became totally or TA–W–83,024 and TA–W–83,024A are Michael W. Jaffe, partially separated from employment on or Certifying Officer, Office of Trade Adjustment after July 22, 2012, through August 2, 2015, hereby issued as follows: Assistance. and all workers in the group threatened with All workers of Blount International, Inc., [FR Doc. 2013–26499 Filed 11–5–13; 8:45 am] total or partial separation from employment including on-site leased workers from BILLING CODE 4510–FN–P on date of certification through two years Express Employment Professionals, Portland, from the date of certification, are eligible to Oregon (TA–W–83,024) and Blount apply for adjustment assistance under International, Carlton, Blount, Inc., including DEPARTMENT OF LABOR Chapter 2 of Title II of the Trade Act of 1974, on-site leased workers from Express as amended. Employment Professionals, Milwaukie, Employment and Training Oregon (TA–W–83,024A), who became Signed at Washington, DC, this 25th day of totally or partially separated from Administration October 2013. employment on or after August 23, 2012, [TA–W–82,926] Del Min Amy Chen, through September 19, 2015, and all workers Certifying Officer, Office of Trade Adjustment in the group threatened with total or partial Salter Labs, a Subsidiary of Assistance. separation from employment on the date of Roundtable Healthcare Partners [FR Doc. 2013–26498 Filed 11–5–13; 8:45 am] certification through two years from the date of certification, are eligible to apply for Including On-Site Leased Workers BILLING CODE 4510–FN–P adjustment assistance under Chapter 2 of From Select Staffing, Kelly Services Title II of the Trade Act of 1974, as amended. and Exact Staff, Arvin, California; Amended Certification Regarding DEPARTMENT OF LABOR Signed in Washington, DC, this 17th day of Eligibility To Apply for Worker October 2013. Adjustment Assistance Employment and Training Michael W. Jaffe, Administration Certifying Officer, Office of Trade Adjustment In accordance with Section 223 of the Assistance. [TA–W–83,024] Trade Act of 1974, as amended (‘‘Act’’), [FR Doc. 2013–26501 Filed 11–5–13; 8:45 am] 19 U.S.C. 2273, the Department of Labor Blount International, Inc., Including BILLING CODE 4510–FN–P issued a Certification of Eligibility To On-Site Leased Workers From Express Apply for Worker Adjustment Employment Professionals, Portland, Assistance on August 2, 2013, Oregon DEPARTMENT OF LABOR applicable to workers of Salter Labs, a subsidiary of RoundTable Healthcare [TA–W–83,024A] Employment and Training Partners, including on-site leased Administration Blount International, Inc., Carlton, workers from Select Staffing and Kelly Blount Including On-Site Leased Services, Arvin, California. The workers Notice of Determinations Regarding Workers From Express Employment are engaged in employment related to Eligibility To Apply for Worker Professionals Milwaukie, Oregon; the production of respiratory products Adjustment Assistance Amended Certification Regarding (medical devices). The notice was Eligibility To Apply for Worker In accordance with Section 223 of the published in the Federal Register on Adjustment Assistance Trade Act of 1974, as amended (19 August 27, 2013 (78 FR 52979). U.S.C. 2273) the Department of Labor At the request of the California State In accordance with Section 223 of the herein presents summaries of agency, the Department reviewed the Trade Act of 1974, as amended (‘‘Act’’), determinations regarding eligibility to certification for workers of the subject 19 U.S.C. 2273, the Department of Labor apply for trade adjustment assistance for firm. New information from the issued a Certification of Eligibility to workers by (TA–W) number issued company shows that workers leased Apply for Worker Adjustment during the period of September 23, 2013 from Exact Staff were employed on-site Assistance on September 19, 2013, through October 18, 2013. at the Arvin, California location of applicable to workers of Blount In order for an affirmative Salter Labs, a subsidiary of RoundTable International, Inc., including on-site determination to be made for workers of Healthcare Partners. The Department leased workers from Express a primary firm and a certification issued has determined that these workers were Employment Professionals Portland, regarding eligibility to apply for worker sufficiently under the control of Salter Oregon. The workers are engaged in adjustment assistance, each of the group Labs to be considered leased workers. activities related to the production of eligibility requirements of Section The intent of the Department’s replacement parts and equipment 222(a) of the Act must be met. certification is to include all workers of including saw chain bars, rims and saw I. Under Section 222(a)(2)(A), the the subject firm who were adversely chains. The notice will be published following must be satisfied: affected by a shift in the production of soon in the Federal Register. (1) A significant number or proportion respiratory products (medical devices) At the request of a company official, of the workers in such workers’ firm to a foreign country. the Department reviewed the have become totally or partially Based on these findings, the certification for workers of the subject separated, or are threatened to become Department is amending this firm. Additional information shows that totally or partially separated; certification to include workers leased worker separations at the Milwaukie, (2) the sales or production, or both, of from Exact Staff working on-site at the Oregon facility are attributable to the such firm have decreased absolutely; Arvin, California location of the subject same shift in production that was the and firm. basis for certifying workers at the (3) One of the following must be The amended notice applicable to Portland, Oregon facility. satisfied: TA–W–82,926 is hereby issued as Accordingly, the Department is (A) Imports of articles or services like follows: amending the certification to include or directly competitive with articles

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produced or services supplied by such eligibility requirements of Section eligibility requirements of Section 222(f) firm have increased; 222(b) of the Act must be met. of the Act must be met. (B) imports of articles like or directly (1) a significant number or proportion (1) the workers’ firm is publicly competitive with articles into which one of the workers in the public agency have identified by name by the International or more component parts produced by become totally or partially separated, or Trade Commission as a member of a such firm are directly incorporated, are threatened to become totally or domestic industry in an investigation have increased; partially separated; resulting in— (C) imports of articles directly (2) the public agency has acquired (A) an affirmative determination of incorporating one or more component from a foreign country services like or serious injury or threat thereof under parts produced outside the United directly competitive with services section 202(b)(1); States that are like or directly which are supplied by such agency; and (B) an affirmative determination of competitive with imports of articles (3) the acquisition of services market disruption or threat thereof incorporating one or more component contributed importantly to such under section 421(b)(1); or parts produced by such firm have workers’ separation or threat of increased; separation. (C) an affirmative final determination (D) imports of articles like or directly In order for an affirmative of material injury or threat thereof under competitive with articles which are determination to be made for adversely section 705(b)(1)(A) or 735(b)(1)(A) of produced directly using services affected secondary workers of a firm and the Tariff Act of 1930 (19 U.S.C. supplied by such firm, have increased; a certification issued regarding 1671d(b)(1)(A) and 1673d(b)(1)(A)); and eligibility to apply for worker (2) the petition is filed during the 1- (4) the increase in imports contributed adjustment assistance, each of the group year period beginning on the date on importantly to such workers’ separation eligibility requirements of Section which— or threat of separation and to the decline 222(c) of the Act must be met. (A) a summary of the report submitted in the sales or production of such firm; (1) a significant number or proportion to the President by the International or of the workers in the workers’ firm have Trade Commission under section II. Section 222(a)(2)(B) all of the become totally or partially separated, or 202(f)(1) with respect to the affirmative following must be satisfied: are threatened to become totally or determination described in paragraph (1) A significant number or proportion partially separated; (1)(A) is published in the Federal of the workers in such workers’ firm (2) the workers’ firm is a Supplier or Register under section 202(f)(3); or have become totally or partially Downstream Producer to a firm that (B) notice of an affirmative separated, or are threatened to become employed a group of workers who determination described in totally or partially separated; received a certification of eligibility subparagraph (1) is published in the (2) One of the following must be under Section 222(a) of the Act, and Federal Register; and satisfied: such supply or production is related to (3) the workers have become totally or (A) There has been a shift by the the article or service that was the basis partially separated from the workers’ workers’ firm to a foreign country in the for such certification; and firm within— production of articles or supply of (3) either— services like or directly competitive (A) the workers’ firm is a supplier and (A) the 1-year period described in with those produced/supplied by the the component parts it supplied to the paragraph (2); or workers’ firm; firm described in paragraph (2) (B) notwithstanding section 223(b)(1), (B) there has been an acquisition from accounted for at least 20 percent of the the 1-year period preceding the 1-year a foreign country by the workers’ firm production or sales of the workers’ firm; period described in paragraph (2). of articles/services that are like or or Affirmative Determinations for Worker directly competitive with those (B) a loss of business by the workers’ Adjustment Assistance produced/supplied by the workers’ firm; firm with the firm described in and paragraph (2) contributed importantly to The following certifications have been (3) the shift/acquisition contributed the workers’ separation or threat of issued. The date following the company importantly to the workers’ separation separation. name and location of each or threat of separation. In order for an affirmative determination references the impact In order for an affirmative determination to be made for adversely date for all workers of such determination to be made for adversely affected workers in firms identified by determination. affected workers in public agencies and the International Trade Commission and The following certifications have been a certification issued regarding a certification issued regarding issued. The requirements of Section eligibility to apply for worker eligibility to apply for worker 222(a)(2)(A) (increased imports) of the adjustment assistance, each of the group adjustment assistance, each of the group Trade Act have been met.

TA–W No. Subject firm Location Impact date

82,723 ...... Glit Microtron, Continental Commercial Products ...... Wrens, GA ...... May 7, 2012.

The following certifications have been services) of the Trade Act have been issued. The requirements of Section met. 222(a)(2)(B) (shift in production or

TA–W No. Subject firm Location Impact date

82,973 ...... DHX Media LTD., Formerly Known as WildBrain ...... Sherman Oaks, CA ...... August 9, 2012. 82,976 ...... CQ Sourcing, Inc., General Parts, Inc ...... New Castle, IN ...... August 12, 2012.

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TA–W No. Subject firm Location Impact date

82,983 ...... Parker Hannifin Corporation, Medical Systems Division, Kimco Staffing Riverside, CA ...... August 9, 2012. 82,999 ...... ATOS IT Solutions and Services, Inc., Billing and Collections Depart- Mason, OH ...... August 16, 2012. ment. 83,016 ...... Fairchild Semiconductor, Product Development Group ...... West Jordan, UT ...... August 15, 2012. 83,018 ...... Gamesa Wind US, LLC, Gamesatechnology Corporation, Inc ...... Ebensburg, PA ...... August 21, 2012. 83,034 ...... West Point Products Acquisition, LLC, Clover Technologies Group, Valley Grove, WV ...... August 28, 2012. LLC, Kelly Services. 83,036 ...... Manpower Group, Working On-Site at IBM Corporation ...... Camp Hill, PA ...... August 28, 2012. 83,043 ...... Volcano Corporation, Rancho Cordova Division, Aerotek Staffing, Ox- Rancho Cordova, CA ...... August 29, 2012. ford Staffing, etc. 83,075 ...... Power One Renewable Energy, Renewable Energy Division, Power Phoenix, AZ ...... September 5, 2012. One, Inc. 83,083 ...... American Wyott Corporation, d/b/a APW Wyott, Standex Int’l, Adecco, Cheyenne, WY ...... September 11, 2012. Express, SOS, Advance, and Aerotek.

The following certifications have been are certified eligible to apply for TAA) issued. The requirements of Section of the Trade Act have been met. 222(c) (supplier to a firm whose workers

TA–W number Subject firm Location Impact date

83,044 ...... Spirit Aerosystems, Inc., Zero Chaos, Apollo, Butler, CTS, Foster De- Wichita, KS ...... August 29, 2012. sign, etc.

The following certifications have been 222(c) (downstream producer for a firm apply for TAA) of the Trade Act have issued. The requirements of Section whose workers are certified eligible to been met.

TA–W number Subject firm Location Impact date

82,927 ...... Honeywell, Aeronautics Division, Aerotek, Manpower, Nesco and PDS Strongsville, OH ...... July 16, 2012. Tech.

Negative Determinations for Worker criteria for worker adjustment assistance (increased imports) and (a)(2)(B) (shift Adjustment Assistance have not been met for the reasons in production or services to a foreign specified. country) of section 222 have not been In the following cases, the The investigation revealed that the met. investigation revealed that the eligibility criteria under paragraphs(a)(2)(A)

TA–W number Subject firm Location Impact date

82,681 ...... Star City Machine ...... Roanoke, VA. 82,871 ...... Rafko Enterprises, Inc., Manpower, Ruggieri Enterprises, Spherion Lock Haven, PA. Staffing. 82,985 ...... Von Hoffmann Corporation, RR Donnelley and Sons, Jefferson City Jefferson City, MO. Plant, Employment Plus, Manpower. 83,002 ...... PVH Corp., Warehousing and Distribution Center ...... Duncansville, PA. 83,002A ...... PVH Corp., Warehousing and Distribution Center ...... Huntingdon, PA. 83,025 ...... Baxter Healthcare Corporation, Baxter International, Medical Products .. Buffalo Grove, IL.

Determinations Terminating on the Department’s Web site, as The following determinations Investigations of Petitions for Worker required by Section 221 of the Act (19 terminating investigations were issued Adjustment Assistance U.S.C. 2271), the Department initiated because the petitioner has requested After notice of the petitions was investigations of these petitions. that the petition be withdrawn. published in the Federal Register and

TA–W No. Subject firm Location Impact date

83,017 ...... Ryerson ...... Jenison, MI. 83,116 ...... Print Plus, Inc ...... Santa Ana, CA.

The following determinations filed in accordance with the by at least three individuals of the terminating investigations were issued requirements of 29 CFR 90.11. Every petitioning worker group. Petitioners in cases where these petitions were not petition filed by workers must be signed separated more than one year prior to

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the date of the petition cannot be therefore, may not be part of a more of these reasons, these petitions covered under a certification of a petitioning worker group. For one or were deemed invalid. petition under Section 223(b), and

TA–W No. Subject firm Location Impact date

83,037 ...... BCforward ...... Indianapolis, IN.

The following determinations workers are covered by active no purpose since the petitioning group terminating investigations were issued certifications. Consequently, further of workers cannot be covered by more because the petitioning groups of investigation in these cases would serve than one certification at a time.

TA–W No. Subject firm Location Impact date

83,078 ...... TE Connectivity, Industrial Relays ...... Winston-Salem, NC.

The following determinations because the petitions are the subject of filed earlier covering the same terminating investigations were issued ongoing investigations under petitions petitioners.

TA–W No. Subject firm Location Impact date

82,991 ...... Bausch & Lomb Incorporated, Bausch and Rochester, NY. Lomb Place Facility. 82,991A ...... Bausch & Lomb Incorporated, N. Goodman Rochester, NY. Street Facility.

I hereby certify that the DEPARTMENT OF LABOR The petitioners or any other persons aforementioned determinations were showing a substantial interest in the issued during the period of September Employment and Training subject matter of the investigations may 23, 2013 through October 18, 2013. Administration request a public hearing, provided such These determinations are available on Investigations Regarding Eligibility To request is filed in writing with the the Department’s Web site tradeact/taa/ Apply for Worker Adjustment Director, Office of Trade Adjustment taalsearchlform.cfm under the Assistance Assistance, at the address shown below, searchable listing of determinations or not later than November 18, 2013. Petitions have been filed with the by calling the Office of Trade Interested persons are invited to Secretary of Labor under Section 221 (a) Adjustment Assistance toll free at 888– submit written comments regarding the 365–6822. of the Trade Act of 1974 (‘‘the Act’’) and are identified in the Appendix to this subject matter of the investigations to Signed at Washington, DC, this 24th day of notice. Upon receipt of these petitions, the Director, Office of Trade Adjustment October 2013. the Director of the Office of Trade Assistance, at the address shown below, Michael W. Jaffe, Adjustment Assistance, Employment not later than November 18, 2013. Certifying Officer, Office of Trade Adjustment and Training Administration, has The petitions filed in this case are Assistance. instituted investigations pursuant to available for inspection at the Office of [FR Doc. 2013–26504 Filed 11–5–13; 8:45 am] Section 221 (a) of the Act. the Director, Office of Trade Adjustment BILLING CODE 4510–FN–P The purpose of each of the Assistance, Employment and Training investigations is to determine whether Administration, U.S. Department of the workers are eligible to apply for Labor, Room N–5428, 200 Constitution adjustment assistance under Title II, Avenue NW., Washington, DC 20210. Chapter 2, of the Act. The investigations will further relate, as appropriate, to the Signed at Washington, DC, this 25th day of determination of the date on which total October 2013. or partial separations began or Michael W. Jaffe, threatened to begin and the subdivision Certifying Officer, Office of Trade Adjustment of the firm involved. Assistance. APPENDIX [54 TAA petitions instituted between 9/23/13 and 10/18/13]

TA–W Subject firm Date of Date of No. (petitioners) Location institution petition

83102 ...... Pearl Pressman Liberty Communications Group (Union) .... Philadelphia, PA ...... 09/23/13 09/20/13 83103 ...... EC Pigments USA Inc. (Company) ...... Fall River, MA ...... 09/23/13 09/20/13 83104 ...... Rhythm & Hues Studios (State/One-Stop) ...... El Segundo, CA ...... 09/24/13 09/23/13 83105 ...... Clear Pine Mouldings (State/One-Stop) ...... Prineville, OR ...... 09/24/13 09/23/13 83106 ...... Janesville Acoustics (Union) ...... Norwalk, OH ...... 09/24/13 09/16/13

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APPENDIX—Continued [54 TAA petitions instituted between 9/23/13 and 10/18/13]

TA–W Subject firm Date of Date of No. (petitioners) Location institution petition

83107 ...... American Sintered Technologies (Workers) ...... Emporium, PA ...... 09/24/13 09/24/13 83108 ...... Berkebile Excavating Inc. working on-site at Johnstown Johnstown, PA ...... 09/24/13 09/23/13 Specialty Castings (Workers). 83109 ...... Jewish Board of Family and Children Services (State/One- New York, NY ...... 09/25/13 09/24/13 Stop). 83110 ...... TK Holding, Inc. (Company) ...... San Antonio, TX ...... 09/25/13 08/30/13 83110A ...... TK Holding, Inc. (Company) ...... Greensboro, NC ...... 09/25/13 08/30/13 83111 ...... Seton Identification (State/One-Stop) ...... Branford, CT ...... 09/25/13 09/24/13 83112 ...... American Fuji Seal, Inc. (Workers) ...... Anaheim, CA ...... 09/25/13 09/20/13 83113 ...... J P Morgan Chase, Consumer Direct, Superstreamline, Westerville, OH ...... 09/25/13 09/24/13 HIARP Loans (Workers). 83114 ...... Plantronics Inc (Workers) ...... Santa Cruz, CA ...... 09/25/13 09/24/13 83115 ...... Lester Electrical (State/One-Stop) ...... Lincoln, NE ...... 09/25/13 09/24/13 83116 ...... Print Plus, Inc. (State/One-Stop) ...... Santa Ana, CA ...... 09/25/13 09/24/13 83117 ...... Citi Group (Workers) ...... Fort Mill, SC ...... 09/25/13 09/24/13 83118 ...... Aleris Specifications Alloys, INC (Union) ...... Saginaw, MI ...... 09/26/13 09/25/13 83119 ...... Times Fiber Communications (Company) ...... Chatham, VA ...... 09/26/13 09/25/13 83120 ...... CEMEX (Workers) ...... West Palm Beach, FL ...... 09/26/13 09/20/13 83121 ...... Parkersburg Bedding LLC (Union) ...... Parksburg, WV ...... 09/27/13 09/26/13 83122 ...... YP Holdings LLC (Union) ...... Saint Louis, MO ...... 09/27/13 09/26/13 83123 ...... Osram Sylvania, Inc. (State/One-Stop) ...... Manchester, NH ...... 09/27/13 09/26/13 83124 ...... Aptuit (State/One-Stop) ...... Harrisonville, MO ...... 09/30/13 09/27/13 83125 ...... Acushnet Company (Workers) ...... New Bedford, MA ...... 09/30/13 09/26/13 83126 ...... Abbott Laboratories (State/One-Stop) ...... Temecula, CA ...... 09/30/13 09/27/13 83127 ...... Robert Bosch Tool Corp, Measuring Tools Unit (Company) Watseka, IL ...... 09/30/13 09/27/13 83128 ...... Catalyst Paper (Union) ...... Snowflake, AZ ...... 10/17/13 10/01/13 83129 ...... International Paper Company (Workers) ...... Courtland, AL ...... 10/17/13 10/10/13 83130 ...... Harte Hanks Shoppers Inc. (State/One-Stop) ...... Brea, CA ...... 10/17/13 09/30/13 83131 ...... Boston Scientific (State/One-Stop) ...... Arden Hills, MN ...... 10/17/13 09/30/13 83132 ...... Citigroup Inc. (State/One-Stop) ...... New York, NY ...... 10/17/13 10/11/13 83133 ...... Philips Lighting Company (Union) ...... Franklin Park, IL ...... 10/17/13 10/11/13 83134 ...... Johnson Controls (Workers) ...... El Paso, TX ...... 10/17/13 10/10/13 83135 ...... Chippenhook (State/One-Stop) ...... Lewisville, TX ...... 10/17/13 10/07/13 83136 ...... Southworth Company (Workers) ...... Agawam, MA ...... 10/17/13 10/03/13 83137 ...... W.W. Grainger (State/One-Stop) ...... Niles, IL ...... 10/17/13 10/10/13 83138 ...... Cummins Filtration (Company) ...... Lake Mills, IA ...... 10/17/13 09/30/13 83138A ...... Leased Workers from Whelan Security (Company) ...... Lake Mills, IA ...... 10/17/13 09/30/13 83139 ...... Bloomington Production Operations (Company) ...... Bloomington, IN ...... 10/17/13 09/30/13 83140 ...... Dresser-Rand (Workers) ...... Painted Post, NY ...... 10/17/13 10/03/13 83141 ...... Pitney Bowes, Inc. (Workers) ...... Neenah, WI ...... 10/17/13 09/19/13 83142 ...... JCs 5 Star Outlet (Company) ...... Columbus, OH ...... 10/17/13 10/04/13 83143 ...... Caterpillar, Inc. (Workers) ...... Houston, PA ...... 10/17/13 09/27/13 83144 ...... Dallco Industries, Inc. (State/One-Stop) ...... Rockhill Furnace & York, PA 10/18/13 10/01/13 83145 ...... Westinghouse Fuel Components Facility (Workers) ...... Windsor, CT ...... 10/18/13 10/17/13 83146 ...... Toho Tenax America, Inc. (Company) ...... Rockwood, TN ...... 10/18/13 10/03/13 83147 ...... Warren Corporation (State/One-Stop) ...... Stafford Springs, CT ...... 10/18/13 10/17/13 83148 ...... Premier Pet Products (Company) ...... Midlothian, VA ...... 10/18/13 10/10/13 83149 ...... Navistar, Inc (Union) ...... Fort Wayne, IN ...... 10/18/13 10/09/13 83150 ...... Advanced Energy (Company) ...... Bend, OR ...... 10/18/13 10/17/13 83151 ...... Medtronic (State/One-Stop) ...... Minneapolis, MN ...... 10/18/13 10/17/13 83152 ...... Tennessee Apparel Corp. (Company) ...... Waynesboro, TN ...... 10/18/13 10/03/13 83153 ...... Motorola Solutions (Workers) ...... Schaumburg, IL ...... 10/18/13 10/17/13

[FR Doc. 2013–26503 Filed 11–5–13; 8:45 am] BILLING CODE 4510–FN–P

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NATIONAL TRANSPORTATION Anthony P. Scardino, Chief Financial the NRC’s PDR, Room O1–F21, One SAFETY BOARD Officer, U.S. Patent and Trademark White Flint North, 11555 Rockville Office (Alternate). Pike, Rockville, Maryland 20852. SES Performance Review Board Candi R. Bing, FOR FURTHER INFORMATION CONTACT: Jeffrey Ciocco, Office of New Reactors, Federal Register Coordinator. AGENCY: National Transportation Safety U.S. Nuclear Regulatory Commission, Board. [FR Doc. 2013–26588 Filed 11–5–13; 8:45 am] Washington, DC 20555–0001; telephone: BILLING CODE P ACTION: Notice; Correction. 301–415–6391; email: Jeff.Ciocco@ nrc.gov. SUMMARY: The NTSB published a NUCLEAR REGULATORY SUPPLEMENTARY INFORMATION: By letter document in the Federal Register on COMMISSION dated September 30, 2013, KHNP and October 1, 2013, giving Notice of the KEPCO filed with the NRC, pursuant to [Project No. 0782; NRC–2013–0244] appointment of members of the National Section 103 of the Atomic Energy Act and part 52 of Title 10 of the Code of Transportation Safety Board, Korea Hydro and Nuclear Power Co., Federal Regulations (10 CFR), an Performance Review Board (PRB). This Ltd., and Korea Electric Power application for standard design document contained incorrect names. Corporation certification of the APR1400 Standard FOR FURTHER INFORMATION CONTACT: AGENCY: Nuclear Regulatory Plant Design. Emily T. Carroll, Chief, Human Commission. The APR1400 stands for Advanced Resources Division, Office of ACTION: Notice of receipt; availability. Power Reactor with a 1,400 megawatts Administration, National Transportation electrical power and two-loop Safety Board, 490 L’Enfant Plaza SW., SUMMARY: The U.S. Nuclear Regulatory pressurized water reactor, developed in Washington, DC 20594–0001, (202)314– Commission (NRC) staff acknowledges the Republic of Korea. Based on the self- 6233. receipt of the application for a standard reliant technologies and experiences design certification of the APR1400 from the design, construction, operation Correction Standard Plant Design submitted by and maintenance of the Optimized Korea Hydro and Nuclear Power Co., Power Reactor 1000 (OPR1000), the SUPPLEMENTARY INFORMATION: Section Ltd. (KHNP) and Korea Electric Power APR1400 adopts advanced design 4314(c)(1) through (5) of Title 5, United Corporation (KEPCO). features to enhance plant safety, States Code requires each agency to ADDRESSES: Please refer to Docket ID economical efficiency, and convenience establish, in accordance with NRC–2013–0244 when contacting the of operation and maintenance. The regulations prescribed by the Office of NRC about the availability of APR1400 application includes the entire Personnel Management, one or more information regarding this document. power generation complex, except those SES Performance Review Boards. The You may access publicly-available elements and features considered site- board reviews and evaluates the initial information related to this action by the specific. The acceptability of the appraisal of a senior executive’s following methods: tendered application for docketing and performance by the supervisor and • Federal Rulemaking Web site: Go to other matters relating to the requested considers recommendations to the http://www.regulations.gov and search rulemaking pursuant to 10 CFR 52.51 appointing authority regarding the for Docket ID NRC–2013–0244. Address for design certification, including performance of the senior executive. questions about NRC dockets to Carol provisions for participation of the The following have been designated Gallagher; telephone: 301–287–3422; public and other parties, will be the as members of the Performance Review email: [email protected]. For subject of subsequent Federal Register Board of the National Transportation technical questions, contact the notices. Safety Board: individual listed in the FOR FURTHER Dated at Rockville, Maryland, this 30th day INFORMATION CONTACT section of this of October 2013. The Honorable Christopher A. Hart, document. For the Nuclear Regulatory Commission. Member, National Transportation • NRC’S Agencywide Documents Jeffrey A. Ciocco, Safety Board; PRB Chair. Access and Management System (ADAMS): You may access publicly Senior Project Manager, Environmental The Honorable Robert L. Sumwalt, III; Projects Branch 2, Division of New Reactor Member, National Transportation available documents online in the NRC Licensing, Office of New Reactors. Safety Board. Library at http://www.nrc.gov/reading- rm/adams.html. To begin the search, [FR Doc. 2013–26539 Filed 11–5–13; 8:45 am] Steven E. Goldberg, Chief Financial select ‘‘ADAMS Public Documents’’ and BILLING CODE 7590–01–P Officer, National Transportation then select ‘‘Begin Web-based ADAMS Safety Board. Search.’’ For problems with ADAMS, NUCLEAR REGULATORY John Cavolowsky, Director, Airspace please contact the NRC’s Public COMMISSION Systems Program Office, National Document Room (PDR) reference staff at Aeronautics and Space 1–800–397–4209, 301–415–4737, or by [Docket Nos. 52–034 and 52–035; Administration. email to [email protected]. The NRC–2008–0594] ADAMS accession number for each Jerold Gidner, Deputy Director, Office of Luminant Generation Company, LLC document referenced in this document Strategic Employee and (if that document is available in Organizational Development, AGENCY: Nuclear Regulatory ADAMS) is provided the first time that Department of the Interior. Commission. the document is referenced. The ACTION: Notice of receipt; availability. David L. Mayer, Managing Director, application is available in ADAMS National Transportation Safety Board under Accession No. ML13281A699. SUMMARY: The U.S. Nuclear Regulatory (substitute only for Mr. Goldberg’s • NRC’S PDR: You may examine and Commission (NRC) is giving notice once rating review). purchase copies of public documents at each week for four consecutive weeks of

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a combined license (COL) application two United States-Advanced Section 12(i) of the Railroad from Luminant Generation Company, Pressurized Water Reactors designated Unemployment Insurance Act (RUIA), LLC. (Luminant). as Comanche Peak Nuclear Power Plant, authorizes the RRB to establish, ADDRESSES: Please refer to Docket ID Units 3 and 4, in Somervell County, maintain, and operate free employment NRC–2008–0594 when contacting the Texas. offices to provide claimants for NRC about the availability of This COL application is currently unemployment benefits with job information regarding this document. under review by the NRC staff. placement opportunities. Section 704(d) You may access publicly-available An applicant may seek a COL in of the Regional Railroad Reorganization information related to this document accordance with Subpart C of 10 CFR Act of 1973, as amended, and as using any of the following methods: Part 52. The information submitted by extended by the Consolidated Omnibus • Federal Rulemaking Web site: Go to the applicant includes certain Budget Reconciliation Act of 1985, http://www.regulations.gov and search administrative information, such as required the RRB to maintain and for Docket ID NRC–2008–0594. Address financial qualifications submitted distribute a list of railroad job vacancies, questions about NRC dockets to Carol pursuant to 10 CFR 52.77, as well as by class and craft, based on information Gallagher; telephone: 301–287–3422; technical information submitted furnished by rail carriers to the RRB. email: [email protected]. For pursuant to 10 CFR 52.79. These notices Although the requirement under the law technical questions, contact the are being provided in accordance with expired effective August 13, 1987, the individual(s) listed in the FOR FURTHER the requirements in 10 CFR 50.43(a)(3). RRB has continued to obtain this INFORMATION CONTACT section of this Dated at Rockville, Maryland, this 30th day information in keeping with its document. of October 2013. • employment service responsibilities NRC’s Agencywide Documents For the Nuclear Regulatory Commission. under Section 12(k) of the RUIA. Access and Management System Jennifer Dixon-Herrity, Application procedures for the job (ADAMS): You may access publicly placement program are prescribed in 20 available documents online in the NRC Chief Licensing Branch 2, Division of New Reactor Licensing, Office of New Reactors. CFR part 325. The procedures Library at http://www.nrc.gov/reading- [FR Doc. 2013–26535 Filed 11–5–13; 8:45 am] pertaining to the RRB’s obtaining and rm/adams.html. To begin the search, distributing job vacancy reports select ‘‘ADAMS Public Documents’’ and BILLING CODE 7590–01–P furnished by rail carriers are described then select ‘‘Begin Web-based ADAMS in 20 CFR 346.1. Search.’’ For problems with ADAMS, please contact the NRC’s Public RAILROAD RETIREMENT BOARD The RRB currently utilizes four forms Document Room (PDR) reference staff at to obtain information needed to carry Proposed Collection; Comment 1–800–397–4209, 301–415–4737, or by out its job placement responsibilities. Request email to [email protected]. The Form ES–2, Central Register ADAMS accession number for each Summary: In accordance with the Notification, is used by the RRB to document referenced in this document requirement of Section 3506 (c)(2)(A) of obtain information needed to update a (if that document is available in the Paperwork Reduction Act of 1995 computerized central register of ADAMS) is provided the first time that which provides opportunity for public separated and furloughed railroad a document is referenced. comment on new or revised data employees available for employment in • NRC’s PDR: You may examine and collections, the Railroad Retirement the railroad industry. Forms ES–21, purchase copies of public documents at Board (RRB) will publish periodic Referral to State Employment Service, the NRC’s PDR, Room O1–F21, One summaries of proposed data collections. and ES–21c, Report of State White Flint North, 11555 Rockville Comments are invited on: (a) Whether Employment Service Office, are used by Pike, Rockville, Maryland 20852. the proposed information collection is the RRB to provide placement assistance FOR FURTHER INFORMATION CONTACT: necessary for the proper performance of for unemployed railroad employees Stephen Monarque, Office of New the functions of the agency, including through arrangements with State Reactors, U.S. Nuclear Regulatory whether the information has practical Employment Service offices. Form UI– Commission, Washington, DC 20555– utility; (b) the accuracy of the RRB’s 35, Field Office Record of Claimant 0001, telephone: 301–415–1544; email: estimate of the burden of the collection Interview, is used primarily by RRB [email protected]. of the information; (c) ways to enhance field office staff to conduct in-person SUPPLEMENTARY INFORMATION: The the quality, utility, and clarity of the interviews of claimants for following party has filed applications information to be collected; and (d) unemployment benefits. Completion of for COLs with the NRC, pursuant to ways to minimize the burden related to these forms is required to obtain or Section 103 of the Atomic Energy Act of the collection of information on maintain a benefit. In addition, the RRB 1954, as amended, and Title 10 of the respondents, including the use of also collects Railroad Job Vacancies Code of Federal Regulations (10 CFR) automated collection techniques or information received voluntarily from Part 52, ‘‘Licenses, Certifications, and other forms of information technology. railroad employers. No changes are Approvals for Nuclear Power Plants:’’ 1. Title and purpose of information proposed to any of the data collection 1. On September 19, 2008, Luminant collection: Placement Service; OMB instruments associated with the submitted an application for COLs for 3220–0057. information collection.

ESTIMATE OF ANNUAL RESPONDENT BURDEN [The estimated annual respondent burden is as follows]

Annual Time Burden Form No. responses (minutes) (hours)

ES–2 ...... 7,500 .25 31 ES–21 ...... 3,500 .68 40 ES–21c ...... 1,250 1.50 31

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ESTIMATE OF ANNUAL RESPONDENT BURDEN—Continued [The estimated annual respondent burden is as follows]

Annual Time Burden Form No. responses (minutes) (hours)

*UI–35 in person ...... 9,000 7.00 1,050 *UI–35 by mail ...... 1,000 10.50 175 Job Vacancies ...... 750 10.00 125

Total ...... 23,000 ...... 1,452

2. Title and purpose of information recordkeeping, 24 minutes for learning compensation credited to an employee collection: Withholding Certificate for about the law or the form, and 59 during a period when the employee Railroad Retirement Monthly Annuity minutes for preparing the form. claimed either unemployment or Payments; OMB 3220–0149. 3. Title and purpose of information sickness benefits from a railroad The Internal Revenue Code requires collection: Investigation of Claim for employer. The request is generated as a that all payers of tax liable private Possible Days of Employment; OMB result of a computer match that pensions to U.S. citizens or residents: 3220–0196. compares data which is maintained in (1) Notify each recipient at least Under Section 1(k) of the Railroad the RRB’s RUIA Benefit Payment file concurrent with initial withholding that Unemployment Insurance Act (RUIA), with data maintained in the RRB’s the payer is, in fact, withholding unemployment and sickness benefits are records of service. The ID–5S (SUP) is benefits for tax liability and that the not payable for any day remuneration is generated annually when the computer recipient has the option of electing not payable or accrues to the claimant. Also match indicates that an employee of the to have the payer withhold, or to Section 4(a-1) of the RUIA provides that railroad employer was paid withhold at a specific rate; (2) withhold unemployment or sickness benefits are unemployment or sickness benefits for benefits for tax purposes (in the absence not payable for any day the claimant every day in one or more months for of the recipient’s election not to receives the same benefits under any which creditable compensation was withhold benefits); and (3) notify all law other than the RUIA. Under the adjusted at the request of their railroad beneficiaries, at least annually, that they Railroad Retirement Board (RRB) employer on RRB Form BA–4 (OMB have the option to change their regulation 20 CFR 322.4(a), a claimant’s Approved 3220–0008). certification or statement on an RRB- withholding status or elect not to have The computer-generated Form ID–5S provided claim form that he or she did benefits withheld. (SUP) includes pertinent identifying The RRB provides Form RRB–W4P, not work on any day claimed and did information, the BA–4 adjustment Withholding Certificate for Railroad not receive income such as vacation pay process date, and the claimed months in Retirement Payments, to its annuitants or pay for time lost for any day claimed question. Space is provided on the to exercise their withholding options. is sufficient evidence unless there is report for the employer’s use in Completion of the form is required to conflicting evidence. Further, under 20 supplying the information requested in obtain or retain a benefit. One response CFR 322.4(b), when there is a question the computer-generated transmittal is requested of each respondent. No raised as to whether or not letter, Form ID–5S, Railroad changes are proposed to Form RRB remuneration is payable or has accrued Compensation Adjustment Discrepancy W–4P. to a claimant with respect to a claimed Report, which accompanies the report. The RRB estimates that 25,000 day or days, investigation shall be made Completion time is estimated at 10 annuitants utilize Form RRB W–4P with a view to obtaining information minutes. One response is requested of annually. The completion time for Form sufficient for a finding. each respondent. The RRB proposes no RRB W–4P varies depending on Form ID–5S (SUP), Report of Cases for changes to Form ID–5S(SUP). individual circumstances. The Which All Days Were Claimed During a estimated average completion time for Month Credited Per an Adjustment Form RRB W–4P is 39 minutes for Report, collects information about

ESTIMATE OF ANNUAL RESPONDENT BURDEN [The estimated annual respondent burden is as follows]

Annual Time Burden Form No. responses (minutes) (hours)

ID–5S (SUP) ...... 55 10 9

Total ...... 55 ...... 9

4. Title and purpose of information Act (RRA) and the Railroad point of contact with the RRB on a collection: Designation of Contact Unemployment Insurance Act (RUIA). variety of RRA and RUIA-related Officials; 3220–0200. In order to enhance timely coordination matters. Coordination between railroad activity, the RRB utilizes Form G–117a, Completion is voluntary. One employers and the RRB is essential to Designation of Contact Officials. Form response is requested from each properly administer the payment of G–117a is used by railroad employers to respondent. The RRB proposes no benefits under the Railroad Retirement designate employees who are to act as changes to Form G–117a.

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ESTIMATE OF ANNUAL RESPONDENT BURDEN [The estimated annual respondent burden is as follows]

Annual Time Burden Form No. responses (minutes) (hours)

G–117a ...... 100 15 25

Total ...... 100 ...... 25

Additional Information or Comments: Regulatory Organization Plan Governing lots from the list of transactions that are To request more information or to the Collection, Consolidation, and not to be reported for inclusion on the obtain a copy of the information Dissemination of Quotation and consolidated tape. This order approves collection justification, forms, and/or Transaction Information for Nasdaq- the Amendment to the Plan. supporting material, contact Dana Listed Securities Traded on Exchanges II. Description of the Proposal Hickman at (312) 751–4981 or on an Unlisted Trading Privilege Basis [email protected]. Comments (‘‘Nasdaq/UTP Plan’’ or ‘‘Plan’’) filed Currently, Section XIII(B) regarding the information collection with the Securities and Exchange (Transaction Reports) of the Nasdaq/ should be addressed to Charles Commission (‘‘Commission’’) pursuant UTP Plan provides that ‘‘Each Mierzwa, Railroad Retirement Board, to Section 11A of the Securities Participant shall, during the time it is 844 North Rush Street, Chicago, Illinois Exchange Act of 1934 (‘‘Act’’),2 and open for trading, be responsible 60611–2092 or emailed to Rule 608 thereunder,3 a proposal to promptly to collect and transmit to the [email protected]. Written amend the Plan.4 The proposal Processor Transaction Reports in comments should be received within 60 represents Amendment No. 30 to the Eligible Securities executed in its days of this notice. Plan (‘‘Amendment’’) and reflects Market by means prescribed herein.’’ changes unanimously adopted by the However, that section also provides a Charles Mierzwa, Participants.5 The Amendment was list of transactions that ‘‘are not to be Chief of Information Resources Management. published for comment in the Federal reported for inclusion on the [FR Doc. 2013–26538 Filed 11–5–13; 8:45 am] Register on September 23, 2013.6 No consolidated tape.’’ That list includes BILLING CODE 7905–01–P comment letters were received in odd-lot transactions. According to the response to the Notice. The Amendment Participants, ‘‘because odd-lot would require that odd-lot transactions transactions account for a not SECURITIES AND EXCHANGE be reported to the consolidated tape. insignificant percentage of trading COMMISSION The Plan was amended to remove odd- volume, the Participants have determined that including odd-lot [Release No. 34–70793; File No. S7–24–89] Y-Exchange, Inc.; Chicago Board Options Exchange, transactions on the consolidated tape of Incorporated; Chicago Stock Exchange, Inc.; EDGA Joint Industry Plan; Order Approving Exchange, Inc.; EDGX Exchange, Inc.; Financial Nasdaq/UTP last sale prices would add Amendment No. 30 to the Joint Self- Industry Regulatory Authority, Inc.; International post-trade transparency to the 7 Regulatory Organization Plan Securities Exchange LLC; NASDAQ OMX BX, Inc.; marketplace.’’ Accordingly, the NASDAQ OMX PHLX LLC; Nasdaq Stock Market Amendment proposes to add odd-lot Governing the Collection, LLC; National Stock Exchange, Inc.; New York Consolidation and Dissemination of Stock Exchange LLC; NYSE MKT LLC; and NYSE transactions to the consolidated tape by Quotation and Transaction Information Arca, Inc. Each participant executed the proposed removing them from Section XIII(B)’s for Nasdaq-Listed Securities Traded on amendment. list of transactions that are not to be 2 15 U.S.C. 78k–1. reported for inclusion on the Exchanges on an Unlisted Trading 3 17 CFR 242.608. consolidated tape. Privileges Basis Submitted by the 4 The Plan governs the collection, processing, and BATS Exchange, Inc., BATS Y- dissemination on a consolidated basis of quotation Due to the lack of economic Exchange, Inc., Chicago Board information and transaction reports in Eligible significance of many individual odd-lot Securities for each of its Participants. This orders, the Participants did not propose Options Exchange, Incorporated, consolidated information informs investors of the Chicago Stock Exchange, Inc., EDGA current quotation and recent trade prices of Nasdaq to include odd-lot transactions in Exchange, Inc., EDGX Exchange, Inc., securities. It enables investors to ascertain from one calculations of last sale prices. Financial Industry Regulatory data source the current prices in all the markets Therefore, odd-lot transactions would trading Nasdaq securities. The Plan serves as the not be included in calculations of high Authority, Inc., International Securities required transaction reporting plan for its Exchange LLC, NASDAQ OMX BX, Inc., Participants, which is a prerequisite for their and low prices and would not be subject 8 NASDAQ OMX PHLX LLC, Nasdaq trading Eligible Securities. See Securities Exchange to the Limit Up-Limit Down Plan (i.e., Stock Market LLC, National Stock Act Release No. 55647 (April 19, 2007), 72 FR the National Market System Plan to 20891 (April 26, 2007). Address Extraordinary Market Exchange, Inc., New York Stock 5 The proposal was originally designated as Exchange LLC, NYSE MKT LLC, and Amendment No. 31. See Letter from Thomas P. Volatility). Moreover, including odd-lot NYSE Arca, Inc. Knorring, Chairman, Nasdaq/UTP Plan Operating transactions on the consolidated tape Committee to Elizabeth M. Murphy, Secretary, would not trigger short sale restrictions October 31, 2013. Commission, dated September 9, 2013. On September 17, 2013, the Participants filed a letter or trading halts. However, odd-lot I. Introduction to re-designate the proposal as Amendment No. 30 transactions would be included in and to correct a marking error in the Plan language. calculations of daily consolidated On September 9, 2013, the operating See Letter from Thomas P. Knorring, Chairman, volume. committee (‘‘Operating Committee’’ or Nasdaq/UTP Plan Operating Committee to 1 Katherine A. England, Assistant Director, Division ‘‘Committee’’) of the Joint Self- of Trading and Markets, Commission, dated 7 Id. at 58362. September 17, 2013. 8 See Securities Exchange Act Release No. 67091, 1 The Plan Participants (collectively, 6 See Securities Exchange Act Release No. 70429 77 FR 33498 (June 6, 2012) (File No. 4–631) (the ‘‘Participants’’) are the: BATS Exchange, Inc.; BATS (September 17, 2013), 78 FR 58352 (‘‘Notice’’). Limit Up-Limit Down Plan, as originally approved).

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For purposes of allocating revenue thereunder, that the proposed lots from the list of transactions that are among the Participants under the amendment to the Nasdaq/UTP Plan not to be reported for inclusion on the Nasdaq/UTP Plan, the Participants (S7–24–89), be, and hereby is approved. consolidated tape. This order approves would include odd-lot transactions in For the Commission, by the Division of the Amendment to the CTA Plan. the Security Income Allocation for each Trading and Markets, pursuant to delegated II. Description of the Proposal Eligible Security under Paragraph 2 authority.13 (Security Income Allocation) of Exhibit Kevin M. O’Neill, Currently, Section VIII(a) 1 to the Nasdaq/UTP Plan. Just as with Deputy Secretary. (Responsibility of Exchange Participants) of the CTA Plan provides round lot transactions, an odd-lot [FR Doc. 2013–26556 Filed 11–5–13; 8:45 am] transaction with a dollar value of $5000 that each Participant will ‘‘collect and BILLING CODE 8011–01–P or more would constitute one qualified report to the Processor all last sale price transaction report and an odd-lot information to be reported by it relating transaction with a dollar value of less SECURITIES AND EXCHANGE to transactions in Eligible Securities than $5000 would constitute a fraction COMMISSION taking place on its floor.’’ However, of a qualified transaction report that Section VI(d) (Transactions not reported equals the dollar value of the [Release No. 34–70794; File No. SR–CTA– (related messages)) provides a list of transaction report divided by $5000. 2013–05] transactions that ‘‘are not to be reported The Participants do not anticipate that Consolidated Tape Association; Order for inclusion on the consolidated tape.’’ this would produce a significant shift in Approving the Eighteenth Substantive That list includes odd-lot transactions. revenue allocation among the Amendment to the Second According to the Participants, ‘‘because Participants. According to the Restatement of the CTA Plan odd-lot transactions account for a not Participants, this treatment of odd-lot insignificant percentage of trading transactions for revenue allocation October 31, 2013. volume, the Participants have purposes does not require a change to I. Introduction determined that including odd-lot the language of Exhibit 1 to the Nasdaq/ transactions on the consolidated tape of UTP Plan. On September 9, 2013, the CTA last sale prices would add post- Consolidated Tape Association (‘‘CTA’’) III. Discussion and Commission’s trade transparency to the Plan participants (‘‘Participants’’) 1 filed 6 Findings marketplace.’’ Accordingly, the with the Securities and Exchange Amendment proposes to add odd-lot After careful review, the Commission Commission (‘‘Commission’’) pursuant transactions to the consolidated tape by finds that the Amendment to the to Section 11A of the Securities removing them from Section VI(d)’s list 2 Nasdaq/UTP Plan is consistent with the Exchange Act of 1934 (‘‘Act’’), and of transactions that are not to be 3 requirements of the Act and the rules Rule 608 thereunder, a proposal to reported for inclusion on the 9 and regulations thereunder, and, in amend the Second Restatement of the consolidated tape. particular, Section 11A(a)(1)(C)(iii) of CTA Plan (‘‘CTA Plan’’).4 The proposal Due to the lack of economic 10 11 the Act and Rule 608 thereunder in represents the eighteenth substantive significance of many individual odd-lot that it is in the public interest and amendment to the CTA Plan orders, the Participants did not propose appropriate for the protection of (‘‘Amendment’’) and reflects changes to include bids and offers for odd-lots in investors and the maintenance of fair unanimously adopted by the the best bid and best offer calculations and orderly markets to assure the Participants. The Amendment was that the Participants make available availability to brokers, dealers, and published for comment in the Federal under the Consolidated Quotation Plan. investors of information with respect to Register on September 23, 2013.5 No Additionally, the Participants did not transactions in securities. As the comment letters were received in propose to include odd-lot transactions Participants stated in the proposal, odd- response to the Notice. The Amendment in calculations of last sale prices. lot transactions comprise a noteworthy would require that odd-lot transactions Therefore, odd-lot transactions would percentage of total trading volume. be reported to the consolidated tape. not be included in calculations of high Thus, including odd-lot transactions on The Plan was amended to remove odd- and low prices and would not be subject the consolidated tape will enhance post- to the Limit Up-Limit Down Plan 7 (i.e., trade transparency, as well as price 13 17 CFR 200.30–3(a)(27). the National Market System Plan to discovery, and consequently would 1 Each participant executed the proposed amendment. The Participants are: BATS Exchange, Address Extraordinary Market further the goals of the Act. The Volatility). Moreover, including odd-lot Commission believes that information Inc., BATS–Y Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock transactions on the consolidated tape about odd-lot transactions would Exchange, Inc., EDGA Exchange, Inc., EDGX would not trigger short sale restrictions provide important information to Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, or trading halts. However, odd-lot investors and other market participants transactions would be included in and therefore represents a positive LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., Nasdaq Stock Market LLC, National calculations of daily consolidated development in the provision of market Stock Exchange, New York Stock Exchange LLC, volume. data. NYSE MKT LLC, and NYSE Arca, Inc. For purposes of allocating revenue 2 15 U.S.C. 78k–1. among the Participants under the CTA IV. Conclusion 3 17 CFR 242.608. It is therefore ordered, pursuant to 4 See Securities Exchange Act Release No. 10787 Plan, the Participants would include Section 11A of the Act,12 and the rules (May 10, 1974), 39 FR 17799 (declaring the CTA odd-lot transactions in the Security Plan effective). The CTA Plan, pursuant to which Income Allocation for each Eligible markets collect and disseminate last sale price Security under Section XII(a)(ii) 9 In approving the Amendment, the Commission information for non-NASDAQ listed securities, is a has considered the proposed Amendment’s impact ‘‘transaction reporting plan’’ under Rule 601 under (Security Income Allocation) of the CTA on efficiency, competition, and capital formation. the Act, 17 CFR 242.601, and a ‘‘national market 15 U.S.C. 78c(f). system plan’’ under Rule 608 under the Act, 17 CFR 6 Id. at 58363. 10 15 U.S.C. 78k–1(a)(1)(C)(iii). 242.608. 7 See Securities Exchange Act Release No. 67091, 11 17 CFR 240.608. 5 See Securities Exchange Act Release No. 70428 77 FR 33498 (June 6, 2012) (File No. 4–631) (the 12 15 U.S.C. 78k–1. (September 17, 2013), 78 FR 58362 (‘‘Notice’’). Limit Up-Limit Down Plan, as originally approved).

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plan. Just as with round lot transactions, For the Commission, by the Division of submitted by the Exchange but is not an odd-lot transaction with a dollar Trading and Markets, pursuant to delegated attached to the published notice of the 12 value of $5000 or more would constitute authority. filing. one qualified transaction report and an Kevin M. O’Neill, Deputy Secretary. II. Self-Regulatory Organization’s odd-lot transaction with a dollar value Statement of the Purpose of, and of less than $5000 would constitute a [FR Doc. 2013–26557 Filed 11–5–13; 8:45 am] Statutory Basis for, the Proposed Rule fraction of a qualified transaction report BILLING CODE 8011–01–P Change that equals the dollar value of the In its filing with the Commission, CFE transaction report divided by $5000. SECURITIES AND EXCHANGE included statements concerning the The Participants do not anticipate that COMMISSION purpose of and basis for the proposed this would produce a significant shift in rule change and discussed any revenue allocation among the [Release No. 34–70789; File No. SR–CFE– 2013–006] comments it received on the proposed Participants. According to the rule change. The text of these statements Participants, this treatment of odd-lot Self-Regulatory Organizations; CBOE may be examined at the places specified transactions for revenue allocation Futures Exchange, LLC; Notice of in Item IV below. CFE has prepared purposes does not require a change to Filing and Immediate Effectiveness of summaries, set forth in Sections A, B, the language of the CTA Plan. a Proposed Rule Change Relating to and C below, of the most significant III. Discussion and Commission’s the Notification Provisions for aspects of such statements. Findings Exchange of Contract for Related A. Self-Regulatory Organization’s Position Transactions and Block Statement of the Purpose of, and After careful review, the Commission Trades Statutory Basis for, the Proposed Rule finds that the Amendment to the CTA Change Plan is consistent with the requirements October 31, 2013. of the Act and the rules and regulations Pursuant to Section 19(b)(7) of the 1. Purpose Securities Exchange Act of 1934 thereunder,8 and, in particular, Section CFE recently amended the (‘‘Act’’),1 notice is hereby given that on 11A(a)(1)(C)(iii) of the Act 9 and Rule notification and reporting provisions October 17, 2013, CBOE Futures 608 thereunder 10 in that it is in the contained in CFE Rule 414 (which sets Exchange, LLC (‘‘CFE’’ or ‘‘Exchange’’) forth requirements relating to ECRP public interest and appropriate for the filed with the Securities and Exchange transactions) and CFE Rule 415 (which protection of investors and the Commission (‘‘SEC’’ or ‘‘Commission’’) sets forth requirements relating to Block maintenance of fair and orderly markets the proposed rule change described in Trades).3 One provision of the recent to assure the availability to brokers, Items I, II, and III below, which Items amendment was to extend the time dealers, and investors of information have been prepared by CFE. The frames during which ECRP transactions with respect to transactions in Commission is publishing this notice to and Block Trades may be reported. As securities. As the Participants stated in solicit comments on the proposed rule described in SR–CFE–2013–005, the the proposal, odd-lot transactions change from interested persons. CFE impetus for that filing was the first comprise a noteworthy percentage of also has filed this proposed rule change phase of implementation of the total trading volume. Thus, including with the Commodity Futures Trading expansion of extended trading hours for odd-lot transactions on the consolidated Commission (‘‘CFTC’’). CFE filed a CBOE Volatility Index (‘‘VIX’’) futures.4 tape will enhance post-trade written certification with the CFTC The current proposal seeks to amend the transparency, as well as price discovery, under Section 5c(c) of the Commodity notification provisions of CFE Rules 414 Exchange Act (‘‘CEA’’) 2 on October 17, and consequently would further the and 415 in connection with 2013. goals of the Act. The Commission implementation of the second phase of believes that information about odd-lot I. Self-Regulatory Organization’s the extension of extended trading hours transactions would provide important Description of the Proposed Rule for VIX futures. information to investors and other Change The CFE Help Desk will now be market participants and therefore CFE proposes to revise the staffed to support VIX futures trading represents a positive development in the notification provisions contained in CFE that commences at 2:00 a.m. (instead of provision of market data. Rules 414 (Exchange of Contract for 7:00 a.m.) on calendar days Monday through Friday. As a result, the IV. Conclusion Related Position) (‘‘ECRP’’) and 415 (Block Trading). Exchange is proposing to amend the It is therefore ordered, pursuant to The scope of this filing is limited notification provisions for ECRP Section 11A of the Act,11 and the rules solely to the application of the rule transactions and Block trades that were thereunder, that the proposed changes to security futures traded on 3 amendment to the CTA Plan (SR–CTA– See Securities Exchange Act Release No. 70611 CFE. The only security futures currently (October 4, 2013) [sic] (Notice of Filing and 2013–05), be, and hereby is approved. traded on CFE are traded under Chapter Immediate Effectiveness of a Proposed Rule Change 16 of CFE’s Rulebook which is Relating to the Notification and Reporting applicable to Individual Stock Based Provisions for Exchange of Contract for Related Position Transactions and Block Trades) (SR–CFE– and Exchange-Traded Fund Based 2013–005). Volatility Index (‘‘Volatility Index’’) 4 All times included in this filing and in CFE’s 8 In approving the Amendment, the Commission security futures. Rules are Chicago time. The first phase of expanded has considered the proposed Amendment’s impact The text of the proposed rule change extended trading hours introduces an additional 45- on efficiency, competition, and capital formation. is attached as Exhibit 4 to the filing minute extended trading hours period from 3:30 15 U.S.C. 78c(f). p.m.–4:15 p.m. Monday through Thursday for VIX futures. The second phase will change the time that 9 15 U.S.C. 78k–1(a)(1)(C)(iii). 12 17 CFR 200.30–3(a)(27). trading starts on a calendar day from 7:00 a.m. to 10 17 CFR 240.608. 1 15 U.S.C. 78s(b)(7). 2:00 a.m. for Business Days Monday through Friday 11 15 U.S.C. 78k–1. 2 7 U.S.C. 7a–2(c). for VIX futures.

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previously based on a 7:00 a.m. start to C. Self-Regulatory Organization’s provisions of 5 U.S.C. 552, will be a calendar day to be based on a 2:00 Statement on Comments on the available for Web site viewing and a.m. start to a calendar day. Proposed Rule Change Received From printing in the Commission’s Public Accordingly, the Exchange is proposing Members, Participants, or Others Reference Room, 100 F Street NE., to change all references to ‘‘7:00 a.m.’’ No written comments were solicited Washington, DC 20549, on official to ‘‘2:00 a.m.’’ in the charts that are set or received with respect to the proposed business days between the hours of forth in CFE Rules 414(i) and 415(g). No rule change. 10:00 a.m. and 3:00 p.m. Copies of such other changes are being proposed by filing also will be available for III. Date of Effectiveness of the this rule change. inspection and copying at the principal Proposed Rule Change and Timing for offices of the Exchange. All comments 2. Statutory Basis Commission Action received will be posted without change; The proposed rule change will the Commission does not edit personal The Exchange believes that the become operative on or after November identifying information from proposed rule change is consistent with 1, 2013. submissions. You should submit only Section 6(b) of the Act,5 in general, and At any time within 60 days of the date information that you wish to make furthers the objectives of Section of effectiveness of the proposed rule available publicly. All submissions 6(b)(5) 6 in particular in that it is change, the Commission, after should refer to File Number SR–CFE– designed to foster cooperation and consultation with the CFTC, may 2013–006, and should be submitted on coordination with persons engaged in summarily abrogate the proposed rule or before November 27, 2013. facilitating transactions in securities, to change and require that the proposed For the Commission, by the Division of remove impediments to and perfect the rule change be refiled in accordance Trading and Markets, pursuant to delegated mechanism of a free and open market with the provisions of Section 19(b)(1) authority.8 and a national market system, and in of the Act.7 Kevin M. O’Neill, general, to protect investors and the IV. Solicitation of Comments Deputy Secretary. public interest. [FR Doc. 2013–26554 Filed 11–5–13; 8:45 am] Interested persons are invited to The Exchange believes that the submit written data, views, and BILLING CODE 8011–01–P proposed rule change would benefit arguments concerning the foregoing, investors and market participants including whether the proposed rule SECURITIES AND EXCHANGE because it would enhance CFE’s ECRP change is consistent with the Act. COMMISSION and Block Trade reporting provisions by Comments may be submitted by any of extending the time frames during which the following methods: [Release No. 34–70791; File No. SR–CHX– 2013–16] ECRP transactions and Block Trades Electronic Comments may be reported. The Exchange also • Self-Regulatory Organizations; believes that the proposed rule change Use the Commission’s Internet comment form (http://www.sec.gov/ Chicago Stock Exchange, Inc.; Order is equitable and not unfairly Approving a Proposed Rule Change To discriminatory because amended CFE rules/sro.shtml); or • Send an email to rule-comments@ Adopt Standards for the Cancellation Rules 414 and 415 would apply to all sec.gov. Please include File Number or Adjustment of Bona Fide Error TPHs and Authorized Reporters and do SR–CFE–2013–006 on the subject line. Trades, the Submission of Error not discriminate between market Correction Transactions, and the participants. Paper Comments Cancellation or Adjustment of Stock • Leg Trades of Stock-Option or Stock- B. Self-Regulatory Organization’s Send paper comments in triplicate to Elizabeth M. Murphy, Secretary, Future Orders Statement on Burden on Competition Securities and Exchange Commission, October 31, 2013. CFE does not believe that the 100 F Street NE., Washington, DC proposed rule change will impose any 20549–1090. I. Introduction burden on competition not necessary or All submissions should refer to File On September 4, 2013, Chicago Stock appropriate in furtherance of the Number SR–CFE–2013–006. This file Exchange, Inc. (‘‘Exchange’’ or ‘‘CHX’’) purposes of the Act, in that the rule number should be included on the filed with the Securities and Exchange change makes enhancements to CFE’s subject line if email is used. To help the Commission (‘‘Commission’’), pursuant Block Trade and ECRP reporting Commission process and review your to Section 19(b)(1) of the Securities process. In addition, the Exchange comments more efficiently, please use Exchange Act of 1934 (‘‘Act’’) 1 and Rule believes that the expansion of the ability only one method. The Commission will 19b–4 thereunder,2 a proposed rule to report Block Trades and ECRP post all comments on the Commission’s change to amend CHX Article 20, Rule Internet Web site (http://www.sec.gov/ transactions in security futures in 9 to outline and clarify the Exchange’s rules/sro.shtml). Copies of the conjunction with the expansion of current requirements for the submission, all subsequent trading hours in VIX futures will cancellation of trades based on Bona amendments, all written statements Fide Error and to establish new promote competition because it will with respect to the proposed rule provide for the reporting and requirements for the adjustment of change that are filed with the trades based on Bona Fide Error; to dissemination of security futures Block Commission, and all written adopt CHX Article 20, Rule 9A to detail Trades and ECRPs during additional communications relating to the the Exchange’s current requirements for time frames which will serve to promote proposed rule change between the Error Correction Transactions; and to additional transparency and thus Commission and any person, other than adopt CHX Article 20, Rule 11 to amend potential further price competition. those that may be withheld from the public in accordance with the 8 17 CFR 200.30–3(a)(12). 5 15 U.S.C. 78f(b). 1 15 U.S.C. 78s(b)(1). 6 15 U.S.C. 78f(b)(5). 7 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b–4.

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the Exchange’s current requirements for market centers are not within the in error, provided that the following the cancellation of the stock leg trade of purview of proposed Rule 9.6 requirements are satisfied: (1) The a Stock-Option order, to establish new Proposed paragraph (b) states that the erroneous transaction was the result of requirements for the adjustment of the Exchange may approve a request for a a ‘‘Bona Fide Error,’’ as defined under stock leg trade of a Stock-Option order, trade cancellation or adjustment proposed Article 1, Rule 1(hh); (2) the and to allow the stock leg trade of Stock- pursuant to this Rule and take the Bona Fide Error is evidenced by Future orders to be cancelled or corrective action(s) necessary to objective facts and circumstances and adjusted. The proposed rule change was effectuate such a cancellation or the Participant maintains published for comment in the Federal adjustment, provided that the items documentation of such facts and Register on September 18, 2013.3 The listed thereunder are submitted to the circumstances; (3) the Participant Commission received no comments on Exchange, in a form prescribed by the recorded the ECT in its error account; the proposal. This order approves the Exchange, by the Participant that (4) the Participant established, proposed rule change. submitted the erroneous trade. Proposed maintained, and enforced written Rule 9 requires the Participant that policies and procedures that were II. Description of the Proposed Rule submitted the erroneous trade to: (1) reasonably designed to address the Change 4 Submit a written request for occurrence of errors and, in the event of cancellation or adjustment, including all an error, the use and terms of an ECT Current Article 20, Rule 9 governs the information and supporting to correct the error in compliance with cancellation of both trades based on documentation required by proposed this Rule; and (5) the Participant demonstrable error and stock legs of Rule 9, no later than 4:30 p.m. CST on regularly surveilled to ascertain the Stock-Option orders. Among other T+1, except such a request may be effectiveness of its policies and things, the Exchange proposes to submitted after T+1 in extraordinary procedures to address errors and separate current Article 20, Rule 9 into circumstances with the approval of an transactions to correct errors and took two different rules: proposed Rule 9 sets officer of the Exchange; (2) identify the prompt action to remedy deficiencies in forth the requirements for the error that is a ‘‘Bona Fide Error’’ and the such policies and procedures. cancellation of trades based on source of the Bona Fide Error, and Proposed Rule 9A(b) states that an demonstrable error, and proposed Rule provide supporting documentation ECT may execute without the 11 sets forth the requirements for the showing the objective facts and restrictions of the trade-through cancellation of the stock leg of a Stock- circumstances concerning the Bona Fide prohibition of Rule 611, provided that Error; and (3) provide supporting Option order. the ECT is marked with a special Bona documentation evidencing that all Fide Error trade indicator. Proposed A. Proposed Article 20, Rule 9: parties consent to the requested Rule 9A(b) further states that this Cancellation or Adjustment of Bona cancellation or adjustment. Fide Error Trades Proposed Rule 9(c) provides that a exemption applies only to the ECT itself trade adjustment will be made only to and does not, for example, apply to any Proposed Rule 9(a) states that a trade the extent necessary to correct the Bona subsequent trades made by a Participant executed on the Exchange in ‘‘Bona Fide Fide Error (i.e., to reflect the original to eliminate a proprietary position 5 Error’’ may be cancelled or adjusted terms of the order).7 Under proposed connected with the ECT. Proposed Rule pursuant to this Rule, subject to the Rule 9(d), if the Exchange approves a 9A(c) provides that failure to comply approval of the Exchange. The Exchange request for a trade cancellation or with the provisions of this Rule will be notes that proposed Rule 9 only applies adjustment, Exchange operations considered conduct inconsistent with to Bona Fide Error trades that were personnel will effect all corrective just and equitable principles of trade executed on the Exchange and, as such, action(s) necessary to effectuate the and a violation of Article 9, Rule 2. orders that are routed to other market cancellation or adjustment. Finally, C. Proposed Article 20, Rule 11: centers and executed at such away proposed Rule 9(e) mirrors current Cancelation or Adjustment of Stock Leg Article 20, Rule 9(b)(5) which provides Trades 3 See Securities Exchange Act Release No. 70381 that failure to comply with the (September 12, 2013), 78 FR 57431 (SR–CHX–2013– provisions of this Rule will be Proposed Rule 11(a) states that, unless 16) (‘‘Notice’’). otherwise expressly prohibited by the 4 considered conduct inconsistent with A more detailed description of the proposal is just and equitable principles of trade Exchange’s rules, a trade representing contained in the Notice. See id. the stock leg of a Stock-Option order, as 5 Proposed Article 1, Rule 1(hh) defines ‘‘Bona and a violation of Article 9, Rule 2. Fide Error’’ as: (1) The inaccurate conveyance or defined under proposed execution of any term of an order, including, but B. Proposed Article 20, Rule 9A ‘‘Error Article 1, Rule 1(ii) 8 or a Stock-Future not limited to, price, number of shares or other unit Correction Transactions’’ order, as defined under proposed of trading; identification of the security; Proposed Rule 9A adopts 9 identification of the account for which securities Article 1, Rule 1(jj), may be subject to are purchased or sold; lost or otherwise misplaced requirements for Error Correction order tickets; or the execution of an order on the Transactions (‘‘ECTs’’). Proposed 9A(a) 8 Proposed Article 1, Rule 1(ii) provides that a wrong side of a market; (2) the unauthorized or provides that a Participant may submit ‘‘Stock-Option’’ order is a combination order where unintended purchase, sale, or allocation of an ECT to remedy the execution of at least one component is a cross order for a stated securities, or the failure to follow specific client number of units of an underlying or related security instructions; (3) the incorrect entry of data into customer orders that have been placed coupled with the purchase or sale of options relevant systems, including reliance on incorrect contract(s) on the opposite side of the market cash positions, withdrawals, or securities positions 6 Although the Exchange anticipates representing at least the same number of units as reflected in an account; or (4) a delay, outage, or implementing it in the near future, the Exchange the underlying or related security portion of the failure of a communication system used to transmit does not currently offer order routing. See Notice, order. market data prices or to facilitate the delivery or supra note 3, 78 FR at 57432 n.10. 9 Proposed Article 1, Rule 1(jj) provides that a execution of an order. Proposed paragraph .01 7 Proposed Rule 9(c) states that, prior to ‘‘Stock-Future’’ order is a combination order where provides that proposed Rule 9 applies only to Bona approving an adjustment, the Exchange will at least one component is a cross order for a stated Fide Errors committed by the Participant that validate that the proposed adjusted trade could number of units of an underlying or a related submitted the order to the Matching System or the have been executed in the Matching System at the security coupled with the purchase or sale of customer of the Participant that submitted the order time the trade was initially executed, in compliance futures contract(s) on the opposite side of the to the Matching System. with all applicable CHX and Commission rules. market representing at least the same number of

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cancellation or adjustment by the Option or Stock-Future order. Proposed details the necessary calculations for Exchange pursuant to proposed Rule 11, Rule 11(c)(1) provides that the Exchange Adjusted Stock Quantity for a Stock- if the stock leg trade was marked by a may approve a request to adjust a stock Option order only, where an options leg special trade indicator when it was leg trade that was originally marked by trade executed at a price or was adjusted originally submitted to the Matching a special trade indicator and take the to a price other than the price originally System.10 Proposed Rule 11(a) clarifies corrective action(s) necessary to agreed upon by all of the parties to the that if the stock leg trade was not effectuate such an adjustment, provided Stock-Option order and the parties wish originally marked by a special trade that certain items are submitted to the to maintain the original delta-based indicator, the trade will not be eligible Exchange, in a form prescribed by the hedge ratio. for cancellation or adjustment, Exchange, by the Participant that Once the Adjusted Stock Quantity or notwithstanding compliance with the submitted the stock leg trade. It further Adjusted Stock Price has been presented other requirements of this Rule. states that the requirements of proposed to the Exchange pursuant to proposed Rule 11(c) must be complied with, to Cancellation of Stock Leg Trades Rule 11(c)(3), pursuant to proposed Rule the satisfaction of the Exchange, before 11(c)(4), the Exchange will ascertain Proposed Rule 11(b) outlines the a stock leg trade adjustment pursuant to whether the proposed adjusted stock leg requirements for cancelling a stock leg this Rule may be approved or any trade could have been executed in the trade that is a component of a Stock- corrective action may be taken. Matching System at the time the trade Option/Stock-Future order. Proposed Proposed Rule 11(c) requires the was initially executed, in compliance Rule 11(b)(1) provides that the Exchange Participant that submitted the stock leg with all applicable CHX and may approve a request to cancel a stock trade to: (1) submit a written request for Commission rules. Proposed Rule leg trade that was originally marked by adjustment, including all information 11(c)(4) provides that, if the trade a special trade indicator and take the and supporting documentation required adjustment is approved, the adjustment corrective action(s) necessary to by proposed Rule 9, no later than 4:30 will be accepted, recorded, and effectuate such a cancellation, provided p.m. CST on T+1, except such a request submitted to a Qualified Clearing that certain items are submitted to the may be submitted after T+1 in Agency, without regard to orders Exchange, in a form prescribed by the extraordinary circumstances with the residing in the Matching System at the Exchange, by the Participant that approval of an officer of the Exchange; time the adjustment is made. submitted the stock leg trade. Proposed (2) identify the Qualified Cancellation Proposed Rule 11(d) provides that if 12 Rule 11(b) requires the Participant that Basis and provide supporting the Exchange approves a request for a submitted the stock leg trade to: (1) documentation showing the objective stock leg trade cancellation or Submit a written request for facts and circumstances supporting the adjustment, any corrective action(s) cancellation, including all information Qualified Cancellation Basis; (3) provide necessary to effectuate the cancellation and supporting documentation required supporting documentation evidencing or adjustment, including, but not by proposed Rule 9, no later than 4:30 that all parties consent to the requested limited to, corrective entries into the p.m. CST on T+1, except such a request adjustment; and (4) submit a proposed Exchange’s records and/or corrective may be submitted after T+1 in Adjusted Stock Price or Adjusted Stock clearing submissions to a Qualified extraordinary circumstances with the Quantity, as detailed under proposed Clearing Agency, will be taken only by approval of an officer of the Exchange; Rule 11(c)(3). Exchange operations personnel. Finally, (2) identify the Qualified Cancellation Proposed Rule 11(c)(3) provides that proposed Rule 11(e) provides that Basis 11 and provide supporting the Participant that submitted the stock failure to comply with the provisions of documentation showing the objective leg trade may request only one of the this Rule will be considered conduct facts and circumstances supporting the following adjustments per Stock-Option Qualified Cancellation Basis; and (3) or Stock-Future order: Adjusted Stock inconsistent with just and equitable provide supporting documentation Price; Adjusted Stock Quantity; or principles of trade and a violation of evidencing that all parties consent to the Adjusted Stock Quantity (Stock-Option Article 9, Rule 2. requested cancellation. trade only). Proposed Rule 11(c)(3)(A) III. Discussion and Commission details the necessary calculations for Adjustments of Stock Leg Trades Findings Adjusted Stock Price, where a non-stock After careful review, the Commission Proposed Rule 11(c) adopts new leg executed at a price or was adjusted finds that the Exchange’s proposal is requirements that allow under specified to a price other than the price originally consistent with the Act and the rules circumstances adjustments to a stock leg agreed upon by all of the parties to the trade that is a component of a Stock- and regulations thereunder applicable to Stock-Option or Stock-Future order and 13 the parties wish to maintain the original a national securities exchange. In units of the underlying or related security portion aggregate cash flow of the Stock-Option particular, the Commission finds that of the order. or Stock-Future order. Proposed Rule the proposed rule change is consistent 10 This special trade indicator requirement is in 14 11(c)(3)(B) details the necessary with Section 6(b)(5) of the Act, which current Article 20, Rule 9(b)(6). The Exchange notes requires that the rules of a national that the purpose of the special trade indicator is to calculations for Adjusted Stock mark a stock leg trade as being part of a Stock- Quantity, where a non-stock leg securities exchange be designed, among Option order and consequently notifies the market executed at a quantity or was adjusted other things, to prevent fraudulent and after execution that the trade may be cancelled, as manipulative acts and practices; to the trade is contingent upon the execution of non- to a quantity other than the quantity stock legs that comprise the total Stock-Option originally agreed upon by all of the promote just and equitable principles of order. parties to the Stock-Option or Stock- trade; to remove impediments to and 11 Proposed Rule 11(b)(2) defines the ‘‘Qualified Future order. Proposed Rule 11(c)(3)(C) perfect the mechanism of a free and Cancellation Basis’’ as follows: (A) A non-stock leg open market and a national market executed at a price/quantity or was adjusted to a price/quantity other than the price/quantity 12 Proposed Rule 11(c)(2) defines the ‘‘Qualified originally agreed upon by all of the parties to the Adjustment Basis’’ as when a non-stock leg 13 In approving the CHX proposed rule change, Stock-Option or Stock-Future order; (B) a non-stock executed at a price/quantity or was adjusted to a the Commission has considered its impact on leg could not be executed; or (C) a non-stock leg price/quantity other than the price/quantity efficiency, competition and capital formation. 15 was cancelled by the exchange on which it was originally agreed upon by all of the parties to the U.S.C. 78c(f). executed. Stock-Option or Stock-Future order. 14 15 U.S.C. 78f(b)(5).

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system, and, in general, to protect The Commission also finds that thereby should enhance the integrity of investors and the public interest. proposed Rule 9A, which codifies in the securities markets by removing As discussed above, the Exchange CHX’s rules the requirements that a duplicative trade reports. As with proposes to expand Article 20, Rule 9 to Participant must follow when proposed Rules 9(b) and 11(b), the permit the adjustment of Bona Fide submitting an ECT, is consistent with Commission believes that the Error trades and to clarify the the Act. The Exchange currently accepts requirements of proposed Rule 11(c)— requirements for cancelling a Bona Fide ECTs to remedy the execution of that a submitting Participant must Error trade. The Commission finds that customer orders that have been placed comply with T+1 requirement, identify proposed Rule 9 is consistent with in error, but does not explain these the qualified adjustment basis, ensure Section 6(b)(5) of the Act because it requirements in its rules. The that all parties consent to the request, should allow the Exchange, through the Commission believes that the inclusion and support its submission with a cancellation and adjustment of Bona of these requirements in CHX’s rules proposed Adjusted Stock Price or Fide Error trades, to promote the proper should provide clarity and guidance to Adjusted Stock Quantity—are consistent execution of trades, to promote the Participants and thereby promote the with the Act for the reasons discussed accurate reporting of trades, and to efficient functioning of the securities above. The Commission also believes potentially prevent excessive reporting markets.15 that the Exchange’s detailed of trade activity to the Consolidated As discussed in further detail above, methodology for determining and Tape. proposed Rule 11 expands situations verifying the exact adjusted terms of a Proposed Rule 9(b) enumerates the where a stock leg of a Stock-Option trade are adequate to effect the intent of order or Stock-Future order stock leg specific requirements that must be met the parties to the trade and ensure that may be cancelled and to permit the by the executing broker Participant any adjustments will be consistent with adjustment of stock leg trades if the before the Exchange can consider a the rules of the Exchange and the stock leg trade was marked by a special request to cancel or adjust an erroneous Commission, including Rule 611 of trade indicator when it was originally trade. The Commission believes that Regulation NMS. submitted to the Matching System. This these requirements, which are designed proposal allows Participants to adapt to IV. Conclusion to ensure that Participants can cancel or changes to the options or futures leg of adjust erroneous trades while also It is therefore ordered, pursuant to a trade and thereby facilitate the 16 creating the necessary filters to ensure Section 19(b)(2) of the Act, that the execution of Stock-Option or Stock- proposed rule change (SR–CHX–2013– that the Exchange only acts upon truly Future orders in ratios as originally erroneous trades, are reasonable and 16) be, and it hereby is, approved. agreed by the parties to the order, which For the Commission, by the Division of provide a fair, objective process by the Commission believes should which the Exchange may review Trading and Markets, pursuant to delegated promote the efficient functioning of the 17 requests to cancel or adjust an erroneous authority. securities market. Kevin M. O’Neill, trade. Specifically, the Commission The Commission also finds that the Deputy Secretary. believes that the requirement that the requirements in proposed Rule 11(b) written request for cancellation or that a Participant must satisfy to request [FR Doc. 2013–26555 Filed 11–5–13; 8:45 am] adjustment be submitted no later than cancellation of a stock leg trade are BILLING CODE 8011–01–P 4:30 p.m. CST on T+1 except in consistent with the Act. The extraordinary circumstances is requirements contained in Rule 11(b)— reasonable because it affords SECURITIES AND EXCHANGE that all parties submit a timely request COMMISSION Participants with adequate time to no later than 4:30 p.m. CST on T+1, that identify an erroneous trade and to the submitting Participant supports its [Release No. 34–70795; File No. SR– prepare its submission request. request with appropriate NYSEArca–2013–109] Additionally, the Commission believes documentation, and that all parties Self-Regulatory Organizations; NYSE that the requirements that all parties to consent to the submission of the Arca, Inc.; Notice of Filing and a Bona Fide Error trade must consent to cancellation request—track those of Immediate Effectiveness of Proposed the Participant’s request to cancel or Rule 9(b), and the Commission believes Rule Change Amending the NYSE Arca adjust the erroneous trade and that the they are consistent with the Act for the Options Fee Schedule To Apply request to cancel or adjust be supported reasons discussed above. In addition, Routing Fees to Penny Pilot Issues with documentation showing the the Commission believes that requiring objective facts and circumstances the submitting Participant to identify October 31, 2013. evidencing the Bona Fide Error should the Qualified Adjustment Basis is Pursuant to Section 19(b)(1) 1 of the protect all parties to a trade and should reasonable because it should allow the Securities Exchange Act of 1934 (the prevent unfair or fraudulent Exchange to more quickly act upon the ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 cancellations or adjustments of trades Participant’s request for cancellation notice is hereby given that, on October from taking place. Similarly, the under proposed Rule 11(b). 22, 2013, NYSE Arca, Inc. (the Commission believes that the Further, the Commission believes that ‘‘Exchange’’ or ‘‘NYSE Arca’’) filed with requirement in proposed Rule 9(c), that proposed Rule 11(c), which proposes to the Securities and Exchange the any potential trade adjustment will allow adjustments of the stock leg trade, Commission (the ‘‘Commission’’) the only be taken to the extent necessary to should prevent excessive reporting of proposed rule change as described in correct the Bona Fide Error and only if activity to the Consolidated Tape and Items I, II, and III below, which Items the proposed adjusted trade could have have been prepared by the self- been executed in the Matching System 15 The Commission also notes that that the language of proposed Rule 9A is substantially at the time the trade was initially 16 15 U.S.C. 78s(b)(2). similar to the key portions of the Commission order executed, should promote the integrity 17 exempting certain error correction transactions 17 CFR 200.30–3(a)(12). of the market system by ensuring that all From Rule 611 of Regulation NMS. See Securities 1 15 U.S.C. 78s(b)(1). adjusted trades comply with Exchange Exchange Act Release No. 55884 (June 8, 2007), 72 2 15 U.S.C. 78a. and Commission rules. FR 32926 (June 14, 2007). 3 17 CFR 240.19b–4.

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regulatory organization. The issues, which would apply to both situated orders. In addition, the Commission is publishing this notice to standard and Mini option contracts. The Exchange would be imposing the same solicit comments on the proposed rule Exchange also proposes to pass through routing fees that currently apply to non- change from interested persons. any transaction fees charged by the Penny Pilot issues. The Exchange also destination exchange on executions of believes that harmonizing the routing I. Self-Regulatory Organization’s routed orders in Penny Pilot issues. The Statement of the Terms of the Substance fees that apply to Penny Pilot and non- proposed change would not affect the of the Proposed Rule Change Penny Pilot issues would reduce client applicable liquidity take rates for Penny confusion. The Exchange proposes to amend the Pilot or non-Penny Pilot issues. The Finally, the Exchange believes that it NYSE Arca Options Fee Schedule (‘‘Fee Exchange notes that it did not initially is subject to significant competitive Schedule’’) to apply routing fees to impose the routing fee on Penny Pilot forces, as described below in the Penny Pilot issues. The Exchange issues because Penny Pilot issues were Exchange’s statement regarding the proposes to implement the fee change charged a take liquidity fee that offset burden on competition. For these effective November 1, 2013. The text of the cost of routing.5 The Exchange reasons, the Exchange believes that the the proposed rule change is available on subsequently imposed a take liquidity proposal is consistent with the Act. the Exchange’s Web site at fee on non-Penny Pilot issues.6 The www.nyse.com, at the principal office of Exchange believes that imposing a B. Self-Regulatory Organization’s the Exchange, and at the Commission’s routing fee would further defray the cost Statement on Burden on Competition Public Reference Room. of routing orders and would allow In accordance with Section 6(b)(8) of II. Self-Regulatory Organization’s routed orders in Penny Pilot issues to be the Act,9 the Exchange does not believe Statement of the Purpose of, and charged in the same manner as routed that the proposed rule change will Statutory Basis for, the Proposed Rule orders in non-Penny Pilot issues, which impose any burden on competition that Change may reduce investor confusion. The is not necessary or appropriate in Exchange notes that firms may avoid furtherance of the purposes of the Act. In its filing with the Commission, the routing charges by either routing orders self-regulatory organization included The proposed changes will assist the themselves directly to the away market Exchange in balancing its revenues and statements concerning the purpose of, that is at the National Best Bid or Offer and basis for, the proposed rule change costs when routing orders to away (‘‘NBBO’’), or by use of various order market centers and allow routed orders and discussed any comments it received types on the Exchange that carry an on the proposed rule change. The text in Penny Pilot issues to be charged in instruction to not route the order. the same manner as routed orders in of those statements may be examined at The proposed change is not otherwise non-Penny Pilot issues, which may the places specified in Item IV below. intended to address any other issues, reduce investor confusion. The The Exchange has prepared summaries, and the Exchange is not aware of any Exchange also notes that firms may set forth in sections A, B, and C below, problems that firms would have in avoid these charges by direct routing of of the most significant parts of such complying with the proposed change. statements. an order to the away market that is at 2. Statutory Basis the NBBO or by the use of do-not-route A. Self-Regulatory Organization’s The Exchange believes that the order types on the Exchange. Statement of the Purpose of, and proposed rule change is consistent with Finally, the Exchange notes that it Statutory Basis for, the Proposed Rule Section 6(b) of the Act,7 in general, and operates in a highly competitive market Change furthers the objectives of Sections in which market participants can 1. Purpose 6(b)(4) and (5) of the Act,8 in particular, readily favor competing venues if they because it provides for the equitable deem fee levels at a particular venue to The Exchange proposes to apply allocation of reasonable dues, fees, and be excessive. In such an environment, routing fees to Penny Pilot issues. The other charges among its members, the Exchange must continually review, Exchange proposes to implement the fee issuers and other persons using its and consider adjusting, its fees and change effective November 1, 2013. credits to remain competitive with other The Exchange currently charges a facilities and does not unfairly exchanges. For the reasons described routing fee of $0.11 per contract for discriminate between customers, above, the Exchange believes that the orders in non-Penny Pilot issues that are issuers, brokers or dealers. The Exchange believes that it is proposed rule change reflects this routed and executed at away market reasonable to impose routing fees on competitive environment. centers pursuant to order protection Penny Pilot issues because it would C. Self-Regulatory Organization’s requirements of the Options Order further defray the cost of routing orders. Statement on Comments on the Protection and Locked/Crossed Market These charges may be avoided by direct 4 Proposed Rule Change Received From Plan. The fee applies to standard and routing of an order to the away market Mini option contracts. In addition, the that is at the NBBO or by the use of do- Members, Participants, or Others Exchange passes through any not-route order types on the Exchange. No written comments were solicited transaction fees charged by the The Exchange believes that it is or received with respect to the proposed destination exchange on executions of equitable and not unfairly rule change. such routed orders. The Exchange pays discriminatory to impose routing fees on a fee to its routing brokers, and in turn Penny Pilot issues because they are III. Date of Effectiveness of the pays clearing fees to OCC to clear routed applied in an identical manner to all Proposed Rule Change and Timing for orders. market participants with similarly Commission Action The Exchange proposes to begin The foregoing rule change is effective charging the same $0.11 per contract 5 Id. at 20398. upon filing pursuant to Section routing fee for orders in Penny Pilot 6 See Securities Exchange Act Release No. 68179 19(b)(3)(A) 10 of the Act and (November 8, 2012), 77 FR 68163 (November 15, 4 See Securities Exchange Act Release No. 64216 2012) (SR–NYSEArca–2012–121). (April 6, 2011), 76 FR 20396 (April 12, 2011) (SR– 7 15 U.S.C. 78f(b). 9 15 U.S.C. 78f(b)(8). NYSEArca–2011–16). 8 15 U.S.C. 78f(b)(4) and (5). 10 15 U.S.C. 78s(b)(3)(A).

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subparagraph (f)(2) of Rule 19b–4 11 printing in the Commission’s Public office, and at the Commission’s Public thereunder, because it establishes a due, Reference Room, 100 F Street NE., Reference Room. fee, or other charge imposed by the Washington, DC 20549 on official II. Self-Regulatory Organization’s Exchange. business days between the hours of Statement of the Purpose of, and At any time within 60 days of the 10:00 a.m. and 3:00 p.m. Copies of such Statutory Basis for, the Proposed Rule filing of such proposed rule change, the filing also will be available for Change Commission summarily may inspection and copying at the principal temporarily suspend such rule change if office of the Exchange. All comments In its filing with the Commission, the it appears to the Commission that such received will be posted without change; Exchange included statements action is necessary or appropriate in the the Commission does not edit personal concerning the purpose of and basis for public interest, for the protection of identifying information from the proposed rule change and discussed investors, or otherwise in furtherance of submissions. You should submit only any comments it received on the the purposes of the Act. If the information that you wish to make proposed rule change. The text of these Commission takes such action, the available publicly. All submissions statements may be examined at the Commission shall institute proceedings should refer to File Number SR– places specified in Item IV below. The under Section 19(b)(2)(B) 12 of the Act to NYSEArca–2013–109, and should be Exchange has prepared summaries, set determine whether the proposed rule submitted on or before November 27, forth in sections A, B, and C below, of change should be approved or 2013. the most significant aspects of such statements. disapproved. For the Commission, by the Division of IV. Solicitation of Comments Trading and Markets, pursuant to delegated A. Self-Regulatory Organization’s authority.13 Statement of the Purpose of, and Interested persons are invited to Kevin M. O’Neill, Statutory Basis for, the Proposed Rule submit written data, views, and Deputy Secretary. Change arguments concerning the foregoing, [FR Doc. 2013–26558 Filed 11–5–13; 8:45 am] including whether the proposed rule 1. Purpose BILLING CODE 8011–01–P change is consistent with the Act. The Exchange proposes to establish a Comments may be submitted by any of $0.08 transaction fee for executions in the following methods: SECURITIES AND EXCHANGE standard option contracts and $0.008 Electronic Comments COMMISSION transaction fee for Mini Option 3 • contracts for Market Makers registered Use the Commission’s Internet [Release No. 34–70788; File No. SR–MIAX– on the Exchange. comment form (http://www.sec.gov/ 2013–50] The current transaction fees for rules/sro.shtml); or • Self-Regulatory Organizations: Miami Market Makers are: (i) RMMs $0.05 per Send an email to rule-comments@ contract for standard options or $0.005 sec.gov. Please include File Number SR– International Securities Exchange LLC; Notice of Filing and Immediate for Mini Options; (ii) LMMs $0.05 per NYSEArca–2013–109 on the subject contract for standard options or $0.005 line. Effectiveness of a Proposed Rule Change To Amend the MIAX Fee for Mini Options; (iii) DLMMs and Paper Comments Schedule PLMMs $0.05 per contract for standard options or $0.005 for Mini Options; and • Send paper comments in triplicate October 31, 2013. (iv) DPLMMs $0.05 per contract for to Elizabeth M. Murphy, Secretary, Pursuant to the provisions of Section standard options or $0.005 for Mini Securities and Exchange Commission, 19(b)(1) of the Securities Exchange Act Options.4 The proposal will increase the 100 F Street NE., Washington, DC of 1934 (‘‘Act’’) 1 and Rule 19b–4 transaction fees for all Market Makers in 20549–1090. thereunder,2 notice is hereby given that both standard options and Mini All submissions should refer to File on October 24, 2013, Miami Options. The Exchange proposes to Number SR–NYSEArca–2013–109. This International Securities Exchange LLC implement the new transaction fees file number should be included on the (‘‘MIAX’’ or ‘‘Exchange’’) filed with the beginning November 1, 2013. subject line if email is used. To help the Securities and Exchange Commission The previous transaction fees were Commission process and review your (‘‘Commission’’) a proposed rule change designed both to enhance the comments more efficiently, please use as described in Items I, II, and III below, Exchange’s competitiveness with other only one method. The Commission will which Items have been prepared by the option exchanges and to strengthen its post all comments on the Commission’s Exchange. The Commission is market quality. Now that both Internet Web site (http://www.sec.gov/ publishing this notice to solicit intermarket and intramarket rules/sro.shtml). Copies of the comments on the proposed rule change competition has been increased the submission, all subsequent from interested persons. amendments, all written statements 3 Market Makers may be registered as a Lead with respect to the proposed rule I. Self-Regulatory Organization’s Market Maker or as a Registered Market Maker. See change that are filed with the Statement of the Terms of Substance of Exchange Rule 600(b). Market Makers registered on the Exchange for purposes of the transaction fee and Commission, and all written the Proposed Rule Change Section 1(a)(i) of the Fee Schedule include: (i) communications relating to the The Exchange is filing a proposal to Registered Market Maker (‘‘RMM’’); (ii) Lead Market proposed rule change between the amend its Fee Schedule. Maker (‘‘LMM’’); (iii) Directed Order Lead Market Maker (‘‘DLMM’’); (iv) Primary Lead Market Maker Commission and any person, other than The text of the proposed rule change (‘‘PLMM’’); and Directed Order Primary Lead those that may be withheld from the is available on the Exchange’s Web site Market Maker (‘‘DPLMM’’). See MIAX Options Fee public in accordance with the at http://www.miaxoptions.com/filter/ Schedule, Section 1(a)(i)—Market Maker provisions of 5 U.S.C. 552, will be wotitle/rule_filing, at MIAX’s principal Transaction Fees. available for Web site viewing and 4 See MIAX Options Fee Schedule, Section 1(a)(i)—Market Maker Transaction Fees. See also 13 17 CFR 200.30–3(a)(12). Securities Exchange Act Release No. 70346 11 17 CFR 240.19b–4(f)(2). 1 15 U.S.C. 78s(b)(1). (September 9, 2013), 78 FR 56762 (September 13, 12 15 U.S.C. 78s(b)(2)(B). 2 17 CFR 240.19b–4. 2013) (SR–MIAX–2013–41).

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Exchange believes that it would be (minimum bid-ask differentials) that III. Date of Effectiveness of the beneficial to marginally increase the other market participants do not have. Proposed Rule Change and Timing for transaction fees for all Market Makers to Additionally, maintaining lower Commission Action bring rates closer in line with transaction fees for Market Makers The foregoing rule change has become transaction fees charged to other market registered on the Exchange promotes effective pursuant to Section participants that execute orders on the tighter bid-ask spreads by Market 19(b)(3)(A)(ii) of the Act.7 At any time Exchange. The Exchange notes that Makers, and increases the volume of within 60 days of the filing of the Market Maker transactions fees will still transactions in order to allow the proposed rule change, the Commission remain lower than other market Exchange to compete more effectively summarily may temporarily suspend participants in order to continue to with other options exchanges for such such rule change if it appears to the incent market participants and market transactions. To the extent that this Commission that such action is makers on other exchanges to register as purpose is achieved, all the Exchange’s necessary or appropriate in the public Market Makers on the Exchange. The market participants should benefit from interest, for the protection of investors, Exchange believes that maintaining the improved market liquidity. or otherwise in furtherance of the lower transaction fees for Market Enhanced market quality and increased purposes of the Act. If the Commission Makers registered on the Exchange transaction volume that results from the promotes tighter bid-ask spreads by takes such action, the Commission shall increase in Market Maker activity on the institute proceedings to determine Market Makers, and increases the Exchange will benefit all market volume of transactions in order to allow whether the proposed rule should be participants and improve competition approved or disapproved. the Exchange to compete more on the Exchange. effectively with other options exchanges IV. Solicitation of Comments for such transactions. B. Self-Regulatory Organization’s Statement on Burden on Competition Interested persons are invited to 2. Statutory Basis submit written data, views, and MIAX does not believe that the The Exchange believes that its arguments concerning the foregoing, proposed rule change will impose any proposal to amend its fee schedule is including whether the proposed rule burden on competition not necessary or consistent with Section 6(b) of the Act 5 change is consistent with the Act. appropriate in furtherance of the in general, and furthers the objectives of Comments may be submitted by any of purposes of the Act. The Exchange Section 6(b)(4) of the Act 6 in particular, the following methods: in that it is an equitable allocation of believes that the proposal increases both intermarket and intramarket Electronic Comments reasonable fees and other charges among • Exchange members. competition by marginally increasing Use the Commission’s Internet The Exchange believes that the transactions fees for all Market Makers comment form (http://www.sec.gov/ proposal is fair, equitable and not on the Exchange to bring rates closer in rules/sro.shtml); or • unreasonably discriminatory. The line with transaction fees charged to Send an email to rule-comments@ proposal is reasonable because it results other market participants that execute sec.gov. Please include File Number SR– in a marginal increase in transactions orders on the Exchange. The Exchange MIAX–2013–50 on the subject line. fees for all Market Makers on the notes that it operates in a highly competitive market in which market Paper Comments Exchange to bring rates closer in line • with transaction fees charged to other participants can readily favor competing Send paper comments in triplicate market participants that execute orders venues if they deem fee levels at a to Elizabeth M. Murphy, Secretary, on the Exchange. The proposed fees are particular venue to be excessive. In such Securities and Exchange Commission, fair and equitable and not unreasonably an environment, the Exchange must 100 F Street NE., Washington, DC discriminatory because they will apply continually adjust its fees to remain 20549–1090. equally to all Market Makers regardless competitive with other exchanges and to All submissions should refer to File of type. All Market Makers will be attract order flow. The Exchange Number SR–MIAX–2013–50. This file subject to the same transaction fee, and believes that the proposal reflects this number should be included on the access to the Exchange is offered on competitive environment because it subject line if email is used. To help the terms that are not unfairly increases the Exchange’s fees in a Commission process and review your discriminatory. The registration as an manner that continues to encourage comments more efficiently, please use Exchange Market Maker is equally market participants to register as Market only one method. The Commission will available to all market participants and Makers, to provide liquidity, and to post all comments on the Commission’s Electronic Exchange Members (‘‘EEMs’’) attract order flow to the Exchange. To Internet Web site (http://www.sec.gov/ that satisfy the requirements of Rule the extent that this purpose is achieved, rules/sro.shtml). Copies of the 600. Any market participant may choose all the Exchange’s market participants submission, all subsequent to satisfy the additional requirements should benefit from the improved amendments, all written statements and obligations of being a Market Maker market liquidity. Enhanced market with respect to the proposed rule in order to qualify for the transaction quality and increased transaction change that are filed with the fee. volume that results from the increase in Commission, and all written The Exchange believes that Market Maker activity on the Exchange communications relating to the maintaining lower transaction fees for will benefit all market participants and proposed rule change between the Market Makers is equitable and not improve competition on the Exchange. Commission and any person, other than unfairly discriminatory because Market C. Self-Regulatory Organization’s those that may be withheld from the Markers on the Exchange have Statement on Comments on the public in accordance with the enhanced quoting obligations measured Proposed Rule Change Received From provisions of 5 U.S.C. 552, will be in both quantity (% time) and quality Members, Participants, or Others available for Web site viewing and printing in the Commission’s Public 5 15 U.S.C. 78f(b). Written comments were neither 6 15 U.S.C. 78f(b)(4). solicited nor received. 7 15 U.S.C. 78s(b)(3)(A)(ii).

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Reference Room, 100 F Street NE., 2013.5 On October 29, 2013, ISE series for trading and will limit all Washington, DC 20549, on official submitted a response to the comment transactions in such options to closing business days between the hours of letter.6 On October 30, 2013, ISE transactions only for the purpose of 10:00 a.m. and 3:00 p.m. Copies of the submitted Amendment No. 1 to the maintaining a fair and orderly market filing also will be available for proposed rule change. This order and protecting investors. inspection and copying at the principal institutes proceedings under Section The Exchange proposes that the office of the Exchange. All comments 19(b)(2)(B) of the Act 7 to determine standard trading hours for index options received will be posted without change; whether to approve or disapprove the (9:30 a.m. to 4:15 p.m., New York time) the Commission does not edit personal proposed rule change, as modified by will apply to options on the Index. identifying information from Amendment No. 1. Options on the Index will expire on the submissions. You should submit only Wednesday that is thirty days prior to II. Description of the Proposal information that you wish to make the third Friday of the calendar month available publicly. All submissions The Exchange proposes to list and immediately following the expiration should refer to File Number SR–MIAX– trade cash-settled, European-style month. Trading in expiring options on 2013–50 and should be submitted on or options on the Index, which measures the Index will normally cease at 4:15 before November 27, 2013 changes in implied volatility of the p.m. (New York time) on the Tuesday SPDR S&P 500 Exchange-Traded Fund preceding an expiration Wednesday. For the Commission, by the Division of 8 Trading and Markets, pursuant to delegated (‘‘SPY’’). The exercise and settlement value will authority.8 The Index is calculated using a be calculated on Wednesday at 9:30 a.m. Kevin M. O’Neill, methodology developed by (New York time) using the mid-point of NationsShares, which uses published the NBBO for the SPY options used in Deputy Secretary. real-time bid/ask quotes of SPY the calculation of the Index at that time. [FR Doc. 2013–26553 Filed 11–5–13; 8:45 am] options.9 The Index will be calculated The exercise-settlement amount is equal BILLING CODE 8011–01–P and maintained by a calculation agent to the difference between the settlement acting on behalf of NationsShares. The value and the exercise price of the option, multiplied by $100. Exercise SECURITIES AND EXCHANGE Index will be updated on a real-time will result in the delivery of cash on the COMMISSION basis on each trading day beginning at 9:30 a.m. and ending at 4:15 p.m. (New business day following expiration. [Release No. 34–70787; File No. SR–ISE– York time).10 Values of the Index also In Amendment No. 1, the Exchange 2013–42] will be disseminated every 15 seconds expresses its view that manipulation of during the Exchange’s regular trading the Index would be very difficult, Self-Regulatory Organizations; hours to market information vendors particularly around the time when the International Securities Exchange, such as Bloomberg and Thomson settlement value is determined. LLC; Order Instituting Proceedings To Reuters. In the event the Index ceases to According to the Exchange, the Index Determine Whether To Approve or be maintained or calculated, or its options will be settled using a Disapprove a Proposed Rule Change, values are not disseminated every 15 calculation based on the mid-point as Modified by Amendment No. 1, To seconds by a widely available source, NBBO of the input components, a List Options on the Nations VolDex the Exchange will not list any additional methodology unlike how other index Index settlement values are determined, as October 31, 2013. 5 See Securities Exchange Act Release No. 70362, most of those are calculated based on 78 FR 56955 (September 16, 2013). transaction prices of the individual I. Introduction 6 See letter to Elizabeth M. Murphy, Secretary, index components. The Exchange Commission, from Michael J. Simon, Secretary and believes that manipulating the Index On July 17, 2013, the International General Counsel, ISE, dated October 29, 2013 (‘‘ISE Securities Exchange, LLC (‘‘Exchange’’ Letter’’). settlement value will be difficult based or ‘‘ISE’’) filed with the Securities and 7 15 U.S.C. 78s(b)(2)(B). on the dynamics of a quote-based Exchange Commission (‘‘Commission’’), 8 According to the Exchange, SPY is historically calculation methodology as opposed to pursuant to Section 19(b)(1) of the the largest and most actively-traded exchange- a single transaction price and because traded fund in the United States as measured by its the option prices themselves would Securities Exchange Act of 1934 assets under management and the value of shares 1 2 make such an endeavor cost prohibitive. (‘‘Act’’) and Rule 19b-4 thereunder, a traded. Specifically, the Exchange states that, proposed rule change to list options on according to State Street Global Advisor, the Further, according to the Exchange, the the Nations VolDex Index (‘‘Index’’). Trustee of SPY, as of June 20, 2013, the net assets vast liquidity of SPY options as well as The proposed rule change was under management in SPY was approximately the underlying SPY shares ensures a $106.8 billion; the weighted average market multitude of market participants at any published for comment in the Federal capitalization of the portfolio components was Register on August 2, 2013.3 The approximately $106 billion; the smallest market given time—at least 19 market makers Commission received one comment capitalization was approximately $2.1 billion actively traded SPY options on ISE letter on the proposed rule change.4 On (Apollo Group Inc., ticker: APOL), and the largest during September 2013 on any given was approximately $395.9 billion (ExxonMobil, day, and there are now 12 options September 10, 2013, the Commission ticker: XOM). Further, according to the Exchange, extended the time period for for the three months ending on June 20, 2013, the exchanges that list SPY options. Due to Commission action to October 31, average daily volume in SPY shares was 137 the high level of participation among million, and the average value of shares traded was market makers that can enter quotes in $22.1 billion. According to the Exchange, for the SPY options series, the Exchange 8 17 CFR 200.30–3(a)(12). same period, the average daily volume in SPY 1 15 U.S.C. 78s(b)(1). options was approximately 2.8 million contracts believes it would be very difficult for a 2 17 CFR 240.19b–4. and open interest in SPY options was single participant to alter the NBBO 3 See Securities Exchange Act Release No. 70059 approximately 25.2 million contracts. See Notice, width across multiple series in any (July 29, 2013), 78 FR 47041 (‘‘Notice’’). supra note 3, at 47042. significant way without exposing the 9 4 See letter to Elizabeth M. Murphy, Secretary, See id. (describing in more detail the calculation would-be manipulator to regulatory Commission, from Edward T. Tilly, Chief Executive methodology for the Index). Officer, Chicago Board Options Exchange, 10 If the current published value of a component scrutiny and financial costs. Incorporated (‘‘CBOE’’), dated August 23, 2013 is not available, the last published value will be The Exchange proposes to adopt (‘‘CBOE Letter’’). used in the calculation. minimum trading increments for

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options on the Index to be $0.05 for the Index 19 and the Exchange proposes measures.22 Additionally, the Exchange series trading below $3, and $0.10 for to apply margin requirements that are notes that it is a member of the series trading at or above $3. The identical to those applied for its other Intermarket Surveillance Group, Exchange also proposes to set the broad-based index options. through which it can coordinate minimum strike price interval for In addition, the Exchange proposes surveillance and investigative options on the Index at $1 or greater that the trading of options on the Index information sharing in the stock and when the strike price is $200 or less, will be subject to the same rules that options markets with all of the U.S. and $5 or greater when the strike price currently govern the trading of registered stock and options markets. is greater than $200. Currently, when Exchange index options, including sales The Exchange also represents that it has new series of index options with a new practice rules and trading rules. Trading the necessary system capacity to expiration date are opened for trading, of options on the Index will also be support additional quotations and or when additional series of index subject to the trading halt procedures messages that will result from the listing options in an existing expiration date applicable to other index options traded and trading of options on the Index. are opened for trading as the current on the Exchange.20 Further, Chapter 6 of III. Comment Letters value of the underlying index moves the Exchange’s rules, which is designed substantially from the exercise prices of to protect public customer trading, will As noted above, the Commission series already opened, the exercise apply to trading in options on the received one comment letter regarding prices of such new or additional series Index.21 A trading license issued by the the proposed rule change.23 In its must be reasonably related to the Exchange will also be required for all comment letter, CBOE argues that the current value of the underlying index at market makers to effect transactions as Index should not be treated as a broad- the time such series are first opened for market makers in the Index options in based security index for regulatory trading.11 The Exchange, however, accordance with ISE Rule 2013. purposes.24 Specifically, CBOE notes proposes to eliminate this range The Exchange represents that it has an that the spot calculation of the Index limitation that would otherwise limit adequate surveillance program in place would be comprised of a total of four the number of $1 strikes that may be for options on the Index and intends to component SPY put options and that listed in options on the Index. The apply those same program procedures the settlement value for the Index Exchange’s proposal to eliminate this that it applies to the Exchange’s other option would be calculated using the range limitation is identical to strike options products. Further, in opening NBBO quotations of those price intervals adopted by CBOE for the Amendment No. 1, the Exchange states component options.25 CBOE states that CBOE Volatility Index (‘‘VIX’’).12 that it will monitor for any potential the component weights of the four put manipulation of the Index settlement The Exchange proposes to list options options used to calculate the Index can value both according to its current become highly concentrated in just one on the Index in the three consecutive procedures and additional surveillance near-term expiration months plus up to or two component options, depending on the time to expiration and the three successive expiration months in 19 The Exchange believes that because the Index 13 the March cycle. In addition, long- will settle using published quotes of SPY options relationship of the forward SPY price to term option series having up to sixty and there are currently no position limits for SPY the strike prices of the component months to expiration,14 Short Term options, it is appropriate not to impose position or options.26 In this regard, CBOE 15 exercise limits for options on the Index. The questions the Exchange’s proposal not Option Series, and Quarterly Options Exchange notes that because the size of the market Series 16 may also be traded. Options on underlying SPY options is so large, it should dispel to impose position limits for options on the Index will be quoted and traded in concerns regarding market manipulation. The the Index.27 In particular, CBOE asserts U.S. dollars.17 Exchange believes that the same reasoning applies that, although the Commission has to options on the Index since the value of options permitted some broad-based security The Exchange believes that the Index on the Index is derived from the volatility of SPY, is a broad-based index, as that term is as implied by SPY options. The Exchange also notes index options to have no position limits, defined in ISE Rule 2001(k).18 The that VIX options are not subject to any position or the same rationale should not apply to Exchange proposes that the Index exercise limits. See Notice, supra note 3, at 47043. the proposed Index options because 20 See ISE Rule 2008(c). should be treated as a broad-based index they are not options on a broad-based 21 The Exchange notes that ISE Rules 608(a) and security index.28 CBOE argues that the for purposes of position limits, exercise (b) prohibit Members from accepting a customer limits, and margin requirements. order to purchase or write an option, including more analogous comparison for position Accordingly, the Exchange proposes no options on the Index, unless such customer’s limit treatment is the Alpha Index position or exercise limits for options on account has been approved in writing by a designated Options Principal of the Member. In 22 The Exchange represents that it will review the addition, ISE’s Rule 610, regarding suitability, is opening ISE BBO (‘‘IBBO’’) for the input options 11 See ISE Rule 2009(c)(3). The term ‘‘reasonably designed to ensure that options, including options components to determine if the IBBO had an effect related to the current index value of the underlying on the Index, are only sold to customers capable of on the NBBO for these options series. If it did, the index’’ means that the exercise price is within thirty evaluating and bearing the risks associated with Exchange can determine which member entered the percent of the current index value. See ISE Rule trading in this instrument. Further, ISE Rule 611 IBBO quote and review the member’s position and 2009(c)(4). permits members to exercise discretionary power quoting activity to determine if the quote may have 12 See Securities Exchange Act Release No. 63155 with respect to trading options, including options been entered to impact the NBBO. The Exchange (October 21, 2010), 75 FR 66402 (October 28, 2010) on the Index, in a customer’s account only if the also represents that it will compare the Index (SR–CBOE–2010–096). Member has received prior written authorization settlement value to the subsequent disseminated 13 See ISE Rule 2009(a)(3). from the customer and the account had been value. If the difference between these two values is accepted in writing by a designated Options 14 See ISE Rule 2009(b)(1). significant, the Exchange will review the opening Principal. According to the Exchange, ISE Rule 611 15 quotes used in the calculation of the Index across See ISE Rule 2009, Supplementary Material also requires designated Options Principals or .01. all marketplaces to determine which exchange(s) Representatives of a Member to approve and initial contributed to opening NBBO quote(s) and contact 16 See ISE Rule 2009, Supplementary Material each discretionary order, including discretionary the exchange(s) that entered the quote(s). .02. orders for options on the Index, on the day the 23 See CBOE Letter, supra note 4. 17 See ISE Rule 2009(a)(1). discretionary order is entered. Finally, ISE Rule 24 See id., at 1–2. 18 ISE Rule 2001(k) defines the terms ‘‘market 609, Supervision of Accounts, Rule 612, 25 index’’ and ‘‘broad-based index’’ to mean an index Confirmation to Customers, and Rule 616, Delivery See id., at 1. designed to be representative of a stock market as of Current Options Disclosure Documents and 26 See id. a whole or of a range of companies in unrelated Prospectus, will also apply to trading in options on 27 See id., at 2–3. industries. the Index. See Notice, supra note 3, at 47043–44. 28 See id., at 2.

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options that trade on NASDAQ OMX options is appropriate.40 Further, as cash-settled, European-style options on PHLX LLC (‘‘Phlx’’).29 According to discussed above, in Amendment No. 1, the Index, which measures changes in CBOE, Alpha Index options are cash- the Exchange provides additional implied volatility of the SPY. As settled index options that measure the information regarding the potential for proposed, the Index options would be relative performance of two securities (a manipulation of the settlement value of treated as broad-based index options for target component and a benchmark the Index and the additional purposes of position limits, exercise component), and all approved Alpha surveillance measures that the Exchange limits, and margin. Accordingly, ISE Index pairs include SPY as the will undertake with respect to the Index proposes no position or exercise limits benchmark component.30 CBOE notes options. for the Index options. In addition, the exercise and settlement value will be that Alpha Index options where the IV. Proceedings To Determine Whether calculated on expiration Wednesday at target component is an exchange-traded To Approve or Disapprove SR–ISE– 9:30 a.m. using the mid-point of the fund have a position limit of 15,000 2013–42 and Grounds for Disapproval NBBO for the SPY options that compose contracts, and Alpha Index options Under Consideration where the target component is a single the Index, a methodology that ISE states stock have a position limit of 60,000 The Commission is instituting is unlike how other index settlement contracts.31 proceedings pursuant to Section values are determined, as most of those 19(b)(2)(B) 41 of the Act to determine are calculated based on transaction In its response letter, ISE draws an whether the proposed rule change analogy between the Index and the prices of the individual index should be approved or disapproved. 44 VIX.32 ISE argues that, as with the VIX, components. In Amendment No. 1, Institution of such proceedings is ISE asserts that manipulation of the designating the Index as a broad-based appropriate at this time in view of the index should not be based only on the Index would be very difficult, legal and policy issues raised by the particularly around the time when the number of components that the index proposed rule change. Institution of settlement value is determined.45 The contains, but rather, on the economic proceedings does not indicate that the Exchange believes that manipulating the exposure that the underlying reference Commission has reached any Index settlement value will be difficult seeks to provide.33 ISE states that, conclusions with respect to any of the based on the dynamics of a quote-based according to CBOE, the VIX is a key issues involved. Rather, as described in calculation methodology as opposed to measure of the market expectations of greater detail below, the Commission a single transaction price and because near-term volatility conveyed by options seeks and encourages interested persons the option prices themselves would on the S&P 500 Index.34 ISE asserts that to provide additional comment on the make such an endeavor cost prohibitive. the Index provides a similar economic proposed rule change to inform the In addition, the Exchange contends that exposure as exposure to the VIX because Commission’s analysis of whether to its surveillance procedures currently in it measures changes in implied approve or disapprove the proposed place, coupled with the additional volatility of SPY, which is a broad-based rule change. measures proposed in Amendment No. exchange-traded fund based on the price 42 Pursuant to Section 19(b)(2)(B), the 1, would allow for adequate and yield of the stocks held in the SPY Commission is providing notice of the surveillance for any potential portfolio.35 ISE therefore concludes that grounds for disapproval under manipulation in the trading of the Index the Index should similarly be treated as consideration. The section of the Act options.46 broad-based by looking through to the applicable to the proposed rule change The Commission believes that exposure provided by the underlying that provides the grounds for the 36 questions remain as to whether the reference. disapproval (or approval) under proposed rule change is consistent with 43 In its response letter, ISE also argues consideration is Section 6(b)(5), which the requirements of Section 6(b)(5) of that the proposed Index options are not requires that the rules of an exchange be the Act, including whether the proposed analogous to Alpha Index options.37 In designed, among other things, to rules to allow the listing and trading of particular, ISE points out that Phlx’s prevent fraudulent and manipulative the Index options are designed to Alpha Index options involve the pairing acts and practices, to promote just and protect investors and the public interest of a single equity security or an equitable principles of trade, to remove and to prevent fraudulent and exchange-traded fund that has a impediments to and perfect the manipulative acts and practices. Thus, position limit against the SPY that has mechanism of a free and open market the Commission believes the issues no position limit.38 ISE believes that, and a national market system and, in raised by the proposed rule change can because the pairing includes one general, to protect investors and the benefit from additional consideration security that has position limits, it does public interest. and evaluation in light of the As discussed above, the proposed rule not follow that the combined new index requirements of Section 6(b)(5) of the change would allow ISE to list and trade should have no position limits.39 In Act. contrast, ISE believes that its proposal to 40 apply no position limits to the Index See id., at 2–3. See also supra note 19. In its V. Procedure: Request for Written response letter, ISE also states that ISE members are Comments bound by the initial and maintenance margin 29 See id. requirements of either CBOE or the New York Stock The Commission requests that 30 See id. Exchange. See ISE Letter, supra note 6, at 3. ISE interested persons provide written 31 See id. clarifies that although CBOE has margin rules submissions of their views, data, and designed for individual stock- or ETF-based 32 ISE notes that CBOE sought to designate the volatility index options, its proposal intends to arguments with respect to the issues VIX as a broad-based index. See ISE Letter, supra require compliance with CBOE’s margin rules identified above, as well as any others note 6, at 1. applicable to broad-based index options rather than 33 they may have identified with the See id., at 2. its specialized rules adopted for specified 34 proposal. In particular, the Commission See id. individual stock- or ETF-based volatility index 35 See id. options. See id. See also text accompanying supra invites the written views of interested 36 See id. note 19. 37 See id. 41 15 U.S.C. 78s(b)(2)(B). 44 See Amendment No. 1. 38 See id. 42 15 U.S.C. 78s(b)(2)(B). 45 See id. 39 See id. 43 15 U.S.C. 78f(b)(5). 46 See id.

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persons concerning whether the 100 F Street NE., Washington, DC SUMMARY: FMCSA announces the proposed rule change is consistent with 20549–1090. charter renewal of the MCSAC, a Section 6(b)(5) or any other provision of All submissions should refer to File Federal Advisory Committee that the Act, or the rules and regulations Number SR–ISE–2013–42. This file provides the Agency with advice and thereunder. Although there do not number should be included on the recommendations on motor carrier appear to be any issues relevant to subject line if email is used. To help the safety programs and motor carrier safety approval or disapproval which would Commission process and review your regulations through a consensus be facilitated by an oral presentation of comments more efficiently, please use process. This charter renewal will took views, data, and arguments, the only one method. The Commission will effect on October 1, 2013, and will Commission will consider, pursuant to post all comments on the Commission’s expire after 2 years. Rule 19b–4, any request for an Internet Web site (http://www.sec.gov/ FOR FURTHER INFORMATION CONTACT: Ms. opportunity to make an oral rules/sro.shtml). Copies of the Shannon L. Watson, Senior Advisor to presentation.47 submission, all subsequent the Associate Administrator for Policy, Interested persons are invited to amendments, all written statements Federal Motor Carrier Safety submit written data, views, and with respect to the proposed rule Administration, U.S. Department of arguments regarding whether the change that are filed with the Transportation, 1200 New Jersey proposed rule change should be Commission, and all written Avenue SE., Washington, DC 20590, approved or disapproved by November communications relating to the (202) 385–2395, [email protected]. 27, 2013. Any person who wishes to file proposed rule change between the SUPPLEMENTARY INFORMATION: Pursuant a rebuttal to any other person’s Commission and any person, other than to Section 10(a)(2) of the Federal submission must file that rebuttal by those that may be withheld from the Advisory Committee Act (Pub. L. 92– December 11, 2013. public in accordance with the 463), FMCSA is giving notice of the The Commission is asking that provisions of 5 U.S.C. 552, will be charter renewal for the MCSAC. The commenters address the merit of ISE’s available for Web site viewing and MCSAC was established to provide statements in support of the proposal. printing in the Commission’s Public FMCSA with advice and Specifically, the Commission is Reference Room, 100 F Street NE., recommendations on motor carrier requesting comment on the following: Washington, DC 20549, on official safety programs and motor carrier safety • What are commenters’ views business days between the hours of regulations. regarding whether the terms of the 10:00 a.m. and 3:00 p.m. Copies of the The MCSAC is composed of 20 voting proposal sufficiently mitigate concerns filing also will be available for representatives from safety advocacy, about potential manipulation and inspection and copying at the principal safety enforcement, labor, and industry potential market disruption to support office of the Exchange. All comments stakeholders of motor carrier safety. The trading this product without position received will be posted without change; diversity of the Committee ensures the limits? the Commission does not edit personal requisite range of views and expertise • What are commenters’ views identifying information from necessary to discharge its regarding the settlement methodology submissions. You should submit only responsibilities. The Committee for the Index options and the additional information that you wish to make operates as a discretionary committee information the Exchange has provided available publicly. All submissions under the authority of the U.S. to support its contention that should refer to File Number SR–ISE– Department of Transportation (DOT), manipulation of the Index would be 2013–42 and should be submitted on or established in accordance with the very difficult, particularly around the before November 27, 2013. Rebuttal provisions of the Federal Advisory time when the settlement value is comments should be submitted by Committee Act (FACA), as amended, determined? December 11, 2013. 5 U.S.C. App. 2. See FMCSA’s MCSAC Comments may be submitted by any For the Commission, by the Division of Web site for additional information of the following methods: Trading and Markets, pursuant to delegated about the committees activities at 48 http://mcsac.fmcsa.dot.gov/. Electronic Comments authority. Kevin M. O’Neill, • Issued on: October 31, 2013. Use the Commission’s Internet Deputy Secretary. Larry W. Minor, comment form (http://www.sec.gov/ [FR Doc. 2013–26552 Filed 11–5–13; 8:45 am] Associate Administrator for Policy. rules/sro.shtml); or • Send an email to rule-comments@ BILLING CODE 8011–01–P [FR Doc. 2013–26545 Filed 11–5–13; 8:45 am] sec.gov. Please include File Number SR– BILLING CODE 4910–EX–P ISE–2013–42 on the subject line. DEPARTMENT OF TRANSPORTATION Paper Comments DEPARTMENT OF TRANSPORTATION Federal Motor Carrier Safety • Send paper comments in triplicate Administration Surface Transportation Board to Elizabeth M. Murphy, Secretary, Securities and Exchange Commission, [Docket No. FMCSA–2006–26367] [Docket No. AB 290 (Sub-No. 349X)] Norfolk Southern Railway Company— 47 Section 19(b)(2) of the Act, as amended by the Motor Carrier Safety Advisory Securities Acts Amendments of 1975, Public Law Committee; Charter Renewal Abandonment Exemption—in St. 94–29, 89 Stat. 97 (1975), grants the Commission Joseph County, Ind. flexibility to determine what type of proceeding— AGENCY: Federal Motor Carrier Safety either oral or notice and opportunity for written Administration (FMCSA), DOT. Norfolk Southern Railway Company comments—is appropriate for consideration of a (NSR) has filed a verified notice of ACTION: Announcement of advisory particular proposal by a self-regulatory exemption under 49 CFR part 1152 organization. See Securities Acts Amendments of committee charter renewal. 1975, Report of the Senate Committee on Banking, subpart F–Exempt Abandonments to Housing and Urban Affairs to Accompany S. 249, abandon a total of approximately 1.5 S. Rep. No. 75, 94th Cong., 1st Sess. 30 (1975). 48 17 CFR 200.30–3(a)(57). miles of rail line located in the City of

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South Bend, St. Joseph County, Ind., filed by November 18, 2013.3 Petitions DEPARTMENT OF TRANSPORTATION extending easterly from milepost PY to reopen or requests for public use 1.90 (near the intersection of Prairie conditions under 49 CFR 1152.28 must Surface Transportation Board Ave. and Edward St.) to milepost PY be filed by November 26, 2013, with the [Docket No. FD 35776] 2.60/PM 181.80 (near Franklin St. and Surface Transportation Board, 395 E W Indiana Ave.), and from there Street SW., Washington, DC 20423– Union Pacific Railroad Company— southward to milepost PM 181.00 (to 0001. Operation Exemption—In Bexar and the west of W Woodside St.) (the Line). Wilson Counties, Tex. A copy of any petition filed with the The Line traverses United States Postal Board should be sent to NSR’s Service Zip Codes 46613 and 46614. Union Pacific Railroad Company representative: Robert A. Wimbish, (UP), a Class I rail carrier, has filed a NSR has certified that: (1) No local Baker & Miller PLLC, 2401 Pennsylvania verified notice of exemption under 49 traffic has moved over the Line for at Ave. NW., Suite 300, Washington, DC CFR 1150.31 to operate as a rail least two years; (2) no overhead traffic 20037. common carrier over approximately has moved over the Line for at least two If the verified notice contains false or 7,391 feet of track between milepost years and that overhead traffic, if there 16.1 and milepost 17.5 in Bexar and misleading information, the exemption were any, could be rerouted over other Wilson Counties, Tex. (the Line). lines; (3) no formal complaint filed by is void ab initio. According to UP, the Line lies entirely a user of rail service on the Line (or by NSR has filed a combined within a right-of-way formerly occupied a state or local government entity acting environmental and historic report that by a line of railroad that was abandoned on behalf of such user) regarding addresses the effects, if any, of the in 1994 by UP’s predecessor, the cessation of service over the Line either abandonment on the environment and Southern Pacific Transportation is pending with the Surface historic resources. OEA will issue an Company. UP states that following the Transportation Board (Board) or with environmental assessment (EA) by abandonment, the track and ties were any U.S. District Court or has been November 8, 2013. Interested persons removed but UP retained ownership of decided in favor of complainant within may obtain a copy of the EA by writing the right-of-way, which has not been the two-year period; and (4) the to OEA (Room 1100, Surface used for any non-rail purposes. requirements at 49 CFR 1105.7(c) Transportation Board, Washington, DC According to UP, in 2012, it was (environmental report), 49 CFR 1105.11 20423–0001) or by calling OEA at (202) approached by a potential customer, (transmittal letter), 49 CFR 1105.12 245–0305. Assistance for the hearing Frac Resources, LP (Frac Resources), interested in reinstating rail service on (newspaper publication), and 49 CFR impaired is available through the the Line, and, in order to facilitate rail 1152.50(d)(1) (notice to governmental Federal Information Relay Service at service to its desired location on the agencies) have been met. (800) 877–8339. Comments on As a condition to this exemption, any Line, Frac Resources constructed 7,391 environmental and historic preservation feet of track to reach its facility. UP employee adversely affected by the matters must be filed within 15 days states that as plans for rail service abandonment shall be protected under after the EA becomes available to the developed, the parties determined that Oregon Short Line Railroad— public. the best course of action was for UP to Abandonment Portion Goshen Branch operate the Line as a rail common Between Firth & Ammon, in Bingham & Environmental, historic preservation, carrier due primarily to the potential for Bonneville Counties, Idaho, 360 I.C.C. public use, or trail use/rail banking additional customers on the Line. To 91 (1979). To address whether this conditions will be imposed, where this end, UP purchased the Line from condition adequately protects affected appropriate, in a subsequent decision. Frac Resources.1 employees, a petition for partial Pursuant to the provisions of 49 CFR The earliest the transaction can be revocation under 49 U.S.C. 10502(d) 1152.29(e)(2), NSR shall file a notice of consummated is November 20, 2013, the must be filed. consummation with the Board to signify effective date of the exemption (30 days Provided no formal expression of that it has exercised the authority after the exemption was filed). intent to file an offer of financial granted and fully abandoned the Line. If If the verified notice contains false or assistance (OFA) has been received, this consummation has not been effected by misleading information, the exemption exemption will be effective on NSR’s filing of a notice of is void ab initio. Petitions to revoke the December 6, 2013, unless stayed consummation by November 6, 2014, exemption under 49 U.S.C. 10502(d) pending reconsideration. Petitions to and there are no legal or regulatory may be filed at any time. The filing of stay that do not involve environmental barriers to consummation, the authority a petition to revoke will not issues,1 formal expressions of intent to to abandon will automatically expire. automatically stay the effectiveness of file an OFA under 49 CFR Board decisions and notices are the exemption. Petitions to stay must be 1152.27(c)(2),2 and trail use/rail banking available on our Web site at filed no later than November 13, 2013 requests under 49 CFR 1152.29 must be www.stb.dot.gov. (at least 7 days before the exemption becomes effective). Decided: By the Board, Rachel D. 1 The Board will grant a stay if an informed An original and 10 copies of all decision on environmental issues (whether raised Campbell, Director, Office of Proceedings. pleadings, referring to Docket No. FD by a party or by the Board’s Office of Environmental Derrick A. Gardner, 35776, must be filed with the Surface Analysis (OEA) in its independent investigation) Transportation Board, 395 E Street SW., cannot be made before the exemption’s effective Clearance Clerk. date. See Exemption of Out-of-Serv. Rail Lines, 5 [FR Doc. 2013–26604 Filed 11–5–13; 8:45 am] Washington, DC 20423–0001. In I.C.C. 2d 377 (1989). Any request for a stay should BILLING CODE 4915–01–P be filed as soon as possible so that the Board may 1 According to UP, at the time of the purchase the take appropriate action before the exemption’s Line was properly classified either as excepted effective date. 3 NSR states that it may not have fee title to the track pursuant to 49 U.S.C. 10906 or a private track 2 Each OFA must be accompanied by the filing entire rights-of-way for the Line, which could affect outside the Board’s jurisdiction. Thus, UP asserts fee, which is currently set at $1,600. See 49 CFR future public use should NSR consummate the that Board authority was not needed for UP to 1002.2(f)(25). proposed abandonment. purchase the Line.

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addition, a copy of each pleading must new fee schedule applicable to transfers messages to or from a Federal Reserve be served on Jeremy M. Berman, Union of U.S. Treasury book-entry securities Bank by means other than on-line Pacific Railroad Company, 1400 Douglas maintained on the National Book-Entry access, such as by written, facsimile, or St., STOP 1580, Omaha, NE 68179. System (NBES) that occur on or after telephone voice instruction. The basic Board decisions and notices are January 2, 2014. transfer fee assessed to both sends and available on our Web site at DATES: Effective January 2, 2014. receives is reflective of costs associated www.stb.dot.gov. FOR FURTHER INFORMATION CONTACT: with the processing of securities Decided: October 31, 2013. Kristina Yeh, Bureau of the Fiscal transfers. The off-line surcharge reflects By the Board, Rachel D. Campbell, Service, 202–504–3550. the additional processing costs Director, Office of Proceedings. associated with the manual processing SUPPLEMENTARY INFORMATION: Treasury of off-line securities transfers. Jeffrey Herzig, has established a fee structure for the Clearance Clerk. transfer of Treasury book-entry Treasury does not charge a fee for [FR Doc. 2013–26592 Filed 11–5–13; 8:45 am] securities maintained on NBES. account maintenance, the stripping and BILLING CODE 4915–01–P Treasury reassesses this fee structure reconstitution of Treasury securities, the periodically based on our review of the wires associated with original issues, or latest book-entry costs and volumes. interest and redemption payments. DEPARTMENT OF THE TREASURY For each Treasury securities transfer Treasury currently absorbs these costs. or reversal sent or received on or after The fees described in this notice Fiscal Service Bureau of the Fiscal January 2, 2014, the basic fee will be apply only to the transfer of Treasury Service unchanged at $0.56. The Board of book-entry securities held on NBES. Governors of the Federal Reserve Information concerning fees for book- Fee Schedule for the Transfer of U.S. System (Federal Reserve) will increase entry transfers of Government Agency Treasury Book-Entry Securities Held its fee for Federal Reserve funds securities, which are priced by the on the National Book-Entry System movement from $0.09 to $0.11. This Federal Reserve, is set out in a separate AGENCY: Bureau of the Fiscal Service, will result in a combined fee of $0.67 for Federal Register notice published by Fiscal Service, Treasury. each transfer of Treasury book-entry the Federal Reserve. ACTION: Notice. securities. The surcharge for an off-line The following is the Treasury fee Treasury book-entry securities transfer schedule that will take effect on January SUMMARY: The Department of the will remain at $40.00. Off-line refers to 2, 2014, for book-entry transfers on Treasury (Treasury) is announcing a the sending and receiving of transfer NBES:

TREASURY-NBES FEE SCHEDULE 1 [Effective January 2, 2014 (in dollars)]

Off-line Funds 2 Transfer type Basic fee surcharge movement fee Total fee

On-line transfer originated ...... 0.56 N/A 0.11 0.67 On-line transfer received ...... 0.56 N/A 0.11 0.67 On-line reversal transfer originated ...... 0.56 N/A 0.11 0.67 On-line reversal transfer received ...... 0.56 N/A 0.11 0.67 Off-line transfer originated ...... 0.56 40.00 0.11 40.67 Off-line transfer received ...... 0.56 40.00 0.11 40.67 Off-line account switch received ...... 0.56 0.00 0.11 0.67 Off-line reversal transfer originated ...... 0.56 40.00 0.11 40.67 Off-line reversal transfer received ...... 0.56 40.00 0.11 40.67 1 Treasury does not charge a fee for account maintenance, the stripping and reconstituting of Treasury securities, the wires associated with original issues, or interest and redemption payments. Treasury currently absorbs these costs. 2 The funds movement fee is not a Treasury fee, but is charged by the Federal Reserve for the cost of moving funds associated with the trans- fer of a Treasury book-entry security.

Authority: 31 CFR 357.45. ACTION: Notice of Amendment to System Retention and Disposal sections and October 30, 2013. of Records. adding six routine uses. Richard L. Gregg, DATES: Comments on the amendment of Fiscal Assistant Secretary. SUMMARY: As required by the Privacy this system of records must be received Act of 1974, 5 U.S.C. 552a(e), notice is [FR Doc. 2013–26561 Filed 11–5–13; 8:45 am] no later than December 6, 2013. If no hereby given that the Department of public comment is received, the BILLING CODE 4810–39–P Veterans Affairs (VA) is amending the amended system will become effective system of records currently entitled December 6, 2013. ‘‘Veterans Appellate Records System— ADDRESSES: Written comments may be DEPARTMENT OF VETERANS VA’’ (44VA01) established at 40 FR submitted through AFFAIRS 38095 (8/26/75) and revised at 53 FR www.Regulations.gov; by mail or hand- 46741–03 (11/18/88), 56 FR 15663–03 delivery to: Director, Regulation Policy Privacy Act of 1974; System of (4/17/91), 63 FR 37941–02 (7/14/98), 66 and Management (02REG), Department Records FR 47725–02 (9/13/01), and 70 FR of Veterans Affairs, 810 Vermont 6079–02, (2/4/05). VA is amending the Avenue NW., Room 1068, Washington, AGENCY: Department of Veterans Affairs system by revising the Storage and DC 20420; or by fax to (202) 273–9026. (VA). All comments received will be available

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for public inspection in the Office of organizations, private or public System (VACOLS) is a part of this Regulation Policy and Management, agencies, or other entities with whom system and can include electronically Room 1063B, between the hours of 8 VA has a contract or agreement and the attached copies of Board of Veterans’ a.m. and 4:30 p.m., Monday through information is necessary for the entities Appeals decisions and remands; Friday (except holidays). Please call to complete their contractual obligations personal information on appellants and (202) 273–9515 for an appointment. to VA. contesting parties including names, FOR FURTHER INFORMATION CONTACT: The fifth new routine use permits addresses, identifying numbers, phone Laura H. Eskenazi, Vice Chairman and disclosure to other Federal agencies to numbers, service dates and issues on Executive in Charge, Board of Veterans’ assist such agencies in preventing and appeal; names, addresses and phone Appeals (012), Department of Veterans detecting possible fraud or abuse by numbers of representatives, powers of Affairs, 810 Vermont Avenue NW., individuals in their programs or attorney and attorney fee agreements; Washington, DC 20420, (202) 632–4603. operations. information on and dates of procedural SUPPLEMENTARY INFORMATION: The Board The sixth new routine use permits VA steps taken in claims; records of and of Veterans’ Appeals (BVA, Board) to disclose information to appropriate electronic copies of correspondence proposes to make changes to the Storage agencies, entities, or persons when VA concerning appeals; diary entries, and Retention and Disposal sections of suspects or has confirmed that the notations of mail received, information this system of records to reflect current integrity or confidentiality of requests; transcripts of hearings; practice and add six routine uses. information in the system of records has tracking information as to file location Hearings are currently recorded been compromised, or the Department and employee productivity information. digitally and the recordings stored has determined that there is a risk of Material in this system that is not indefinitely. Some facilities may still embarrassment or harm to the maintained in VACOLS includes need to record hearings on audio tape. reputations of the record subjects, harm verbatim digital recordings of hearings In those instances, the tapes are sent to to economic or property interests, that are maintained indefinitely, the Wilkes-Barre VA facility, where they identity theft or fraud, or harm to the microfiche decision locator tables and are transcribed and, as in the past, the security of the system or other systems indices to decisions from 1983 to 1994, tapes are maintained for one year from or programs. and microfiche reels with texts of the date of the hearing, after which time The Privacy Act permits VA to decisions from 1977 to 1989. disclose information about individuals they are destroyed. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: The first new routine use will permit without their consent for a routine use 38 U.S.C. 7101(a), 7104, 5904. the release of information from this when the information will be used for a purpose that is compatible with the system of records to representatives and PURPOSE(S): Veterans Service Organizations. The purpose for which the information was collected. In all of the routine use Initial decisions on claims for Federal representative will have to be of record Veterans’ benefits are made at VA field and the information released must disclosures described above, the recipient of the information will use the offices throughout the nation. Claimants pertain only to a client. Veterans Service may appeal those decisions to the Board Organizations at the Board will have information in connection with a matter relating to one of VA’s programs, will of Veterans’ Appeals. See 38 U.S.C. computer access to the Veterans Chapter 71. The Board gathers or creates Appeals Control and Locator System use the information to provide a benefit to VA, or disclosure is required by law. the records in this system in order to records of their clients. They will not be carry out its appellate function, to able to read any other records and will Approved: October 9, 2013. statistically evaluate the appellate not be able to alter the records of their Jose D. Riojas, process, and to evaluate employee clients’. Since representatives are Chief of Staff, Department of Veterans Affairs. performance. entitled to access data pertaining to their clients, this computer access will SOR# 44VA01 ROUTINE USES OF RECORDS MAINTAINED IN THE save time and effort in the appropriate SYSTEM, INCLUDING CATEGORIES OF USERS AND SYSTEM NAME: dissemination of this information. PURPOSES OF SUCH USES: The second new routine use will Veterans Appellate Records System- 1. Disclosure to law enforcement permit the Board to release information VA personnel and security guards may be from this system of records to the SYSTEM LOCATION: made in order to alert them to the Comptroller General, or his or her presence of dangerous persons in VA Board of Veterans’ Appeals, authorized representative, in the course facilities or at VA activities conducted Department of Veterans Affairs (VA), of the performance of the duties of the in non-VA facilities. 810 Vermont Avenue NW., Washington, United States General Accountability 2. VA may disclose on its own DC 20420, at the Wilkes-Barre VA Office. initiative any information in this facility, 1127 East End Boulevard, The third new routine use will permit system, except the names and home Building 42, Wilkes-Barre, PA 18702, disclosure of information to the addresses of Veterans and their and with the Board’s contractor, Department of Justice (DoJ), either on dependents, which is relevant to a Promisel & Korn, Inc., 3228 Amberley VA’s initiative or in response to DoJ’s suspected or reasonably imminent Lane, Fairfax, VA 22031. request for information relevant to DoJ’s violation of law, whether civil, criminal representation of the United States in CATEGORIES OF INDIVIDUALS COVERED BY THE or regulatory in nature and whether legal proceedings, provided that such a SYSTEM: arising by general or program statute or release would be a use of the Veterans, other appellants, Veterans by regulation, rule or order issued information that is compatible with the Law Judges, Board staff attorneys and pursuant thereto, to a Federal, State, purposes for which the records were Members of Congress. local, tribal, or foreign agency charged collected. with the responsibility of investigating The fourth new routine use will CATEGORIES OF RECORDS IN THE SYSTEM: or prosecuting such violation, or permit the release of relevant The computer database entitled charged with enforcing or implementing information to individuals, Veterans Appeals Control and Locator the statute, regulation, rule or order. On

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its own initiative, VA may also disclose Department-filed disability retirement in legal proceedings before a court or the names and addresses of Veterans procedures. adjudicative body, provided that, in and their dependents to a Federal 9. Disclosure may be made to officials each case, the agency also determines agency charged with the responsibility of the Merit Systems Protection Board, prior to disclosure that release of the of investigating or prosecuting civil, or the Office of Special Counsel, or both, records to DoJ is a use of the criminal or regulatory violations of law, when requested in connection with information contained in the records or charged with enforcing or appeals, special studies of the civil that is compatible with the purpose for implementing the statute, regulation, service and other merit systems, review which VA collected the records. VA, on rule or order issued pursuant thereto. of rules and regulations, investigation of its own initiative, may disclose records 3. A record from this system of alleged or possible prohibited personnel in this system of records in legal records may be disclosed to a Veteran, practices, and such other functions, proceedings before a court or claimant or a third party claimant (e.g., promulgated in 5 U.S.C. 1205 and 1206, administrative body after determining a Veteran’s survivors or dependents) to or as may be authorized by law. that the disclosure of the records to the the extent necessary for the 10. Disclosure may be made to the court or administrative body is a use of development of that claimant’s claim for Equal Employment Opportunity the information contained in the records VA benefits. Commission when requested in that is compatible with the purpose for 4. Disclosure may be made to a connection with investigations of which VA collected the records. congressional office from the record of alleged or possible discrimination 16. Disclosure of relevant information an individual in response to an inquiry practices, examination of Federal may be made to individuals, from the congressional office made at affirmative employment programs, organizations, private or public the request of that individual. compliance with the Uniform agencies, or other entities with whom Guidelines of Employee Selection 5. Disclosure may be made to the VA has a contract or agreement or where Procedures, or other functions of the National Archives and Records there is a subcontract to perform such Commission as authorized by law or Administration (NARA) in records services as VA may deem practicable for regulation. the purpose of laws administered by management inspections conducted 11. VA may disclose to the Federal under authority of Title 44 U.S.C. VA, in order for the contractor or Labor Relations Authority (FLRA), subcontractor to perform the services of 6. A record from this system (other including its General Counsel, the contract or agreement. than the address of the beneficiary) may information from this system related to 17. Disclosure to other Federal be disclosed to a former representative the establishment of jurisdiction, agencies may be made to assist such of a beneficiary to the extent necessary investigation, and resolution of agencies in preventing and detecting to develop and adjudicate a claim for allegations of unfair labor practices, or possible fraud or abuse by individuals payment of attorney fees to such the resolution of exceptions to in their operations and programs. representative from past due benefits arbitration awards when a question of 18. VA may, on its own initiative, under 38 U.S.C. 5904(d). material fact is raised and to address disclose any information or records to 7. Where VA determines that there is matters properly before the Federal appropriate agencies, entities, and good cause to question the legality or Services Impasses Panel, investigate persons when (1) VA suspects or has ethical propriety of the conduct of a representation petitions, and conduct or confirmed that the integrity or person or organization prospectively, supervise representation elections. confidentiality of information in the presently or formerly representing a 12. Disclosure of information in this system of records has been person in a matter before VA, a record system of records may be made to the compromised; (2) the Department has from this system may be disclosed, on United States Court of Appeals for determined that as a result of the VA’s initiative, to any or all of the Veterans Claims when requested by the suspected or confirmed compromise, following: (1) Applicable civil or Court to further the performance of its there is a risk of embarrassment or harm criminal law enforcement authorities; duties as delineated in Chapter 72 of to the reputations of the record subjects, (2) a person or entity responsible for the Title 38 of the United States Code harm to economic or property interests, licensing, supervision, or professional Annotated with respect to any action identity theft or fraud, or harm to the discipline of the person or organization brought under that chapter. security, confidentiality, or integrity of prospectively, presently or formerly 13. A record from this system may be this system or other systems or representing a person in a matter before disclosed to a Service Organization programs (whether maintained by the VA; (3) to other Federal and State where the Service Organization is the Department or another agency or entity) agencies and to Federal courts when representative of record of the subject of that rely upon the potentially such information may be relevant to the the records to be released. compromised information; and (3) the individual’s or organization’s provision 14. As permitted by the Privacy Act disclosure is to agencies, entities, or of representational services before such at 5 U.S.C.A. § 552a(b)(10), the Board persons whom VA determines are agency or court. Names and home will release information from this reasonably necessary to assist or carry addresses of Veterans and their system of records to the Comptroller out the Department’s efforts to respond dependents will be released on VA’s General, or any of his or her authorized to the suspected or confirmed initiative under this routine use only to representatives, in the course of the compromise and prevent, minimize, or Federal entities. performance of the duties of the United remedy such harm. This routine use 8. Disclosure may be made to the VA- States General Accountability Office. permits disclosures by the Department appointed representative of an 15. VA may disclose information from to respond to a suspected or confirmed employee, including all notices, this system of records to the Department data breach, including the conduct of determinations, decisions, or other of Justice (DoJ), either on VA’s initiative any risk analysis or provision of credit written communications issued to the or in response to DoJ’s request for the protection services as provided in 38 employee in connection with an information, after either VA or DoJ U.S.C. 5724, as the terms are defined in examination ordered by VA under determines that such information is 38 U.S.C. 5727. medical evaluation (formerly fitness-for- relevant to DoJ’s representation of the Note: Any record maintained in this duty) examination procedures or United States or any of its components system of records, which may include

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information relating to drug abuse, Veterans’ Appeals decisions and other hospital records, and outpatient clinic alcoholism or alcohol abuse, infection records in this system before VA makes records folders and associated folders; with the human immunodeficiency them available to the public. Files kept Board of Veterans’ Appeals records; data virus, or sickle cell anemia will be by the contractor are in a locked safe in presented by appellants and their disclosed pursuant to an applicable locked rooms in a secured building. representatives at hearings and in briefs routine use for the system only when and correspondence; and data furnished RETENTION AND DISPOSAL: permitted by 38 U.S.C. 7332. by Board of Veterans’ Appeals Records in this system, in VACOLS, employees. POLICIES AND PRACTICES FOR STORING, and those collected prior to VACOLS’ RETRIEVING, ACCESSING, RETAINING, AND use as a repository are retained SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS DISPOSING OF RECORDS IN THE SYSTEM: indefinitely as Category B Vital Records OF THE ACT: STORAGE: unless otherwise specifically noted. None. Information is kept in a computer Under the Vital Records Schedule, [FR Doc. 2013–26522 Filed 11–5–13; 8:45 am] database entitled VACOLS and backed electronic back-up tapes are destroyed BILLING CODE 8320–01–P up on computer tape. Archived records by erasure upon receipt of the next that were created prior to expansion of quarterly tape set. Recordings of the Board of Veterans’ Appeals’ hearings will be made as described in DEPARTMENT OF VETERANS electronic storage capability may be Rule 714, 38 CFR 20.714, and AFFAIRS stored in filing folders or cabinets, transcriptions of recordings of hearings Privacy Act of 1974 microfiche, computer disks, or will be attached electronically in computer tape. Hearings before the VACOLS. Electronic recordings of AGENCY: Department of Veterans Affairs Board are digitally recorded and stored hearings will be retained for at least one (VA). indefinitely. Where a facility must use year from the date of the hearing, giving ACTION: Notice of a New System of audio tape to record hearings, the the hearing subject the opportunity to Records. recording is maintained for one year challenge the accuracy of the transcript. after which period it is destroyed. A SUMMARY: The Privacy Act of 1974 SYSTEM MANAGER(S) AND ADDRESS: transcript is made for each hearing held (5 U.S.C. 552(e) (4)) requires all agencies and is electronically attached to the Chairman (01), Board of Veterans’ publish in the Federal Register a notice record in VACOLS. Digital recordings of Appeals, 810 Vermont Avenue NW., of the existence and character of their hearings are maintained on a back-up Washington, DC 20420. systems of records. Notice is hereby given that the Department of Veterans server. Under the Vital Records NOTIFICATION PROCEDURES: Schedule, electronic back-up tapes are Affairs (VA) is establishing a new An individual desiring to know system of records titled ‘‘VA Mobile updated quarterly. A back-up tape is whether this system of records contains transferred weekly to the Board’s Application Environment (MAE)-VA’’ a record pertaining to him or her, how (173VA005OP2). contractor for quick access back-up tape she or he may gain access to such a storage. record, and how she or he may contest DATES: Comments on this new system of records must be received no later than RETRIEVABILITY: the content of such a record may write to the following address: Privacy Act December 6, 2013. If no public comment VACOLS records in this system may is received during the period allowed be retrieved by any searchable field in Officer (01C1), Board of Veterans’ Appeals, 810 Vermont Avenue NW., for comment or unless otherwise the VACOLS database. This system published in the Federal Register by notice covers only information retrieved Washington, DC 20420. The following information, or as much as is available, VA, the new system will become by an individual’s name or other effective December 6, 2013. identifier. Archived material from this should be furnished in order to identify ADDRESSES: Written comments system that is not in VACOLS may be the record: Name of Veteran, name of concerning the proposed amended retrieved by Veteran’s name, VA file appellant other than the Veteran (if system of records may be submitted by: number, or BVA archive citation any), and Department of Veterans Mail or hand-delivery to Director, number. Affairs file number. For information about hearing transcripts or tape Regulations Management (02REG), SAFEGUARDS: recordings, also furnish the date, or the Department of Veterans Affairs, 810 Files are under custody of designated approximate date, of the hearing. Vermont Avenue NW, Room 1068, VA employees, including employees of Washington, DC 20420; fax to (202) RECORD ACCESS PROCEDURES: the Board of Veterans’ Appeals and its 273–9026; or email to http:// contractor, all of whom have a need to Individuals seeking information www.Regulations.gov. All comments know the contents of the system of regarding access to information received will be available for public records in order to perform their duties. contained in this system of records may inspection in the Office of Regulation Access to VACOLS is strictly limited to write or call the Board of Veterans’ Policy and Management, Room 1063B, reflect the need individual employees Appeals Freedom of Information Act between the hours of 8:00 a.m. and 4:30 have for the different records in the Officer, whose address and telephone p.m., Monday through Friday (except system. Where a Veterans Service number are as follows: Freedom of holidays). Please call (202) 461–4902 for Organization office is located in a VA Information Act Officer (01C1), Board of an appointment. (This is not a toll-free facility and has access to VACOLS Veterans’ Appeals, 810 Vermont Avenue number.) through the Wide Area Network, that NW., Washington, DC 20420. FOR FURTHER INFORMATION CONTACT: access is strictly limited to viewing CONTESTING RECORD PROCEDURES: Veterans Health Administration (VHA) records of current clients of the (See notification procedures above.) Privacy Officer, Department of Veterans organization. No personal identifiers are Affairs, 810 Vermont Avenue NW., used in statistical and management RECORD SOURCE CATEGORIES: Washington, DC 20420 or by telephone reports, and personal identifiers are VA Claims, insurance, loan guaranty, at (704) 245–2492. removed from all archived Board of vocational rehabilitation, education, SUPPLEMENTARY INFORMATION:

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I. Description of Proposed Systems of within a VA mobile or Web application. statutory authority permitting Records The purpose of use will include, but not disclosure. The MAE contains the core set of be limited to: Health care treatment VHA is proposing the following records to be used to support VA efforts information, disability adjudication, and routine use disclosures of information to to expand its technology into the mobile benefits to the Veteran both within the be maintained in the system: 1. On its own initiative, VA may and Web-based application domain as VAMC and in sharing with partners disclose information, except for the well as facilitate utilization of who are participating through the names and home addresses of Veterans applications and systems directly by eHealth Exchange in VA’s Mobile pilots and their dependents, to a Federal, state, patients and VA customers. The and subsequent public and enterprise local, tribal, or foreign agency charged proposed system of records contains roll-out of new applications. Data may with the responsibility of investigating information on Veterans, Veteran also be used at an aggregate, non- or prosecuting civil, criminal, or beneficiaries, Veteran caregivers, personally identifiable level to track and regulatory violations of law, or charged members of the Armed Forces, and evaluate local or national health and benefits initiatives and preventative- with enforcing or implementing the other VA customers in addition to VA- statute, regulation, rule, or order issued authorized users. VA-authorized users care measures, such as detecting outbreaks of flu or other diseases, pursuant thereto. On its own initiative, are VA employees, VA contractors, VA VA may also disclose the names and volunteers, and other individuals with detection of antibiotic resistance bacteria, etc. The data may be used for addresses of Veterans and their permission to access VA Information such purposes as scheduling patient dependents to a Federal agency charged Technology (IT) systems. These data are treatment services, including nursing with the responsibility of investigating stored in VA resources, accessible to care, clinic appointments, surveys, or prosecuting civil, criminal, or authorized users through applications diagnostic and therapeutic procedures. regulatory violations of law, or charged utilizing services available in VA’s MAE The data may also be used for the with enforcing or implementing the middle tier service layer (the VA Health purpose of health care operations such statute, regulation, rule, or order issued Adapter). These records will be used in as: Producing various management and pursuant thereto. VA must be able to the provision of health care and benefits patient follow-up reports; responding to comply with the requirements of by VA. The records contain information patients and other inquiries for agencies charged with enforcing the law that will be directly updated by epidemiological research and other and conducting investigations. VA must Veterans, Veteran beneficiaries, Veteran health care-related studies, statistical also be able to provide information to caregivers, members of the Armed analysis, resource allocation and state or local agencies charged with Forces, Reserves and National Guard, planning; providing clinical and protecting the public’s health as set other VA customers, and VA-authorized administrative support to patient forth in state law. users, such as demographics (e.g., name, medical care; determining entitlement 2. Disclosure may be made to any social security number, physical and eligibility for VA benefits; source from which additional address, phone number, email address), processing and adjudicating benefit information is requested (to the extent health-related information (e.g., vital claims by Veterans Benefits necessary to identify the individual, signs, allergies, medications, health- Administration Regional Office (VARO) inform the source of the purpose(s) of related history, health assessments), staff, for audits, reviews, and the request, and to identify the type of benefits-related information, investigations conducted by staff of VA information requested), when necessary information provided to VA for the Central Office, and VA’s Office of to obtain information relevant to an potential provision of services and Inspector General (OIG); sharing of individual’s eligibility, care history, or benefits, military history and service, health information between and among other benefits. preferences for authorizing the sharing VHA, DoD, Indian Health Services 3. Disclosure may be made to an of their health information (e.g., (IHS), and other Government and agency in the executive, legislative, or electronic surrogate authorizations, private industry health care judicial branch, or the District of electronic surrogate revocations). The organizations; law enforcement Columbia’s government in response to records may include identifiers such as investigations; quality assurance audits, its request or at the initiation of VA, in VA’s integration control number. The reviews, and investigations; personnel connection with disease tracking, records include information provided management and evaluation; employee patient outcomes, or other health by Veterans and their beneficiaries or ratings and performance evaluations; information required for program caregivers, members of the Armed and employee disciplinary or other accountability. Forces, Reserves or National Guard, VA adverse action, including discharge; 4. The record of an individual who is employees, other VA-authorized users advising health care professional covered by a system of records may be (e.g., Department of Defense), and licensing or monitoring bodies or disclosed to a Member of Congress or a information from VA computer systems similar entities of activities of VA and staff person acting for the Member, and databases including, but not limited former VA health care personnel. when the Member or staff person to, Veterans Health Information Systems requests the record on behalf of and at and Technology Architecture (VistA)- II. Proposed Routine Use Disclosures of the written request of the individual. VA (79VA10P2), National Patient Data in the System Individuals sometimes request the help Databases-VA (121VA10P2), VA To the extent that records contained of a Member of Congress in resolving Medical Centers (VAMC), Federal and in the system include information some issues relating to a matter before non-Federal Veterans Lifetime protected by 38 United States Code VA. The Member of Congress then Electronic Records (VLER)/eHealth (U.S.C.) 7332 (e.g., medical treatment writes to VA, and VA must be able to Exchange partners, and the Department information related to drug abuse, give sufficient information to give of Defense (DoD). alcoholism or alcohol abuse, sickle cell response to the inquiry. The purpose of the system of records anemia or infection with the human 5. Disclosure may be made to the is to provide a repository for the clinical immunodeficiency virus). That National Archives and Records and administrative information that is information cannot be disclosed under a Administration (NARA) and the General collected, retrieved, or displayed from routine use unless there is also specific Services Administration (GSA) in

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records management inspections patients by making a decision about a epidemiological and other research conducted under authority of Title 44, health care professional’s license, facilities for research purposes Chapter 29, of the United States Code. certification, or registration, such as determined to be necessary and proper NARA and GSA are responsible for the issuance, retention, revocation, or other when approved in accordance with VA management of old records no longer actions such as suspension. policy. actively used, but which may be 9. Disclosure may be made to officials 15. Disclosure of names and addresses appropriate for preservation, and for the of labor organizations recognized under of present or former personnel of the physical maintenance of the Federal 5 U.S.C. Chapter 71, when relevant and Armed Forces and/or their dependents, Government’s records. VA must be able necessary to their duties of exclusive may be made to: (a) A Federal to provide the records to NARA and representation concerning personnel department or agency, at the written GSA in order to determine the proper policies, practices, and matters affecting request of the head or designee of that disposition of such records. working conditions. agency; or (b) directly to a contractor or 6. VA may disclose information from 10. Disclosure may be made to the subcontractor of a Federal department this system of records to the Department VA-appointed representative of an or agency, for the purpose of conducting of Justice (DOJ), either on VA’s initiative employee all notices, determinations, Federal research necessary to or in response to DOJ’s request for the decisions, or other written accomplish a statutory purpose of an information, after either VA or DOJ communications issued to the employee agency. When disclosure of this determines that such information is in connection with an examination information is made directly to a relevant to DOJ’s representation of the ordered by VA under medical contractor, VA may impose applicable United States or any of its components evaluation (formerly fitness-for-duty) conditions on the department, agency, in legal proceedings before a court or examination procedures or Department- and/or contractor to ensure the adjudicative body, provided that, in filed disability retirement procedures. appropriateness of the disclosure to the each case, the agency also determines 11. VA may disclose information to contractor. prior to disclosure that release of the officials of the Merit Systems Protection 16. Disclosures of relevant records to DOJ is a use of the Board (MSPB) or the Office of Special information may be made to information contained in the records Counsel (OSC), when requested in individuals, organizations, private or that is compatible with the purpose for connection with appeals, special studies public agencies, or other entities with which VA collected the records. VA, on of the civil service and other merit whom VA has a contract or agreement its own initiative, may disclose records systems, review of rules and regulations, or where there is a subcontract to in this system of records in legal investigation of alleged or possible perform the services as VA may deem proceedings before a court or prohibited personnel practices, and practicable for the purposes of laws administrative body after determining such other functions, promulgated in 5 administered by VA, in order for the that the disclosure of the records to the U.S.C. 1205 and 1206, or as authorized contractor or subcontractor to perform court or administrative body is a use of by law. the services of the contract or the information contained in the records 12. VA may disclose information to agreement. This routine use includes that is compatible with the purpose for the Equal Employment Opportunity disclosures by the individual or entity which VA collected the records. Commission (EEOC) when requested in performing the service for VA to any 7. Records from this system of records connection with investigations of secondary entity or individual to may be disclosed to inform a Federal alleged or possible discriminatory perform an activity that is necessary for agency, licensing boards, or the practices, examination of Federal individuals, organizations, private or appropriate non-Government entities affirmative employment programs, or for public agencies, or other entities or about the health care practices of a other functions of the Commission as individuals with whom VA has a terminated, resigned, or retired health authorized by law or regulation. VA contract or agreement to provide the care employee whose professional must be able to provide information to service to VA. health care activity so significantly the Commission to assist it in fulfilling 17. Disclosure to other Federal failed to conform to generally accepted its duties to protect employees’ rights, agencies may be made to assist such standards of professional medical as required by statute and regulation. agencies in preventing and detecting practice as to raise reasonable concern 13. VA may disclose to the Fair Labor possible fraud or abuse by individuals for the health and safety of patients Relations Authority (FLRA) (including in their operations and programs. receiving medical care in the private its General Counsel) information related 18. VA may, on its own initiative, sector or from another Federal agency. to the establishment of jurisdiction, the disclose any information or records to 8. Disclosure may be made to a investigation and resolution of appropriate agencies, entities, and national certifying body which has the allegations of unfair labor practices, or persons when (1) VA suspects or has authority to make decisions concerning information in connection with the confirmed that the integrity or the issuance, retention, or revocation of resolution of exceptions to arbitration confidentiality of information in the licenses, certifications or registrations awards when a question of material fact system of records has been required to practice a health care is raised; to disclose information in compromised; (2) the Department has profession, when requested in writing matters properly before the Federal determined that, as a result of the by an investigator or supervisory official Services Impasse Panel (FSIP) and to suspected or confirmed compromise, of the national certifying body for the investigate representation petitions and there is a risk of embarrassment or harm purpose of making a decision conduct or supervise representation to the reputations of the record subjects, concerning the issuance, retention, or elections. VA must be able to provide harm to economic or property interests, revocation of the license, certification, information to FLRA to comply with the identity theft or fraud, or harm to the or registration of a named health care statutory mandate under which it security, confidentiality, or integrity of professional. VA must be able to report operates. this system or other systems or information regarding the care a health 14. Disclosure of medical record data, programs (whether maintained by the care practitioner provides to a national excluding name and address, unless Department or another agency), or certifying body charged with name and address are furnished by the disclosure is to agencies, entities, or maintaining the health and safety of requester, may be made to persons whom VA determines are

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reasonably necessary to assist or carry and 164. VHA may not disclose maintained by VA, accessed and out the Department’s efforts to respond individually identifiable health updated by the individuals covered by to the suspected or confirmed information (as defined in HIPAA and the system as well as by VA-authorized compromise and prevent, minimize, or the Privacy Rule, 42 U.S.C. 1320(d)(6) users. The records may contain remedy such harm. This routine use and 45 CFR 164.501) pursuant to a information, such as demographics (e.g., permits disclosures by the Department routine use unless either: (a) the name, social security numbers, physical to respond to a suspected or confirmed disclosure is required by law, or (b) the address, phone number, email address), data breach, including the conduct of disclosure is also permitted or required health-related information (e.g., vital any risk analysis or provision of credit by HHS’ Privacy Rule. The disclosures signs, allergies, medications, health- protection services as provided in 38 of individually-identifiable health related history, health assessments), U.S.C. 5724, as the terms are defined in information contemplated in the routine benefit-related information, information 38 U.S.C. 5727. uses published in this amended system provided to VA for the potential 19. VA may disclose any information of records notice are permitted under provision of services and benefits, to another covered entity that is a the Privacy Rule or required by law. military history and services, Government agency administering a However, to also have authority to make preferences for authorizing the sharing Government program providing public such disclosures under the Privacy Act, of their health information (e.g., benefits if the programs serve the same VA must publish these routine uses. electronic surrogate authorizations, or similar populations as VA, and the Consequently, VA is publishing these electronic surrogate revocations). The disclosure of information is necessary to routine uses and is adding a preliminary records may include identifiers such as coordinate the functions of such paragraph to the routine uses portion of VA’s integration control number. The programs or to improve administration the system of records notice stating that information will be primarily benefits and management relating to the any disclosure pursuant to the routine and health-related but may include functions of such programs. uses in this system of records notice other information such as customer- 20. VA may disclose health care must be either required by law or entered updates to demographic information to a non-VA health care permitted by the Privacy Rule, before information. provider, such as private health care VHA may disclose the covered AUTHORITY FOR MAINTENANCE OF THE SYSTEM: providers or hospitals, DoD, or IHS information. providers, for the purpose of treating VA The notice of intent to publish and an Title 38, United States Code, Section patients. To better facilitate medical advance copy of the system notice have 501. care and treatment for Veterans, VA been sent to the appropriate PURPOSE(S): must be prepared to share health Congressional committees and to the The records and information will be information between VHA, DoD, IHS, Director, Office of Management and and other government health care used to provide a repository for the Budget (OMB), as required by 5 U.S.C. clinical and administrative information organizations. 552a(r) (Privacy Act) and guidelines 21. VA may disclose information to a that is collected, retrieved, or displayed issued by OMB (65 FR 77677), former VA employee or contractor, as from within a VA mobile or Web December 12, 2000. well as the authorized representative of application. The purpose of use will a current or former employee or Approved: October 9, 2013. include, but not be limited to, health contractor of VA, in pending or Jose D. Riojas, care treatment information, disability reasonably anticipated litigation against Chief of Staff, Department of Veterans Affairs. adjudication, and benefits to the Veteran the individual regarding health care both within the VA Medical Center and provided during the period of his or her 173VA005OP2 in sharing with partners who are participating through the eHealth employment or contract with VA. SYSTEM NAME: Exchange in VA’s Mobile pilots and III. Compatibility of the Proposed VA Mobile Application Environment subsequent public and enterprise roll- Routine Uses (MAE)–VA out of new applications. Data may also The Privacy Act permits VA to SYSTEM LOCATION: be used at an aggregate, non-personally identifiable level to track and evaluate disclose information about individuals Records are maintained at VA local or national health and benefits without their consent for a routine use Contracted Service Provider, Terremark, initiatives and preventative-care when the information will be used for at 18155 Technology Drive, Culpeper, measures, such as detecting outbreaks of a purpose that is compatible with the VA 22701–3805. purpose for which VA collected the flu or other diseases, detection of information. In all of the routine use CATEGORIES OF INDIVIDUALS COVERED BY THE antibiotic resistance bacteria, etc. These disclosures described above, either the SYSTEM: data may be used for such purposes as recipient of the information will use the The records contain information on scheduling patient treatment services, information in connection with a matter Veterans, Veteran beneficiaries, Veteran including nursing care, clinic relating to one of VA’s programs, to caregivers, members of the Armed appointments, surveys, diagnostic, and provide a benefit to the VA, or to Forces, Reserves and National Guard, therapeutic procedures. These data may disclose information as required by law. and other VA customers in addition to also be used for the purpose of health Under section 264, Subtitle F of Title VA authorized users (e.g., VA care operations, such as producing II of the Health Insurance Portability employees, VA contractors, VA various management and patient follow- and Accountability Act of 1996 (HIPAA) volunteers, and other individuals up reports; responding to patient and Public Law 104–191, 100 Stat. 1936, permitted VA have access to VA IT other inquiries; for epidemiological 2033–34 (1996), the United States systems). research and other health care-related Department of Health and Human studies; statistical analysis, resource Services (HHS) published a final rule, as CATEGORIES OF RECORDS IN THE SYSTEM: allocation and planning; providing amended, establishing Standards for The records may include information clinical and administrative support to Privacy of Individually-Identifiable related to data entered through Web and patient medical care; determining Health Information, 45 CFR Parts 160 mobile applications developed and entitlement and eligibility for VA

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benefits; processing and adjudicating its request or at the initiation of VA, in or registration of a named health care benefit claims by Veterans Benefits connection with disease tracking, professional. Administration Regional Office staff; for patient outcomes or other health 9. Disclosure may be made to officials audits, reviews, and investigations information required for program of labor organizations recognized under conducted by staff of VA Central Office accountability. 5 U.S.C. Chapter 71, when relevant and and VA’s OIG; sharing of health 4. The record of an individual who is necessary to their duties of exclusive information between and among VHA, covered by a system of records may be representation concerning personnel DoD, IHS, and other Government and disclosed to a Member of Congress, or policies, practices, and matters affecting private industry health care a staff person acting for the Member, working conditions. organizations; law enforcement when the Member or staff person 10. Disclosure may be made to the investigations; quality assurance audits, requests the record on behalf of and at VA-appointed representative of an reviews, and investigations; personnel the written request of the individual. employee all notices, determinations, management and evaluation; employee 5. Disclosure may be made to NARA decisions, or other written ratings and performance evaluations; and GSA in records management communications issued to the employee and employee disciplinary or other inspections conducted under authority in connection with an examination adverse action, including discharge; of Title 44, Chapter 29, of the United ordered by VA under medical advising health care professional States Code. evaluation (formerly fitness-for-duty) licensing or monitoring bodies or 6. VA may disclose information from examination procedures or Department- similar entities of activities of VA and this system of records to DOJ, either on filed disability retirement procedures. 11. VA may disclose information to former VA health care personnel. VA’s initiative or in response to DOJ’s officials of MSPB or OSC, when request for the information, after either ROUTINE USES OF RECORDS MAINTAINED IN THE requested in connection with appeals, VA or DOJ determines that such SYSTEM, INCLUDING CATEGORIES OF USERS AND special studies of the civil service and THE PURPOSES OF SUCH USES: information is relevant to DOJ’s other merit systems, review of rules and To the extent that records contained representation of the United States or regulations, investigation of alleged or in the system include information any of its components in legal possible prohibited personnel practices, protected by 38 U.S.C. 7332, (e.g., proceedings before a court or and such other functions, promulgated medical treatment information related to adjudicative body, provided that, in in 5 U.S.C. 1205 and 1206, or as drug abuse, alcoholism or alcohol abuse, each case, the agency also determines authorized by law. sickle cell anemia or infection with the prior to disclosure that release of the 12. VA may disclose information to human immunodeficiency virus), that records to DOJ is a use of the EEOC when requested in connection information cannot be disclosed under a information contained in the records with investigations of alleged or routine use unless there is also specific that is compatible with the purpose for possible discriminatory practices, statutory authority permitting which VA collected the records. VA, on examination of Federal affirmative disclosure. its own initiative, may disclose records employment programs, or for other 1. On its own initiative, VA may in this system of records in legal functions of the Commission as disclose information, except for the proceedings before a court or authorized by law or regulation. names and home addresses of Veterans administrative body after determining 13. VA may disclose to FLRA and their dependents, to a Federal, state, that the disclosure of the records to the (including its General Counsel) local, tribal, or foreign agency charged court or administrative body is a use of information related to the establishment with the responsibility of investigating the information contained in the records of jurisdiction, investigation, and or prosecuting civil, criminal, or that is compatible with the purpose for resolution of allegations of unfair labor regulatory violations of law, or charged which VA collected the records. practices, or information in connection with enforcing or implementing the 7. Records from this system of records with the resolution of exceptions to statute, regulation, rule, or order issued may be disclosed to inform a Federal arbitration awards when a question of pursuant thereto. On its own initiative, agency, licensing boards, or the material fact is raised to disclose VA may also disclose the names and appropriate non-Government entities information in matters properly before addresses of Veterans and their about the health care practices of a the Federal Services Impasse Panel and dependents to a Federal agency charged terminated, resigned, or retired health to investigate representation petitions with the responsibility of investigating care employee whose professional and conduct or supervise representation or prosecuting civil, criminal, or health care activity so significantly elections. regulatory violations of law, or charged failed to conform to generally-accepted 14. Disclosure of medical record data, with enforcing or implementing the standards of professional medical excluding name and address, unless statute, regulation, rule, or order issued practice as to raise reasonable concern name and address is furnished by the pursuant thereto. for the health and safety of patients requester, may be made to 2. Disclosure may be made to any receiving medical care in the private epidemiological and other research source from which additional sector or from another Federal agency. facilities for research purposes information is requested (to the extent 8. Disclosure may be made to a determined to be necessary and proper necessary to identify the individual, national certifying body which has the when approved in accordance with VA inform the source of the purpose(s) of authority to make decisions concerning policy. the request), and to identify the type of the issuance, retention, or revocation of 15. Disclosure of names and addresses information requested), when necessary licenses, certifications or registrations of present or former personnel of the to obtain information relevant to an required to practice a health care Armed Forces, and/or their dependents, individual’s eligibility, care history, or profession, when requested in writing may be made to: (a) a Federal other benefits. by an investigator or supervisory official department or agency, at the written 3. Disclosure may be made to an of the national certifying body for the request of the head or designee of that agency in the executive, legislative, or purpose of making a decision agency; or (b) directly to a contractor or judicial branch, or the District of concerning the issuance, retention, or subcontractor of a Federal department Columbia’s government in response to revocation of the license, certification, or agency, for the purpose of conducting

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Federal research necessary to Government agency administering a administrative databases, warehouses, accomplish a statutory purpose of an Government program providing public and data marts maintained by this agency. When disclosure of this benefits if the programs serve the same system of record are protected by state- information is made directly to a or similar populations as VA, and the of-the-art telecommunication software contractor, VA may impose applicable disclosure of information is necessary to and hardware. This may include conditions on the department, agency, coordinate the functions of such firewalls, intrusion detection devices, and/or contractor to ensure the programs or to improve administration encryption, and other security measures appropriateness of the disclosure to the and management relating to the necessary to safeguard data as it travels contractor. functions of such programs. across the VA-Wide Area Network. 16. Disclosures of relevant 20. VA may disclose health care 4. In most cases, copies of back-up information may be made to information to a non-VA health care computer files are maintained at off-site individuals, organizations, private or provider, such as private health care locations. public agencies, or other entities with providers or hospitals, DoD, or IHS whom VA has a contract or agreement providers, for the purpose of treating VA RETENTION AND DISPOSAL: or where there is a subcontract to patients. Records from this system that are perform the services as VA may deem 21. VA may disclose information to a needed for audit purposes will be practicable for the purposes of laws former VA employee or contractor, as disposed of 6 years after a user’s administered by VA, in order for the well as the authorized representative of account becomes inactive. Routine contractor or subcontractor to perform a current or former employee or records will be disposed of when the the services of the contract or contractor of VA, in pending or agency determines they are no longer agreement. This routine use includes reasonably anticipated litigation against needed for administrative, legal, audit, disclosures by the individual or entity the individual regarding health care or other operational purposes. These performing the service for VA to any provided during the period of his or her retention and disposal statements are secondary entity or individual to employment or contract with VA. pursuant to NARA General Records perform an activity that is necessary for Schedules GRS 20, item 1c and GRS 24, individuals, organizations, private or POLICIES AND PRACTICES FOR STORING, item 6a. public agencies, or other entities or RETRIEVING, ACCESSING, RETAINING, AND individuals with whom VA has a DISPOSING OF RECORDS IN THE SYSTEM: SYSTEM MANAGER(S) AND ADDRESS: contract or agreement to provide the STORAGE: Official maintaining this system of service to VA. Records are maintained on electronic records and responsible for policies and 17. Disclosure to other Federal storage media including magnetic tape, procedures is the Executive Director of agencies may be made to assist such disk, and laser optical media. VA Enterprise Infrastructure agencies in preventing and detecting Engineering, VA Office of Information possible fraud or abuse by individuals RETRIEVABILITY: and Technology, Department of in their operations and programs. Records may be retrieved by name, Veterans Affairs, 810 Vermont Avenue 18. VA may, on its own initiative, social security number, VA’s integration NW., Washington, DC 20420. Official disclose any information or records to control number, or other assigned delegated to maintain this system of appropriate agencies, entities, and identifiers of the individuals for whom records on behalf of VA OIT is the persons when (1) VA suspects or has they are maintained. Director of VA Connected Health, VHA confirmed that the integrity or Office of Informatics and Analytics, SAFEGUARDS: confidentiality of information in the Department of Veterans Affairs, 810 system of records has been 1. Access to and use of national Vermont Avenue NW., Washington, DC compromised; (2) the Department has administrative databases, warehouses, 20420. determined that as a result of the and data marts are limited to those suspected or confirmed compromise, persons whose official duties require NOTIFICATION PROCEDURE: there is a risk of embarrassment or harm such access, and VA has established Individuals who wish to determine to the reputations of the record subjects, security procedures to ensure that whether this system of records contains harm to economic or property interests, access is appropriately limited. information about them should contact identity theft or fraud, or harm to the Information security officers and system the Director of VA Connected Health, security, confidentiality, or integrity of data stewards review and authorize data VHA Office of Informatics and this system or other systems or access requests. VA regulates data Analytics, Department of Veterans programs (whether maintained by the access with security software that Affairs, 810 Vermont Avenue NW., Department or another agency or authenticates users and requires Washington, DC 20420 or via the Web disclosure is to agencies, entities, or individually-unique codes and at http://mobilehealth.va.gov. Inquiries persons whom VA determines are passwords. VA requires information should include the person’s full name, reasonably necessary to assist or carry security training for all staff and social security number, and their return out the Department’s efforts to respond instructs staff on the responsibility each address. to the suspected or confirmed person has for safeguarding data compromise and prevent, minimize, or confidentiality. RECORD ACCESS PROCEDURES: remedy such harm. This routine use 2. Physical access to computer rooms Individuals seeking information permits disclosures by the Department housing national administrative regarding access to and contesting of to respond to a suspected or confirmed databases, warehouses, and data marts records in this system may write the data breach, including the conduct of is restricted to authorized staff and Director of VA Connected Health, VHA any risk analysis or provision of credit protected by a variety of security Office of Informatics and Analytics, protection services as provided in 38 devices. Unauthorized employees, Department of Veterans Affairs, 810 U.S.C. 5724, as the terms are defined in contractors, and other staff are not Vermont Avenue NW., Washington, DC 38 U.S.C. 5727. allowed in computer rooms. 20420. Inquiries should, at a minimum, 19. VA may disclose any information 3. Data transmissions between include the person’s full name, social to another covered entity that is a operational systems and national security number, type of information

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requested or contested, their return RECORD SOURCE CATEGORIES: to, Veterans Health Information Systems address, and phone number. Information in this system of records and Technology Architecture (VistA)- is provided by Veterans and their VA (79VA10P2) and National Patient CONTESTING RECORD PROCEDURES: beneficiaries or caregivers, members of Databases-VA (121VA10P2), VAMCs, the Armed Services, Reserves or (See Record Access Procedures Federal and non-Federal VLER/eHealth National Guard; VA employees, other above.) Exchange partners, and DoD. VA-authorized users (e.g., DoD), and [FR Doc. 2013–26520 Filed 11–5–13; 8:45 am] information from VA computer systems and databases include, but not limited BILLING CODE 8320–01–P

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Part II

Department of State

22 CFR Part 41 Visas: Regulatory Exception to Permit Compliance With the United Nations Headquarters Agreement and Other International Obligations and Clarification of the Definition of ‘‘Immediate Family’’ for Certain Nonimmigrant Visa Classifications; Final Rule

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DEPARTMENT OF STATE in order to permit the United States to not subject to the rule making comply with the UNHQA and other procedures set forth at 5 U.S.C. 553. 22 CFR Part 41 applicable international agreements, B. Regulatory Flexibility Act/Executive and to permit operation of the U.S. and [Public Notice 8511] Order 13272: Small Business Burmese diplomatic missions and other RIN 1400–AD43 official U.S. business in Burma. Other Because this final rule is exempt from statutory visa restrictions contain notice and comment rulemaking under Visas: Regulatory Exception to Permit similar exceptions, which the regulation 5 U.S.C. 553, it is exempt from the Compliance With the United Nations does not currently implement. For regulatory flexibility analysis Headquarters Agreement and Other example, the Secretary of State is also requirements set forth at sections 603 International Obligations and authorized to prescribe regulations and 604 of the Regulatory Flexibility Clarification of the Definition of providing for exceptions to the visa Act (5 U.S.C. 603 and 604). Nonetheless, ‘‘Immediate Family’’ for Certain restrictions to permit the United States consistent with section 605(b) of the Nonimmigrant Visa Classifications to comply with the UNHQA and other Regulatory Flexibility Act (5 U.S.C. AGENCY: Department of State. applicable international obligations 605(b)), the Department certifies that this rule will not have a significant ACTION: Final rule. under Section 105(c) of the Comprehensive Iran Sanctions, economic impact on a substantial SUMMARY: This final rule creates a Accountability, and Divestment Act of number of small entities. This rule regulatory exception to visa restrictions 2010 (CISADA) (Pub. L. 111–195) and regulates individual aliens applying for under applicable laws providing for Executive Order 13553, and Section visas under INA § 101(A)(15) and does such an exception, in order to permit 301(d) of the Iran Threat Reduction and not affect any small entities, as defined compliance with the Agreement Syria Human Rights Act of 2012 (ITRA) in 5 U.S.C. 601(6). between the United States and the (Pub. L. 112–158) and Presidential C. The Unfunded Mandates Reform Act United Nations Regarding the Memorandum of October 9, 2012, 78 FR of 1995 Headquarters of the United Nations 21183 (Apr. 19, 2013). This rule amends (UNHQA), signed at Lake Success June 22 CFR 41.21(d) to implement Section 202 of the Unfunded 26, 1947, entered into force November exceptions to the visa restrictions Mandates Reform Act of 1995 (Pub. L. 21, 1947, and other international contained in such legislation, to allow 104–4, 109 Stat. 48, codified at 2 U.S.C. obligations. This rule also clarifies that the United States to comply with 1532) generally requires agencies to the Department of State’s definition of UNHQA and other applicable prepare a statement before proposing ‘‘immediate family’’ for classifications international obligations. The term any rule that may result in an annual and also applies to foreign government ‘‘international obligations’’ includes expenditure of $100 million or more by officials who may be admitted in ‘‘international agreements,’’ and is used State, local, or tribal governments, or by immediate and continuous transit to cover the scope of exceptions the private sector. This rule will not through the United States, and to all authorized by ITRA and CISADA. This result in any such expenditure, nor will relevant NATO visa classifications final rule retains the exception it significantly or uniquely affect small under the Agreement on the Status of authorized by the JADE Act to permit governments. the North Atlantic Treaty Organization, operation of the U.S. and Burmese D. Small Business Regulatory National Representatives, and missions and other official U.S. business Enforcement Fairness Act of 1996 International Staff, signed at Ottawa, in Burma. This rule is not a major rule as September 20, 1951, entered into force Additionally, this rule amends 22 defined by 5 U.S.C. 804, for purposes of May 18 1954. CFR 41.21(a)(3) to clarify that, under the congressional review of agency Agreement on the Status of the North DATES: This rule is effective November rulemaking under the Small Business Atlantic Treaty Organization, National 6, 2013. Regulatory Enforcement Fairness Act of Representatives, and International Staff, FOR FURTHER INFORMATION CONTACT: 1996 (Pub. L. 104–121). This rule will the definition of ‘‘immediate family’’ Jennifer Liu, Legislation and not result in an annual effect on the used for the classifications in INA Regulations Division, Legal Affairs, economy of $100 million or more; a 101(a)(15)(A) and 101(a)(15)(G) also Office of Visa Services, Bureau of major increase in costs or prices; or applies to classifications under all the Consular Affairs, Department of State, adverse effects on competition, NATO visa symbols, where applicable. 2401 E Street NW., Room L–603D, employment, investment, productivity, Similarly, this rule adopts the same Washington, DC 20520–0106, (202) 663– innovation, or the ability of United definition of ‘‘immediate family’’ for 1203, email ([email protected]). States-based companies to compete with purposes of INA 212(d)(8), which SUPPLEMENTARY INFORMATION: foreign-based companies in domestic permits the admission of officials of and import markets. Why is the Department promulgating foreign governments and their this rule? immediate families who are in E. Executive Order 12866 This rule amends paragraph (d)(4) of immediate and continuous transit The Department has reviewed this 22 CFR 41.21, by broadening the through the United States without proposed rule to ensure its consistency regulatory exception to visa restrictions regard to certain provisions of the INA. with the regulatory philosophy and under applicable laws providing for Regulatory Findings principles set forth in Executive Order such an exception, in order to allow 12866 and has determined that the compliance with the UNQHA and other A. Administrative Procedure Act benefits of this final regulation outweigh international obligations. Currently, 22 The Department is publishing this its costs. The Department does not CFR 41.21(d)(4) implements exceptions rule as a final rule based on its consider this final rule to be an to the visa restrictions that are determination that this regulation economically significant action within contained in the Tom Lantos Bloc involves a foreign affairs function of the the scope of section 3(f)(1) of the Burmese JADE (Junta’s Anti-Democratic United States and, therefore, in Executive Order since it is not likely to Efforts) Act of 2008 (Pub. L. 110–286), accordance with 5 U.S.C. 553(a)(1), is have an annual effect on the economy

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of $100 million or more or adversely Indian tribal governments, and will not (ii) Will reside regularly in the affect in a material way the economy, a pre-empt tribal law. Accordingly, the household of the principal alien; sector of the economy, competition, requirements of Executive Order 13175 (iii) Are recognized as immediate jobs, the environment, public health or do not apply to this rulemaking. family members of the principal alien safety, or State, local or tribal J. Paperwork Reduction Act by the sending Government as governments or communities. demonstrated by eligibility for rights This rule does not impose new and benefits, such as the issuance of a F. Executive Order 13563: Improving information collection requirements Regulation and Regulatory Review diplomatic or official passport, or travel under the provisions of the Paperwork or other allowances; and The Department has considered this Reduction Act, 44 U.S.C. Chapter 35. rule in light of Executive Order 13563 (iv) Are individually authorized by and affirms that this regulation is List of Subjects in 22 CFR Part 41 the Department. consistent with the guidance therein. Documentation of nonimmigrants. * * * * * G. Executive Orders 12372 and 13132: Accordingly, for the reasons set forth (d) * * * Federalism in the preamble, the 22 CFR part 41 is amended as follows: (4) Notwithstanding the visa This regulation will not have restrictions imposed by applicable laws substantial direct effects on the States, PART 41—[AMENDED] and consistent with a provision in such on the relationship between the national laws providing for a regulatory government and the States, or the ■ 1. The authority citation for Part 41 exception to the visa restrictions distribution of power and continues to read as follows: contained therein, a visa may be issued responsibilities among the various Authority: 8 U.S.C. 1104. to a visa applicant who is otherwise levels of government. The rule will not ineligible for a visa under such laws: have federalism implications warranting ■ 2. In § 41.21, paragraphs (a)(3) and (d)(4) are revised to read as follows: (i) To permit the United States to the application of Executive Orders No. comply with the United Nations 12372 and No. 13132. § 41.21 Foreign Officials—General. Headquarters Agreement and other H. Executive Order 12988: Civil Justice (a) * * * applicable international obligations; and Reform (3) Immediate family, as used in INA (ii) To permit the United States and The Department has reviewed the 101(a)(15)(A), 101(a)(15)(G), and Burma to operate their diplomatic regulations in light of sections 3(a) and 212(d)(8), and in classification under missions, and to permit the United 3(b)(2) of Executive Order No. 12988 to the NATO visa symbols, means the States to conduct other official United eliminate ambiguity, minimize spouse and unmarried sons and States Government business in Burma. litigation, establish clear legal daughters, whether by blood or * * * * * standards, and reduce burden. adoption, who are not members of some other household, and who will reside Dated: September 26, 2013. I. Executive Order 13175 regularly in the household of the Janice L. Jacobs, The Department has determined that principal alien. ‘‘Immediate family’’ also Assistant Secretary for Consular Affairs, this rulemaking will not have tribal includes individuals who: Department of State. implications, will not impose (i) Are not members of some other [FR Doc. 2013–26590 Filed 11–5–13; 8:45 am] substantial direct compliance costs on household; BILLING CODE 4710–06–P

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Part III

The President

Executive Order 13653—Preparing the United States for the Impacts of Climate Change

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Federal Register Presidential Documents Vol. 78, No. 215

Wednesday, November 6, 2013

Title 3— Executive Order 13653 of November 1, 2013

The President Preparing the United States for the Impacts of Climate Change

By the authority vested in me as President by the Constitution and the laws of the United States of America, and in order to prepare the Nation for the impacts of climate change by undertaking actions to enhance climate preparedness and resilience, it is hereby ordered as follows: Section 1. Policy. The impacts of climate change—including an increase in prolonged periods of excessively high temperatures, more heavy downpours, an increase in wildfires, more severe droughts, permafrost thaw- ing, ocean acidification, and sea-level rise—are already affecting commu- nities, natural resources, ecosystems, economies, and public health across the Nation. These impacts are often most significant for communities that already face economic or health-related challenges, and for species and habitats that are already facing other pressures. Managing these risks requires deliberate preparation, close cooperation, and coordinated planning by the Federal Government, as well as by stakeholders, to facilitate Federal, State, local, tribal, private-sector, and nonprofit-sector efforts to improve climate preparedness and resilience; help safeguard our economy, infrastructure, environment, and natural resources; and provide for the continuity of execu- tive department and agency (agency) operations, services, and programs. A foundation for coordinated action on climate change preparedness and resilience across the Federal Government was established by Executive Order 13514 of October 5, 2009 (Federal Leadership in Environmental, Energy, and Economic Performance), and the Interagency Climate Change Adaptation Task Force led by the Council on Environmental Quality (CEQ), the Office of Science and Technology Policy (OSTP), and the National Oceanic and Atmospheric Administration (NOAA). In addition, through the U.S. Global Change Research Program (USGCRP), established by section 103 of the Global Change Research Act of 1990 (15 U.S.C. 2933), and agency programs and activities, the Federal Government will continue to support scientific re- search, observational capabilities, and assessments necessary to improve our understanding of and response to climate change and its impacts on the Nation. The Federal Government must build on recent progress and pursue new strategies to improve the Nation’s preparedness and resilience. In doing so, agencies should promote: (1) engaged and strong partnerships and infor- mation sharing at all levels of government; (2) risk-informed decisionmaking and the tools to facilitate it; (3) adaptive learning, in which experiences serve as opportunities to inform and adjust future actions; and (4) prepared- ness planning. Sec. 2. Modernizing Federal Programs to Support Climate Resilient Invest- ment. (a) To support the efforts of regions, States, local communities, and tribes, all agencies, consistent with their missions and in coordination with the Council on Climate Preparedness and Resilience (Council) established in section 6 of this order, shall: (i) identify and seek to remove or reform barriers that discourage invest- ments or other actions to increase the Nation’s resilience to climate change while ensuring continued protection of public health and the environment;

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(ii) reform policies and Federal funding programs that may, perhaps unin- tentionally, increase the vulnerability of natural or built systems, economic sectors, natural resources, or communities to climate change related risks; (iii) identify opportunities to support and encourage smarter, more climate- resilient investments by States, local communities, and tribes, including by providing incentives through agency guidance, grants, technical assist- ance, performance measures, safety considerations, and other programs, including in the context of infrastructure development as reflected in Executive Order 12893 of January 26, 1994 (Principles for Federal Infra- structure Investments), my memorandum of August 31, 2011 (Speeding Infrastructure Development through More Efficient and Effective Permitting and Environmental Review), Executive Order 13604 of March 22, 2012 (Improving Performance of Federal Permitting and Review of Infrastructure Projects), and my memorandum of May 17, 2013 (Modernizing Federal Infrastructure Review and Permitting Regulations, Policies, and Proce- dures); and (iv) report on their progress in achieving the requirements identified above, including accomplished and planned milestones, in the Agency Adaptation Plans developed pursuant to section 5 of this order. (b) In carrying out this section, agencies should also consider the rec- ommendations of the State, Local, and Tribal Leaders Task Force on Climate Preparedness and Resilience (Task Force) established in section 7 of this order and the National Infrastructure Advisory Council established by Execu- tive Order 13231 of October 16, 2001 (Critical Infrastructure Protection in the Information Age), and continued through Executive Order 13652 of September 30, 2013 (Continuance of Certain Federal Advisory Committees). (c) Interagency groups charged with coordinating and modernizing Federal processes related to the development and integration of both man-made and natural infrastructure, evaluating public health and social equity issues, safeguarding natural resources, and other issues impacted by climate change—including the Steering Committee on Federal Infrastructure Permit- ting and Review Process Improvement established by Executive Order 13604, the Task Force on Ports established on July 19, 2012, the Interagency Working Group on Coordination of Domestic Energy Development and Permitting in Alaska established by Executive Order 13580 of July 12, 2011, and the Federal Interagency Working Group on Environmental Justice established by Executive Order 12898 of February 11, 1994—shall be responsible for ensuring that climate change related risks are accounted for in such processes and shall work with agencies in meeting the requirements set forth in subsections (a) and (b) of this section. Sec. 3. Managing Lands and Waters for Climate Preparedness and Resilience. Within 9 months of the date of this order and in coordination with the efforts described in section 2 of this order, the heads of the Departments of Defense, the Interior, and Agriculture, the Environmental Protection Agen- cy, NOAA, the Federal Emergency Management Agency, the Army Corps of Engineers, and other agencies as recommended by the Council established in section 6 of this order shall work with the Chair of CEQ and the Director of the Office of Management and Budget (OMB) to complete an inventory and assessment of proposed and completed changes to their land- and water- related policies, programs, and regulations necessary to make the Nation’s watersheds, natural resources, and ecosystems, and the communities and economies that depend on them, more resilient in the face of a changing climate. Further, recognizing the many benefits the Nation’s natural infra- structure provides, agencies shall, where possible, focus on program and policy adjustments that promote the dual goals of greater climate resilience and carbon sequestration, or other reductions to the sources of climate change. The assessment shall include a timeline and plan for making changes to policies, programs, and regulations. Agencies shall build on efforts already completed or underway as outlined in agencies’ Adaptation Plans, as dis- cussed in section 5 of this order, as well as recent interagency climate adaptation strategies such as the National Action Plan: Priorities for Managing

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Freshwater Resources in a Changing Climate, released October 28, 2011; the National Fish, Wildlife and Plants Climate Adaptation Strategy, released March 26, 2013; and the National Ocean Policy Implementation Plan, re- leased April 16, 2013. Sec. 4. Providing Information, Data, and Tools for Climate Change Prepared- ness and Resilience. (a) In support of Federal, regional, State, local, tribal, private-sector and nonprofit-sector efforts to prepare for the impacts of cli- mate change, the Departments of Defense, the Interior, Agriculture, Com- merce, Health and Human Services, Housing and Urban Development, Trans- portation, Energy, and Homeland Security, the Environmental Protection Agency, the National Aeronautics and Space Administration, and any other agencies as recommended by the Council established in section 6 of this order, shall, supported by USGCRP, work together to develop and provide authoritative, easily accessible, usable, and timely data, information, and decision-support tools on climate preparedness and resilience. (b) As part of the broader open data policy, CEQ and OSTP, in collaboration with OMB and consistent with Executive Order 13642 of May 9, 2013 (Making Open and Machine Readable the New Default for Government Infor- mation), shall oversee the establishment of a web-based portal on ‘‘Data.gov’’ and work with agencies on identifying, developing, and integrating data and tools relevant to climate issues and decisionmaking. Agencies shall coordinate their work on these data and tools with relevant interagency councils and committees such as the National Science and Technology Coun- cil and those that support the implementation of Presidential Policy Direc- tive–21 of February 12, 2013 (Critical Infrastructure Security and Resilience). Sec. 5. Federal Agency Planning for Climate Change Related Risk. (a) Con- sistent with Executive Order 13514, agencies have developed Agency Adapta- tion Plans and provided them to CEQ and OMB. These plans evaluate the most significant climate change related risks to, and vulnerabilities in, agency operations and missions in both the short and long term, and outline actions that agencies will take to manage these risks and vulnerabilities. Building on these efforts, each agency shall develop or continue to develop, implement, and update comprehensive plans that integrate consideration of climate change into agency operations and overall mission objectives and submit those plans to CEQ and OMB for review. Each Agency Adaptation Plan shall include: (i) identification and assessment of climate change related impacts on and risks to the agency’s ability to accomplish its missions, operations, and programs; (ii) a description of programs, policies, and plans the agency has already put in place, as well as additional actions the agency will take, to manage climate risks in the near term and build resilience in the short and long term; (iii) a description of how any climate change related risk identified pursu- ant to paragraph (i) of this subsection that is deemed so significant that it impairs an agency’s statutory mission or operation will be addressed, including through the agency’s existing reporting requirements; (iv) a description of how the agency will consider the need to improve climate adaptation and resilience, including the costs and benefits of such improvement, with respect to agency suppliers, supply chain, real property investments, and capital equipment purchases such as updating agency policies for leasing, building upgrades, relocation of existing facili- ties and equipment, and construction of new facilities; and (v) a description of how the agency will contribute to coordinated inter- agency efforts to support climate preparedness and resilience at all levels of government, including collaborative work across agencies’ regional of- fices and hubs, and through coordinated development of information, data, and tools, consistent with section 4 of this order. (b) Agencies will report on progress made on their Adaptation Plans, as well as any updates made to the plans, through the annual Strategic

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Sustainability Performance Plan process. Agencies shall regularly update their Adaptation Plans, completing the first update within 120 days of the date of this order, with additional regular updates thereafter due not later than 1 year after the publication of each quadrennial National Climate Assessment report required by section 106 of the Global Change Research Act of 1990 (15 U.S.C. 2936). Sec. 6. Council on Climate Preparedness and Resilience. (a) Establishment. There is established an interagency Council on Climate Preparedness and Resilience (Council). (b) Membership. The Council shall be co-chaired by the Chair of CEQ, the Director of OSTP, and the Assistant to the President for Homeland Security and Counterterrorism. In addition, the Council shall include senior officials (Deputy Secretary or equivalent officer) from: (i) the Department of State; (ii) the Department of the Treasury; (iii) the Department of Defense; (iv) the Department of Justice; (v) the Department of the Interior; (vi) the Department of Agriculture; (vii) the Department of Commerce; (viii) the Department of Labor; (ix) the Department of Health and Human Services; (x) the Department of Housing and Urban Development; (xi) the Department of Transportation; (xii) the Department of Energy; (xiii) the Department of Education; (xiv) the Department of Veterans Affairs; (xv) the Department of Homeland Security; (xvi) the United States Agency for International Development; (xvii) the Army Corps of Engineers; (xviii) the Environmental Protection Agency; (xix) the General Services Administration; (xx) the Millennium Challenge Corporation; (xxi) the National Aeronautics and Space Administration; (xxii) the U.S. Small Business Administration; (xxiii) the Corporation for National and Community Service; (xxiv) the Office of the Director of National Intelligence; (xxv) the Council of Economic Advisers; (xxvi) the National Economic Council; (xxvii) the Domestic Policy Council; (xxviii) the Office of Management and Budget; (xxix) the White House Office of Public Engagement and Intergovernmental Affairs; (xxx) the United States Trade Representative; and (xxxi) such agencies or offices as the President or Co-Chairs shall designate. (c) Administration. CEQ shall provide administrative support and addi- tional resources, as appropriate, for the Council to the extent permitted by law and within existing appropriations. Agencies shall assist and provide

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information to the Council, consistent with applicable law, as may be nec- essary to carry out its functions. Each agency shall bear its own expenses for participating in the Council. (d) Council Structure. The Co-Chairs shall designate a subset of members of the Council to serve on a Steering Committee, which shall help determine priorities and strategic direction for the Council. The Co-Chairs and Steering Committee may establish working groups as needed, and may recharter working groups of the Interagency Climate Change Adaptation Task Force, as appropriate. (e) Mission and Function of the Council. The Council shall work across agencies and offices, and in partnership with State, local, and tribal govern- ments (as well as the Task Force established in section 7 of this order), academic and research institutions, and the private and nonprofit sectors to: (i) develop, recommend, coordinate interagency efforts on, and track imple- mentation of priority Federal Government actions related to climate pre- paredness and resilience; (ii) support regional, State, local, and tribal action to assess climate change related vulnerabilities and cost-effectively increase climate preparedness and resilience of communities, critical economic sectors, natural and built infrastructure, and natural resources, including through the activities as outlined in sections 2 and 3 of this order; (iii) facilitate the integration of climate science in policies and planning of government agencies and the private sector, including by promoting the development of innovative, actionable, and accessible Federal climate change related information, data, and tools at appropriate scales for deci- sionmakers and deployment of this information through a Government- wide web-based portal, as described in section 4 of this order; and (iv) such other functions as may be decided by the Co-Chairs, including implementing, as appropriate, the recommendations of the Task Force established in section 7 of this order. (f) Termination of the Interagency Climate Change Adaptation Task Force. The Interagency Climate Change Adaptation Task Force (Adaptation Task Force), established in 2009, created the framework for coordinated Federal action on climate preparedness and resilience, driving agency-level planning and action. The Adaptation Task Force shall terminate no later than 30 days after the first meeting of the Council, which shall continue and build upon the Adaptation Task Force’s work. Sec. 7. State, Local, and Tribal Leaders Task Force on Climate Preparedness and Resilience. (a) Establishment. To inform Federal efforts to support climate prepared- ness and resilience, there is established a State, Local, and Tribal Leaders Task Force on Climate Preparedness and Resilience (Task Force). (b) Membership. The Task Force shall be co-chaired by the Chair of CEQ and the Director of the White House Office of Intergovernmental Affairs. In addition, its members shall be such elected State, local, and tribal officials as may be invited by the Co-Chairs to participate. Members of the Task Force, acting in their official capacity, may designate employees with author- ity to act on their behalf. (c) Mission and Function. Within 1 year of the date of this order, the Task Force shall provide, through its Co-Chairs, recommendations to the President and the Council for how the Federal Government can: (i) remove barriers, create incentives, and otherwise modernize Federal programs to encourage investments, practices, and partnerships that facili- tate increased resilience to climate impacts, including those associated with extreme weather;

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(ii) provide useful climate preparedness tools and actionable information for States, local communities, and tribes, including through interagency collaboration as described in section 6 of this order; and (iii) otherwise support State, local, and tribal preparedness for and resil- ience to climate change. (d) Sunset. The Task Force shall terminate no later than 6 months after providing its recommendations. Sec. 8. Definitions. As used in this order: (a) ‘‘preparedness’’ means actions taken to plan, organize, equip, train, and exercise to build, apply, and sustain the capabilities necessary to prevent, protect against, ameliorate the effects of, respond to, and recover from climate change related damages to life, health, property, livelihoods, ecosystems, and national security; (b) ‘‘adaptation’’ means adjustment in natural or human systems in antici- pation of or response to a changing environment in a way that effectively uses beneficial opportunities or reduces negative effects; and (c) ‘‘resilience’’ means the ability to anticipate, prepare for, and adapt to changing conditions and withstand, respond to, and recover rapidly from disruptions. Sec. 9. General Provisions. (a) Nothing in this order shall be construed to impair or otherwise affect: (i) the authority granted by law to an executive department, agency, or the head thereof; or (ii) the functions of the Director of OMB relating to budgetary, administra- tive, or legislative proposals. (b) This order shall be implemented consistent with U.S. obligations under international agreements and applicable U.S. law, and be subject to the availability of appropriations. (c) This order is not intended to, and does not, create any right or benefit, substantive or procedural, enforceable at law or in equity by any party against the United States, its departments, agencies, or entities, its officers, employees, or agents, or any other person.

THE WHITE HOUSE, November 1, 2013.

[FR Doc. 2013–26785 Filed 11–5–13; 11:15 am] Billing code 3295–F4

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Reader Aids Federal Register Vol. 78, No. 215 Wednesday, November 6, 2013

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING NOVEMBER

Federal Register/Code of Federal Regulations At the end of each month the Office of the Federal Register General Information, indexes and other finding 202–741–6000 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since Laws 741–6000 the revision date of each title. 190...... 66621 Presidential Documents 3 CFR Proposed Rules: Executive orders and proclamations 741–6000 Proclamations: 200...... 66428 The United States Government Manual 741–6000 9047...... 66605 227...... 66428 9048...... 66607 Other Services 232...... 66428 9049...... 66609 239...... 66428 Electronic and on-line services (voice) 741–6020 9050...... 66611 240...... 66428 Privacy Act Compilation 741–6064 9051...... 66613 249...... 66428 Public Laws Update Service (numbers, dates, etc.) 741–6043 9052...... 66615 300...... 66318 TTY for the deaf-and-hard-of-hearing 741–6086 9053...... 66617 9054...... 66619 20 CFR ELECTRONIC RESEARCH Executive Orders: 404...... 66638 13653...... 66819 416...... 66638 World Wide Web Administrative Orders: Notices: 21 CFR Full text of the daily Federal Register, CFR and other publications Notice of October 30, 510...... 66263 is located at: www.fdsys.gov. 2013 ...... 65867 520...... 66263 Federal Register information and research tools, including Public 522...... 66263 Inspection List, indexes, and Code of Federal Regulations are 7 CFR 558...... 66263 located at: www.ofr.gov. 271...... 65515 Proposed Rules: 274...... 65515 20...... 65904 E-mail 761...... 65523 310...... 65904 FEDREGTOC-L (Federal Register Table of Contents LISTSERV) is 762...... 65523 314...... 65904 an open e-mail service that provides subscribers with a digital 765...... 65523 600...... 65904 form of the Federal Register Table of Contents. The digital form 766...... 65523 Ch. I ...... 65588 of the Federal Register Table of Contents includes HTML and 772...... 65523 1308...... 65923 PDF links to the full text of each document. Proposed Rules: 245...... 65890 22 CFR To join or leave, go to http://listserv.access.gpo.gov and select 3550...... 65582 Online mailing list archives, FEDREGTOC-L, Join or leave the list 41...... 66814 (or change settings); then follow the instructions. 10 CFR 24 CFR PENS (Public Law Electronic Notification Service) is an e-mail Proposed Rules: Proposed Rules: service that notifies subscribers of recently enacted laws. 2...... 66660 214...... 66670 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 51...... 65903 and select Join or leave the list (or change settings); then follow 429...... 66202 25 CFR the instructions. 430...... 66202 Proposed Rules: 431...... 66202 FEDREGTOC-L and PENS are mailing lists only. We cannot 226...... 65589 respond to specific inquiries. 12 CFR 26 CFR Reference questions. Send questions and comments about the 204...... 66249 1...... 66639 Federal Register system to: [email protected] 652...... 65541 Proposed Rules: The Federal Register staff cannot interpret specific documents or 1005...... 66251 300...... 65932 regulations. Proposed Rules: 29 CFR Reminders. Effective January 1, 2009, the Reminders, including 380...... 66661 Rules Going Into Effect and Comments Due Next Week, no longer 702...... 65583 1910...... 66641, 66642 1926...... 66641, 66642 appear in the Reader Aids section of the Federal Register. This 14 CFR information can be found online at http://www.regulations.gov. Proposed Rules: 34...... 65554 1910...... 65932 CFR Checklist. Effective January 1, 2009, the CFR Checklist no 39 ...... 65869, 65871, 66252, 1926...... 65932 longer appears in the Federal Register. This information can be 66254, 66258 found online at http://bookstore.gpo.gov/. 45...... 65554 30 CFR 61...... 66261 Proposed Rules: FEDERAL REGISTER PAGES AND DATE, NOVEMBER 71 ...... 65554, 65555, 65556 936...... 66671 Proposed Rules: 65515–65868...... 1 25...... 66317 33 CFR 65869–66248...... 4 39...... 66666, 66668 117 ...... 65873, 65874, 66265, 66249–66620...... 5 66266 66621–66824...... 6 16 CFR 165 ...... 65874, 66267, 66269 1...... 65557 34 CFR 17 CFR Ch. III ...... 66271 23...... 66621 668...... 65768

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674...... 65768 63...... 66108, 66321 47 CFR 50 CFR 682...... 65768 98...... 66674 1...... 66287, 66288 10...... 65844 685...... 65768 300...... 66325 22...... 66288 20...... 65573 27...... 66288, 66298 37 CFR 21 ...... 65576, 65578, 65844 44 CFR 73...... 66288 223...... 66140 384...... 66276 74...... 66288 224...... 66140 64...... 65882 Proposed Rules: 40 CFR Ch. I ...... 65601 300...... 65887 648...... 65888 9...... 66279 45 CFR 90...... 65594 19...... 66643 Proposed Rules: 52 ...... 65559, 65875, 65877, 153...... 66653 49 CFR 17...... 65936, 65938 155...... 66653 66280, 66648 575...... 66655 21...... 65953, 65955 156...... 66653 180 ...... 65561, 65565, 66649, Proposed Rules: 223...... 66675 157...... 66653 66651 173...... 66326 224...... 66675 300...... 66283 158...... 66653 174...... 66326 226...... 65959 721...... 65570, 66279 170...... 65884 178...... 66326 635...... 66327 Proposed Rules: Proposed Rules: 179...... 66326 679...... 65602 52 ...... 65590, 65593, 66320 1613...... 65933 180...... 66326

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The text of laws is not H.R. 3190/P.L. 113–47 enacted public laws. To published in the Federal United States Parole subscribe, go to http:// LIST OF PUBLIC LAWS Register but may be ordered Commission Extension Act of listserv.gsa.gov/archives/ in ‘‘slip law’’ (individual 2013 (Oct. 31, 2013; 127 Stat. publaws-l.html This is a continuing list of pamphlet) form from the 572) public bills from the current Superintendent of Documents, Last List October 18, 2013 session of Congress which U.S. Government Printing Note: This service is strictly have become Federal laws. It Office, Washington, DC 20402 for E-mail notification of new may be used in conjunction (phone, 202–512–1808). The Public Laws Electronic laws. The text of laws is not with ‘‘P L U S’’ (Public Laws text will also be made Notification Service available through this service. Update Service) on 202–741– available on the Internet from (PENS) PENS cannot respond to 6043. This list is also GPO’s Federal Digital System specific inquiries sent to this available online at http:// (FDsys) at http://www.gpo.gov/ address. www.archives.gov/federal- fdsys. Some laws may not yet PENS is a free electronic mail register/laws. be available. notification service of newly

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