Vol. 78 Thursday, No. 225 November 21, 2013

Pages 69753–69982

OFFICE OF THE FEDERAL REGISTER

VerDate Mar 15 2010 19:40 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00001 Fmt 4710 Sfmt 4710 E:\FR\FM\21NOWS.LOC 21NOWS tkelley on DSK3SPTVN1PROD with WS.LOC II Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013

The FEDERAL REGISTER (ISSN 0097–6326) is published daily, SUBSCRIPTIONS AND COPIES Monday through Friday, except official holidays, by the Office PUBLIC of the Federal Register, National Archives and Records Administration, Washington, DC 20408, under the Federal Register Subscriptions: Act (44 U.S.C. Ch. 15) and the regulations of the Administrative Paper or fiche 202–512–1800 Committee of the Federal Register (1 CFR Ch. I). The Assistance with public subscriptions 202–512–1806 Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402 is the exclusive distributor of the official General online information 202–512–1530; 1–888–293–6498 edition. Periodicals postage is paid at Washington, DC. Single copies/back copies: The FEDERAL REGISTER provides a uniform system for making Paper or fiche 202–512–1800 available to the public regulations and legal notices issued by Assistance with public single copies 1–866–512–1800 Federal agencies. These include Presidential proclamations and (Toll-Free) Executive Orders, Federal agency documents having general FEDERAL AGENCIES applicability and legal effect, documents required to be published Subscriptions: by act of Congress, and other Federal agency documents of public interest. Paper or fiche 202–741–6005 Documents are on file for public inspection in the Office of the Assistance with Federal agency subscriptions 202–741–6005 Federal Register the day before they are published, unless the issuing agency requests earlier filing. For a list of documents currently on file for public inspection, see www.ofr.gov. The seal of the National Archives and Records Administration authenticates the Federal Register as the official serial publication established under the Federal Register Act. Under 44 U.S.C. 1507, the contents of the Federal Register shall be judicially noticed. The Federal Register is published in paper and on 24x microfiche. It is also available online at no charge at www.fdsys.gov, a service of the U.S. Government Printing Office. The online edition of the Federal Register is issued under the authority of the Administrative Committee of the Federal Register as the official legal equivalent of the paper and microfiche editions (44 U.S.C. 4101 and 1 CFR 5.10). It is updated by 6:00 a.m. each day the Federal Register is published and includes both text and graphics from Volume 59, 1 (January 2, 1994) forward. For more information, contact the GPO Customer Contact Center, U.S. Government Printing Office. Phone 202-512-1800 or 866-512-1800 (toll free). E-mail, [email protected]. The annual subscription price for the Federal Register paper edition is $749 plus postage, or $808, plus postage, for a combined Federal Register, Federal Register Index and List of CFR Sections Affected (LSA) subscription; the microfiche edition of the Federal Register including the Federal Register Index and LSA is $165, plus postage. Six month subscriptions are available for one-half the annual rate. The prevailing postal rates will be applied to orders according to the delivery method requested. The price of a single copy of the daily Federal Register, including postage, is based on the number of pages: $11 for an issue containing less than 200 pages; $22 for an issue containing 200 to 400 pages; and $33 for an issue containing more than 400 pages. Single issues of the microfiche edition may be purchased for $3 per copy, including postage. Remit check or money order, made payable to the Superintendent of Documents, or charge to your GPO Deposit Account, VISA, MasterCard, American Express, or Discover. Mail to: U.S. Government Printing Office—New Orders, P.O. Box 979050, St. Louis, MO 63197-9000; or call toll free 1- 866-512-1800, DC area 202-512-1800; or go to the U.S. Government Online Bookstore site, see bookstore.gpo.gov. There are no restrictions on the republication of material appearing in the Federal Register. How To Cite This Publication: Use the volume number and the page number. Example: 77 FR 12345. Postmaster: Send address changes to the Superintendent of Documents, Federal Register, U.S. Government Printing Office, Washington, DC 20402, along with the entire mailing label from the last issue received.

.

VerDate Mar 15 2010 19:40 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00002 Fmt 4710 Sfmt 4710 E:\FR\FM\21NOWS.LOC 21NOWS tkelley on DSK3SPTVN1PROD with WS.LOC III

Contents Federal Register Vol. 78, No. 225

Thursday, November 21, 2013

Agency for International Development Education Department PROPOSED RULES NOTICES Partner Vetting in USAID Assistance; Correction, 69802 Applications for New Awards: National Institute on Disability and Rehabilitation Agriculture Department Research; Disability and Rehabilitation Research See Forest Service Projects and Centers Program; Minority-Serving Institution Field-Initiated Projects Program, 69839 Army Department NOTICES Employment and Training Administration Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 69836–69839 Amended Certifications Regarding Eligibility to Apply for Worker Adjustment Assistance: Bureau of Consumer Financial Protection First Advantage Corp., St. Petersburg, FL, et al., 69878 RULES Applications for Reconsideration: Agency Information Collection Activities; Proposals, AT and T Corp., Pittsburgh, PA, 69878–69879 Submissions, and Approvals, 69753 Funding Availability: NOTICES Youth CareerConnect Programs Grant Program, 69879 Privacy Act; Systems of Records, 69834–69836 Meetings: Native American Employment and Training Council; Census Bureau Workforce Investment Act, 69879–69880 NOTICES Worker Adjustment Assistance; Determinations, 69880– Agency Information Collection Activities; Proposals, 69883 Submissions, and Approvals: Worker Adjustment Assistance; Investigations, 69883– Questionnaire for Building Permit Official, 69814–69815 69885

Centers for Disease Control and Prevention Energy Department NOTICES See Federal Energy Regulatory Commission NOTICES Agency Information Collection Activities; Proposals, Meetings: Submissions, and Approvals, 69854–69856 DOE/NSF High Energy Physics Advisory Panel, 69839 Requests for Information: Coast Guard Building Technologies Office Prioritization Tool, 69839– PROPOSED RULES 69843 Drawbridge Operations: Gulf Intracoastal Waterway, Venice, FL, 69803–69805 Environmental Protection Agency RULES Commerce Department Air Quality State Implementation Plans; Approvals and See Census Bureau Promulgations: See Foreign-Trade Zones Board Texas; Control of Air Pollution by Permits for New See International Trade Administration Construction or Modification; Permits for Specific See National Oceanic and Atmospheric Administration Designated Facilities, 69773–69777 PROPOSED RULES Comptroller of the Currency Air Quality State Implementation Plans; Approvals and NOTICES Promulgations: Agency Information Collection Activities; Proposals, Texas; Control of Air Pollution by Permits for New Submissions, and Approvals: Construction or Modification; Permits for Specific Fair Credit Reporting; Affiliate Marketing, 69935–69936 Designated Facilities, 69812 Lending Limits, 69934–69935 Identification of Nonattainment Classification and Deadlines for Submission of State Implementation Consumer Product Safety Commission Plans: PROPOSED RULES Provisions for the 1997 Fine Particle (PM2.5) National Voluntary Remedial Actions and Guidelines for Voluntary Ambient Air Quality Standard and 2006 PM2.5 Recall Notices, 69793–69802 NAAQS, 69806–69812 NOTICES Defense Department Issuance of an Experimental Use Permit, 69849 See Army Department PROPOSED RULES Export-Import Bank Federal Acquisition Regulations: NOTICES Ending Trafficking in Persons, 69812–69813 Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Meetings: Application for Issuing Bank Credit Limit under Lender Defense Science Board Advisory Committee, 69836 or Exporter-Held Policies, 69849–69850

VerDate Mar<15>2010 19:39 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00001 Fmt 4748 Sfmt 4748 E:\FR\FM\21NOCN.SGM 21NOCN tkelley on DSK3SPTVN1PROD with CONTENTS IV Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Contents

Applications for Long-Term Loan or Financial Guarantee in Food and Drug Administration Excess of 100 Million Dollars, 69850–69851 NOTICES Determinations that Products were Not Withdrawn from Federal Aviation Administration Sale for Reasons of Safety or Effectiveness: PROPOSED RULES BANZEL (Rufinamide) Tablet, 100 Milligrams, 69856– Airworthiness Directives: 69857 Slingsby Aviation Ltd. Airplanes, 69785–69787 Foreign-Trade Zones Board Modification of Class E Airspace: NOTICES Sitka, AK, 69787–69789 Proposed Production Activities: Policy and Procedures Concerning the Use of Airport Phillips 66 Co., Foreign-Trade Zone 3, San Francisco, CA, Revenue: 69815–69816 Proceeds from Taxes on Aviation Fuel, 69789–69793 NOTICES Forest Service Manufacturers of Continuous Friction Measurement NOTICES Equipment, 69927–69928 Land Management Plans: Meetings: El Yunque National Forest, 69814 RTCA Special Committee 186, Automatic Dependent Surveillance-Broadcast, 69929 General Services Administration RTCA Special Committee 206, Aeronautical Information PROPOSED RULES and Meteorological Data Link Services, 69928–69929 Federal Acquisition Regulations: RTCA Special Committee 228; Minimum Operational Ending Trafficking in Persons, 69812–69813 Performance Standards for Unmanned Aircraft Systems, 69928 Health and Human Services Department Petitions for Exemptions; Summaries, 69929–69930 See Centers for Disease Control and Prevention See Food and Drug Administration Federal Communications Commission See National Institutes of Health NOTICES NOTICES Meetings: Meetings: Communications Security, Reliability, and Advisory Group on Prevention, Health Promotion, and Interoperability Council, 69851–69852 Integrative and Public Health, 69853 Consumer Advisory Committee, 69851 Chronic Fatigue Syndrome Advisory Committee, 69853– 69854 Federal Energy Regulatory Commission Homeland Security Department NOTICES See Coast Guard Agency Information Collection Activities; Proposals, See U.S. Citizenship and Immigration Services Submissions, and Approvals, 69843–69844 PROPOSED RULES Applications and Establishing Procedural Schedules for Adjustments to Limitations on Designated School Official Licensing and Deadlines for Submission of Final Assignment and Study by F–2 and M–2 Amendments: Nonimmigrants, 69778–69785 Alaska Village Electric Coop., Inc., 69844–69845 NOTICES Applications: Privacy Act; Systems of Records, 69858–69871 Columbia Gas Transmission, LLC, 69845–69846 Transcontinental Gas Pipe Line Co., LLC, 69846–69847 Interior Department Effectiveness of Exempt Wholesale Generator Status: See Land Management Bureau Buffalo Dunes Wind Project, LLC, Whitetail Wind Energy, LLC, Merlin One, LLC, Goal Line L.P., RE Columbia Internal Revenue Service 3 LLC, RE Columbia, LLC, RE Yakima LLC, Allegany NOTICES Generating Station LLC, 69847 Agency Information Collection Activities; Proposals, Preliminary Determinations of Qualifying Conduit Submissions, and Approvals, 69936–69939 Hydropower Facilities: Meetings: North Side Canal Co., 69847–69848 Taxpayer Advocacy Panel Notices and Correspondence Requests Under Blanket Authorization: Project Committee, 69940 Questar Pipeline Company, 69848 Taxpayer Advocacy Panel Tax Forms and Publications Restricted Service List: Project Committee, 69940 Birch Power Co., Demopolis Lock and Dam Hydroelectric Taxpayer Advocacy Panel Taxpayer Assistance Center Project; Programmatic Agreement, 69848–69849 Improvements Project Committee, 69940 Taxpayer Advocacy Panel Taxpayer Communications Project Committee, 69940–69941 Federal Maritime Commission Taxpayer Advocacy Panel Toll-Free Phone Line Project NOTICES Committee, 69939–69940 Ocean Transportation Intermediary License Applicants, 69852 International Trade Administration NOTICES Federal Reserve System Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Formations of, Acquisitions by, and Mergers of Bank Duty-Free Entry of Scientific Instrument or Apparatus, Holding Companies, 69852–69853 69816

VerDate Mar<15>2010 19:39 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00002 Fmt 4748 Sfmt 4748 E:\FR\FM\21NOCN.SGM 21NOCN tkelley on DSK3SPTVN1PROD with CONTENTS Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Contents V

Antidumping and Counterveiling Duty Administrative National Institutes of Health Reviews; Results, Extensions, Amendments, etc.: NOTICES Certain Preserved Mushrooms from the People’s Republic Agency Information Collection Activities; Proposals, of China, 69817–69820 Submissions, and Approvals: Polyethylene Retail Carrier Bags from Thailand, 69817 Certificate of Confidentiality Electronic Application Seamless Refined Copper Pipe and Tube from the System, 69857 People’s Republic of China, 69820–69822 Meetings: Eunice Kennedy Shriver National Institute of Child Justice Department Health and Human Development, 69857–69858 National Cancer Institute, 69858 See Justice Programs Office RULES National Institute on Drug Abuse, 69858 Exemption of Records Systems Under the Privacy Act, National Oceanic and Atmospheric Administration 69753–69755 NOTICES NOTICES Agency Information Collection Activities; Proposals, Agency Information Collection Activities; Proposals, Submissions, and Approvals: Submissions, and Approvals: Community Oriented Policing Services Progress Report, Pacific Tuna Fisheries Logbook, 69822–69823 69875 Atlantic Highly Migratory Species: Consent Decrees under the Oil Pollution Act, 69875 Exempted Fishing, Scientific Research, Display, and Chartering Permits; Letters of Acknowledgment, 69823–69825 Justice Programs Office Takes of Marine Mammals Incidental to Specified NOTICES Activities: Agency Information Collection Activities; Proposals, Pier Maintenance Project, 69825–69834 Submissions, and Approvals: Firearm Inquiry Statistics Program, 69875–69876 Postal Regulatory Commission Meetings: PROPOSED RULES Advisory Committee of the Attorney General’s Task Force Periodic Reporting (Proposals Six Through Nine), 69805– on American Indian/Alaska Native Children Exposed 69806 to Violence, 69876–69877 Federal Advisory Committee on Juvenile Justice, 69876 Postal Service RULES International Product and Price Changes, 69755–69773 Labor Department See Employment and Training Administration Securities and Exchange Commission NOTICES NOTICES Agency Information Collection Activities; Proposals, Applications: Submissions, and Approvals: AIM Growth Series (Invesco Growth Series), et al., Hazardous Conditions Complaints, 69877–69878 69885–69888 ETFis Series Trust I, et al., 69888–69897 Land Management Bureau Self-Regulatory Organizations; Proposed Rule Changes: NOTICES BATS Exchange, Inc., BATS–Y Exchange, Inc., BOX Agency Information Collection Activities; Proposals, Options Exchange LLC, etc., 69910–69918 Submissions, and Approvals, 69872–69873 Chicago Board Options Exchange, Inc., 69918–69921 Environmental Impact Statements; Availability, etc.: International Securities Exchange, LLC, 69923–69925 Ruby Pipeline Project in Oregon, Nevada, Utah, and National Stock Exchange, Inc., 69900–69904 Wyoming, 69873–69874 New York Stock Exchange LLC, 69907–69910 Meetings: NYSE Arca, Inc., 69897–69900 Albuquerque District Resource Advisory Council, 69874– NYSE MKT LLC, 69904–69907 69875 Topaz Exchange, LLC, 69921–69923 Trading Suspension Orders: National Aeronautics and Space Administration HouseRaising, Inc., iElement Corporation, InforMedix Holdings, Inc., Nortia Capital Partners, Inc., and PC PROPOSED RULES Federal Acquisition Regulations: Universe, Inc., 69925 Ending Trafficking in Persons, 69812–69813 Social Security Administration NOTICES Meetings: NOTICES NASA Advisory Council; Aeronautics Committee, 69885 Privacy Act; Computer Matching Program, 69925–69927 State Department National Highway Traffic Safety Administration NOTICES PROPOSED RULES Designations as Foreign Terrorist Organizations: Anthropomorphic Test Devices: Kurdistan Worker’s Party and Other Aliases, 69927 Q3s 3-Year-Old Child Side Impact Test Dummy, 69944– 69982 State Justice Institute NOTICES NOTICES Petitions for Decisions of Inconsequential Noncompliance: Meetings: Ford Motor Co., 69931–69932 Board of Directors, 69927

VerDate Mar<15>2010 19:39 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00003 Fmt 4748 Sfmt 4748 E:\FR\FM\21NOCN.SGM 21NOCN tkelley on DSK3SPTVN1PROD with CONTENTS VI Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Contents

Surface Transportation Board NOTICES Purchases of Certain Assets and Membership Interests: Tedesco Family ESB Trust, et al.; Evergreen Trails, Inc. Separate Parts In This Issue d/b/a Horizon Coach Lines, et al., 69932–69933 Transportation Department Part II See Federal Aviation Administration Transportation Department, National Highway Traffic See National Highway Traffic Safety Administration Safety Administration, 69944–69982 See Surface Transportation Board Treasury Department See Comptroller of the Currency Reader Aids See Internal Revenue Service Consult the Reader Aids section at the end of this page for NOTICES phone numbers, online resources, finding aids, reminders, Agency Information Collection Activities; Proposals, and notice of recently enacted public laws. Submissions, and Approvals, 69933–69934 To subscribe to the Federal Register Table of Contents U.S. Citizenship and Immigration Services LISTSERV electronic mailing list, go to http:// NOTICES listserv.access.gpo.gov and select Online mailing list Agency Information Collection Activities; Proposals, archives, FEDREGTOC-L, Join or leave the list (or change Submissions, and Approvals: settings); then follow the instructions. myE-Verify, 69871–69872

VerDate Mar<15>2010 19:39 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00004 Fmt 4748 Sfmt 4748 E:\FR\FM\21NOCN.SGM 21NOCN tkelley on DSK3SPTVN1PROD with CONTENTS Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Contents VII

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.

8 CFR Proposed Rules: 214...... 69778 12 CFR 1002...... 69753 1005...... 69753 1024...... 69753 1026...... 69753 14 CFR Proposed Rules: Ch. I ...... 69789 39...... 69785 71...... 69787 16 CFR Proposed Rules: 1115...... 69793 22 CFR Proposed Rules: 226...... 69802 28 CFR 16...... 69753 33 CFR Proposed Rules: 117...... 69803 39 CFR 20...... 69755 Proposed Rules: 3050...... 69805 40 CFR 52...... 69773 Proposed Rules: 51...... 69806 52...... 69812 48 CFR Proposed Rules: 1...... 69812 2...... 69812 9...... 69812 12...... 69812 22...... 69812 52...... 69812 49 CFR Proposed Rules: 572...... 69944

VerDate Mar 15 2010 19:42 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00001 Fmt 4711 Sfmt 4711 E:\FR\FM\21NOLS.LOC 21NOLS tkelley on DSK3SPTVN1PROD with LS.LOC 69753

Rules and Regulations Federal Register Vol. 78, No. 225

Thursday, November 21, 2013

This section of the FEDERAL REGISTER SUMMARY: In accordance with the 20552, (202) 435–9575, or email: PRA@ contains regulatory documents having general Paperwork Reduction Act of 1995 cfpb.gov. applicability and legal effect, most of which (PRA), the Consumer Financial SUPPLEMENTARY INFORMATION: Under the are keyed to and codified in the Code of Protection Bureau (Bureau) is PRA (44 U.S.C. 3501 et seq.) the Bureau Federal Regulations, which is published under announcing the Office of Management 50 titles pursuant to 44 U.S.C. 1510. and Budget’s (OMB) approval of new may not conduct or sponsor, and, and revised information collection notwithstanding any other provision of The Code of Federal Regulations is sold by law, a respondent is not required to the Superintendent of Documents. Prices of requirements contained in various final new books are listed in the first FEDERAL rules published in the Federal Register. respond to, an information collection REGISTER issue of each week. See the SUPPLEMENTARY INFORMATION unless it displays a currently valid OMB section below for additional information control number. Each final rule about each OMB approval. referenced herein states that affected BUREAU OF CONSUMER FINANCIAL DATES: Effective November 21, 2013. parties do not have to comply with PROTECTION The effective date or dates of each final certain information collection rule listed herein is provided in the requirements until OMB approves those 12 CFR Parts 1002, 1005, 1024, and information collection requirements and 1026 related final rule or, as applicable, in relevant amendments published in the the Bureau publishes a notice in the Agency Information Collection Federal Register. Federal Register announcing this Activities; Notice of Office of FOR FURTHER INFORMATION CONTACT: approval and the control number Management and Budget Approval of PRA-related documentation submitted assigned by OMB. The Bureau hereby Information Collection Requirements to the OMB for each of the below listed announces OMB approval of the final rules is available at information collection requirements AGENCY: Bureau of Consumer Financial www.reginfo.gov. Requests for contained in the final rules listed in the Protection. additional information should be table below and the respective OMB ACTION: Notice of approval of directed to the Bureau’s PRA Officer, control number currently assigned to information collection requirements. 1700 G Street NW., Washington, DC each of the information collections.

Federal Reg- Title of the collection and CFR citation ister citation for OMB Control No. Date approved final rule by OMB

Homeownership Counseling Amendments to the Real Estate Settlement Procedures 78 FR 6855 3170–0025 04/11/13 Act (Regulation X)—12 CFR part 1024. Mortgage Servicing Amendment (Regulation X)—12 CFR part 1024 ...... 78 FR 10695 3170–0027 04/26/13 Mortgage Servicing Amendment (Regulation Z)—12 CFR part 1026 ...... 78 FR 10901 3170–0028 04/17/13 Appraisals for Higher-Risk Mortgage Loans Amendment (Regulation Z)—12 CFR part 78 FR 10367 3170–0026 04/18/13 1026. Loan Originator Compensation Amendment—12 CFR part 1026 ...... 78 FR 11279 3170–0031 04/17/13 Equal Credit Opportunity Act (Regulation B)—12 CFR 1002 ...... 78 FR 7215 3170–0013 04/10/13 Electronic Fund Transfer Act (Regulation E)—12 CFR 1005 ...... 78 FR 30661 3170–0014 06/25/13 Ability to Repay and Qualified Mortgage Standards Under the Truth in Lending Act 78 FR 35429 3170–0035 07/12/13 (Regulation Z) (Concurrent Proposal)—12 CFR 1026.

The Consumer Financial Protection number for Regulation X throughout DEPARTMENT OF JUSTICE Bureau divided certain proposals to this time. amend the Bureau’s Regulations X and The Bureau notes that, while OMB 28 CFR Part 16 Z into separate Information Collection has approved the information collection [CPCLO Order No. 006–2013] Requests (ICRs) in the Office of requirements as contained in the above Management and Budget (OMB) system noted final rules, the Bureau’s current Exemption of Records Systems Under (accessible at www.reginfo.gov) to ease rules remain in effect and affected the Privacy Act the public’s ability to view and parties are not required to follow the AGENCY: understand the individual proposals. Executive Office for Organized requirements contained in final rules Crime Drug Enforcement Task Forces Subsequent to the finalization of the listed above until such time as the (OCDETF), Department of Justice. rules, CFPB anticipates that it will effective date of the respective final ACTION: Final rule. recombine the portions of Regulations Z rule. and X that are broken out in the Dated: November 6, 2013. SUMMARY: The Department of Justice reginfo.gov system into the existing (the Department or DOJ) amends its control numbers for Regulations X and Ashwin Vasan, Privacy Act regulations for two Privacy Z. CFPB respondents should continue to Chief Information Officer, Bureau of Act systems of records previously use the 3170–0015 control number for Consumer Financial Protection. entitled the ‘‘Drug Enforcement Task Regulation Z and 3170–0016 control [FR Doc. 2013–27337 Filed 11–20–13; 8:45 am] Force Evaluation and Reporting BILLING CODE 4810–AM–P System,’’ JUSTICE/DAG–003, and the

VerDate Mar<15>2010 18:01 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00001 Fmt 4700 Sfmt 4700 E:\FR\FM\21NOR1.SGM 21NOR1 tkelley on DSK3SPTVN1PROD with RULES 69754 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Rules and Regulations

‘‘Organized Crime Drug Enforcement No comments were received on either (b) These exemptions apply only to Task Force Fusion Center and the NPRM or the SORNs. the extent that information is subject to International Organized Crime exemption under 5 U.S.C. 552a(j) and/ List of Subjects in 28 CFR Part 16 Intelligence and Operations Center or (k). System,’’ JUSTICE/CRM–028. These Administrative practice and (c) Exemptions from the particular amendments reflect a recent procedure, Courts, Freedom of paragraphs of this section are justified reorganization of the Department information, Privacy, Sunshine Act. for the following reasons: establishing the Executive Office for Pursuant to the authority vested in the (1) From paragraph (c)(3) of this OCDETF as a separate DOJ component, Attorney General by 5 U.S.C. 552a and section because to provide the subject and transferring responsibility for these delegated to me by Attorney General with an accounting of disclosures of systems from the Office of the Deputy Order 2940–2008, the Department of records in these systems could inform Attorney General (ODAG) and the Justice proposes to amend 28 CFR part that individual of the existence, nature, Criminal Division to this component. In 16 as follows: or scope of an actual or potential law light of this departmental enforcement or counterintelligence reorganization, JUSTICE/DAG–003 has PART 16—[AMENDED] investigation by the Organized Crime Drug Enforcement Task Forces, the been renumbered to JUSTICE/OCDETF– ■ 1. The authority citation for part 16 Organized Crime Drug Enforcement 001 and renamed as the ‘‘Organized continues to read as follows: Crime Drug Enforcement Task Forces Task Force Fusion Center, the Management Information System Authority: 5 U.S.C. 301, 552, 552a, 552b(g), International Organized Crime 553; 18 U.S.C. 4203(a)(1); 28 U.S.C. 509, 510, Intelligence and Operations Center, or (OCDETF MIS),’’ and JUSTICE/CRM– 534; 31 U.S.C. 3717, 9701. 028 has been renumbered to JUSTICE/ the recipient agency, and could permit that individual to take measures to OCDETF–002 while retaining the same Subpart E—Exemption of Records avoid detection or apprehension, to name. When under the responsibility of Systems Under the Privacy Act ODAG and the Criminal Division, these learn of the identity of witnesses and systems were exempted from certain ■ 2. Amend § 16.71 as follows: informants, or to destroy evidence, and provisions of the Privacy Act of 1974 by ■ a. Revise paragraph (c); would therefore present a serious exemptions placed in the Code of ■ b. Remove the first two sentences of impediment to law enforcement or Federal Regulations (CFR) sections paragraph (d); counterintelligence efforts. In addition, ■ containing exemptions for ODAG’s and c. Remove existing paragraph (e)(7); disclosure of the accounting would the Criminal Division’s Privacy Act and amount to notice to the individual of the ■ d. Redesignate paragraph (e)(8) as systems. These amendments remove existence of a record. Moreover, release paragraph (e)(7). references to these systems from the of an accounting may reveal information The revision reads as follows: that is properly classified pursuant to CFR sections for ODAG and Criminal Executive Order. Division exemptions and add a new § 16.71 Exemption of the Office of the (2) From paragraph (c)(4) of this section for OCDETF exemptions, which Deputy Attorney General System—limited access. section because this paragraph is continues comparable exemptions for inapplicable to the extent that an these systems in order to avoid * * * * * exemption is being claimed for (c) The General Files System of the interference with the law enforcement paragraphs (d)(1), (2), (3), and (4) of this Office of the Deputy Attorney General functions and responsibilities of the section. Executive office for OCDETF. (JUSTICE/DAG–013) is exempt from 5 (3) From paragraph (d)(1) of this U.S.C. 552a(c)(3) and (4); (d); (e)(1), (2), DATES: This final rule is effective section because disclosure of records in (3) and (5); and (g). November 21, 2013. the system could alert the subject of an * * * * * actual or potential criminal, civil, or FOR FURTHER INFORMATION CONTACT: Jill regulatory violation of the existence of Aronica, Chief Information Systems § 16.91 [Amended] that investigation, of the nature and Section, Executive Office for OCDETF, ■ 3. Amend § 16.91 by removing scope of the information and evidence phone 202–514–1860. paragraphs (u) and (v). obtained as to his or her activities, of the SUPPLEMENTARY INFORMATION: The § 16.135 [Added] identity of confidential witnesses and Department published a notice of informants, of the investigative interest ■ proposed rulemaking (NPRM) reflecting 4. Add § 16.135 to subpart E to read of the Organized Crime Drug these amendments in the Federal as follows: Enforcement Task Forces, the Organized Register at 78 FR 56852, Sept. 16, 2013. § 16.135 Exemptions of Executive Office Crime Drug Enforcement Task Force (The Department also published for Organized Crime Drug Enforcement Fusion Center, the International amended system of records notices Task Forces Systems. Organized Crime Intelligence and (SORNs) for JUSTICE/OCDETF–001 at (a) The following systems of records Operations Center, and other 78 FR 56737, Sept. 13, 2013, and for are exempt from 5 U.S.C. 552a(c)(3) and intelligence or law enforcement JUSTICE/OCDETF–002 at 78 FR 56926, (4); (d)(1), (2), (3), and (4); (e)(1), (2), (3), agencies (including those responsible Sept. 16, 2013.) The Department invited (4)(G), (H), and (I), (5), and (8); (f); and for civil proceedings related to laws public comments on the NPRM (and the (g): against drug trafficking or related SORNs). The comment periods closed (1) The Organized Crime Drug financial crimes or international on October 15, 2013, for JUSTICE/ Enforcement Task Forces Management organized crime); could lead to the OCDETF–001 and on October 16, 2013, Information System (OCDETF MIS) destruction of evidence, improper for JUSTICE/OCDETF–002 and the (JUSTICE/OCDETF–001); and influencing of witnesses, fabrication of NPRM. The United States Postal Service (2) The Organized Crime Drug testimony, and/or flight of the subject; and the government Web site for Enforcement Task Force Fusion Center could reveal the details of a sensitive receiving electronic comments and International Organized Crime investigative or intelligence technique, continued to operate as usual Intelligence and Operations Center or the identity of a confidential source; throughout the public comment periods. System (JUSTICE/OCDETF–002). or could otherwise impede,

VerDate Mar<15>2010 14:54 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00002 Fmt 4700 Sfmt 4700 E:\FR\FM\21NOR1.SGM 21NOR1 tkelley on DSK3SPTVN1PROD with RULES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Rules and Regulations 69755

compromise, or interfere with intelligence community and military enforcement information, techniques, investigative efforts and other related community. and processes. law enforcement and/or intelligence (7) From paragraph (e)(2) of this (11) From subsection (e)(5) because activities. In addition, disclosure could section because in a criminal, civil, or the acquisition, collation, and analysis invade the privacy of third parties and/ regulatory investigation, prosecution, or of information for law enforcement or endanger the life, health, and proceeding, the requirement that purposes from various agencies does not physical safety of law enforcement information be collected to the greatest permit a determination in advance or a personnel, confidential informants, extent practicable from the subject prediction of what information will be witnesses, and potential crime victims. individual would present a serious matched with other information and Access to records could also result in impediment to law enforcement because thus whether it is accurate, relevant, the release of information properly the subject of the investigation, timely, and complete. With the passage classified pursuant to Executive Order. prosecution, or proceeding would be of time, seemingly irrelevant or (4) From paragraph (d)(2) of this placed on notice as to the existence and untimely information may acquire new section because amendment of the nature of the investigation, prosecution, significance as further investigation records thought to be inaccurate, or proceeding and would therefore be brings new details to light, and the irrelevant, incomplete, or untimely able to avoid detection or apprehension, accuracy of such information can often would also interfere with ongoing to influence witnesses improperly, to only be determined in a court of law. investigations, criminal or civil law destroy evidence, or to fabricate The restrictions imposed by subsection enforcement proceedings, and other law testimony. Moreover, thorough and (e)(5) would restrict the ability of enforcement activities; would impose an effective investigation and prosecution trained investigators, intelligence impossible administrative burden by may require seeking information from a analysts, and government attorneys to requiring investigations, analyses, and number of different sources. exercise their judgment in collating and reports to be continuously (8) From paragraph (e)(3) of this analyzing information and would reinvestigated and revised; and may section because to comply with the impede the development of criminal or impact information properly classified requirements of this paragraph during other intelligence necessary for effective pursuant to Executive Order. the course of an investigation could law enforcement. (5) From paragraphs (d)(3) and (4) of impede the information-gathering (12) From subsection (e)(8) because this section because these paragraphs process, thus hampering the the individual notice requirements are inapplicable to the extent that investigation or intelligence gathering. could present a serious impediment to exemption is claimed from paragraphs Disclosure to an individual of law enforcement by revealing (d)(1) and (2) of this section and for the investigative interest would put the investigative techniques, procedures, reasons stated in paragraphs (c)(3) and subject on notice of that fact and allow evidence, or interest, and by interfering (c)(4) of this section. with the ability to issue warrants or (6) From paragraph (e)(1) of this the subject an opportunity to engage in conduct intended to impede that subpoenas; could give persons sufficient section because, in the course of their warning to evade investigative efforts; acquisition, collation, and analysis of activity or avoid apprehension. Disclosure to other individuals would and would pose an unacceptable information under the statutory administrative burden on the authority granted, the Organized Crime likewise put them on notice of what might still be a sensitive law maintenance of these records and the Drug Enforcement Task Forces, the conduct of the underlying Organized Crime Drug Enforcement enforcement interest and could result in the further intentional or accidental investigations. Task Force Fusion Center, and the (13) From subsections (f) and (g) International Organized Crime disclosure to the subject or other inappropriate recipients, convey because these subsections are Intelligence and Operations Center will inapplicable to the extent that the occasionally obtain information, information that might constitute unwarranted invasions of the personal system is exempt from other specific including information properly subsections of the Privacy Act. classified pursuant to Executive Order, privacy of other persons, unnecessarily that concerns actual or potential burden law enforcement personnel in Dated: November 7, 2013. violations of law that are not strictly information-collection activities, and Joo Y. Chung, within their statutory or other authority chill the willingness of witnesses to Acting Chief Privacy and Civil Liberties or may compile and maintain cooperate. Officer, United States Department of Justice. information which may not be relevant (9) From paragraphs (e)(4)(G) and (H) [FR Doc. 2013–27130 Filed 11–20–13; 8:45 am] to a specific investigation or of this section because this system is BILLING CODE 4410–NY–P prosecution. This is because it is exempt from the access and amendment impossible to determine in advance provisions of paragraph (d) of this what information collected during an section. POSTAL SERVICE investigation or in support of these (10) From paragraph (e)(4)(I) to the mission activities will be important or extent that this subsection could be 39 CFR Part 20 crucial to an investigation. In the interpreted to require more detail interests of effective law enforcement, it regarding system record sources than International Product and Price is necessary to retain such information has been published in the Federal Changes in these systems of records because it Register. Should this subsection be so AGENCY: Postal Service TM can aid in establishing patterns of interpreted, exemption from this ACTION: Final rule. criminal activity of a suspect and can provision is necessary to protect the provide valuable leads for federal and sources of law enforcement and SUMMARY: The Postal Service is revising other law enforcement agencies. This intelligence information and to protect Mailing Standards of the United States consideration applies equally to the privacy and safety of witnesses and Postal Service, International Mail information acquired from, or collated informants and other information Manual (IMM®), to reflect the prices, or analyzed for, both law enforcement sources. Further, greater specificity product features, and classification agencies and agencies of the U.S. foreign could compromise other sensitive law changes to Competitive Services, as

VerDate Mar<15>2010 14:54 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00003 Fmt 4700 Sfmt 4700 E:\FR\FM\21NOR1.SGM 21NOR1 tkelley on DSK3SPTVN1PROD with RULES 69756 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Rules and Regulations

established by the Governors of the postage price. Such items paid with N-Ship®) may be eligible for the date- Postal Service. stamps, or if brought to a Postal Service certain postage refund. In addition, DATES: Effective Date: January 26, 2014. retail counter for postage will continue customers who prepare their Priority FOR FURTHER INFORMATION CONTACT: Rick to pay the retail price. Mail Express International items using a combined shipping and customs label Klutts at 813–877–0372. Priority Mail Express International using Click-N-Ship for Business and pay SUPPLEMENTARY INFORMATION: New Priority Mail Express International for the item’s postage using their meter, prices are available under Docket service provides reliable, high-speed may also be eligible for the date-certain Number CP2014–5 on the Postal service to over 185 countries with a postage refund. Previously, a customer Regulatory Commission’s Web site at money-back, date-certain delivery was required to present their item for http://www.prc.gov. guarantee to select destinations. The mailing at a Postal Service retail counter This final rule describes the price increase for Priority Mail Express to be eligible. This service is currently international price and classification International service averages 1.3 available to nine destination countries. changes and the corresponding mailing percent. The Commercial Base price and standards changes for the following Commercial Plus price for customers Priority Mail International Competitive Services: that prepare and pay for Priority Mail Priority Mail International offers ® ® D Global Express Guaranteed (GXG ). Express International shipments via economical prices for reliable delivery D Priority Mail Express InternationalTM. permit imprint, online at USPS.com, or of documents and merchandise. The ® D Priority Mail International . as registered end-users using an price increase for Priority Mail D First-Class Package International authorized PC Postage vendor will International service averages 1.1 ServiceTM. remain a variable discount (based on the percent. The Commercial Base price and D International Priority AirmailTM ® item’s weight and price group) of up to Commercial Plus price for customers (IPA ). 11 percent below the retail price for that prepare and pay for Priority Mail D International Surface Air Lift® ® Commercial Base price and up to 20 International items via permit imprint, (ISAL ). percent below the retail price for online at USPS.com, or as registered D Direct Sacks of Printed Matter to One Commercial Plus price. The price for end-users using an authorized PC Addressee (M-bags). Priority Mail Express International Postage vendor will remain a variable D International Extra Services: Æ insurance is unchanged. In addition, the discount (based on the item’s weight Certificate of Mailing. following product features and and price group) of up to 13 percent Æ Registered MailTM Service. Æ classification changes are made: below the retail price for Commercial Return Receipt Service. Base price and up to 18 percent below Æ Pickup On Demand® Service. Flat Rate Envelopes and Boxes the retail price for Commercial Plus D International Money Transfer To provide additional incentives to price. The price for Priority Mail Services: commercial mailers who prepare items International insurance is unchanged. In Æ Sure Money® (DineroSeguro®). online, Commercial Base and addition, the following product features New prices are located on the Postal Commercial Plus prices for Priority Mail ® and classification changes are made: Explorer Web site at http:// Express International Flat Rate pe.usps.com. Envelopes and Flat Rate Boxes will be Flat Rate Envelopes and Boxes Global Express Guaranteed lower than the retail price. Currently, To provide additional incentives to these flat-rated items are the same price commercial mailers who prepare items Global Express Guaranteed (GXG) is regardless of price tier. online, Commercial Base and an international expedited delivery Commercial Plus for Priority Mail service provided through an alliance Commercial Base Price When Using ® International Flat Rate Envelopes and with FedEx Express . The price Click-N-Ship for Business Flat Rate Boxes will be lower than the increase for GXG service averages 3.0 To provide additional value, ® retail price. Currently, these flat-rated percent. The Commercial Base price customers who prepare their Priority ® items are the same price regardless of and Commercial Plus price for Mail Express International combined price tier. customers that prepare and pay for GXG shipping and customs label using Click- shipments via permit imprint, online at N-Ship for Business and pay for the Commercial Base Price When Using ® USPS.com , or as registered end-users item’s postage using their meter will be Click-N-Ship for Business ® using an authorized PC Postage vendor eligible to receive the applicable To provide additional value, will remain a variable discount (based Commercial Base postage price. Such customers who prepare their Priority on the item’s weight and price group) of items paid with stamps, or if brought to Mail International combined shipping up to 13 percent below the retail price a Postal Service retail counter for and customs label using Click-N-Ship for Commercial Base price and up to 20 postage will continue to pay the retail for Business and pay for the item’s percent below the retail price for price. postage using their meter will be eligible Commercial Plus price. The price for to receive the applicable Commercial GXG insurance is unchanged. In Mexico—Weight Limit Increase Base postage price. Such items paid addition, the following product features For all price tiers, we are increasing with stamps, or if brought to a Postal and classification changes are made: the weight limit for Priority Mail Service retail counter for postage will Express International items sent to Commercial Base Price When Using continue to pay the retail price. Mexico to 70 pounds. Click-N-Ship for Business Minimum Size Requirement To provide additional value, Enhancements to Priority Mail Express We are changing the minimum size of customers who prepare their GXG International With Guarantee Service a Priority Mail International parcel to shipping label using Click-N-Ship for Customers who prepare and pay for stipulate that the surface area of the Business® and pay for the item’s postage Priority Mail Express International With address side of the item to be mailed using their meter will be eligible to Guarantee service online with permit must be large enough to completely receive the applicable Commercial Base imprint, or PC Postage (including Click- contain the postage, customs label, and

VerDate Mar<15>2010 14:54 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00004 Fmt 4700 Sfmt 4700 E:\FR\FM\21NOR1.SGM 21NOR1 tkelley on DSK3SPTVN1PROD with RULES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Rules and Regulations 69757

any other applicable endorsements or postage, will continue to pay the retail separate containers (i.e., letter trays for markings. price. postcards and letter-size pieces, flat trays for flat-size pieces, and sacks for Mexico—Weight Limit Increase Electronic USPS Delivery Confirmation package-size pieces.) For all price tiers, we are increasing International the weight limit for Priority Mail The Postal Service is adding the Weight Limits for Flat-Size and Package- International items sent to Mexico to 70 following 12 countries for Electronic Size Items pounds. USPS Delivery Confirmation The Postal Service decreases the International service: maximum weight for flat-size items Electronic USPS Delivery Confirmation Æ from 4 pounds to 17.6 ounces; increases International Estonia Æ Finland the maximum weight limit for package- The Postal Service is adding the Æ Gibraltar size items from 4 pounds to 4.4 pounds; following 12 countries for Electronic Æ and, finally, for IPA M-bags contents, ® Hungary USPS Delivery Confirmation TM Æ Italy increases the combined weight of each International (E–USPS DELCON Æ Latvia printed matter mailpiece and the related INTL TM) service: Æ Lithuania articles from 4 pounds to 4.4 pounds. Æ Estonia Æ Luxembourg Letter-size pieces are unchanged and Æ Finland Æ Malaysia their maximum weight remains at 3.5 Æ Gibraltar Æ Malta ounces. Æ Hungary Æ Portugal Decrease the Minimum Weight for Æ Italy Æ Singapore Æ Latvia Direct Country Price Tier Æ Lithuania Package Pickup and Pickup on Demand To qualify for the direct country price Æ Luxembourg Service tier, we will decrease the minimum Æ Malaysia Beginning January 26, 2014, First- weight for a direct country container Æ Malta Class Package International Service from 3 pounds to 2 pounds. Æ Portugal items will be eligible for Package Pickup Æ Destination Countries of Cuba, Iran, Singapore or Pickup On Demand service. North Korea, Sudan, and Syria First-Class Package International Global Expedited Package Services Service On May 7, 2012, we temporarily The Postal Service will offer Global suspended IPA service to Cuba, Iran, First-Class Package International Expedited Package Services (GEPS) North Korea, Sudan, and Syria. Effective Service is our most affordable customized agreements to First-Class January 26, 2014 we will make this international service for small packages Package International Service customers change permanent until such time as weighing up to 4 pounds and that do pursuant to the terms and conditions export sanctions are removed or exports not exceed $400 in value. The price stipulated between the Postal Service to these countries can be suitably increase for retail First-Class Package and a particular customer. This update monitored. First-Class Mail International Service averages 0.8 will also be reflected in PS Form 3700, International service and First Class percent. First-Class Package Postage Statement—International Mail. Package International Service remains International Service Commercial Base available to send letter-post items to International Priority Airmail and Commercial Plus prices will remain these destinations. unchanged. The Commercial Base price International Priority Airmail (IPA) and Commercial Plus price for service, including IPA M-bags, is a International Surface Air Lift customers that prepare and pay for commercial service designed for International Surface Air Lift (ISAL) First-Class Package International Service business mailers for volume mailings of service, including ISAL M-bags, is a items via permit imprint, online at First-Class Mail International postcards, commercial service, which provides USPS.com, or as registered end-users letters, large envelopes (flats), and First- dispatch and transportation for mailers using an authorized PC Postage vendor Class Package International Service of volume mailings of all First-Class will remain a variable discount (based packages (small packets). Overall, prices Mail International postcards, letters, on the item’s weight and price group) of for IPA will decrease by 2.5 percent. large envelopes (flats), and First-Class up to 13 percent below the retail price In addition, the following product Package International Service packages for Commercial Base price and up to 19 features and classification changes are (small packets). Overall, prices for ISAL percent below the retail price for made: will decrease by 2.9 percent. Commercial Plus price. In addition, the In addition, the following product following product features and Clarify That Not All IPA Mail Is Flown features and classification changes are classification changes are made: to the Destination Country made: With this final rule, the Postal Service Commercial Base Price When Using Clarify That Not All ISAL Mail Is Flown clarifies that not all IPA mail is flown Click-N-Ship for Business to the Destination Country to the destination country. For example, To provide additional value, USPS may use surface transportation for With this final rule, the Postal Service customers who prepare their First-Class IPA mail destined to Canada or Mexico. clarifies that not all ISAL mail is flown Package International Service combined to the destination country. For example, shipping and customs label using Click- Price Groups USPS may use surface transportation for N-Ship for Business and pay for the Price groups increase from 16 to 20 ISAL mail destined to Canada or item’s postage using their meter will be (includes Worldwide nonpresort). Mexico. eligible to receive the applicable Commercial Base postage price. Such Separation by Price Group Price Groups items paid with stamps, or if brought to Price groups 1–14 will have shaped- Price groups increase from 16 to 20 a Postal Service retail counter for based pricing and will be require (includes Worldwide nonpresort).

VerDate Mar<15>2010 14:54 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00005 Fmt 4700 Sfmt 4700 E:\FR\FM\21NOR1.SGM 21NOR1 tkelley on DSK3SPTVN1PROD with RULES 69758 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Rules and Regulations

Separation by Price Group Customs Clearance and Delivery Fee 213 Prices and Postage Payment Methods Price groups 1–14 will have shaped- The price for Customs Clearance and based pricing and will require separate Delivery Fee will increase by 9.1 * * * * * containers (i.e., letter trays for postcards percent. [Revise the titles of 213.7 and 213.71 to read as follows:] and letter-size pieces, flat trays for flat- Registered Mail size pieces, and sacks for package-size 213.7 Online Methods pieces.) The price for Registered Mail will increase by 5.4 percent. 213.71 Online Prices—Commercial Weight Limits for Flat-Size and Package- Base or Commercial Plus Prices Size Items Return Receipt For selected destination countries, The price for Return Receipt will The Postal Service decreases the Global Express Guaranteed items qualify increase 7.1 percent. maximum weight for flat-size items for discounted prices (equal to the from 4 pounds to 17.6 ounces; increases Pickup on Demand Commercial Base price or Commercial the maximum weight limit for package- Plus price) when mailers use one of the size items from 4 pounds to 4.4 pounds; The price for Pickup on Demand is unchanged. In addition, we will offer following online shipping methods: and, finally, for ISAL M-bags contents, [Revise item a to read as follows:] increases the combined weight of each this service for First-Class Package International Service. a. Commercial Base Price: Click-N- printed matter mailpiece and related Ship service using online postage; articles from 4 pounds to 4.4 pounds. International Money Transfer Services registered end-users of USPS-approved Letter-size pieces are unchanged and The prices for International Money PC Postage products using online their maximum weight remains at 3.5 postage; or Click-N-Ship for Business ounces. Transfer Services which include International Postal Money Orders, using metered postage. Decrease the Minimum Weight for Money Order Inquiry Fee, and Sure * * * * * Direct Country Price Tier Money (DineroSeguro) are unchanged. 215 Mail Entry and Deposit To qualify for the direct country price In addition, on December 1, 2012, we * * * * * tier, we will decrease the minimum temporarily suspended the maximum weight for a direct country container purchase limit, the refund limit, and the 215.3 Pickup On Demand Service from 3 pounds to 2 pounds. change of payee limit to $1,500 for Sure Money transactions. We are making * * * A pickup can include any or all Destination Countries of Cuba, Iran, these limits permanent effective January of the following items: Sudan, and Syria 26, 2014. [Revise the list to read as follows (to include First-Class Package On May 7, 2012, we temporarily The Postal Service hereby adopts the following changes to Mailing Standards International Service items):] suspended ISAL service to Cuba, Iran, a. Global Express Guaranteed items. Sudan, and Syria. Effective January 26, of the United States Postal Service, International Mail Manual (IMM), b. Priority Mail Express International 2014 we will make this change items. permanent until such time as export which is incorporated by reference in c. Priority Mail International items. sanctions are removed or exports to the Code of Federal Regulations. See 39 d. First-Class Package International these countries can be suitably CFR 20.1. Service items. monitored. First-Class Mail List of Subjects in 39 CFR Part 20 e. Priority Mail Express items. International service and First Class f. Priority Mail items. Package International Service remains Foreign relations, International postal g. Package Services items. available to send letter-post items to services. these destinations. Accordingly, 39 CFR part 20 is * * * * * amended as follows: Direct Sacks of Printed Matter to One 220 Priority Mail Express Addressee (M-Bags) PART 20—[AMENDED] International * * * * * Airmail M-bags are direct sacks of ■ 1. The authority citation for 39 CFR printed matter sent to a single foreign part 20 continues to read as follows: 221 Description and Physical addressee at a single address. The price Characteristics increase for Airmail M-bags averages 2.9 Authority: 5 U.S.C. 552(a); 13 U.S.C. 301– * * * * * percent. 307; 18 U.S.C. 1692–1737; 39 U.S.C. 101, 401, 403, 404, 407, 414, 416, 3001–3011, 221.2 Priority Mail Express International Extra Services, Pick Up 3201–3219, 3403–3406, 3621, 3622, 3626, International With Guarantee Service on Demand Service, and International 3632, 3633, and 5001. Money Transfer Services ■ 2. Revise the following sections of [Revise the introduction to read as follows:] Depending on country destination Mailing Standards of the United States Priority Mail Express International and mail type, customers may add a Postal Service, International Mail With Guarantee service offers a date- variety of extra services to their Manual (IMM), as follows: certain, postage-refund guarantee. This outbound shipments. International Mailing Standards of the United service is available only to the following competitive extra services, Pick Up on States Postal Service, International countries: Demand service, and International Mail Manual (IMM) Money Transfer services are updated as * * * * * * * * * * follows: 223 Prices and Postage Payment Certificate of Mailing 2 Conditions for Mailing Methods The prices for Certificate of Mailing 210 Global Express Guaranteed 223.1 Prices will increase on average by 9.7 percent. * * * * * * * * * *

VerDate Mar<15>2010 14:54 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00006 Fmt 4700 Sfmt 4700 E:\FR\FM\21NOR1.SGM 21NOR1 tkelley on DSK3SPTVN1PROD with RULES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Rules and Regulations 69759

223.12 Commercial Base Prices [Revise item a to read as follows:] 233.231, qualifies for the Priority Mail [Revise 223.12 to read as follows:] a. For Priority Mail International International Commercial Base prices, A mailer who pays postage with a parcels, the surface area of the address which are less than Priority Mail permit imprint under 223.222, or with side of the item to be mailed must be International retail prices. See Notice the online methods described in large enough to completely contain the 123, Price List, for the applicable price. 223.241, qualifies for the Priority Mail postage, customs label and envelope (PS * * * * * Express International Commercial Base Form 2976–E), and any other applicable 233.2 Postage Payment Methods prices, which are less than Priority Mail endorsements or markings. The PS Form Express International retail prices. 2976–E is approximately 71⁄4 inches * * * * * 1 * * * * * high and 10 ⁄4 inches long. [Revise the titles of 233.23 and * * * * * 233.231 to read as follows:] 223.2 Postage Payment Methods 232 Eligibility 233.23 Online Methods * * * * * [Revise the titles of 223.24 and 232.1 Priority Mail International Flat 233.231 Online Prices—Commercial 223.241 to read as follows:] Rate Envelopes and Small Flat Rate Base or Commercial Plus Prices Priced Boxes 223.24 Online Methods For selected destination countries, * * * * * 223.241 Online Prices—Commercial Priority Mail International items qualify Base or Commercial Plus Prices 232.12 Electronic USPS Delivery for discounted prices (equal to the Confirmation International Commercial Base price or Commercial For selected destination countries, Plus price) when mailers use one of the Priority Mail Express International * * * * * following online shipping methods: items qualify for discounted prices (equal to the Commercial Base price or 232.122 Availability [Revise item a to read as follows:] Commercial Plus price) when mailers [Revise the last sentence and add a. Commercial Base Price: Click-N- use one of the following online shipping Exhibit 231.122 to read as follows:] Ship service using online postage; methods: * * * The service is available only to registered end-users of USPS-approved [Revise item a to read as follows:] the countries listed in Exhibit 231.122: PC Postage products using online a. Commercial Base Price: Click-N- postage; or Click-N-Ship for Business Ship service using online postage; Exhibit 231.122 Country Availability using metered postage. registered end-users of USPS-approved Country Name * * * * * PC Postage products using online Australia 235 Mail Entry and Deposit postage; or Click-N-Ship for Business Belgium using metered postage. Brazil * * * * * * * * * * Canada 235.2 Pickup On Demand Service Croatia 225 Mail Entry and Deposit Denmark * * * A pickup can include any or all * * * * * Estonia of the following items: 225.2 Pickup On Demand Service Finland [Revise the list to read as follows (to France include First-Class Package * * * A pickup can include any or all Germany International Service items):] of the following items: Gibraltar a. Global Express Guaranteed items. [Revise the list to read as follows (to Great Britain and Northern Ireland include First-Class Package b. Priority Mail Express International Hungary items. International Service items):] Israel a. Global Express Guaranteed items. Italy c. Priority Mail International items. b. Priority Mail Express International Latvia d. First-Class Package International items. Lithuania Service items. c. Priority Mail International items. Luxembourg e. Priority Mail Express items. d. First-Class Package International Malaysia Service items. f. Priority Mail items. e. Priority Mail Express items. Malta g. Package Services items. f. Priority Mail items. Netherlands * * * * * g. Package Services items. New Zealand Portugal 250 First-Class Package International * * * * * Singapore Service 230 Priority Mail International Spain * * * * * 231 Description and Physical Switzerland 252 Eligibility Characterizes * * * * * * * * * * 233 Prices and Postage Payment * * * * * Methods 231.2 Physical Characteristics 252.2 Electronic USPS Delivery 233.1 Prices Confirmation International * * * * * * * * * * * * * * * 231.22 Dimensions—Priority Mail International Parcels 233.12 Commercial Base Prices 252.22 Availability * * * * * [Revise 233.12 to read as follows:] [Revise the last sentence and add The minimum and maximum A mailer who pays postage with a Exhibit 252.22 to read as follows:] dimensions for Priority Mail permit imprint under 233.222, or with * * * The service is available only to International parcels are as follows: the online methods described in the countries listed in Exhibit 252.22:

VerDate Mar<15>2010 14:54 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00007 Fmt 4700 Sfmt 4700 E:\FR\FM\21NOR1.SGM 21NOR1 tkelley on DSK3SPTVN1PROD with RULES 69760 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Rules and Regulations

Country Name vendor, or the USPS Web Tools system) 261.22 Other Articles Australia may be deposited through any of the Certain other articles may be enclosed Belgium following methods, provided postage is in M-bags, provided that all of the Brazil paid by a means other than the use of following conditions of mailing are met: postage stamps: Canada * * * * * Croatia [Revise the list to read as follows (to [Revise item d to read as follows:] Denmark include Pickup on Demand service and d. For Airmail M-bags, the combined Estonia Package Pickup service):] weight of each printed matter mailpiece Finland a. In a private mailbox bearing a and the related articles may not exceed France return address that matches the address 4 pounds. For IPA and ISAL M-bags, the Germany at the point of pick up, when the combined weight of each printed matter Gibraltar customer or business is known to reside mailpiece and the related articles may Great Britain and Northern Ireland or do business at that location. not exceed 4.4 pounds. Hungary b. Through Pickup on Demand * * * * * Israel service. Italy 290 Commercial Services c. Through Package Pickup service. Latvia * * * * * Lithuania d. At a Postal Service retail counter. Luxembourg e. Into a Postal Service lobby drop. 292 International Priority Airmail Malaysia f. In a collection box. (IPA) Service Malta g. At a Contract Postal Unit (CPU). 292.1 Description Netherlands h. At a USPS Approved Shipper 292.11 General New Zealand location. Portugal [Revise 292.11 to read as follows:] Singapore * * * * * International Priority Airmail (IPA) Spain [Insert new 255.3 and 255.4 to read as service, including IPA M-bags, is a Switzerland follows:] commercial service designed for volume * * * * * 255.3 Pickup On Demand Service mailings of all First-Class Mail International postcards, letters, and 253 Prices and Postage Payment Subject to the standards in 255.1, large envelopes (flats), and for volume Methods Pickup On Demand service is available mailings of First-Class Package * * * * * for First-Class Package International International Service packages (small Service items. There is a single charge packets). The sender must prepare 253.2 Postage Payment Methods for Pickup On Demand service (see mailpieces in accordance with the * * * * * Notice 123, Price List), regardless of the requirements of this subchapter and [Revise the titles of 253.23 and number of items scheduled for pickup. with the shape-based requirements of 253.231 to read as follows:] A pickup can include any or all of the the applicable service—either First- following items: Class Mail International items (see 240) 253.23 Online Methods a. Global Express Guaranteed items. and/or First-Class Package International 253.231 Online Prices—Commercial b. Priority Mail Express International Service items (see 250). IPA shipments Base or Commercial Plus Prices items. are typically flown to the foreign destinations (exceptions apply to For selected destination countries, c. Priority Mail International items. Canada and Mexico) and are then First-Class Package International Service d. First-Class Package International items qualify for discounted prices entered into that country’s air or surface Service items. priority mail system for delivery. (equal to the Commercial Base price or e. Priority Mail Express items. Commercial Plus price) when mailers Separate prices are provided for f. Priority Mail items. use one of the following online shipping International Service Center (ISC) drop methods: g. Package Services items. shipments, presorted mail, and worldwide nonpresort mail. Volume [Revise item a to read as follows:] 255.4 Package Pickup Service a. Commercial Base Price: Click-N- incentives are available through Ship service using online postage; No pickup fee will be charged when customized agreements. registered end-users of USPS-approved a First-Class Package International * * * * * Service item or items are picked up PC Postage products using online 292.2 Eligibility postage; or Click-N-Ship for Business during a letter carrier’s regular delivery using metered postage. stop or during a scheduled stop made to 292.21 Qualifying Mailpieces collect other mail not subject to a * * * * * [Revise 292.21 to read as follows:] pickup fee. Pickup service is provided To qualify for IPA service, a mailpiece 255 Mail Entry and Deposit in accordance with the information in must meet the First-Class Mail 255.1 Place of Mailing DMM 507.7; for more information, also International characteristics as defined visit the online site at usps.com/pickup. in 141.5 (except for weight—see 292.24) 255.11 Items Eligible for Deposit or or the First-Class Package International Pickup 260 Direct Sacks of Printed Matter to One Addressee (M-bags) Service characteristics as defined in First-Class Package International 141.6 (except for weight—see 292.24). Service items bearing a computer- 261 Description Mailpieces do not have to be of the same generated customs form with customs * * * * * size and weight to qualify. Any item data that has been electronically sent with IPA service must conform to transmitted (e.g., using Click-N-Ship 261.2 Eligibility the size limits for First-Class Mail service, an authorized PC Postage * * * * * International postcards, letters, or large

VerDate Mar<15>2010 14:54 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00008 Fmt 4700 Sfmt 4700 E:\FR\FM\21NOR1.SGM 21NOR1 tkelley on DSK3SPTVN1PROD with RULES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Rules and Regulations 69761

envelopes (flats) as described in 240, or 292.233 Presort Eligibility—ISC Drop 292.3 Prices and Postage Payment for First-Class Package International Shipment Methods Service packages (small packets) as [Revise the first sentence to read as 292.31 Prices described in 250. follows:] 292.22 Availability [Revise the first sentence to read as Only a direct country container with follows:] [Revise 292.22 to read as follows:] a minimum of 2 pounds or a mixed IPA service is available only to the country container with a minimum of 5 IPA service has two price options: a foreign countries that are listed in pounds qualifies for the presort price. presort price with 19 price groups, and Exhibit 292.45, which shows the price *** a worldwide nonpresort price. * * * group and the foreign office of exchange [Insert new 292.24 to read as follows * * * * * code assigned to each country. (renumbering current 292.24 through 292.4 Mail Preparation 292.26 to be 292.25 through 292.27):] 292.23 Minimum Quantity * * * * * Requirements 292.24 Maximum Weight Limits [Revise 292.45 through 292.47 in their * * * * * The maximum weight for an IPA entirety to read as follows:] 292.232 Presort Eligibility—Full- container is 66 pounds. The maximum 292.45 IPA Price Groups and Foreign Service weight for an individual IPA item is as Office of Exchange Codes follows: [Revise the first sentence to read as a. Letter-size item: 3.5 ounces. See Exhibits 292.45a and 292.45b for follows:] the IPA Country Price Groups and Only a direct country container with b. Flat-size item: 17.6 ounces. Foreign Office of Exchange Codes. a minimum of 2 pounds qualifies for the c. Package-size item: 4.4 pounds presort price. * * * * * * * * Exhibit 292.45a

IPA COUNTRY PRICE GROUPS AND FOREIGN OFFICE OF EXCHANGE CODES FOR ALL COUNTRIES OTHER THAN CANADA

Foreign office of Country labeling name exchange code Price group

Afghanistan ...... KBL ...... 19 Albania ...... TIA ...... 16 Algeria ...... ALG ...... 19 Andorra, via Spain ...... MAD ...... 15 Angola ...... LAD ...... 19 Anguilla ...... AXA ...... 17 Antigua and Barbuda ...... ANU ...... 17 Argentina ...... BUE ...... 10 Armenia ...... EVN ...... 19 Aruba ...... AUA ...... 17 Ascension, via Great Britain ...... LAL ...... 16 Australia 1 ...... SYD ...... 9 Austria ...... VIE ...... 12 Azerbaijan ...... BAK ...... 19 Bahamas ...... NAS ...... 17 Bahrain ...... BAH ...... 19 Bangladesh ...... DAC ...... 19 Barbados ...... BGI ...... 17 Belarus ...... MSQ ...... 16 Belgium ...... BRU ...... 12 Belize ...... BZE ...... 17 Benin ...... COO ...... 19 Bermuda ...... SGE ...... 17 Bhutan, via Great Britain ...... LAL ...... 19 Bolivia ...... LPB ...... 17 Bosnia-Herzegovina ...... SJJ ...... 16 Botswana ...... GBE ...... 19 Brazil ...... CWB ...... 10 British Virgin Islands ...... RAD ...... 17 Brunei Darussalam ...... BWN ...... 18 Bulgaria ...... SOF ...... 16 Burkina Faso ...... OUA ...... 19 Burma (Myanmar) ...... RGN ...... 19 Burundi ...... BJM ...... 19 Cambodia ...... PNH ...... 18 Cameroon ...... DLA ...... 19 Canada ...... See Canadian Labeling Information in Ex- 1 hibit 292.45b. Cape Verde ...... RAI ...... 19 Cayman Islands ...... GCM ...... 17 Central African Republic ...... BGF ...... 19 Chad ...... NDJ ...... 19 Chile ...... SCL ...... 17 China ...... BJS ...... 14 Colombia ...... BOG ...... 17

VerDate Mar<15>2010 14:54 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00009 Fmt 4700 Sfmt 4700 E:\FR\FM\21NOR1.SGM 21NOR1 tkelley on DSK3SPTVN1PROD with RULES 69762 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Rules and Regulations

IPA COUNTRY PRICE GROUPS AND FOREIGN OFFICE OF EXCHANGE CODES FOR ALL COUNTRIES OTHER THAN CANADA— Continued

Foreign office of Country labeling name exchange code Price group

Comoros Islands, via France ...... CDG ...... 19 Congo, Dem. Rep. of the ...... FIH ...... 19 Congo, Rep. of the ...... BZV ...... 19 Cook Islands ...... RAR ...... 9 Costa Rica ...... SJO ...... 17 Cote d’Ivoire ...... ABJ ...... 19 Croatia ...... ZAG ...... 16 Curacao (includes Bonaire, Saba, and Sint Eustatius) ...... CUR ...... 17 Cyprus ...... LCA ...... 19 Czech Republic ...... PRG ...... 16 Denmark ...... CPH ...... 12 Djibouti ...... JIB ...... 19 Dominica ...... DOM ...... 17 Dominican Republic ...... SDQ ...... 17 Ecuador ...... UIO ...... 17 Egypt ...... CAI ...... 19 El Salvador ...... SAL ...... 17 Equatorial Guinea ...... SSG ...... 19 Eritrea ...... ASM ...... 19 Estonia ...... TLL ...... 16 Ethiopia ...... ADD ...... 19 Falkland Islands, via Great Britain ...... LAL ...... 17 Faroe Islands, via Denmark ...... CPH ...... 16 Fiji ...... NAN ...... 18 Finland ...... HEL ...... 12 France 2 ...... CDG ...... 5 French Guiana ...... CAY ...... 17 French Polynesia ...... FAA ...... 18 Gabon ...... LBV ...... 19 Gambia ...... BJL ...... 19 Georgia, Republic of ...... TBS ...... 19 Germany ...... FRA ...... 4 Ghana ...... ACC ...... 19 Gibraltar ...... GIB ...... 15 Great Britain (includes England, Scotland, Wales, Northern Ireland, Guernsey, Jer- LAL ...... 3 sey, Alderney, Sark, and The Isle of Man). Greece ...... ATH ...... 13 Greenland, via Denmark ...... CPH ...... 15 Grenada ...... GND ...... 17 Guadeloupe ...... PTP ...... 17 Guatemala ...... GUA ...... 17 Guinea ...... CKY ...... 19 Guinea-Bissau ...... OXB ...... 19 Guyana ...... GEO ...... 17 Haiti ...... PAP ...... 17 Honduras ...... TGU ...... 17 Hong Kong ...... HKG ...... 11 Hungary ...... BUD ...... 16 Iceland ...... REK ...... 15 India ...... DEL ...... 14 Indonesia ...... JKT ...... 18 Iraq ...... BGW ...... 19 Ireland ...... DUB ...... 13 Israel ...... TLV ...... 13 Italy ...... MIL ...... 7 Jamaica ...... KIN ...... 17 Japan ...... NRT ...... 6 Jordan ...... AMM ...... 19 Kazakhstan ...... ALA ...... 19 Kenya ...... NBO ...... 19 Kiribati ...... TRW ...... 18 Korea, Republic of (South) ...... SEL ...... 11 Kosovo, Republic of ...... PRN ...... 16 Kuwait ...... KWI ...... 19 Kyrgyzstan ...... FRU ...... 16 Laos ...... VTE ...... 18 Latvia ...... RIX ...... 16 Lebanon ...... BEY ...... 19 Lesotho ...... MSU ...... 19 Liberia ...... MLW ...... 19

VerDate Mar<15>2010 14:54 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00010 Fmt 4700 Sfmt 4700 E:\FR\FM\21NOR1.SGM 21NOR1 tkelley on DSK3SPTVN1PROD with RULES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Rules and Regulations 69763

IPA COUNTRY PRICE GROUPS AND FOREIGN OFFICE OF EXCHANGE CODES FOR ALL COUNTRIES OTHER THAN CANADA— Continued

Foreign office of Country labeling name exchange code Price group

Libya ...... TIP ...... 19 Liechtenstein, via Switzerland ...... ZRH ...... 15 Lithuania ...... VNO ...... 16 Luxembourg ...... LUX ...... 15 Macao ...... MFM ...... 16 Macedonia ...... FRA ...... 16 Madagascar ...... TNR ...... 19 Malawi ...... LBE ...... 19 Malaysia ...... KUL ...... 18 Maldives ...... MLE ...... 19 Mali ...... BKO ...... 19 Malta ...... MAR ...... 19 Martinique ...... FDF ...... 17 Mauritania ...... NKC ...... 19 Mauritius ...... PLU ...... 19 Mexico ...... MEX ...... 2 Moldova ...... KIV ...... 19 Monaco ...... MON ...... 12 Mongolia ...... ULN ...... 18 Montenegro ...... TGD ...... 17 Montserrat ...... MNI ...... 17 Morocco ...... CAS ...... 19 Mozambique ...... MPM ...... 19 Namibia ...... WDH ...... 19 Nauru ...... INU ...... 18 Nepal ...... KTM ...... 18 Netherlands ...... AMS ...... 12 New Caledonia ...... NOU ...... 18 New Zealand 3 ...... AKL ...... 9 Nicaragua ...... MGA ...... 17 Niger ...... NIM ...... 19 Nigeria ...... LOS ...... 19 Norway ...... OSL ...... 12 Oman ...... MCT ...... 19 Pakistan ...... ISB ...... 19 Panama ...... PTY ...... 17 Papua New Guinea ...... BOR ...... 18 Paraguay ...... ASU ...... 17 Peru ...... LIM ...... 17 Philippines ...... MNL ...... 14 Pitcairn Island, via New Zealand ...... AKL ...... 18 Poland ...... WAW ...... 12 Portugal (includes Azores and Madeira Islands) ...... LIS ...... 13 Qatar ...... DOH ...... 19 Reunion ...... RUN ...... 19 Romania ...... BUH ...... 16 Russia ...... MOW ...... 16 Rwanda ...... KGL ...... 19 Saint Christopher and Nevis ...... SKB ...... 17 Saint Helena, via Great Britain ...... LAL ...... 19 Saint Lucia ...... SLU ...... 17 Saint Pierre and Miquelon, via Canada ...... See Canadian Labeling Information in Ex- 17 hibit 292.45b. Saint Vincent and The Grenadines ...... KTN ...... 17 San Marino, via Italy ...... MIL ...... 12 Sao Tome and Principe, via Portugal ...... LIS ...... 16 Saudi Arabia ...... DMM ...... 19 Senegal ...... DKR ...... 19 Serbia, Republic of ...... BEG ...... 16 Seychelles ...... SEZ ...... 19 Sierra Leone ...... FNA ...... 19 Singapore ...... SIN ...... 11 Sint Maarten ...... SXM ...... 17 Slovak Republic (Slovakia) ...... BTS ...... 16 Slovenia ...... LJU ...... 13 Solomon Islands ...... HIR ...... 18 South Africa ...... JNB ...... 14 Spain (includes Canary Islands) ...... MAD ...... 8 Sri Lanka ...... CMB ...... 19 Suriname ...... PBM ...... 17

VerDate Mar<15>2010 14:54 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00011 Fmt 4700 Sfmt 4700 E:\FR\FM\21NOR1.SGM 21NOR1 tkelley on DSK3SPTVN1PROD with RULES 69764 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Rules and Regulations

IPA COUNTRY PRICE GROUPS AND FOREIGN OFFICE OF EXCHANGE CODES FOR ALL COUNTRIES OTHER THAN CANADA— Continued

Foreign office of Country labeling name exchange code Price group

Swaziland ...... MTS ...... 19 Sweden ...... STO ...... 12 Switzerland ...... ZRH ...... 12 Taiwan ...... TPE ...... 14 Tajikistan ...... DYU ...... 19 Tanzania ...... DAR ...... 19 Thailand ...... BKK ...... 14 Timor-Leste, Democratic Republic of ...... DIL ...... 18 Togo ...... LFW ...... 19 Tonga ...... TBU ...... 18 Trinidad and Tobago ...... POS ...... 17 Tristan da Cunha, via South Africa ...... JNB ...... 19 Tunisia ...... TUN ...... 19 Turkey ...... IST ...... 16 Turkmenistan ...... ASB ...... 16 Turks and Caicos Islands ...... GDT ...... 17 Tuvalu, via Fiji ...... NAN ...... 18 Uganda ...... KLA ...... 19 Ukraine ...... IEV ...... 19 United Arab Emirates ...... DXB ...... 19 Uruguay ...... MVD ...... 17 Uzbekistan ...... TAS ...... 19 Vanuatu ...... VLI ...... 18 Vatican City ...... VAT ...... 15 Venezuela ...... CCS ...... 17 Vietnam ...... SGN ...... 18 Wallis and Futuna Islands, via New Caledonia ...... NOU ...... 18 Western Samoa ...... APW ...... 18 Yemen ...... SAH ...... 19 Zambia ...... LUN ...... 19 Zimbabwe ...... HRE ...... 19 1 At the mailer’s option, a finer sortation for IPA items addressed to Australia may be used. If this option is chosen, items addressed with postal codes beginning with 0, 1, 2, 4, and 9 and uncoded mail should be sorted and prepared in direct country containers tagged to Sydney. Both the three-letter exchange office code (‘‘SYD’’) and the country name (‘‘Australia’’) should be entered in the ‘‘To’’ block of PS Tag 115, International Priority Airmail. Items addressed with postal codes beginning with 3, 5, 6, 7, and 8 should be sorted and prepared in direct country containers tagged to Melbourne. Both the three-letter exchange office code (‘‘MEL’’) and the country name (‘‘Australia’’) should be entered in the ‘‘To’’ block of PS Tag 115. 2 For all destinations to France other than Monaco. For Monaco, see the entry for Monaco in this exhibit. 3 For all destinations to New Zealand other than Cook Islands. For Cook Islands, see the entry for Cook Islands in this exhibit.

Exhibit 292.45b

CANADIAN MAIL CONTAINER LABELING INFORMATION [Full-service only]

U.S. exchange U.S. exchange Foreign office of ZIP Code of entry post office * Canadian destination office code office (or ISC) exchange code

005, 010–089, 100–212, 214–268, 270–297, 400– MONTREAL QC FWD .... 003 JFK ...... YMQ. 418, 420–427, 470–471, 476–477. 006–009, 298–339, 341–342, 344, 346–347, 349– MONTREAL QC FWD .... 33112 MIA ...... YMQ. 352, 354–399, 723. 430–469, 472–475, 478–516, 520–528, 530–532, TORONTO ON FWD ...... 60290 ORD ...... For IPA letter-size and 534–535, 537–551, 553–567, 570–577, 580–588, flat-size: TOR. For IPA 600–620, 622–631, 633–641, 644–658, 660–662, packages-size: YTO. 664–681, 683–693, 700–701, 703–708, 710–714, 716–722, 724–731, 733–741, 743–816, 822–831, 840–847, 870–875, 877–885, 893, 897–898. 590–599, 820–821, 832–838, 894–895, 937–961, VANCOUVER BC FWD .. 94013 SFO ...... YVR. 970–986, 988–999. 850–853, 855–857, 859–860, 863–865, 889–891, VANCOUVER BC FWD .. 90899 LAX ...... YVR. 900–908, 910–928, 930–936. 967–969 ...... VANCOUVER BC FWD .. 96820 HNL ...... YVR. * The ‘‘ZIP Code of Entry Post Office’’ column is relevant only for mailings claimed at the full-service price (i.e., not drop shipped at an ISC) to determine their Canadian destination and U.S. exchange office code container information.

VerDate Mar<15>2010 14:54 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00012 Fmt 4700 Sfmt 4700 E:\FR\FM\21NOR1.SGM 21NOR1 tkelley on DSK3SPTVN1PROD with RULES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Rules and Regulations 69765

292.46 Presort Mailings: Direct from mixing during transportation. indicate if the container contains items Country—Price Groups 1 Through 14 Cover (i.e., sleeve or lid) all letter-size with or without customs forms, identify 292.461—General and flat-size trays and secure them with the destination country, and enter the strapping. date of mailing, the 10-digit permit Price groups 1 through 14 may be 2. Container Tags. Complete the front number, the foreign office of exchange prepared in direct country containers side of PS Tag 115, International code as listed in Exhibit 292.45a and (full-service price and ISC drop Priority Airmail, which identifies the 292.45b, and the price group as listed in shipment price). Each direct country mail to ensure it receives priority Exhibit 292.45a and 292.45b. To the container must contain at least 2 pounds handling. Check the appropriate box to front side of the tag, apply a barcode of mail. The mailer must separately indicate if the tray contains items with that indicates the mailer’s permit containerize items bearing customs or without customs forms, identify the number, the product code, the service forms from items not bearing customs destination country, and enter the date type code, the container type code, the forms and must prepare letter-size, flat- of mailing, the 10-digit permit number, shape type code, the foreign office of size, and package-size items in separate the foreign office of exchange code as exchange code, and the serial number of containers as defined in 292.462a listed in Exhibit 292.45a and 292.45b, the container. (To request technical through 292.462c. Smaller quantities and the price group as listed in Exhibit specifications for the barcode, send an qualify only for mixed country price 292.45a and 292.45b. To the front side email to [email protected]). (price groups 9 through 14 only) under of the tag, apply a barcode that indicates Finally, attach PS Tag 115 to the neck 292.47, or for the worldwide nonpresort the mailer’s permit number, the product of the sack. price under 292.49. The maximum code, the service type code, the 3. Direct Country Container Label. A container weight is 66 pounds. container type code, the mail contents mailer who claims the ISC drop shape type code, the foreign office of 292.462 Preparation shipment price and enters the mail at an exchange code, and the serial number of authorized drop shipment location The mailer must prepare direct the container. (To request technical under 292.532 is not required to prepare country containers of presorted IPA specifications for the barcode, send an container labels. A mailer who claims mail (full-service price and ISC drop email to [email protected]). the full-service price must complete 2- shipment price) as follows: Finally, tape PS Tag 115 to the tray a. Letter-Size and Flat-Size Mail. For inch container labels (and insert them cover. into the applicable container label each direct country tray of letter-size or b. Packages. For each direct country flat-size mail, the mailer must do the holder) as follows (see Exhibit 292.462 sack of package-size items, the mailer for the list of U.S. Exchange Offices): following: must do the following: 1. Mail Preparation. Prepare letter- 1. Mail Preparation. Prepare package- Line 1: Appropriate U.S. Exchange size items in letter trays, either 1-foot or size items by placing them loose in Office and Routing Code 2-foot, depending on volume. Prepare sacks. Line 2: Contents—DRX COUNTRY flat-size items in flat trays/tubs. Do not 2. Tags. Container Tags. Complete the Line 3: Mailer, Mailer Location prepare the content of trays in bundles. front side of PS Tag 115, International Face all letter-size items and flat-size Priority Airmail, which identifies the Example: ISC NEW YORK NY 003, IPA— DRX COUNTRY, ABC STORE ALBANY NY. items in the same direction. Ensure that mail to ensure it receives priority all trays are full enough to keep the mail handling. Check the appropriate box to Exhibit 292.462

LABELING OF IPA MAIL TO POSTAL SERVICE EXCHANGE OFFICES [Full-service only]

IPA Acceptance office U.S. exchange office and routing 3-Digit ZIP Code Prefix code for line 1

005, 010–089, 100–212, 214–268, 270–297, 400–418, 420–427, 470–477 ...... ISC NEW YORK NY 003. 006–009, 298–339, 341–342, 344, 346–347, 349–352, 354–399 ...... ISC MIAMI FL 33112. 424, 430–469, 478–516, 520–528, 530–532, 534–535, 537–551, 553–567, 570–577, 580–588, 600–620, ISC CHICAGO IL 60290. 622–631, 633–641, 644–658, 660–662, 664–681, 683–693, 700–701, 703–708, 710–714, 716–731, 733–741, 743–799, 885. 590–599, 800–816, 820–838, 840–847, 893–895, 897–898, 937–961, 970–986, 988–999 ...... ISC SAN FRANCISCO CA 94013. 850–853, 855–857, 859–860, 863–865, 870–875, 877–884, 889–891, 900–908, 910–928, 930–936 ...... ISC LOS ANGELES CA 900. 967–969 ...... P&DC HONOLULU HI 967.

292.47 Presort Mailings: Mixed not bearing customs forms and must mail (ISC drop shipment price) as Country—Price Groups 9 Through 14 prepare letter-size, flat-size, and follows: 292.471 General package-size items in separate a. Letter-Size and Flat-Size Mail. For containers as defined in 292.472a and The mailer may prepare price groups each mixed country tray of letter-size or 292.472b. Smaller quantities qualify 9 through 14 in mixed country flat-size mail, the mailer must do the only for the worldwide nonpresort price containers (ISC drop shipment price) following: only after all possible direct country under 292.49. The maximum container 1. Mail Preparation. Prepare letter- containers have been prepared. Each weight is 66 pounds. size items in letter trays, either 1-foot or mixed country price group must contain 292.472 Preparation 2-foot, depending on volume. Prepare at least 5 pounds of mail that are flat-size items in flat trays/tubs. Bundle destined within the same price group. The mailer must prepare mixed letter-size and flat-size pieces as defined The mailer must separately containerize country containers of presorted IPA in 292.44, and bundle each country items bearing customs forms from items separately. Face all letter-size items and

VerDate Mar<15>2010 14:54 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00013 Fmt 4700 Sfmt 4700 E:\FR\FM\21NOR1.SGM 21NOR1 tkelley on DSK3SPTVN1PROD with RULES 69766 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Rules and Regulations

flat-size items in the same direction and [Insert new 292.48 and 292.49 to read bundle letter-size items and flat-size apply a label (facing slip) to the top item as follows:] items separately, although nonidentical as defined in 292.473. Cover (i.e., sleeve 292.48 Presort Mailings—Price items may be commingled within each or lid) all letter-size trays and flat-size Groups 15 Through 19 of these categories. Face all letter-size trays/tubs and secure them with items and flat-size items in the same strapping. 292.481 General direction and apply a label (facing slip) 2. Container Tags. Complete the front Price groups 15 through 19 must be to the top item as defined in 292.472. side of PS Tag 115, International prepared in direct country containers Place package-size items loose in the Priority Airmail, which identifies the (full-service price and ISC drop sack provided that items bearing mail to ensure it receives priority shipment price) or mixed country customs forms are separated from items handling. Identify the date of mailing, containers (ISC drop shipment price). not bearing customs forms. the 10-digit permit number, and the Each direct country container must price group as listed in Exhibit 292.45a 2. Container Tags. The mailer must contain at least 2 pounds of mail. Each complete the front side of PS Tag 115, or 292.45b followed by the word mixed country container must contain ‘‘Mixed’’ (e.g., ‘‘14–Mixed’’). Finally, International Priority Airmail, which at least 5 pounds of mail. Smaller identifies the mail to ensure it receives tape PS Tag 115 to the tray cover. quantities qualify only for the b. Packages. For each mixed country priority handling. The mailer must worldwide nonpresort price under check the appropriate box to indicate if container of package-size items, the 292.49. The mailer must separately the sack contains items with or without mailer must do the following: containerize items bearing customs customs forms, identify the destination 1. Mail Preparation. Prepare package- forms from items not bearing customs country, and enter the date of mailing, size items by placing them loose in forms. The maximum container weight the 10-digit permit number, the foreign sacks. is 66 pounds. 2. Container Tags. Complete the front office of exchange code as listed in side of PS Tag 115, International 292.482 Preparation Exhibits 292.45a and 292.45b, and the Priority Airmail, which identifies the The mailer has two options to prepare price group as listed in Exhibits 292.45a mail to ensure it receives priority direct country or mixed country and 292.45b. The mailer must apply a handling. Identify the date of mailing, containers of presorted IPA mail, as barcode to the front side of the tag that the 10-digit permit number, and the follows: indicates the mailer’s permit number, price group as listed in Exhibit 292.45a 1. Prepare mail as described in 292.46 the product code, the service type code, or 292.45b followed by the word and 292.47, including using letter-size the container type, the shape type, the ‘‘Mixed’’ (e.g., ‘‘14–Mixed’’). Finally, trays for letter-size items, flat-size trays/ foreign office of exchange code, and the attach PS Tag 115 to the neck of the tubs for flat-size items, and sacks for serial number of the sack. (To request sack. package-size items. technical specifications for the barcode, 292.473 Direct Country Bundle Label 2. Prepare mail in sacks for all send an email to globalbusiness-sales@ for Mixed Country Containers processing categories as defined in usps.gov). Finally, the mailer must 292.483 and 292.484. attach PS Tag 115 to the neck of the Only letter-size and flat-size direct sack. country bundles prepared for mixed 292.483 Direct Country—Optional country containers require a label Sack Preparation 3. Direct Country Container Label. A (facing slip). The mailer must complete The mailer may optionally prepare mailer who claims the ISC drop the label and place it on the address direct country sacks or mixed country shipment price and enters the mail at an side of the top item of each bundle in sacks of presorted IPA mail when sacks authorized drop shipment location such a manner that it will not become are used for all processing categories as under 292.532 is not required to prepare separated from the bundle. The follows: container labels. A mailer who claims pressure-sensitive labels and optional a. Full-Service and ISC Drop the full-service price must complete 2- endorsement lines used domestically for Shipment—Direct country sacks. inch container labels (and insert them presort mail are prohibited for IPA 1. Preparation. Mail (letter-size, flat- into the applicable container label service. Bundle labels must contain the size, and package-size) that is addressed holder) as follows (see Exhibit 292.483 following information: to an individual country and that for the list of U.S. Exchange Offices): Line 1: Foreign Office of Exchange contains 2 pounds or more must be Line 1: Appropriate U.S. Exchange Code. (See Exhibit 292.45a and sorted into direct country sacks. Mail Office and Routing Code 292.45b.) that cannot be made up into direct Line 2: Country Labeling Name. (See country sacks must be prepared and Line 2: Contents—DRX COUNTRY Exhibit 292.45a and 292.45b.) entered as mixed country sacks (ISC Line 3: Mailer, Mailer Location Line 3: Mailer, Mailer Location (City Drop Shipment only) or the worldwide and State). Example: ISC NEW YORK NY 003, IPA— nonpresort price. The mailer must DRX COUNTRY, ABC STORE ALBANY NY. Example: VIE, AUSTRIA, ABC COMPANY bundle letter-size and flat-size items as WASHINGTON DC. defined in 292.44. The mailer must Exhibit 292.483

LABELING OF IPA MAIL TO POSTAL SERVICE EXCHANGE OFFICES [Full-service only]

U.S. exchange office and routing IPA acceptance office 3-digit ZIP Code prefix code for line 1

005, 010–089, 100–212, 214–268, 270–297, 400–418, 420–427, 470–477 ...... ISC NEW YORK NY 003. 006–009, 298–339, 341–342, 344, 346–347, 349–352, 354–399 ...... ISC MIAMI FL 33112.

VerDate Mar<15>2010 14:54 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00014 Fmt 4700 Sfmt 4700 E:\FR\FM\21NOR1.SGM 21NOR1 tkelley on DSK3SPTVN1PROD with RULES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Rules and Regulations 69767

LABELING OF IPA MAIL TO POSTAL SERVICE EXCHANGE OFFICES—Continued [Full-service only]

U.S. exchange office and routing IPA acceptance office 3-digit ZIP Code prefix code for line 1

424, 430–469, 478–516, 520–528, 530–532, 534–535, 537–551, 553–567, 570–577, 580–588, 600–620, ISC CHICAGO IL 60290. 622–631, 633–641, 644–658, 660–662, 664–681, 683–693, 700–701, 703–708, 710–714, 716–731, 733–741, 743–799, 885. 590–599, 800–816, 820–838, 840–847, 893–895, 897–898, 937–961, 970–986, 988–999 ...... ISC SAN FRANCISCO CA 94013. 850–853, 855–857, 859–860, 863–865, 870–875, 877–884, 889–891, 900–908, 910–928, 930–936 ...... ISC LOS ANGELES CA 900. 967–969 ...... P&DC HONOLULU HI 967.

b. ISC Drop Shipment—Mixed service. Bundle labels must contain the 293 International Surface Air Lift country sacks. following information: (ISAL) Service 1. Preparation. Mixed country sacks Line 1: Foreign Office of Exchange 293.1 Description can be prepared only after all possible Code. (See Exhibits 292.45a and 293.11 General direct country sacks have been 292.45b.) prepared. The mailer must prepare Line 2: Country Labeling Name. (See [Revise 293.11 to read as follows:] mixed country sacks for items that Exhibits 292.45a and 292.45b.) International Surface Air Lift (ISAL) contain 5 pounds or more and that are Line 3: Mailer, Mailer Location (City service, including ISAL M-bags, is a destined within the same price group. and State). commercial service designed for volume Mail that ultimately cannot be made up Example: VIE, AUSTRIA, ABC COMPANY mailings of all First-Class Mail into direct country sacks or mixed WASHINGTON DC. International postcards, letters, and country sacks must be prepared and large envelopes (flats), and for volume entered at the worldwide nonpresort 292.49 Worldwide Nonpresort mailings of First-Class Package price. The mailer must bundle letter- Preparation International Service packages (small size and flat-size items as defined in The following standards apply when packets). 292.44. The mailer must bundle letter- the mailer prepares worldwide The sender must prepare mailpieces size and flat-size items separately, nonpresort IPA mail (full-service price in accordance with the requirements of although nonidentical items may be and ISC drop shipment price): this subchapter and with the shape- commingled within each of these a. General. A mailer claiming any based requirements of the applicable categories. Face all letter-size items and mail at the direct country or mixed service—either First-Class Mail flat-size items in the same direction and country price cannot enclose the mail in International items (see 240) and/or apply a label (facing slip) to the top item worldwide nonpresort sacks. The mailer First-Class Package International Service as defined in 292.484. Place package- must bundle letter-size and flat-size items (see 250). ISAL shipments are size items that cannot be bundled mail. All types of mail, including letter- typically flown to the foreign because of their physical characteristics size bundles, flat-size bundles, and destinations (exceptions apply to loose in the sack provided that items loose items, can be commingled in the Canada and Mexico) and are then bearing customs forms are separated same sack. Labels (facing slips) are not entered into that country’s surface from items not bearing customs forms. required on any bundles. Containers nonpriority mail system for delivery. 2. Container Tags. The mailer must other than sacks are not authorized Separate prices are provided for complete the front side of PS Tag 115, unless other equipment is specified by International Service Center (ISC) drop International Priority Airmail, which the acceptance office—for example, the shipments, presorted mail, and identifies the mail to ensure it receives mailer may present nonpresorted letter- nonpresorted mail. Volume incentives priority handling. On the front of the size mail in trays if authorized by the are available through customized tag, the mailer must identify the date of acceptance office. The maximum weight agreements. mailing, the 10-digit permit number, of any container is 66 pounds. * * * * * and the price group as listed in Exhibit b. Worldwide Nonpresort Container 292.45a or 292.45b followed by the Label. A mailer who claims the ISC drop 293.2 Eligibility word ‘‘Mixed’’ (e.g., ‘‘15–Mixed’’). shipment price and enters the mail at an 293.21 Qualifying Mailpieces Finally, the mailer must attach PS Tag authorized drop shipment location 115 to the neck of the sack. under 292.532 is not required to prepare [Revise 293.21 to read as follows:] 292.484 Presorted Mail—Direct container labels. A mailer who claims To qualify for ISAL service, a Country Bundle Label the full-service price must complete 2- mailpiece must meet the First-Class inch container labels (and insert them Mail International characteristics as Only letter-size and flat-size direct into the applicable container label defined in 141.5 (except for weight—see country bundles prepared for mixed holder) as follows (see Exhibit 292.483 293.24) or the First-Class Package country sacks require a label (facing for the list of U.S. Exchange Offices): International Service characteristics as slip). The mailer must complete the Line 1: Appropriate U.S. Exchange defined in 141.6 (except for weight—see label and place it on the address side of Office and Routing Code 293.24). Mailpieces do not have to be of the top item of each bundle in such a the same size and weight to qualify. Any Line 2: Contents WKG manner that it will not become item sent with ISAL service must separated from the bundle. The Line 3: Mailer, Mailer Location conform to the size limits for First-Class pressure-sensitive labels and optional Example: ISC MIAMI FL 33112, IPA— Mail International postcards, letters, or endorsement lines used domestically for WKG, ABC COMPANY MIAMI FL. large envelopes (flats) as described in presort mail are prohibited for IPA * * * * * 240, or for First-Class Package

VerDate Mar<15>2010 14:54 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00015 Fmt 4700 Sfmt 4700 E:\FR\FM\21NOR1.SGM 21NOR1 tkelley on DSK3SPTVN1PROD with RULES 69768 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Rules and Regulations

International Service packages (small country container with a minimum of 5 ISAL service has two price options: A packets) as described in 250. pounds qualifies for the presort price. presort price with 19 price groups, and * * * * * *** a worldwide nonpresort price. * * * [Insert new 293.24 to read as follows * * * * * 293.23 Minimum Quantity (renumbering current 293.24 through Requirements 293.26 to be 293.25 through 293.27):] 293.4 Mail Preparation * * * * * 293.24 Maximum Weight Limits * * * * * 293.232 Presort Eligibility—Full- The maximum weight for an ISAL [Revise 293.45 through 293.47 in their Service container is 66 pounds. The maximum entirety to read as follows:] [Revise the first sentence to read as weight for an individual ISAL item is as follows: 293.45 ISAL Price Groups and follows:] Foreign Office of Exchange Codes Only a direct country container with a. Letter-size item: 3.5 ounces. a minimum of 2 pounds qualifies for the b. Flat-size item: 17.6 ounces. c. Package-size item: 4.4 pounds. See Exhibits 293.45a and 293.45b for presort price. * * * the ISAL Country Price Groups and * * * * * 293.233 Presort Eligibility—ISC Drop Foreign Office of Exchange Codes. Shipment 293.3 Prices and Postage Payment Methods Exhibit 293.45a [Revise the first sentence to read as follows:] 293.31 Prices Only a direct country container with [Revise the first sentence to read as a minimum of 2 pounds or a mixed follows:]

ISAL COUNTRY PRICE GROUPS, AND FOREIGN OFFICE OF EXCHANGE CODES FOR ALL COUNTRIES OTHER THAN CANADA

Foreign office of Country labeling name exchange code Price group

Albania ...... TIA ...... 16 Algeria ...... ALG ...... 19 Angola ...... LAD ...... 19 Argentina ...... BUE ...... 10 Aruba ...... AUA ...... 17 Australia ...... SYD ...... 9 Austria ...... VIE ...... 12 Bahrain ...... BAH ...... 19 Bangladesh ...... DAC ...... 19 Belgium ...... BRU ...... 12 Belize ...... BZE ...... 17 Benin ...... COO ...... 19 Bolivia ...... LPB ...... 17 Brazil ...... SAO ...... 10 Bulgaria ...... SOF ...... 16 Burkina Faso ...... OUA ...... 19 Cameroon ...... DLA ...... 19 Canada ...... See Canadian Labeling Information in Ex- 1 hibit 293.45b. Central African Republic ...... BGF ...... 19 Chile ...... SCL ...... 17 China ...... BJS ...... 14 Colombia ...... BOG ...... 17 Congo, Democratic Republic of the ...... FIH ...... 19 Costa Rica ...... SJO ...... 17 Cote d’Ivoire (Ivory Coast) ...... ABJ ...... 19 Curacao (includes Bonaire, Saba, and Sint Eustatius) ...... CUR ...... 17 Czech Republic ...... PRG ...... 16 Denmark ...... CPH ...... 12 Dominican Republic ...... SDQ ...... 17 Ecuador ...... GYE ...... 17 Egypt ...... CAI ...... 19 El Salvador ...... SAL ...... 17 Ethiopia ...... ADD ...... 19 Fiji ...... NAN ...... 18 Finland ...... HEL ...... 12 France (includes Corsica) ...... CDG ...... 5 French Guiana ...... CAY ...... 17 Gabon ...... LBV ...... 19 Germany ...... NIA ...... 4 Ghana ...... ACC ...... 19 Great Britain ...... LAL ...... 3 Greece ...... ATH ...... 13 Guatemala ...... GUA ...... 17 Guyana ...... GEO ...... 17 Haiti ...... PAP ...... 17

VerDate Mar<15>2010 14:54 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00016 Fmt 4700 Sfmt 4700 E:\FR\FM\21NOR1.SGM 21NOR1 tkelley on DSK3SPTVN1PROD with RULES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Rules and Regulations 69769

ISAL COUNTRY PRICE GROUPS, AND FOREIGN OFFICE OF EXCHANGE CODES FOR ALL COUNTRIES OTHER THAN CANADA—Continued

Foreign office of Country labeling name exchange code Price group

Honduras ...... TGU ...... 17 Hong Kong ...... HKG ...... 11 Hungary ...... BUD ...... 16 Iceland ...... REK ...... 15 India ...... BOM ...... 14 Indonesia ...... JKT ...... 18 Ireland ...... AHE ...... 13 Israel ...... TLV ...... 13 Italy ...... MIL ...... 7 Jamaica ...... KIN ...... 17 Japan* ...... KIX ...... 6 KWS ...... 6 Jordan ...... AMM ...... 19 Kenya ...... NBO ...... 19 Korea, Rep. of (South) ...... SEL ...... 11 Kuwait ...... KWI ...... 19 Lebanon ...... BEY ...... 19 Liechtenstein ...... ZRH ...... 15 Luxembourg ...... LUX ...... 15 Madagascar ...... TNR ...... 19 Malaysia ...... KUL ...... 18 Mali ...... BKO ...... 19 Mauritania ...... NKC ...... 19 Mauritius ...... MRU ...... 19 Mexico ...... MEX ...... 2 Morocco ...... CAS ...... 19 Mozambique ...... MPM ...... 19 Netherlands ...... AMS ...... 12 New Zealand ...... AKL ...... 9 Nicaragua ...... MGA ...... 17 Niger ...... NIM ...... 19 Nigeria ...... LOS ...... 19 Norway ...... OSL ...... 12 Oman ...... MCT ...... 19 Pakistan ...... KHI ...... 19 Panama ...... PTY ...... 17 Papua New Guinea ...... BOR ...... 18 Paraguay ...... ASU ...... 17 Peru ...... LIM ...... 17 Philippines ...... MNL ...... 14 Poland ...... WAW ...... 12 Portugal ...... LIS ...... 13 Qatar ...... DOH ...... 19 Reunion ...... RUN ...... 19 Romania ...... BUH ...... 16 Russia ...... MOW ...... 16 Saudi Arabia ...... DMM ...... 19 Senegal ...... DKR ...... 19 Singapore ...... SIN ...... 11 Sint Maarten ...... SXM ...... 17 Slovak Republic (Slovakia) ...... BTS ...... 16 South Africa ...... JNB ...... 14 Spain (includes Canary Islands) ...... MAD ...... 8 Sri Lanka ...... CMB ...... 19 Suriname ...... PBM ...... 17 Sweden ...... STO ...... 12 Switzerland ...... ZRH ...... 12 Taiwan ...... TPE ...... 14 Tanzania ...... DAR ...... 19 Thailand ...... BKK ...... 14 Timor-Leste, Democratic Republic of ...... DIL ...... 18 Togo ...... LFW ...... 19 Trinidad and Tobago ...... POS ...... 17 Tunisia ...... TUN ...... 19 Turkey ...... IST ...... 16 Uganda ...... KLA ...... 19 United Arab Emirates ...... DXB ...... 19 Uruguay ...... MVD ...... 17 Venezuela ...... CCS ...... 17 Yemen ...... SAH ...... 19

VerDate Mar<15>2010 14:54 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00017 Fmt 4700 Sfmt 4700 E:\FR\FM\21NOR1.SGM 21NOR1 tkelley on DSK3SPTVN1PROD with RULES 69770 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Rules and Regulations

ISAL COUNTRY PRICE GROUPS, AND FOREIGN OFFICE OF EXCHANGE CODES FOR ALL COUNTRIES OTHER THAN CANADA—Continued

Foreign office of Country labeling name exchange code Price group

Zambia ...... NLA ...... 19 Zimbabwe ...... HRE ...... 19 * To expedite handling, Japan Post has requested that U.S. shippers make the following optional separation of their ISAL mail: —Mail destined for locations in Japan with post code prefixes 52–93 should be labeled to Osaka International (KIX). —Mail destined for all other post code prefixes should be labeled to Kawasaki (KWS). —ISAL mail that is not optionally separated as specified above should be labeled to Kawasaki KWS).

Exhibit 293.45b

CANADIAN MAIL CONTAINER LABELING INFORMATION [Full-service only]

U.S. exchange U.S. exchange Foreign office of ex- ZIP Code of entry post office * Canadian destination office code office (or ISC) change code

005, 010–089, 100–212, 214–268, 270–297, 400– MONTREAL QC FWD .... 003 JFK ...... YMQ. 418, 420–427, 470–471, 476–477. 006–009, 298–339, 341–342, 344, 346–347, 349– MONTREAL QC FWD .... 33112 MIA ...... YMQ. 352, 354–399, 723. 430–469, 472–475, 478–516, 520–528, 530–532, TORONTO ON FWD ...... 60290 ORD ...... For ISAL letter-size and 534–535, 537–551, 553–567, 570–577, 580–588, flat-size: TOR. For 600–620, 622–631, 633–641, 644–658, 660–662, ISAL packages-size: 664–681, 683–693, 700–701, 703–708, 710–714, YTO. 716–722, 724–731, 733–741, 743–816, 822–831, 840–847, 870–875, 877–885, 893, 897–898. 590–599, 820–821, 832–838, 894–895, 937–961, VANCOUVER BC FWD .. 94013 SFO ...... YVR. 970–986, 988–999. 850–853, 855–857, 859–860, 863–865, 889–891, VANCOUVER BC FWD .. 90899 LAX ...... YVR. 900–908, 910–928, 930–936. 967–969 ...... VANCOUVER BC FWD .. 96820 HNL ...... YVR. * The ‘‘ZIP Code of Entry Post Office’’ column is relevant only for mailings claimed at the full-service price (i.e., not drop shipped at an ISC) to determine their Canadian destination and U.S. exchange office code container information.

293.46 Presort Mailings: Direct flat-size mail, the mailer must do the container type code, the mail contents Country—Price Groups 1 Through 14 following: shape type code, the foreign office of 1. Mail Preparation. Prepare letter- exchange code, and the serial number of 293.461 General size items in letter trays, either 1-foot or the container. (To request technical Price groups 1 through 14 may be 2-foot, depending on volume. Prepare specifications for the barcode, send an prepared in direct country containers flat-size items in flat trays/tubs. Do not email to [email protected]). (full-service price and ISC drop prepare the content of trays in bundles. Finally, tape the PS Tag 155 to the tray shipment price). Each direct country Face all letter-size items and flat-size cover. container must contain at least 2 pounds items in the same direction. Ensure that b. Packages. For each direct country of mail. The mailer must separately all trays are full enough to keep the mail sack of package-size items, the mailer containerize items bearing customs from mixing during transportation. must do the following: forms from items not bearing customs Cover (i.e., sleeve or lid) all letter-size 1. Mail Preparation. Prepare package- forms and must prepare letter-size, flat- and flat-size trays and secure them with size items by placing them loose in size, and package-size items in separate strapping. sacks. containers as defined in 293.462a 2. Container Tags. Complete the front 2. Container Tags. Complete the front through 293.462c. Smaller quantities side of PS Tag 155, International side of PS Tag 155, International qualify only for mixed country price Surface Air Lift, which identifies the Surface Air Lift, which identifies the (price groups 9 through 14 only) under mail to ensure it receives priority mail to ensure it receives priority 293.47, or for the worldwide nonpresort handling. Check the appropriate box to handling. Check the appropriate box to price under 293.49. The maximum indicate if the tray contains items with indicate if the container contains items container weight is 66 pounds. or without customs forms, identify the with or without customs forms, identify destination country, and enter the date the destination country, and enter the 293.462 Preparation of mailing, the 10-digit permit number, date of mailing, the 10-digit permit the foreign office of exchange code as number, the foreign office of exchange The mailer must prepare direct listed in Exhibits 293.45a and 293.45b, code as listed in Exhibits 293.45a and country containers of presorted ISAL and the price group as listed in Exhibits 293.45b, and the price group as listed in mail (full-service price and ISC drop 293.45a and 293.45b. To the front side Exhibits 293.45a and 293.45b. To the shipment price) as follows: of the tag, apply a barcode that indicates front side of the tag, apply a barcode a. Letter-Size and Flat-Size Mail. For the mailer’s permit number, the product that indicates the mailer’s permit each direct country tray of letter-size or code, the service type code, the number, the product code, the service

VerDate Mar<15>2010 14:54 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00018 Fmt 4700 Sfmt 4700 E:\FR\FM\21NOR1.SGM 21NOR1 tkelley on DSK3SPTVN1PROD with RULES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Rules and Regulations 69771

type code, the container type code, the shipment price and enters the mail at an Line 1: Appropriate U.S. Exchange shape type code, the foreign office of authorized drop shipment location Office and Routing Code exchange code, and the serial number of under 293.532 is not required to prepare Line 2: Contents—DRX COUNTRY the container. (To request technical container labels. A mailer who claims Line 3: Mailer, Mailer Location specifications for the barcode, send an the full-service price must complete 2- email to [email protected]). inch container labels (and insert them Example: ISC NEW YORK NY 003, ISAL— Finally, attach PS Tag 155 to the neck into the applicable container label DRX COUNTRY, ABC STORE ALBANY NY. of the sack. holder) as follows (see Exhibit 293.462 Exhibit 293.462 c. Direct Country Container Label. A for the list of U.S. Exchange Offices): mailer who claims the ISC drop

LABELING OF ISAL MAIL TO POSTAL SERVICE EXCHANGE OFFICES [Full-service only]

ISAL acceptance office U.S. exchange office and routing 3-digit zip code prefix code for line 1

005, 010–089, 100–212, 214–268, 270–297, 400–418, 420–427, 470–477 ...... ISC NEW YORK NY 003. 006–009, 298–339, 341–342, 344, 346–347, 349–352, 354–399 ...... ISC MIAMI FL 33112. 424, 430–469, 478–516, 520–528, 530–532, 534–535, 537–551, 553–567, 570–577, 580–588, 600–620, ISC CHICAGO IL 60290. 622–631, 633–641, 644–658, 660–662, 664–681, 683–693, 700–701, 703–708, 710–714, 716–731, 733–741, 743–799, 885. 590–599, 800–816, 820–838, 840–847, 893–895, 897–898, 937–961, 970–986, 988–999 ...... ISC SAN FRANCISCO CA 94013. 850–853, 855–857, 859–860, 863–865, 870–875, 877–884, 889–891, 900–908, 910–928, 930–936 ...... ISC LOS ANGELES CA 900 967–969 ...... P&DC HONOLULU HI 967.

293.47 Presort Mailings: Mixed trays and flat-size trays/tubs and secure service. Bundle labels must contain the Country—Price Groups 9 Through 14 them with strapping. following information: 2. Container Tags. Complete the front 293.471 General Line 1: Foreign Office of Exchange side of PS Tag 155, International Code. (See Exhibits 293.45a and Price groups 9 through 14 may be Surface Air Lift, which identifies the 293.45b.) prepared in mixed country containers mail to ensure it receives priority Line 2: Country Labeling Name. (See (ISC drop shipment price) only after all handling. Identify the date of mailing, Exhibits 293.45a and 293.45b.) possible direct country containers have the 10-digit permit number, and the Line 3: Mailer, Mailer Location (City been prepared. Each mixed country price group as listed in Exhibit 293.45a and State). price group must contain at least 5 or 293.45b followed by the word pounds of mail that are destined within Example: VIE, AUSTRIA, ABC COMPANY ‘‘Mixed’’ (e.g., ‘‘14—Mixed’’). Finally, WASHINGTON DC. the same price group. The mailer must tape PS Tag 155 to the tray cover. separately containerize items bearing b. Packages. For each mixed country [Insert new 293.48 and 293.49 to read customs forms from items not bearing container of package-size items, the as follows:] customs forms and must prepare letter- mailer must do the following: 293.48 Presort Mailings—Price size, flat-size, and package-size items in 1. Mail Preparation. Prepare package- Groups 15 Through 19 separate containers as defined in size items by placing them loose in 293.472a and 293.472b. Smaller sacks. 293.481 General quantities qualify only for the 2. Container Tags. Complete the front Price groups 15 through 19 may be worldwide nonpresort price under side of PS Tag 155, International prepared in direct country containers 293.49. The maximum container weight Surface Air Lift, which identifies the (full-service price and ISC drop is 66 pounds. mail to ensure it receives priority shipment price) or mixed country handling. Identify the date of mailing, containers (ISC drop shipment price). 293.472 Preparation the 10-digit permit number, and the Each direct country container must The mailer must prepare mixed price group as listed in Exhibit 293.45a contain at least 2 pounds of mail. Each country containers of presorted ISAL or 293.45b followed by the word mixed country container must contain mail (ISC drop shipment price) as ‘‘Mixed’’ (e.g., ‘‘14–Mixed’’). Finally, at least 5 pounds of mail. Smaller follows: attach PS Tag 155 to the neck of the quantities qualify only for the a. Letter-Size and Flat-Size Mail. For sack. worldwide nonpresort price under each mixed country tray of letter-size or 293.49. The mailer must separately flat-size mail, the mailer must do the 293.473 Direct Country Bundle Label for Mixed Country Containers containerize items bearing customs following: forms from items not bearing customs 1. Mail Preparation. Prepare letter- Only letter-size and flat-size direct forms. The maximum container weight size items in letter trays, either 1-foot or country bundles prepared for mixed is 66 pounds. 2-foot, depending on volume. Prepare country containers require a label flat-size items in flat trays/tubs. Bundle (facing slip). The mailer must complete 293.482 Preparation letter-size and flat-size pieces as defined the label and place it on the address The mailer has two options to prepare in 293.44 and each country must be side of the top item of each bundle in direct country or mixed country bundled separately. Face all letter-size such a manner that it will not become containers of presorted ISAL mail, as items and flat-size items in the same separated from the bundle. The follows: direction and apply a label (facing slip) pressure-sensitive labels and optional 1. Prepare mail as described in 293.46 to the top item as defined in 293.473. endorsement lines used domestically for and 293.47, including using letter-size Cover (i.e., sleeve or lid) all letter-size presort mail are prohibited for ISAL trays for letter-size items, flat-size trays/

VerDate Mar<15>2010 14:54 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00019 Fmt 4700 Sfmt 4700 E:\FR\FM\21NOR1.SGM 21NOR1 tkelley on DSK3SPTVN1PROD with RULES 69772 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Rules and Regulations

tubs for flat-size items, and sacks for items separately, although nonidentical the container type, the shape type, the package-size items. items may be commingled within each foreign office of exchange code, and the 2. Prepare mail in sacks for all of these categories. Face all letter-size serial number of the sack. (To request processing categories as defined in items and flat-size items in the same technical specifications for the barcode, 293.482 and 293.483. direction and apply a label (facing slip) send an email to globalbusiness-sales@ 293.483 Direct Country—Optional to the top item as defined in 293.473. usps.gov). Finally, the mailer must Sack Preparation Place package-size items loose in the attach PS Tag 155 to the neck of the sack provided that items bearing sack. The mailer may optionally prepare customs forms are separated from items 3. Direct Country Container Label. A direct country sacks or mixed country not bearing customs forms. mailer who claims the ISC drop sacks of presorted ISAL mail when shipment price and enters the mail at an sacks are used for all processing 2. Container Tags. The mailer must authorized drop shipment location categories as follows: complete the front side of PS Tag 155, a. Full-Service and ISC Drop International Surface Air Lift, which under 293.532 is not required to prepare Shipment—Direct country sacks. identifies the mail to ensure it receives container labels. A mailer who claims 1. Preparation. Mail (letter-size, flat- priority handling. The mailer must the full-service price must complete 2- size and package-size) that is addressed check the appropriate box to indicate if inch container labels (and insert them to an individual country and that the sack contains items with or without into the applicable container label contains 2 pounds or more must be customs forms, identify the destination holder) as follows (see Exhibit 293.483 sorted into direct country sacks. Mail country, and enter the date of mailing, for the list of U.S. Exchange Offices): that cannot be made up into direct the 10-digit permit number, the foreign Line 1: Appropriate U.S. Exchange country sacks must be prepared and office of exchange code as listed in Office and Routing Code entered as mixed country sacks (ISC Exhibits 293.45a and 293.45b, and the Line 2: Contents—DRX COUNTRY Drop Shipment only) or the worldwide price group as listed in Exhibits 293.45a Line 3: Mailer, Mailer Location nonpresort price. The mailer must and 294.45b. To the front side of the tag, bundle letter-size and flat-size items as the mailer must apply a barcode that Example: ISC NEW YORK NY 003, ISAL— DRX COUNTRY, ABC STORE ALBANY NY. defined in 293.44. The mailer must indicates the mailer’s permit number, bundle letter-size items and flat-size the product code, the service type code, Exhibit 293.483

LABELING OF ISAL MAIL TO POSTAL SERVICE EXCHANGE OFFICES [FULL-SERVICE ONLY]

ISAL acceptance office U. S. exchange office and routing 3-digit ZIP Code prefix code for line 1

005, 010–089, 100–212, 214–268, 270–297, 400–418, 420–427, 470–477 ...... ISC NEW YORK NY 003. 006–009, 298–339, 341–342, 344, 346–347, 349–352, 354–399 ...... ISC MIAMI FL 33112. 424, 430–469, 478–516, 520–528, 530–532, 534–535, 537–551, 553–567, 570–577, 580–588, 600–620, ISC CHICAGO IL 60290. 622–631, 633–641, 644–658, 660–662, 664–681, 683–693, 700–701, 703–708, 710–714, 716–731, 733–741, 743–799, 885. 590–599, 800–816, 820–838, 840–847, 893–895, 897–898, 937–961, 970–986, 988–999 ...... ISC SAN FRANCISCO CA 94013. 850–853, 855–857, 859–860, 863–865, 870–875, 877–884, 889–891, 900–908, 910–928, 930–936 967– ISC LOS ANGELES CA 900. 969. P&DC HONOLULU HI 967.

b. ISC Drop Shipment—Mixed forms are separated from items not presort mail are prohibited for ISAL country sacks. bearing customs forms. service. Bundle labels must contain the 1. Mixed country sacks can be 2. Container Tags. The mailer must following information: prepared only after all possible direct complete the front side of PS Tag 155, Line 1: Foreign Office of Exchange country sacks have been prepared. International Surface Air Lift, which Code. (See Exhibits 293.45a and Mailers must prepare mixed country identifies the mail to ensure it receives 293.45b.) sacks for items that contain 5 pounds or priority handling. On the front of the Line 2: Country Labeling Name. (See more and that are destined within the tag, the mailer must identify the date of Exhibits 293.45a and 293.45b.) same price group. Mail that ultimately mailing, the 10-digit permit number, Line 3: Mailer, Mailer Location (City cannot be made up into direct country and the price group as listed in Exhibits and State). sacks or mixed country sacks must be 293.45a and 293.45b followed by the Example: VIE, AUSTRIA, ABC COMPANY prepared and entered at the worldwide word ‘‘Mixed’’ (e.g., ‘‘15–Mixed’’). WASHINGTON DC. nonpresort price. The mailer must Finally, the mailer must attach PS Tag bundle letter-size and flat-size items as 155 to the neck of the sack. 293.49 Worldwide Nonpresort defined in 293.44. The mailer must Preparation 293.483 Direct Country Bundle Label bundle letter-size and flat-size items The following standards apply when separately, although nonidentical items Only letter-size and flat-size direct the mailer prepares worldwide may be commingled within each of country bundles prepared for mixed nonpresort ISAL mail (full-service price these categories. Face all letter-size country sacks require a label (facing and ISC drop shipment price): items and flat-size items in the same slip). The mailer must complete the a. General. A mailer claiming any direction and apply a label (facing slip) label and place it on the address side of mail at the direct country or mixed to the top item as defined in 293.483. the top item of each bundle in such a country price cannot enclose the mail in Place package-size items that cannot be manner that it will not become worldwide nonpresort sacks. The mailer bundled because of their physical separated from the bundle. The must bundle letter-size and flat-size characteristics loose in the sack pressure-sensitive labels and optional mail. All types of mail, including letter- provided that items bearing customs endorsement lines used domestically for size bundles, flat-size bundles, and

VerDate Mar<15>2010 14:54 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00020 Fmt 4700 Sfmt 4700 E:\FR\FM\21NOR1.SGM 21NOR1 tkelley on DSK3SPTVN1PROD with RULES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Rules and Regulations 69773

loose items, can be commingled in the 297 Customized Agreements 372.3 Fees same sack. Labels (facing slips) are not 297.1 Description required on any bundles. Containers [Revise 372.3 to read as follows:] other than sacks are not authorized [Revise 297.1 to read as follows:] See Exhibit 372.3 for the fees for Sure The Postal Service provides Global Money service. unless other equipment is specified by Expedited Package Services (GEPS) the acceptance office—for example, customized agreements to Priority Mail Exhibit 372.3 nonpresorted letter-size mail may be Express International, Priority Mail presented in trays if authorized by the International, and First-Class Package FEES FOR SURE MONEY SERVICE acceptance office. The maximum weight International Service customers of any container is 66 pounds. pursuant to the terms and conditions Transaction type Amount not Fee b. Worldwide Nonpresort Container stipulated between the Postal Service over and a particular customer. Label. A mailer who claims the ISC drop Sales ...... $750 $11.00 shipment price and enters the mail at an * * * * * $1,500 $16.50 authorized drop shipment location 3 Extra Services Refunds ...... $1,500 $26.00 under 293.532 is not required to prepare Change of container labels. A mailer who claims * * * * * Payee ...... $1,500 $12.00 the full-service price must complete 2- 370 International Money Transfer inch container labels (and insert them Services * * * * * into the applicable container label * * * * * Individual Country Listings holder) as follows (see Exhibit 293.483 for the list of U.S. Exchange Offices): 372 Sure Money (DineroSeguro) * * * * * Line 1: Appropriate U.S. Exchange * * * * * Mexico Office and Routing Code 372.2 Options and Restrictions * * * * * Line 2: Contents WKG The following restrictions apply to Priority Mail Express International Line 3: Mailer, Mailer Location Sure Money service: (220) Price Group 2 [Revise item a to read as follows:] Example: ISC MIAMI FL 33112, ISAL— a. The maximum purchase per day is [Revise the table to read as follows WKG, ABC COMPANY MIAMI FL. $1,500. (increasing the maximum weight limit to * * * * * * * * * * 70 pounds):]

Refer to Notice 123, Price List, for the applicable retail, Commercial Base, or Commercial Plus price.

Weight Limit: 70 lbs.

* * * * * Priority Mail International (230) Price Group 2 [Revise the table to read as follows (increasing the maximum weight limit to 70 pounds):]

Refer to Notice 123, Price List, for the applicable retail, Commercial Base, or Commercial Plus price.

Weight Limit: 70 lbs.

* * * * * ENVIRONMENTAL PROTECTION Implementation Plan (SIP) concerning We will publish an appropriate AGENCY the Permits for Specific Designated amendment to 39 CFR part 20 to reflect Facilities Program, also referred to as 40 CFR Parts 52 these changes. the FutureGen Program. EPA has [EPA–R06–OAR–2006–0593; FRL–9903–00– determined that the portions of these Stanley F. Mires, Region 6] SIP revisions specific to the FutureGen Attorney, Legal Policy & Legislative Advice. Program submitted on March 9, 2006 [FR Doc. 2013–27710 Filed 11–20–13; 8:45 am] Approval and Promulgation of and July 2, 2010, comply with the Clean BILLING CODE 7710–12–P Implementation Plans; Texas; Control Air Act and EPA regulations and are of Air Pollution by Permits for New consistent with EPA policies. This Construction or Modification; Permits action is being taken under section 110 for Specific Designated Facilities and parts C and D of the Act. AGENCY: Environmental Protection DATES: This direct final rule is effective Agency (EPA). on January 21, 2014 without further ACTION: Direct final rule. notice, unless EPA receives relevant adverse comment by December 23, SUMMARY: EPA is taking a direct final 2013. If EPA receives such comment, action to approve portions of two EPA will publish a timely withdrawal in revisions to the Texas State

VerDate Mar<15>2010 14:54 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00021 Fmt 4700 Sfmt 4700 E:\FR\FM\21NOR1.SGM 21NOR1 tkelley on DSK3SPTVN1PROD with RULES 69774 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Rules and Regulations

the Federal Register informing the publicly available only at the hard copy comments, we will publish a timely public that this rule will not take effect. location (e.g., copyrighted material), and withdrawal in the Federal Register ADDRESSES: Submit your comments, some may not be publicly available at informing the public that the rule will identified by Docket ID No. EPA–R06– either location (e.g., CBI). To inspect the not take effect. We will address all OAR–2006–0593, by one of the hard copy materials, please schedule an public comments in a subsequent final following methods: appointment with the person listed in rule based on the proposed rule. We (1) www.regulations.gov: Follow the the FOR FURTHER INFORMATION CONTACT will not institute a second comment on-line instructions for submitting paragraph below or Mr. Bill Deese at period on this action. Any parties comments. 214–665–7253. interested in commenting must do so (2) Email: Ms. Adina Wiley at FOR FURTHER INFORMATION CONTACT: If now. Please note that if we receive [email protected]. you have questions concerning today’s adverse comment on an amendment, (3) Mail or Delivery: Ms. Adina Wiley, direct final action, please contact Ms. paragraph, or section of this rule and if Air Permits Section (6PD–R), Adina Wiley (6PD–R), Air Permits that provision may be severed from the Environmental Protection Agency, 1445 Section, Environmental Protection remainder of the rule, we may adopt as Ross Avenue, Suite 1200, Dallas, Texas Agency, Region 6, 1445 Ross Avenue final those provisions of the rule that are 75202–2733. (6PD–R), Suite 1200, Dallas, Texas not the subject of an adverse comment. Instructions: Direct your comments to 75202–2733, telephone (214) 665–2115; II. What did Texas submit? Docket ID No. EPA–R06–OAR–2006– fax number (214) 665–6762; email FutureGen is a United States 0593. EPA’s policy is that all comments address [email protected]. Department of Energy (DOE) program received will be included in the public SUPPLEMENTARY INFORMATION: designed to promote the advancement docket without change and may be Throughout this document wherever and development of new technologies. made available online at http:// ‘‘we,’’ ‘‘us,’’ or ‘‘our’’ is used, we mean FutureGen refers to a combination of www.regulations.gov, including any the EPA. technologies for carbon sequestration, personal information provided, unless Table of Contents carbon dioxide enhanced oil recovery, the comment includes information electric generation, and hydrogen claimed to be Confidential Business I. What action is EPA taking? production. FutureGen is a technology Information (CBI) or other information II. What did Texas submit? III. EPA’s Evaluation demonstration project that is a the disclosure of which is restricted by IV. Final Action partnership between industry statute. Do not submit information V. Statutory and Executive Order Reviews participants and the DOE. through http://www.regulations.gov or I. What action is EPA taking? The 79th Texas Legislature passed email, if you believe that it is CBI or House Bill 2201 (HB 2201) in 2005, and otherwise protected from disclosure. EPA is taking a direct final action to concluded that the FutureGen The http://www.regulations.gov Web approve portions of two revisions to the technology demonstration project could site is an ‘‘anonymous access’’ system, Texas State Implementation Plan (SIP) result in major economic, social and which means that EPA will not know concerning the Permits for Specific environmental benefits for Texas. In your identity or contact information Designated Facilities Program, also order to help Texas compete for federal unless you provide it in the body of referred to as the FutureGen Program. funding associated with the FutureGen your comment. If you send an email EPA has determined that the portions of Project, the Texas Legislature passed HB comment directly to EPA without going these SIP revisions specific to the 2201 to provide for streamlined through http://www.regulations.gov, FutureGen Program submitted on March permitting by specifically exempting your email address will be 9, 2006 and July 2, 2010, comply with FutureGen projects from the contested automatically captured and included as the Clean Air Act and EPA regulations case hearing process. part of the comment that is placed in the and are consistent with EPA policies. public docket and made available on the This action is being taken under section March 9, 2006 SIP Submittal Internet. If you submit an electronic 110 and parts C and D of the Act. Pursuant to the directive of Texas HB comment, EPA recommends that you We are publishing this rule without 2201, on February 22, 2006, the TCEQ include your name and other contact prior proposal because we view this as adopted the new provisions to Chapter information in the body of your a noncontroversial amendment and 116 to establish streamlined permitting comment along with any disk or CD– anticipate no relevant adverse procedures and rules for the FutureGen ROM submitted. If EPA cannot read comments. As explained in this action Project. At the same time, the TCEQ also your comment due to technical and our accompanying technical adopted public participation provisions difficulties and cannot contact you for support documents (TSD), we are for the FutureGen Project to provide for clarification, EPA may not be able to finding this action noncontroversial the exemption from contested case consider your comment. Electronic files because the FutureGen permitting and hearing. These new provisions were should avoid the use of special public notice provisions can no longer submitted to EPA as a SIP revision on characters and any form of encryption be used in Texas, but we are proceeding March 9, 2006 by the Chairman of the and should be free of any defects or with a final action to fulfill our statutory TCEQ, Ms. Kathleen Hartnett White, as viruses. For additional information obligations under the CAA. However, in Rule Project No. 2005–053–091–PR. about EPA’s public docket, visit the EPA the proposed rules section of this Docket Center homepage at http:// Federal Register publication, we are July 2, 2010 SIP Submittal www.epa.gov/epahome/dockets.htm. publishing a separate document that The TCEQ subsequently adopted Docket: The index to the docket for will serve as the proposal to approve the revisions to the public notice provisions this action is available electronically at SIP revision if relevant adverse for the entirety of the Texas Air Permit www.regulations.gov and in hard copy comments are received. This rule will program on June 2, 2010. The Chairman at EPA Region 6, 1445 Ross Avenue, be effective on January 21, 2014 without of the TCEQ, Mr. Bryan W. Shaw, Ph.D., Suite 700, Dallas, Texas. While all further notice unless we receive relevant submitted these revised public documents in the docket are listed in adverse comment by December 23, participation rules as a revision to the the index, some information may be 2013. If we receive relevant adverse Texas SIP on July 2, 2010 as part of Rule

VerDate Mar<15>2010 14:54 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00022 Fmt 4700 Sfmt 4700 E:\FR\FM\21NOR1.SGM 21NOR1 tkelley on DSK3SPTVN1PROD with RULES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Rules and Regulations 69775

Project No. 2010–004–039–LS. On this 9, 2006 and July 2, 2010 are consistent SIP submission that complies with the date, the TCEQ also withdrew the with the requirements of the CAA and provisions of the Act and applicable previous public notice SIP submittals, EPA’s regulations, and protect the federal regulations. 42 U.S.C. 7410(k); including the FutureGen specific public integrity of the Texas SIP. 40 CFR 52.02(a). Thus, in reviewing SIP notice provisions submitted on March 9, Since the adoption of Texas HB 2201 submissions, EPA’s role is to approve 2006. Therefore, the public notice and the adoption and submittal of the state choices, provided that they meet provisions specific to the FutureGen associated Texas SIP provisions, the the criteria of the Clean Air Act. Program that remain before EPA for FutureGen Project has been awarded to Accordingly, this action merely action were submitted on July 2, 2010. the State of Illinois. Additionally, the approves state law as meeting Federal The July 2, 2010 SIP submittal DOE decided to stop funding the requirements and does not impose established the public participation FutureGen Project in 2008. On August 5, additional requirements beyond those provisions for the majority of the Texas 2010, the DOE introduced FutureGen imposed by state law. For that reason, air permitting programs, including 2.0; a reinvention of the original this action: applications for the FutureGen Program. FutureGen Project concept still planned • Is not a ‘‘significant regulatory On December 13, 2012, EPA proposed for Illinois. Therefore, the submitted action’’ subject to review by the Office approval of most of the public rules establishing the permitting and of Management and Budget under participation rules submitted on July 2, public notice rules for the FutureGen Executive Order 12866 (58 FR 51735, 2010. See 77 FR 74129. However, in that Project likely will not be used in Texas October 4, 1993); proposed approval we severed and took because the underlying FutureGen • does not impose an information no action on the portions of the public Project is not in existence in Texas. collection burden under the provisions notice provisions establishing EPA, however, has a statutory of the Paperwork Reduction Act (44 applicability and response to comment obligation to review and act upon SIP U.S.C. 3501 et seq.); provisions specific to FutureGen submittals pursuant to CAA 110(k). • is certified as not having a Program applications at 30 TAC Because the State of Texas submitted significant economic impact on a 39.402(a)(10), 39.419(e)(3) and the regulatory provisions for the substantial number of small entities 39.420(h). We deferred action on these FutureGen Project for approval into the under the Regulatory Flexibility Act (5 provisions until such time as we Texas SIP, and has not subsequently U.S.C. 601 et seq.); evaluated the underlying permit requested to withdraw the program from • does not contain any unfunded provisions for the FutureGen Program at our consideration, we are required to mandate or significantly or uniquely 30 TAC Chapter 116, Subchapter L. See take action even though the program is affect small governments, as described 77 FR 74129. EPA is addressing the July superfluous to the SIP. Our authority in the Unfunded Mandates Reform Act 2, 2010, submittal of 30 TAC under CAA 110(k)(4) does not provide of 1995 (Pub. L. 104–4); 39.402(a)(10), 39.419(e)(3) and 39.420(h) us the ability to disapprove a program • does not have federalism through today’s direct final action. solely because it is no longer needed. implications as specified in Executive Neither can we take steps to return the III. EPA’s Evaluation Order 13132 (64 FR 43255, August 10, superfluous provisions to the state 1999); We provide our evaluation for this absent a direct request. Therefore, EPA • is not an economically significant rulemaking in this section. Additional must proceed with this proposed action regulatory action based on health or information to support our evaluation is to satisfy our obligations under the safety risks subject to Executive Order available in the TSDs for this CAA. 13045 (62 FR 19885, April 23, 1997); rulemaking, which are available in the IV. Final Action • is not a significant regulatory action rulemaking docket. Under section 110 and parts C and D subject to Executive Order 13211 (66 FR Our evaluation shows that a 28355, May 22, 2001); FutureGen Project could be a PSD, of the Act, and for the reasons stated • above, EPA is taking direct final action is not subject to requirements of NNSR or minor NSR source; therefore, section 12(d) of the National we reviewed the program against the to approve revisions to the Texas SIP submitted on March 9, 2006 and July 2, Technology Transfer and Advancement federal permitting and public notice Act of 1995 (15 U.S.C. 272 note) because requirements and the existing SIP- 2010 for the Permits for Specific Designated Facilities Program, or the application of those requirements would approved provisions in Texas. The be inconsistent with the Clean Air Act; FutureGen permitting provisions require FutureGen Project, as consistent with the CAA and EPA’s policy and and an applicant to demonstrate compliance • does not provide EPA with the with all requirements for PSD and guidance. Specifically, EPA is approving the following new provisions discretionary authority to address, as NNSR permitting; which would require appropriate, disproportionate human the FutureGen applicant to also comply establishing the FutureGen permitting requirements as submitted on March 9, health or environmental effects, using with the public notice rules applicable practicable and legally permissible to PSD and NNSR permitting.1 2006: 30 TAC 116.1400, 116.1402, 116.1404, 116.1406, 116.1408, 116.1410, methods, under Executive Order 12898 Additionally, the FutureGen permitting (59 FR 7629, February 16, 1994). provisions require an applicant to 116.1414, 116.1416, 116.1418, 116.1420, In addition, this rule does not have demonstrate protection of public health 116.1422, 116.1424, 116.1426 and tribal implications as specified by and welfare by complying with the 116.1428. EPA is approving the new Executive Order 13175 (65 FR 67249, Texas Health and Safety Code and all provisions establishing the FutureGen- November 9, 2000), because the SIP is applicable rules and regulations of the specific public notice provisions at 30 not approved to apply in Indian country TCEQ. Accordingly, we find that the TAC 39.402(a)(10), 39.419(e)(3) and located in the state, and EPA notes that FutureGen Program permitting and 39.420(h) as submitted on July 2, 2010. it will not impose substantial direct public notice rules as submitted March V. Statutory and Executive Order costs on tribal governments or preempt Reviews tribal law. 1 EPA proposed approval of revised public notice rules for Texas air permitting on December 13, Under the Clean Air Act, the The Congressional Review Act, 5 2012. See 77 FR 74129. Administrator is required to approve a U.S.C. 801 et seq., as added by the Small

VerDate Mar<15>2010 14:54 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00023 Fmt 4700 Sfmt 4700 E:\FR\FM\21NOR1.SGM 21NOR1 tkelley on DSK3SPTVN1PROD with RULES 69776 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Rules and Regulations

Business Regulatory Enforcement and shall not postpone the effectiveness ■ a. Immediately following the entry for Fairness Act of 1996, generally provides of such rule or action. This action may Section 19.14, by adding a new centered that before a rule may take effect, the not be challenged later in proceedings to heading ‘‘Chapter 39—Public Notice’’ agency promulgating the rule must enforce its requirements. (See section followed by a new centered heading submit a rule report, which includes a 307(b)(2).) ‘‘Subchapter H—Applicability and copy of the rule, to each House of the List of Subjects in 40 CFR Part 52 General Provisions’’ followed by new Congress and to the Comptroller General entries for Sections 39.402, 39.419, and of the United States. EPA will submit a Environmental protection, Air 39.420; and report containing this action and other pollution control, Incorporation by ■ required information to the U.S. Senate, reference, Intergovernmental relations, b. Under Chapter 116 (Reg 6)—Control the U.S. House of Representatives, and Reporting and recordkeeping of Air Pollution by Permits for New the Comptroller General of the United requirements. Construction or Modification, immediately following the entry for States prior to publication of the rule in Dated: November 1, 2013. the Federal Register. A major rule Section 116.931, by adding a new cannot take effect until 60 days after it Ron Curry, centered heading for ‘‘Subchapter L— is published in the Federal Register. Regional Administrator, Region 6. Permits for Specific Designated This action is not a ‘‘major rule’’ as 40 CFR part 52 is amended as follows: Facilities’’ followed by new entries for defined by 5 U.S.C. 804(2). Sections 116.1400, 116.1402, 116.1404, Under section 307(b)(1) of the Clean PART 52—[AMENDED] 116.1406, 116.1408, 116.1410, 116.1414, Air Act, petitions for judicial review of 116.1416, 116.1418, 116.1420, 116.1422, this action must be filed in the United ■ 1. The authority citation for part 52 116.1424, 116.1426 and 116.1428. States Court of Appeals for the continues to read as follows: appropriate circuit by January 21, 2014. The additions read as follows: Authority: 42 U.S.C. 7401 et seq. Filing a petition for reconsideration by § 52.2270 Identification of plan. the Administrator of this final rule does Subpart SS—Texas not affect the finality of this action for * * * * * the purposed of judicial review nor does ■ 2. In section 52.2270(c) the table titled (c) * * * it extend the time within which a ‘‘EPA Approved Regulations in the petition for judicial review may be filed, Texas SIP’’ is amended as follows:

EPA-APPROVED REGULATIONS IN THE TEXAS SIP

State approval/ State citation Title/subject submittal EPA approval date Explanation date

*******

Chapter 39—Public Notice Subchapter H—Applicability and General Provisions

Section 39.402 ...... Applicability to Air Quality Permits and 6/2/2010 11/21/2013 [Insert FR page number SIP only includes Permit Amendments. where document begins]. 39.402(a)(10). Section 39.419 ...... Notice of Application and Preliminary 6/2/2010 11/21/2013 [Insert FR page number SIP only includes Determination. where document begins]. 39.419(e)(3). Section 39.420 ...... Transmittal of the Executive Director’s 6/2/2010 11/21/2013 [Insert FR page number SIP only includes Response to Comments and Deci- where document begins]. 39.420(h). sion.

*******

Chapter 116 (Reg 6)—Control of Air Pollution by Permits for New Construction or Modification

*******

Subchapter L—Permits for Specific Designated Facilities

Section 116.1400...... Purpose ...... 2/22/2006 11/21/2013 [Insert FR page number where document begins]. Section 116.1402...... Applicability ...... 2/22/2006 11/21/2013 [Insert FR page number where document begins]. Section 116.1404...... Permit Required...... 2/22/2006 11/21/2013 [Insert FR page number where document begins]. Section 116.1406...... Compliance History ...... 2/22/2006 11/21/2013 [Insert FR page number where document begins]. Section 116.1408...... Definitions ...... 2/22/2006 11/21/2013 [Insert FR page number where document begins]. Section 116.1410...... Emissions Profile for FutureGen 2/22/2006 11/21/2013 [Insert FR page number Projects. where document begins]. Section 116.1414...... Applications for Facilities that are 2/22/2006 11/21/2013 [Insert FR page number Components of a Designated Project. where document begins].

VerDate Mar<15>2010 14:54 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00024 Fmt 4700 Sfmt 4700 E:\FR\FM\21NOR1.SGM 21NOR1 tkelley on DSK3SPTVN1PROD with RULES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Rules and Regulations 69777

EPA-APPROVED REGULATIONS IN THE TEXAS SIP—Continued

State approval/ State citation Title/subject submittal EPA approval date Explanation date

Section 116.1416...... Public Notice...... 2/22/2006 11/21/2013 [Insert FR page number where document begins]. Section 116.1418...... Public Participation ...... 2/22/2006 11/21/2013 [Insert FR page number where document begins]. Section 116.1420...... Permit Fee ...... 2/22/2006 11/21/2013 [Insert FR page number where document begins]. Section 116.1422 ...... General and Special Conditions ...... 2/22/2006 11/21/2013 [Insert FR page number where document begins]. Section 116.1424...... Amendments and Alterations of Per- 2/22/2006 11/21/2013 [Insert FR page number mits Issued Under This Subchapter. where document begins]. Section 116.1426 ...... Renewal of Permits Issued Under This 2/22/2006 11/21/2013 [Insert FR page number Subchapter. where document begins]. Section 116.1428...... Delegation ...... 2/22/2006 11/21/2013 [Insert FR page number where document begins].

*******

[FR Doc. 2013–27991 Filed 11–20–13; 8:45 am] BILLING CODE 6560–50–P

VerDate Mar<15>2010 14:54 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00025 Fmt 4700 Sfmt 9990 E:\FR\FM\21NOR1.SGM 21NOR1 tkelley on DSK3SPTVN1PROD with RULES 69778

Proposed Rules Federal Register Vol. 78, No. 225

Thursday, November 21, 2013

This section of the FEDERAL REGISTER 2011–0005, using any one of the we have questions regarding your contains notices to the public of the proposed following methods: submission. issuance of rules and regulations. The • Federal e-Rulemaking Portal: To submit your comment online, go to purpose of these notices is to give interested http://www.regulations.gov. Follow the persons an opportunity to participate in the http://www.regulations.gov, click on the instructions for submitting comments. ‘‘submit a comment’’ box, which will rule making prior to the adoption of the final • Mail: Student and Exchange Visitor rules. then become highlighted in blue. In the Program, c/o Katherine Westerlund, ‘‘Document Type’’ drop down menu Policy Chief (Acting), U.S. Immigration select ‘‘Proposed Rule’’ and insert and Customs Enforcement, Department DEPARTMENT OF HOMELAND ‘‘ICEB–2011–0005’’ in the ‘‘Keyword’’ of Homeland Security, 500 12th Street SECURITY box. Click ‘‘Search’’ then click on the SW., Stop 5600, Washington, DC 20536– balloon shape in the ‘‘Actions’’ column. 5600. 8 CFR Part 214 If you submit your comments by mail or • Hand Delivery/Courier: Student and hand delivery, submit them in an [DHS Docket No. ICEB–2011–0005] Exchange Visitor Program, c/o Katherine unbound format, no larger than 81⁄2 by Westerlund, Policy Chief (Acting), 2450 RIN 1653–AA63 11 inches, suitable for copying and Crystal Drive, Century Tower 9th Floor; electronic filing. If you submit Adjustments to Limitations on Arlington, VA 22202, between 9 a.m. comments by mail and would like to Designated School Official Assignment and 5 p.m., Monday through Friday, know that they reached the mailing and Study by F–2 and M–2 except federal holidays. Contact address, please enclose a stamped, self- Nonimmigrants telephone number (703) 603–3400. addressed postcard or envelope. To avoid duplication, please use only AGENCY: U.S. Immigration and Customs one of these three methods. See the We will consider all comments and Enforcement, DHS. ‘‘Public Participation and Request for material received during the comment ACTION: Notice of proposed rulemaking. Comments’’ portion of the period and may change this proposed SUPPLEMENTARY INFORMATION section rule based on your comments. SUMMARY: The Department of Homeland below for instructions on submitting Security proposes to amend its B. Viewing Comments and Documents comments. regulations under the Student and To view comments, as well as FOR FURTHER INFORMATION CONTACT: If Exchange Visitor Program to improve documents mentioned in this preamble management of international student you have questions on this proposed rule, call or email Katherine as being available in the docket, go to programs and increase opportunities for http://www.regulations.gov, and click study by spouses and children of Westerlund, Policy Chief (Acting), Student and Exchange Visitor Program, on the ‘‘read comments’’ box, which nonimmigrant students. The proposed will then become highlighted in blue. In rule would grant school officials more telephone 703–603–3400, email: SEVP@ dhs.gov. the ‘‘Keyword’’ box insert ‘‘ICEB–2011– flexibility in determining the number of 0005’’, click ‘‘Search’’ and then click SUPPLEMENTARY INFORMATION: designated school officials to nominate ‘‘Open Docket Folder’’ in the ‘‘Actions’’ for the oversight of campuses. The rule I. Public Participation and Request for column. Individuals without internet also would provide greater incentive for Comments access can make alternate arrangements international students to study in the for viewing comments and documents United States by permitting We encourage you to participate in this rulemaking by submitting related to this rulemaking by contacting accompanying spouses and children of the Student and Exchange Visitor academic and vocational nonimmigrant comments and related materials. All comments received will be posted Program using the FOR FURTHER students with F–1 or M–1 nonimmigrant INFORMATION CONTACT information status to enroll in study at an SEVP- without change to http:// www.regulations.gov and will include above. Please be aware that anyone can certified school so long as any study search the electronic form of comments remains less than a full course of study. any personal information you have provided. received into any of our dockets by the F–2 and M–2 spouses and children name of the individual submitting the remain prohibited, however, from A. Submitting Comments comment (or signing the comment, if engaging in a full course of study unless If you submit a comment, please submitted on behalf of an association, they apply for, and DHS approves, a business, labor union, etc.). change of nonimmigrant status to a include the docket number for this nonimmigrant status authorizing such rulemaking (ICEB–2011–0005), indicate C. Public Meeting study. the specific section of this document to which each comment applies, and We do not now plan to hold a public DATES: Comments and related material provide a reason for each suggestion or meeting. But you may submit a request must either be submitted to our online recommendation. You may submit your for one to the docket using one of the docket via http://www.regulations.gov comments and material online or by methods specified under ADDRESSES. In on or before January 21, 2014 or reach mail or hand delivery, but please use your request, explain why you believe a the Mail or Hand Delivery/Courier only one of these means. We public meeting would be beneficial. If address listed below in ADDRESSES by recommend that you include your name we determine that one would aid this that date. and a mailing address, an email address, rulemaking, we will hold one at a time ADDRESSES: You may submit comments, or a phone number in the body of your and place announced by a later notice identified by DHS Docket No. ICEB– document so that we can contact you if in the Federal Register.

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00001 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69779

II. Abbreviations States in nonimmigrant status to attend J and/or M students within two years of CFR Code of Federal Regulations a vocational or other recognized enactment, and every two years DHS Department of Homeland Security nonacademic institution (M visa). Under thereafter. Accordingly, and as directed DOS Department of State section 101(a)(15)(J) of the INA, 8 U.S.C. by the Secretary, ICE carries out the DSO Designated school official 1101(a)(15)(J), a foreign citizen may be Department’s ongoing obligation to FR Federal Register admitted into the United States in collect data from, certify, review, and HSPD–2 Homeland Security Presidential Directive No. 2 nonimmigrant status as an exchange recertify schools enrolling F, J and/or M ICE U.S. Immigration and Customs visitor (J visa) in an exchange program students. The specific data collection Enforcement designated by the Department of State requirements associated with these INA Immigration and Nationality Act of (DOS). An F or M student may enroll in obligations are specified in part in 1952, as amended a particular school only if the Secretary legislation, see 8 U.S.C. 1372(c), and INS Legacy Immigration and Naturalization of Homeland Security has certified the more comprehensively in regulations Service school for the attendance of F and/or M governing SEVP found at 8 CFR 214.3. IIRIRA Illegal Immigration Reform and students. See 8 U.S.C. 1372; 8 CFR Immigrant Responsibility Act of 1996 214.3. B. Student and Exchange Visitor OMB Office of Management and Budget Information System PDSO Principal designated school official Section 641 of the Illegal Immigration SEVIS Student and Exchange Visitor Reform and Immigrant Responsibility ICE’s SEVP carries out its Information System Act of 1996 (IIRIRA), Public Law 104– programmatic responsibilities through SEVP Student and Exchange Visitor 208, Div. C, 110 Stat. 3009–546 SEVIS, a Web-based data entry, Program (codified at 8 U.S.C. 1372), authorized collection and reporting system. SEVIS § Section symbol the creation of a program to collect provides authorized users access to U.S.C. United States Code current and ongoing information reliable information on F, J and M USA PATRIOT Act Uniting and Strengthening America by Providing provided by schools and exchange nonimmigrants. DHS, DOS, and other Appropriate Tools Required to Intercept visitor programs regarding F, J or M government agencies, as well as SEVP- and Obstruct Terrorism Act of 2001 nonimmigrants during the course of certified schools and DOS-designated their stay in the United States, using exchange visitor programs, use SEVIS III. Background electronic reporting technology where data to monitor nonimmigrants for the A. The Student and Exchange Visitor practicable. Section 641 of IIRIRA duration of their authorized period of Program further authorized the Secretary of stay in the United States while in F, J, The Department of Homeland Homeland Security to certify schools to or M nonimmigrant status. ICE requires Security (DHS), U.S. Immigration and participate in F or M student certified schools and exchange visitor Customs Enforcement (ICE), operates enrollment. programs to regularly update The Uniting and Strengthening the Student and Exchange Visitor information on their approved F, J and America by Providing Appropriate Program (SEVP), which serves as the M nonimmigrants after the Tools Required to Intercept and central liaison between the U.S. nonimmigrants’ admission and during Obstruct Terrorism Act of 2001, Public educational community and U.S. their stay in the United States. Law 107–56, 115 Stat. 272 (USA SEVIS data are used to verify the Government organizations that have an PATRIOT Act), as amended, provides continued eligibility of individuals interest in information regarding for the collection of alien date of entry applying for F, J and M nonimmigrant students in F, J and M nonimmigrant and port of entry information for aliens status, to facilitate port of entry status. SEVP manages and oversees whose information is collected under 8 screening by U.S. Customs and Border significant elements of the process by U.S.C. 1372. Following the USA Protection, as well as to assist in the which educational institutions interact PATRIOT Act, the President issued processing of immigration benefit with F, J and M nonimmigrants to Homeland Security Presidential applications, monitoring of provide information about their Directive No. 2 (HSPD–2), requiring the nonimmigrant status maintenance and, immigration status to the U.S. Secretary of Homeland Security to as needed, facilitating timely removal. Government. ICE uses the Student and conduct periodic, ongoing reviews of As of October 1, 2012, SEVIS Exchange Visitor Information System schools certified to accept F, J and/or M contained active records for the (SEVIS) to track and monitor schools, nonimmigrants to include checks for 1,275,285 F and M student or J exchange participants and sponsors in exchange compliance with recordkeeping and visitors in the United States on that visitor programs, and F, J and M reporting requirements, and authorizing date. As April 1, 2012, SEVP-certified nonimmigrants, as well as their termination of institutions that fail to schools numbered 9,888, and DOS had accompanying spouses and children, comply. See 37 Weekly Comp. Pres. designated 1,426 sponsors for exchange while they are in the United States and Docs. 1570, 1571–72 (Oct. 29, 2001). visitor programs. participating in the United States Thereafter, section 502 of the educational system. Enhanced Border Security and Visa C. Importance of International Students ICE derives its authority to manage Entry Reform Act of 2002, Public Law to the United States these programs from several sources. 107–173, 116 Stat. 543 (codified at 8 On September 16, 2011, Secretary of Under section 101(a)(15)(F)(i) of the U.S.C. 1762), directed the Secretary to Homeland Security Janet Napolitano Immigration and Nationality Act of review the compliance with announced a ‘‘Study in the States’’ 1952, as amended (INA), 8 U.S.C. recordkeeping and reporting initiative to encourage the best and the 1101(a)(15)(F)(i), a foreign student may requirements under 8 U.S.C. 1372 and brightest international students to study be admitted to the United States in INA section 101(a)(15)(F), (J) and (M), 8 in the United States. The initiative nonimmigrant status to attend an U.S.C. 1101(a)(15)(F), (J) and (M), of all established the DHS Office of Academic academic school or language training schools 1 approved for attendance by F, Engagement to focus on enhancing program (F visa). Similarly, under section 101(a)(15)(M)(i) of the INA, 8 1 DHS oversees compliance of schools approved and Visa Entry Reform Act of 2002 assigns oversight U.S.C. 1101(a)(15)(M)(i), a foreign for attendance by J nonimmigrants; however, of exchange visitor sponsors to the Secretary of student may be admitted to the United section 502(b) of this the Enhanced Border Security State.

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00002 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS 69780 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

coordination between federal agencies certified school may have at each DSOs for SEVP approval based upon the dealing with U.S. student visa and campus at any one time, which includes specific needs of the school. This exchange visitor programs; expanding up to nine DSOs and one Principal proposed rule would not alter SEVP’s and enhancing public engagement with Designated School Official (PDSO). This current authority to approve or reject a the student, academic, and business limit was established by the former DSO or PDSO nomination. See communities; and improving current Immigration and Naturalization Service 214.3(l)(2). The proposed rule also programs for international students and (INS) in 2002 in order to control access would maintain SEVP’s authority to exchange visitors, as well as related to SEVIS. At the time, however, the INS withdraw a previous DSO or PDSO programs for international students who noted that once SEVIS was fully designation by a school of an have completed their course of study.2 operational, it might reconsider the individual. Id. In addition, SEVP would In cooperation with the DHS Office of numerical limits on the number of not permit DSO-level access to SEVIS Academic Engagement, ICE has DSOs. See 67 FR 76256, 76260. Since prior to SEVP approval of a DSO analyzed and identified problem areas SEVIS is now fully operational and nomination because that access would and considered possible solutions, and equipped to appropriately control undermine the nomination process and is now pursuing regulatory access to SEVIS, ICE seeks to revisit the open the SEVIS program to possible improvements to address some of the DSO limitation in this proposed misuse. The proposed rule codifies this issues identified through ongoing rulemaking. limitation. See proposed 8 CFR stakeholder engagement. To date, SEVP has certified nearly 214.3(l)(1)(iii). This rulemaking was initiated in 10,000 schools with approximately The proposed flexibility in support of Secretary Napolitano’s 30,500 DSOs. While the average SEVP- nominating DSOs will permit schools to initiative, and reflects the Department’s certified school has fewer than three better meet students’ needs as well as commitment to enhancing and DSOs, SEVP recognizes that F and M the Department’s reporting and other improving the Nation’s nonimmigrant students often cluster at schools within school certification requirements. student programs. The proposed rule states that attract a large percentage of will improve the capability of schools nonimmigrant student attendance B. Study by F–2 and M–2 Spouses and enrolling F and M students to assist within the United States. As such, Children their students in maintaining schools in the seven states with the This rulemaking also proposes to nonimmigrant status and to provide greatest F and M student enrollment amend the benefits allowable for the currently represent 55 percent of the necessary oversight on behalf of the U.S. accompanying spouse and children overall F and M nonimmigrant Government. The rule will increase the (hereafter referred to as F–2 or M–2 enrollment in the United States.3 This attractiveness of studying in the United nonimmigrants) of an F–1 or M–1 has raised concerns within the U.S. States for foreign students by student. Prior to January 1, 2003, there educational community that the current broadening study opportunities for their was no restriction on the classes or DSO limit of ten per campus is too spouses and improving quality of life for course of study that an F–2 or M–2 constraining, particularly in schools visiting families. spouse or child could undertake. where F and M students are heavily IV. Discussion of Proposed Rule concentrated or where campuses are in On May 16, 2002, the former INS dispersed geographic locations. The proposed to prohibit full time study by A. Removing the Limit on DSO F–2 and M–2 spouses and to restrict Nominations Homeland Security Academic Advisory Council (HSAAC)—an advisory such study by F–2 and M–2 children to Designated school officials (DSOs) are committee composed of prominent prevent an alien who should be essential to making nonimmigrant study university and academic association properly classified as an F–1 or M–1 in the United States attractive to presidents, which advises the Secretary nonimmigrant from coming to the international students and a successful and senior DHS leadership on academic United States as an F–2 or M–2 experience overall. DSOs are regularly and international student issues— nonimmigrant and, without adhering to employed members of a school included in its September 20, 2012 other legal requirements, attending administration who are located at the recommendations to DHS a school full time. 67 FR 34862, 34871. school and generally serve as the main recommendation to increase the number The INS proposed to permit avocational point of contact within the school for F of DSOs allowed per school or and recreational study for F–2 and M– and M students and their spouses and eliminating the current limit of 10 DSOs 2 spouses and children and, recognizing children. See 8 CFR 214.3(l)(1). per school. Upon review, SEVP has that education is one of the chief tasks Consistent with DHS’s authorities and concluded that, in many circumstances, of childhood, to permit F–2 and M–2 responsibilities discussed above, DHS the elimination of a DSO limit may children to be enrolled full time in charges DSOs with the responsibility of improve the capability of DSOs to meet elementary through secondary school acting as liaisons to nonimmigrant their liaison, reporting and oversight (kindergarten through twelfth grade). Id. students on behalf of the schools that responsibilities, as required by 8 CFR The INS believed it unreasonable to employ the DSOs and on behalf of the 214.3(g). assume that Congress would intend that U.S. Government. Significantly, DSOs Accordingly, DHS proposes to a bona fide nonimmigrant student could are responsible for making information eliminate the maximum limit of DSOs bring his or her children to the United and documents relating to F–1 and M– in favor of a more flexible approach. States but not be able to provide for 1 nonimmigrant students, including The proposed rule would not set a their primary and secondary education. academic transcripts, available to DHS maximum number of permissible DSOs, Id.; see also 67 FR 76256, 76266. The for the Department to fulfill its statutory but instead would allow school officials INS further proposed that if an F–2 or responsibilities. 8 CFR 214.3(g). to nominate an appropriate number of M–2 spouse wanted to enroll full time ICE regulations at 8 CFR in a full course of study, the F–2 or M– 214.3(l)(1)(iii) currently limit to ten (10) 3 See SEVP, Student and Exchange Visitor 2 spouse should apply for and obtain a Information System, General Summary Quarterly change of his or her nonimmigrant the maximum number of DSOs that each Review for the quarter ending Mar. 31, 2012 (Apr. 2, 2012), available at http://www.ice.gov/doclib/ classification to that of an F–1, J–1, or 2 See http://studyinthestates.dhs.gov. sevis/pdf/quarterly_rpt.pdf. M–1 nonimmigrant. Id.

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00003 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69781

The INS finalized these rules on 214.2(m)(9)(i)–(iv).5 As a point of 214.3(g)(1). In addition, to facilitate December 11, 2002. 67 FR 76256, clarification, although 8 CFR maintenance of F or M nonimmigrant codified at 8 CFR 214.2(f)(15)(ii) and 8 214.2(f)(6)(i)(B) and 8 CFR 214.2(m)(9)(i) status and processing of future CFR 214.2(m)(17)(ii). In the final rule, define full course of study at an applications for U.S. immigration the INS noted that commenters undergraduate college or university (F benefits, F and M nonimmigrants are suggested the INS remove the language nonimmigrants) or at a community encouraged to retain personal copies of ‘‘avocational or recreational’’ from the college or junior college (M the information supplied for admission, types of study that may be permitted by nonimmigrants) to include lesser course visas, passports, entry, and benefit- F–2 and M–2 dependents, as DSOs may loads if needed to complete a course of related documents indefinitely.6 have difficulty determining what study study during a current term, this Similarly, under this proposed rule, is avocational or recreational and what proposed rule would view such study as DHS recommends an F–2 or M–2 is not. In response to the comments, the authorized for F–2 or M–2 nonimmigrant should separately INS clarified that if a student engages in nonimmigrants. Over time, such maintain (i.e., obtain and retain) his or study to pursue a hobby or if the study enrollment in less than a full course of her academic records. Maintenance of is that of an occasional, casual, or study could lead to attainment of a these records is essential to verify recreational nature, such study may be degree, certificate or other credential. To whether or not the enrollment is a full considered as avocational or maintain valid F–2 or M–2 status, course of study and protects the F–2 or recreational. 67 FR at 76266. however, the F–2 or M–2 nonimmigrant M–2 nonimmigrant’s ability to prove DHS maintains the long-standing would not be permitted at any time to maintenance of status and eligibility to view that an F–2 or M–2 nonimmigrant enroll in a total number of credit hours apply for a change of status at a future who wishes to engage in a full course that would amount to a ‘‘full course of time, should that be desired, while not of study in the United States, other than study,’’ as defined by regulation. adding to the reporting responsibilities elementary or secondary school study In addition, the proposed change of DSOs. As F and M nonimmigrants (kindergarten through twelfth grade), would limit F–2 and M–2 study, other already are encouraged to keep a should apply for and obtain approval to than avocational or recreational study, number of immigration-related records, change his or her nonimmigrant to SEVP-certified schools. This the suggested additional maintenance of classification to F–1, J–1, or M–1. See 8 requirement would make it more likely academic records in an already existing CFR 214.2(f)(15)(ii). DHS recognizes, that the educational program pursued file of immigration records would however, that the United States is by the F–2 or M–2 nonimmigrant is a impose minimal marginal cost. engaged in a global competition to bona fide program and that studies at However, DHS requests comment on the attract the best and brightest the school are unlikely to raise national burden of storing this additional record. international students to study in our security concerns, in light of their This proposed rule would not extend F– schools. Access of F–2 or M–2 successful completion of the SEVP 2 or M–2 nonimmigrants’ access to any nonimmigrants (totaling approximately certification process. Under the other nonimmigrant benefits beyond proposed rule, the F–2 or M–2 83,932 individuals as of June 2012) to those specifically identified in nonimmigrants could still participate education while in the United States in regulations applicable to F–2 or M–2 full-time in avocational or recreational many instances would enhance the nonimmigrants. See 8 CFR 214.2(f)(15) study (i.e., hobbies and recreational quality of life for these visiting families. and 8 CFR 214.2(m)(17). studies). If an F–2 or M–2 nonimmigrant The existing limitations on study to F– wanted to enroll in a full course of V. Regulatory Analyses 2 or M–2 nonimmigrant education academic study, however, he or she potentially deter high quality F–1 and We developed this proposed rule after would need to apply for and obtain M–1 students from studying in the considering numerous statutes and approval to change his or her United States.4 executive orders related to rulemaking. nonimmigrant classification to F–1, J–1 Below we summarize our analyses Accordingly, DHS proposes to relax or M–1. Similarly, as noted, the based on 13 of these statutes or its prohibition on F–2 and M–2 proposed rule would not change executive orders. nonimmigrant study by permitting F–2 existing regulations allowing full-time and M–2 nonimmigrant spouses and study by children in elementary or A. Executive Orders 13563 and 12866: children to engage in study in the secondary school (kindergarten through Regulatory Planning and Review United States at SEVP-certified schools twelfth grade). Executive Orders 13563 and 12866 that does not amount to a full course of This proposed rule would not change direct agencies to assess the costs and study. Under the proposed rule, F–2 and the record keeping and reporting benefits of available regulatory M–2 nonimmigrants would be permitted responsibilities of DSOs with regard to alternatives and, if regulation is to enroll in less than a ‘‘full course of F–2 or M–2 nonimmigrants to DHS. necessary, to select regulatory study,’’ as defined at 8 CFR DSOs at the school the F–1 or M–1 approaches that maximize net benefits 214.2(f)(6)(i)(A) through (D) and 8 CFR student attends currently have reporting (including potential economic, 214.2(m)(9)(i)–(iv), at an SEVP-certified responsibility for maintaining F–2 or environmental, public health and safety school and in study described in 8 CFR M–2 nonimmigrant personal effects, distributive impacts, and 214.2(f)(6)(i)(A) through (D) and 8 CFR information in SEVIS. See 8 CFR 6 ICE encourages retention of these records in the 4 See Letter of April 13, 2011 from NAFSA: 5 As a general matter, a full course of study for Supporting Statement for SEVIS, OMB No. 1653– Association of International Educators to DHS an F–1 academic student in an undergraduate 0038, Question 7(d). Additionally, recordkeeping by General Counsel Ivan Fong, available in the federal program is 12 credit hours per academic term. F and M nonimmigrants is encouraged in existing rulemaking docket for this rulemaking at Similarly, a full course of study for an M–1 regulation, in particular for the Form I–20, www.regulations.gov, requesting that DHS eliminate vocational student consists of 12 credit hours per Certificate of Eligibility for Nonimmigrant Student the limitation on study by F–2 spouses to only academic term at a community college or junior (F–1 or M–1) Status. See 8 CFR 214.2(f)(2) and ‘‘avocational or recreational’’ study because the college. For other types of academic or vocational 214.2(m)(2). Moreover, nonimmigrant students may limitation ‘‘severely restricts the opportunities for study, the term ‘‘full course of study’’ is defined in wish to retain a copy of the Form I–901, Fee F–2 dependents, such as spouses of F–1 students, terms of ‘‘clock hours’’ per week depending on the Remittance for Certain F, J, and M Nonimmigrants, to make productive use of their time in the United specific program. See 8 CFR 214.2(f)(6)(i)(A)–(D) as proof of payment. See generally 8 CFR States.’’ and 8 CFR 214.2(m)(9)(i)–(iv). 214.13(g)(3).

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00004 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS 69782 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

equity). Executive Order 13563 DHS is unable to estimate with Statistics, we estimate an average emphasizes the importance of precision the number of additional annual turnover rate of approximately quantifying both costs and benefits, of DSOs schools may choose to add. While 36 percent.10 Based on our estimate of reducing costs, of harmonizing rules, some of the 88 SEVP-certified schools 264 additional DSOs as a result of this and of promoting flexibility. This rule is that currently employ the maximum rulemaking, we expect these schools a ‘‘significant regulatory action,’’ number of DSOs may not add any will designate 95 replacement DSOs although not an economically additional DSOs, others may add several annually (264 DSOs × 36% annual significant regulatory action, under additional DSOs. DHS’s best estimate is turnover) in order to maintain these 264 section 3(f) of Executive Order 12866. that these 88 SEVP-certified schools will additional DSOs. As current training Accordingly, the Office of Management on average designate three additional and documentation requirements are and Budget (OMB) has reviewed this DSOs, for a total of 264 additional estimated at seven hours per DSO, these regulation. DSOs. DHS estimates that current SEVP-certified schools would incur training and documentation total additional costs of $14,590 1. Summary requirements for a DSO to begin his or annually (7 hours × 95 replacement The proposed rule would eliminate her position equate to seven hours total DSOs × $21.94) after the initial year. On the limit on the number of DSOs a in the first year. DHS does not track a per school basis, DHS expects these school may have and establish wages paid to DSOs; however, according schools to incur an average of $165 eligibility for F–2 and M–2 to the U.S. Department of Labor, Bureau dollars of recurring costs related to nonimmigrants to engage in less than a of Labor Statistics, the average wage rate turnover after the initial year (7 hours × full course of study at SEVP-certified for the occupation ‘‘Office and 3 new DSOs per school × 36% annual schools. If a particular school does not Administrative Support Workers, All turnover × $21.94). wish to add additional DSOs, this rule Other’’ 7 is estimated to be $15.67 per This rule will address concerns would impose no additional costs on hour.8 DHS welcomes public comments within the U.S. education community that school. Based on feedback from the as to whether there is any additional that the current DSO limit of 10 is too SEVP-certified schools, however, DHS training beyond the already identified 7 constraining. For example, allowing believes up to 88 schools may choose to hours, that may be required as a result schools to request additional staff able take advantage of this flexibility and of this proposed rule, and also whether to handle DSO responsibilities will designate additional DSOs. These SEVP- the average wage rate used to calculate increase flexibility in school offices and certified schools would incur costs the costs for DSOs is reasonable. When enable them to better manage their related to current DHS DSO training and the costs for employee benefits such as programs. This flexibility is particularly documentation requirements. DHS paid leave and health insurance are important in schools where F and M estimates the total 10-year discounted included, the full cost to the employer nonimmigrants are heavily concentrated cost of allowing additional DSOs to be for an hour of DSO time is estimated at or where instructional sites are in approximately $127,000 at a seven $21.94.9 Therefore, the estimated dispersed geographic locations. It will percent discount rate and approximately burden hour cost as a result of also assist schools in coping with $150,000 at a three percent discount designating 264 additional DSOs is seasonal surges in data entry rate. Regarding the provision of the rule estimated at $40,545 in the first year (7 requirements (e.g., start of school year that would establish eligibility for less hours × 264 DSOs × $21.94). On a per reporting). than a full course of study by F–2 and school basis, DHS expects these SEVP- 3. F–2 and M–2 Nonimmigrants M–2 nonimmigrants, DHS is once again certified schools to incur an average of providing additional flexibilities. As $460 dollars in costs in the initial year As of June 2012, SEVIS records this rule would not require the F–2 or (7 hours × 3 new DSOs per school × indicate that there are 83,354 F–2 M–2 nonimmigrant to submit any new $21.94). DHS notes that there are no nonimmigrants in the United States, documentation or fees to SEVIS or the recurrent annual training requirements consisting of approximately 54 percent SEVP-certified school to comply with mandated by DHS for DSOs once they spouses and 46 percent children. any DHS requirements, DHS does not have been approved as a DSO. Though both spouses and children may believe there are any costs associated After the initial year, DHS expects the participate in study that is less than a with establishing eligibility for F–2 and SEVP-certified schools that designate full course of study at SEVP-certified M–2 nonimmigrants to engage in less additional DSOs to incur costs for schools under the proposed rule, DHS than full courses of study at SEVP- replacements, as these 264 new DSOs assumes that spouses are more likely to certified schools. experience normal turnover. Based on avail themselves of this opportunity information from the Bureau of Labor because most children are likely to be 2. Designated School Officials enrolled full-time in elementary or The only anticipated costs for SEVP- 7 The existing Paperwork Reduction Act control secondary education (kindergarten certified schools to increase the number number OMB No. 1653–0038 for SEVIS uses the through twelfth grade). Though there of DSOs above the current limit of ten occupation ‘‘Office and Administrative Support may be exceptions to this assumption, per school or campus derive from the Workers, All Other’’ as a proxy for DSO for example, a child in high school existing requirements for the training employment. taking a college course, the majority of 8 May 2010 Occupational Employment and Wage and reporting to DHS of additional Estimates, National Cross-Industry Estimates, ‘‘43– F–2 nonimmigrants benefitting from this DSOs. DHS anticipates the number of 9799 Office and Administrative Support Workers, provision are likely to be spouses. DHS schools that will avail themselves of this All Other*,’’ Hourly Mean ‘‘H-mean,’’ Retrieved only uses this assumption to assist in added flexibility will be relatively Mar. 12, 2012, from http://www.bls.gov/oes/oes_ estimating the number of F–2 dl.htm. nonimmigrants likely to benefit from the small. As of April 2012, there are 9,888 9 Employer Costs for Employee Compensation, SEVP-certified schools (18,733 Dec. 2010, Retrieved Mar. 12, 2012, from http:// proposed rule, which could be as high campuses), with approximately 30,500 www.bls.gov/news.release/archives/ecec_ total DSOs, and an average of 3.08 DSOs 03092011.pdf. Calculated by dividing total private 10 Job Openings and Labor Turnover—Jan. 2011, per school. However, there are only 88 employer compensation costs of 27.75 per hour by page 5, Retrieved Mar. 12, 2012 from http:// average private sector wage and salary costs of www.bls.gov/news.release/archives/jolts_ SEVP-certified schools that currently $19.64 per hour (yields a benefits multiplier of 03112011.pdf reported that for 2010, annual total employ the maximum number of DSOs. approximately 1.4 × wages). separations were 35.7 percent of employment.

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00005 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69783

as 45,011 (83,354 × 54%), if 100 percent requests comment on these assumptions would impose no additional costs on of F–2 spouses participate, but is likely and estimates. Under the same that school. DHS believes up to 88 to be lower as DHS does not expect that procedures governing F–2 schools may choose to take advantage of all F–2 spouses would take advantage of nonimmigrants, the M–2 nonimmigrants this flexibility and designate additional the opportunity. DHS requests comment would not be required to submit any DSOs. These SEVP-certified schools on these assumptions and estimates. new documentation or fees to SEVIS or would incur costs related to current DHS does not believe there are any the SEVP-certified school to comply DHS DSO training and documentation direct costs associated with establishing with any DHS requirements. requirements; DHS estimates the total eligibility for F–2 nonimmigrants to The rule would provide greater 10-year discounted cost to be engage in less than full courses of study incentive for international students to approximately $127,000 at a seven at SEVP-certified schools. The rule study in the United States by permitting percent discount rate and approximately would not require the F–2 accompanying spouses and children of $150,000 at a three percent discount nonimmigrant to submit any new academic and vocational nonimmigrant rate. DHS does not believe there are any documentation or fees to SEVIS or the students in F–1 or M–1 status to enroll costs associated with establishing SEVP-certified school to comply with in study at a SEVP-certified school if not eligibility for F–2 and M–2 any DHS requirements. a full course of study. DHS recognizes nonimmigrants to engage in less than As of June 2012, SEVIS records that the United States is engaged in a full courses of study at SEVP-certified indicate that there are 578 M–2 global competition to attract the best schools as this rule would not require nonimmigrants in the United States. and brightest international students to the F–2 or M–2 nonimmigrant to submit Pursuant to this rulemaking, these M–2 study in our schools. The ability of F– any new documentation or fees to spouses and children would be eligible 2 or M–2 nonimmigrants to have access SEVIS or the SEVP-certified school to to take advantage of the option to to education while in the United States comply with any DHS requirements. participate in study that is less than a is in many instances central to full course of study at SEVP-certified maintaining a satisfactory quality of life The table below summarizes the total schools. Approximately 39 percent of for these visiting families. costs and benefits of the proposed rule M–2 nonimmigrants are spouses and 61 to allow additional DSOs at schools and percent are children. Again, DHS 3. Conclusion permit accompanying spouses and assumes that spouses would comprise The proposed rule would eliminate children of nonimmigrant students of F– the majority of M–2 nonimmigrants to the limit on the number of DSOs a 1 or M–1 status to enroll in study at a benefit from this provision. This school may have and establish SEVP-certified school if not a full course number could be as high as 225 M–2 eligibility for F–2 and M–2 of study. We welcome public comments nonimmigrants (578 × 39%), but is nonimmigrants to engage in less than a that specifically address the nature and likely to be lower as DHS does not full course of study at SEVP-certified extent of any potential economic expect that all M–2 spouses would take schools. If a particular school does not impacts of the proposed amendments advantage of the opportunity. DHS wish to add additional DSOs, this rule that we may not have identified.

Total DSOs F–2 and M–2 nonimmigrants rulemaking

10-Year Cost, Discounted at 7% ...... $127,000 ...... $0 ...... $127,000 Monetized Benefits ...... N/A ...... N/A ...... N/A Non-monetized Benefits ...... Increased flexibility in school offices to Greater incentive for international stu- enable them to better manage their dents to study in the U.S. programs. Net Benefits ...... N/A ...... N/A ...... N/A

B. Small Entities the effect of this rule would be to benefit requirements due to start of school year Under the Regulatory Flexibility Act those schools by expanding their ability reporting. Accordingly, DHS certifies (5 U.S.C. 601–612), we have considered to nominate DSOs and to enroll F–2 and this rule will not have a significant whether this proposed rule would have M–2 nonimmigrants for less than a full economic impact on a substantial a significant economic impact on a course of study. number of small entities. substantial number of small entities. In the subsection above, DHS has DHS, however, welcomes comments The term ‘‘small entities’’ comprises discussed the costs and benefits of this on these conclusions. Members of the small businesses, not-for-profit rule. The purpose of this rule is to public should please submit a comment, organizations that are independently provide additional regulatory as described in this proposed rule under owned and operated and are not flexibilities, not impose costly mandates ‘‘Public Participation,’’ if they think that dominant in their fields, and on small entities. DHS again notes that their business, organization, or governmental jurisdictions with the decision by schools to avail governmental jurisdiction qualifies as a populations of less than 50,000. This themselves of additional DSOs or F–2 or small entity and that this proposed rule proposed rule would eliminate the limit M–2 nonimmigrants who wish to would have a significant economic on the number of DSOs a school may pursue less than a full course of study impact on it. It would be helpful if nominate and permits F–2 and M–2 is an entirely voluntary one and schools commenters provide DHS with as much nonimmigrants to engage in less than a will do so only if the benefits to them of the following information as possible. full course of study at SEVP-certified outweigh the potential costs. In Is the commenter’s school currently schools. Although some of the schools particular, removing the limit on the SEVP-certified? If not, does the school impacted by these proposed changes number of DSOs a school may designate plan to seek certification? Please may be considered as small entities as allows schools the flexibility to better describe the type and extent of the that term is defined in 5 U.S.C. 601(6), cope with seasonal surges in data entry direct impact on the commenter’s

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00006 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS 69784 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

school. Please describe any H. Civil Justice Reform M. Environment recommended alternative measures that This proposed rule meets applicable U.S. Department of Homeland would mitigate the impact on a small Security Management Directive (MD) school. standards in sections 3(a) and 3(b)(2) of Executive Order 12988, Civil Justice 023–01 establishes procedures that the C. Assistance for Small Entities Reform, to minimize litigation, Department and its components use to comply with the National Under section 213(a) of the Small eliminate ambiguity, and reduce burden. Environmental Policy Act of 1969 Business Regulatory Enforcement (NEPA), 42 U.S.C. 4321–4375, and the Fairness Act of 1996, Public Law 104– I. Protection of Children Council on Environmental Quality 121, we want to assist small entities in We have analyzed this proposed rule (CEQ) regulations for implementing understanding this proposed rule so that NEPA, 40 CFR Parts 1500–1508. CEQ they can better evaluate its effects on under Executive Order 13045, Protection of Children From regulations allow federal agencies to them and participate in the rulemaking. establish categories of actions that do If the proposed rule would affect your Environmental Health Risks and Safety Risks. This rule is not an economically not individually or cumulatively have a small business, organization, or significant effect on the human governmental jurisdiction and you have significant rule and would not create an environmental risk to health or risk to environment and, therefore, do not questions concerning its provisions or require an Environmental Assessment or options for compliance, please consult safety that might disproportionately affect children. Environmental Impact Statement. 40 the SEVP at the FOR FURTHER CFR 1508.4. The MD 023–01 lists the INFORMATION CONTACT information J. Indian Tribal Governments Categorical Exclusions that the above. The Department will not retaliate Department has found to have no such against small entities that question or This proposed rule does not have effect. MD 023–01 app. A tbl.1. complain about this rule or any policy tribal implications under Executive For an action to be categorically or action of the SEVP. Order 13175, Consultation and excluded, MD 023–01 requires the Coordination With Indian Tribal D. Collection of Information action to satisfy each of the following Governments, because it would not have three conditions: This information collection is covered a substantial direct effect on one or (1) The entire action clearly fits under the existing Paperwork Reduction more Indian tribes, on the relationship within one or more of the Categorical Act control number OMB No. 1653– between the Federal Government and Exclusions; 0038 for the Student and Exchange Indian tribes, or on the distribution of (2) The action is not a piece of a larger Visitor Information System (SEVIS). power and responsibilities between the action; and This proposed rule would call for no Federal Government and Indian tribes. (3) No extraordinary circumstances new collection of information under the K. Energy Effects exist that create the potential for a Paperwork Reduction Act of 1995 (44 significant environmental effect. MD U.S.C. 3501–3520). We have analyzed this proposed rule 023–01 app. A § 3.B(1)–(3). under Executive Order 13211, Actions E. Federalism Where it may be unclear whether the Concerning Regulations That action meets these conditions, MD 023– A rule has implications for federalism Significantly Affect Energy Supply, 01 requires the administrative record to under Executive Order 13132, Distribution, or Use. We have reflect consideration of these Federalism, if it has a substantial direct determined that it is not a ‘‘significant conditions. MD 023–01 app. A § 3.B. effect on State or local governments and energy action’’ under that order, because Here, the proposed rule would amend would either preempt State law or it is not a ‘‘significant regulatory action’’ 8 CFR parts 214.2 and 214.3 relating to impose a substantial direct cost of under Executive Order 12866 and is not the U.S. Immigration and Customs compliance on them. We have analyzed likely to have a significant adverse effect Enforcement Student and Exchange this proposed rule under that Order and on the supply, distribution, or use of Visitor Program. This proposed rule have determined that it does not have energy. would remove the regulatory cap of ten implications for federalism. L. Technical Standards designated school officials per campus F. Unfunded Mandates Reform Act participating in the SEVP and would The National Technology Transfer permit certain dependents to enroll in This rule will not result in the and Advancement Act (15 U.S.C. 272 less than a full course of study at SEVP- expenditure by state, local and tribal note) directs agencies to use voluntary certified schools. governments, in the aggregate, or by the consensus standards in their regulatory ICE has analyzed this proposed rule private sector of $100 million (adjusted activities unless the agency provides under MD 023–01. ICE has made a for inflation) or more in any one year, Congress, through OMB, with an preliminary determination that this and it will not significantly or uniquely explanation of why using these action is one of a category of actions that affect small governments. Therefore, no standards would be inconsistent with do not individually or cumulatively actions were deemed necessary under applicable law or otherwise impractical. have a significant effect on the human the provisions of the Unfunded Voluntary consensus standards are environment. This proposed rule clearly Mandates Reform Act of 1995. technical standards (e.g., specifications fits within the Categorical Exclusion of materials, performance, design, or found in MD 023–01, Appendix A, G. Taking of Private Property operation; test methods; sampling Table 1, number A3(d): ‘‘Promulgation This proposed rule would not cause a procedures; and related management of rules . . . that interpret or amend an taking of private property or otherwise systems practices) that are developed or existing regulation without changing its have taking implications under adopted by voluntary consensus environmental effect.’’ This proposed Executive Order 12630, Governmental standards bodies. This proposed rule rule is not part of a larger action. This Actions and Interference With does not use technical standards. proposed rule presents no extraordinary Constitutionally Protected Property Therefore, we did not consider the use circumstances creating the potential for Rights. of voluntary consensus standards. significant environmental effects.

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00007 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69785

Therefore, this proposed rule is to engage in employment pursuant to school (kindergarten through twelfth categorically excluded from further paragraphs (9) and (10) of this grade). NEPA review. subsection. (C) An M–2 spouse or child violates ICE seeks any comments or (2) Full Course of Study. Subject to his or her nonimmigrant status by information that may lead to the paragraph (f)(15)(ii)(B) and (18), an F–2 enrolling in any study except as discovery of any significant spouse and child may engage in a full provided in paragraph (m)(17)(ii)(A) or environmental effects from this course of study only by applying for and (B) of this section. proposed rule. obtaining a change of status to F–1, M– * * * * * List of Subjects in 8 CFR Part 214 1 or J–1 nonimmigrant status, as ■ 3. Revise section 214.3 paragraph appropriate, before beginning a full (l)(1)(iii) to read as follows: Administrative practice and course of study. However, an F–2 procedure, Aliens, Cultural exchange spouse and child may engage in study § 214.3 Approval of schools for enrollment programs, Employment, Foreign that is avocational or recreational in of F and M nonimmigrants. officials, Health professions, Reporting nature, up to and including on a full- (l) * * * and recordkeeping requirements, time basis. (1) * * * Students. (B) F–2 elementary or secondary (i) * * * For the reasons discussed in the study. An F–2 child may engage in full- (ii) * * * preamble, DHS proposes to amend time study, including any full course of (iii) School officials may nominate as Chapter I of Title 8 of the Code of study, in any elementary or secondary many DSOs in addition to PDSOs as Federal Regulations as follows: school (kindergarten through twelfth they determine necessary to adequately grade). provide recommendations to F and/or M PART 214 — NONIMMIGRANT (C) An F–2 spouse and child violates students enrolled at the school CLASSES his or her nonimmigrant status by regarding maintenance of nonimmigrant enrolling in any study except as status and to support timely and ■ 1. The authority citation for part 214 provided in paragraph (f)(15)(ii)(A)(2) or complete recordkeeping and reporting continues to read as follows: (B) of this section. to DHS, as required by this section. Authority: 8 U.S.C. 1101, 1102, 1103, * * * * * School officials must not permit a DSO 1182, 1184, 1186a, 1187, 1221, 1281, 1282, (m) * * * or PDSO nominee access to SEVIS until 1301–1305 and 1372; sec.643, Pub. L. 104– DHS approves the nomination. 208, 110 Stat. 3009–708; Pub. L. 106–386, (17) * * * 114 Stat. 1477–1480; section 141 of the (i) * * * * * * * * Compacts of Free Association with the (ii) Study. Rand Beers, Federated States of Micronesia and the (A) M–2 post-secondary/vocational Acting Secretary of Homeland Security. Republic of the Marshall Islands, and with study. the Government of Palau, 48 U.S.C. 1901 (1) Authorized Study at SEVP- [FR Doc. 2013–27898 Filed 11–20–13; 8:45 am] note, and 1931 note, respectively; 48 U.S.C. Certified Schools. An M–2 spouse or M– BILLING CODE 9111–28–P 1806; 8 CFR part 2. 2 child may enroll in less than a full ■ 2. In § 214.2 revise paragraph course of study, as defined in 8 CFR (f)(15)(ii) and paragraph (m)(17)(ii) to 214.2(f)(6)(i)(A)–(D) or 214.2(m)(9)(i)– DEPARTMENT OF TRANSPORTATION read as follows: (v), in any course of study described in Federal Aviation Administration § 214.2 Special requirements for 8 CFR 214.2(m)(9)(i)–(v) at an SEVP- admission, extension, and maintenance of certified school. Notwithstanding 8 CFR status. 214.2(f)(6)(i)(B) and 8 CFR 14 CFR Part 39 * * * * * 214.2(m)(9)(i), study at an [Docket No. FAA–2013–0997; Directorate (f) * * * undergraduate college or university or at Identifier 2013–CE–044–AD] (15) * * * a community college or junior college is RIN 2120–AA64 (i) * * * not a full course of study solely because (ii) Study. the M–2 nonimmigrant is engaging in a Airworthiness Directives; Slingsby (A) F–2 post-secondary/vocational lesser course load to complete a course Aviation Ltd. Airplanes study. of study during the current term. An M– (1) Authorized Study at SEVP- 2 spouse or M–2 child enrolled in less AGENCY: Federal Aviation Certified Schools. An F–2 spouse or F– than a full course of study is not eligible Administration (FAA), Department of 2 child may enroll in less than a full to engage in employment pursuant to Transportation (DOT). course of study, as defined in 8 CFR paragraph (14) of this subsection. ACTION: Notice of proposed rulemaking 214.2(f)(6)(i)(A)–(D) and 8 CFR (2) Full Course of Study. Subject to (NPRM). 214.2(m)(9)(i)–(iv), in any course of paragraph (m)(17)(ii)(B), an M–2 spouse study described in 8 CFR and child may engage in a full course of SUMMARY: We propose to adopt a new 214.2(f)(6)(i)(A)–(D) or 214.2(m)(9)(i)– study only by applying for and airworthiness directive (AD) for (iv) at an SEVP-certified school. obtaining a change of status to F–1, M– Slingsby Aviation Ltd. Model T67M260 Notwithstanding 8 CFR 214.2(f)(6)(i)(B) 1, or J–1 status, as appropriate, before airplanes. This proposed AD results and 8 CFR 214.2(m)(9)(i), study at an beginning a full course of study. from mandatory continuing undergraduate college or university or at However, an M–2 spouse and M–2 child airworthiness information (MCAI) a community college or junior college is may engage in study that is avocational originated by an aviation authority of not a full course of study solely because or recreational in nature, up to and another country to identify and correct the F–2 nonimmigrant is engaging in a including on a full-time basis. an unsafe condition on an aviation lesser course load to complete a course (B) M–2 elementary or secondary product. The MCAI describes the unsafe of study during the current term. An F– study. An M–2 child may engage in full- condition as cracked horizontal 2 spouse or F–2 child enrolled in less time study, including any full course of stabilizer attachment brackets, which than a full course of study is not eligible study, in any elementary or secondary could lead to separation of the

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00008 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS 69786 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

horizontal stabilizer and result in loss of ADDRESSES section. Include ‘‘Docket No. actions described in this service control. We are issuing this proposed FAA–2013–0997; Directorate Identifier information are intended to correct the AD to require actions to address the 2013–CE–044–AD’’ at the beginning of unsafe condition identified in the unsafe condition on these products. your comments. We specifically invite MCAI. comments on the overall regulatory, DATES: We must receive comments on FAA’s Determination and Requirements economic, environmental, and energy this proposed AD by January 6, 2014. of the Proposed AD ADDRESSES: You may send comments by aspects of this proposed AD. We will This product has been approved by any of the following methods: consider all comments received by the the aviation authority of another • Federal eRulemaking Portal: Go to closing date and may amend this country, and is approved for operation http://www.regulations.gov. Follow the proposed AD because of those in the United States. Pursuant to our instructions for submitting comments. comments. • Fax: (202) 493–2251. We will post all comments we bilateral agreement with this State of • Mail: U.S. Department of receive, without change, to http:// Design Authority, they have notified us Transportation, Docket Operations, M– regulations.gov, including any personal of the unsafe condition described in the 30, West Building Ground Floor, Room information you provide. We will also MCAI and service information W12–140, 1200 New Jersey Avenue SE., post a report summarizing each referenced above. We are proposing this Washington, DC 20590. substantive verbal contact we receive AD because we evaluated all • Hand Delivery: U.S. Department of about this proposed AD. information and determined the unsafe condition exists and is likely to exist or Transportation, Docket Operations, M– Discussion 30, West Building Ground Floor, Room develop on other products of the same W12–140, 1200 New Jersey Avenue SE., The European Aviation Safety Agency type design. Washington, DC 20590, between 9 a.m. (EASA), which is the Technical Agent Costs of Compliance and 5 p.m., Monday through Friday, for the Member States of the European We estimate that this proposed AD except Federal holidays. Community, has issued AD No. 2012– will affect 11 products of U.S. registry. For service information identified in 0169, dated August 31, 2012 (referred to We also estimate that it would take this proposed AD, contact Slingsby after this as ‘‘the MCAI’’), to correct an about 2 work-hours per product to Advanced Composites, Ings Lane, unsafe condition for the specified comply with the basic inspection of the Kirbymoorside, York, YO62 6EZ, United products. The MCAI states: aluminum horizontal stabilizer Kingdom, telephone: +44 (0) 1751 Several cases have been reported of attachment brackets requirement of this 432474; fax +44 (0) 1751 433016, cracked horizontal stabiliser attachment proposed AD. The average labor rate is Internet: www.marshall-slingsby.com. brackets on Slingsby T67 aeroplanes. $85 per work-hour. You may review this referenced service This condition, if not detected and corrected, could lead to separation of the Based on these figures, we estimate information at the FAA, Small Airplane the cost of the proposed AD on U.S. Directorate, 901 Locust, Kansas City, horizontal stabiliser and consequent loss of control of the aeroplane. operators to be $1,870, or $170 per Missouri 64106. For information on the Prompted by these reports, Slingsby issued product. availability of this material at the FAA, Service Bulletin (SB) 179 to provide In addition, we estimate that any call (816) 329–4148. instructions for repetitive inspections. The necessary follow-on actions would take Examining the AD Docket CAA UK, the State of Design authority at the about 8 work-hours and require parts time, issued AD 001–12–2002,which was costing $7,250 (for all four titanium You may examine the AD docket on later superseded by AD G–2005–0004 (EASA horizontal stabilizer attachment the Internet at http:// approval 2005–564) to require repetitive brackets), for a cost of $7,930 per www.regulations.gov by searching for inspections and, depending on findings, product, or parts costing $9,557 (for all and locating it in Docket No. FAA– replacement of the affected brackets. four aluminum horizontal stabilizer 2013–0997; or in person at the Docket Since that AD was issued, Slingsby published SB 179 issue 4, which removed the attachment brackets), for a cost of Management Facility between 9 a.m. Model T67M260–T3A from the Applicability $10,237. We have no way of and 5 p.m., Monday through Friday, (all aeroplanes of this Model are confirmed determining the number of products except Federal holidays. The AD docket to have been scrapped) and clarified that that may need these actions. contains this proposed AD, the replacement of the affected aluminum regulatory evaluation, any comments brackets with titanium brackets (Slingsby Authority for This Rulemaking received, and other information. The Modification M988A or B) constitutes Title 49 of the United States Code street address for the Docket Office terminating action for the repetitive inspections. specifies the FAA’s authority to issue (telephone (800) 647–5527) is in the rules on aviation safety. Subtitle I, ADDRESSES section. Comments will be For the reasons described above, this AD retains the requirements of CAA UK AD G– section 106, describes the authority of available in the AD docket shortly after 2005–0004, which is superseded, removes the FAA Administrator. ‘‘Subtitle VII: receipt. the Model T67M260–T3A from the Aviation Programs,’’ describes in more FOR FURTHER INFORMATION CONTACT: Applicability and confirms that installing detail the scope of the Agency’s Mike Kiesov, Aerospace Engineer, FAA, titanium brackets constitutes terminating authority. Small Airplane Directorate, 901 Locust, action for the repetitive inspection We are issuing this rulemaking under Room 301, Kansas City, Missouri 64106; requirements of this AD. the authority described in ‘‘Subtitle VII, telephone: (816) 329–4144; fax: (816) You may examine the MCAI on the Part A, Subpart III, section 44701: 329–4090; email: [email protected]. Internet at http://www.regulations.gov General requirements.’’ Under that SUPPLEMENTARY INFORMATION: by searching for and locating it in section, Congress charges the FAA with Docket No. FAA–2013–0997. promoting safe flight of civil aircraft in Comments Invited air commerce by prescribing regulations We invite you to send any written Relevant Service Information for practices, methods, and procedures relevant data, views, or arguments about Slingsby Advanced Composites Ltd. the Administrator finds necessary for this proposed AD. Send your comments has issued Service Bulletin No. 179, safety in air commerce. This regulation to an address listed under the Issue 4, dated March 15, 2007. The is within the scope of that authority

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00009 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69787

because it addresses an unsafe condition (e) Reason to assure the product is airworthy before it that is likely to exist or develop on This AD was prompted by mandatory is returned to service. products identified in this rulemaking continuing airworthiness information (MCAI) (3) Reporting Requirements: For any action. originated by an aviation authority of another reporting requirement in this AD, a federal country to identify and correct an unsafe agency may not conduct or sponsor, and a Regulatory Findings condition on an aviation product. The MCAI person is not required to respond to, nor shall a person be subject to a penalty for We determined that this proposed AD describes the unsafe condition as cracked horizontal stabilizer attachment brackets. We failure to comply with a collection of would not have federalism implications information subject to the requirements of under Executive Order 13132. This are issuing this AD to prevent separation of the horizontal stabilizer, which could result the Paperwork Reduction Act unless that proposed AD would not have a in loss of control. collection of information displays a current substantial direct effect on the States, on valid OMB Control Number. The OMB the relationship between the national (f) Actions and Compliance Control Number for this information Government and the States, or on the Unless already done, do the actions collection is 2120–0056. Public reporting for distribution of power and specified in paragraphs (f)(1) through (f)(4) of this collection of information is estimated to responsibilities among the various this AD: be approximately 5 minutes per response, levels of government. (1) Within the next 150 hours time-in- including the time for reviewing instructions, For the reasons discussed above, I service (TIS) after the effective date of this completing and reviewing the collection of AD or at the next annual inspection after the information. All responses to this collection certify this proposed regulation: effective date of this AD, whichever occurs of information are mandatory. Comments (1) Is not a ‘‘significant regulatory later, and repetitively thereafter at intervals concerning the accuracy of this burden and action’’ under Executive Order 12866, not to exceed 150 hours TIS, inspect the suggestions for reducing the burden should (2) Is not a ‘‘significant rule’’ under aluminum horizontal stabilizer attachment be directed to the FAA at: 800 Independence the DOT Regulatory Policies and brackets for cracks. Do the inspections Ave. SW., Washington, DC 20591, Attn: Procedures (44 FR 11034, February 26, following the ACTION instructions in Information Collection Clearance Officer, 1979), Slingsby Advanced Composites Ltd. Service AES–200. Bulletin S.B. No: 179, Issue 4, dated March (3) Will not affect intrastate aviation (h) Related Information in Alaska, and 15, 2007. (4) Will not have a significant (2) If, during any inspection required in Refer to European Aviation Safety Agency economic impact, positive or negative, paragraph (f)(1) of this AD, any cracks are (EASA) AD No. 2012–0169, dated August 31, found, before further flight, replace the 2012, for related information. You may on a substantial number of small entities cracked bracket with a serviceable part. Do examine the MCAI on the Internet at under the criteria of the Regulatory the replacement following the ACTION http://www.regulations.gov by searching for Flexibility Act. instructions in Slingsby Advanced and locating it in Docket No. FAA–2013– List of Subjects in 14 CFR Part 39 Composites Ltd. Service Bulletin S.B. No: 0997. For service information related to this 179, Issue 4, dated March 15, 2007. If a AD, contact Slingsby Advanced Composites, Air transportation, Aircraft, Aviation serviceable aluminum horizontal stabilizer Ings Lane, Kirbymoorside, York, YO62 6EZ, safety, Incorporation by reference, attachment bracket is used as a replacement United Kingdom, telephone: +44 (0) 1751 Safety. part, repetitively inspect as specified in 432474; fax +44 (0) 1751 433016, Internet: paragraph (f)(1) of this AD. www.marshall-slingsby.com. You may review The Proposed Amendment (3) To terminate the repetitive inspections this referenced service information at the Accordingly, under the authority required in paragraph (f)(1) of this AD, all FAA, Small Airplane Directorate, 901 Locust, delegated to me by the Administrator, four aluminum horizontal stabilizer Kansas City, Missouri 64106. For information the FAA proposes to amend 14 CFR part attachment brackets must be replaced with on the availability of this material at the titanium horizontal stabilizer attachment FAA, call (816) 329–4148. 39 as follows: brackets. Issued in Kansas City, Missouri, on PART 39—AIRWORTHINESS (4) After installing titanium horizontal November 15, 2013. stabilizer attachment brackets, installing DIRECTIVES aluminum horizontal stabilizer attachment Earl Lawrence, Manager, Small Airplane Directorate, Aircraft ■ brackets are prohibited. 1. The authority citation for part 39 Certification Service. (g) Other FAA AD Provisions continues to read as follows: [FR Doc. 2013–27919 Filed 11–20–13; 8:45 am] The following provisions also apply to this Authority: 49 U.S.C. 106(g), 40113, 44701. BILLING CODE 4910–13–P AD: § 39.13 [Amended] (1) Alternative Methods of Compliance (AMOCs): The Manager, Standards Office, ■ 2. The FAA amends § 39.13 by adding DEPARTMENT OF TRANSPORTATION the following new AD: FAA, has the authority to approve AMOCs for this AD, if requested using the procedures Slingsby Aviation Ltd.: Docket No. FAA– found in 14 CFR 39.19. Send information to Federal Aviation Administration 2013–0997; Directorate Identifier 2013– ATTN: Mike Kiesov, Aerospace Engineer, CE–044–AD. FAA, Small Airplane Directorate, 901 Locust, 14 CFR Part 71 (a) Comments Due Date Room 301, Kansas City, Missouri 64106; [Docket No. FAA–2013–0921; Airspace telephone: (816) 329–4144; fax: (816) 329– Docket No. 13–AAL–4] We must receive comments by January 6, 4090; email: [email protected]. Before 2014. using any approved AMOC on any airplane Proposed Modification of Class E (b) Affected ADs to which the AMOC applies, notify your Airspace; Sitka, AK None. appropriate principal inspector (PI) in the FAA Flight Standards District Office (FSDO), AGENCY: Federal Aviation (c) Applicability or lacking a PI, your local FSDO. Administration (FAA), Department of (2) Airworthy Product: For any requirement This AD applies to Slingsby Aviation Ltd. Transportation (DOT). Model T67M260 airplanes, all serial in this AD to obtain corrective actions from numbers, certificated in any category. a manufacturer or other source, use these ACTION: Notice of proposed rulemaking actions if they are FAA-approved. Corrective (NPRM). (d) Subject actions are considered FAA-approved if they Air Transport Association of America are approved by the State of Design Authority SUMMARY: This action proposes to (ATA) Code 55: Stabilizers. (or their delegated agent). You are required modify Class E airspace at Sitka, AK, to

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00010 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS 69788 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

accommodate aircraft departing and be available for examination in the for aircraft arriving and departing under arriving under Instrument Flight Rules public docket both before and after the IFR operations. This would enhance the (IFR) at Sitka Rocky Gutierrez Airport. closing date for comments. A report safety and management of aircraft The FAA is proposing this action to summarizing each substantive public operations at the airport. enhance the safety and management of contact with FAA personnel concerned Class E airspace designations are aircraft operations at the airport. with this rulemaking will be filed in the published in paragraphs 6002 and 6005, docket. DATES: Comments must be received on respectively, of FAA Order 7400.9X, or before January 6, 2014. Availability of NPRM’s dated August 7, 2013, and effective ADDRESSES: Send comments on this An electronic copy of this document September 15, 2013, which is proposal to the U.S. Department of may be downloaded through the incorporated by reference in 14 CFR Transportation, Docket Operations, M– Internet at http://www.regulations.gov. 71.1. The Class E airspace designation 30, West Building Ground Floor, Room Recently published rulemaking listed in this document will be W12–140, 1200 New Jersey Avenue SE., documents can also be accessed through published subsequently in this Order. Washington, DC 20590; telephone (202) the FAA’s Web page at http:// The FAA has determined this 366–9826. You must identify FAA www.faa.gov/airports_airtraffic/ proposed regulation only involves an Docket No. FAA–2013–0921; Airspace air_traffic/publications/ established body of technical Docket No. 13–AAL–4, at the beginning airspace_amendments/. of your comments. You may also submit regulations for which frequent and You may review the public docket routine amendments are necessary to comments through the Internet at containing the proposal, any comments http://www.regulations.gov. keep them operationally current. received, and any final disposition in Therefore, this proposed regulation; (1) FOR FURTHER INFORMATION CONTACT: person in the Dockets Office (see the Is not a ‘‘significant regulatory action’’ Richard Roberts, Federal Aviation ADDRESSES section for the address and under Executive Order 12866; (2) is not Administration, Operations Support phone number) between 9:00 a.m. and a ‘‘significant rule’’ under DOT Group, Western Service Center, 1601 5:00 p.m., Monday through Friday, Regulatory Policies and Procedures (44 Lind Avenue SW., Renton, WA 98057; except federal holidays. An informal FR 11034; February 26, 1979); and (3) telephone (425) 203–4517. docket may also be examined during does not warrant preparation of a SUPPLEMENTARY INFORMATION: normal business hours at the Northwest regulatory evaluation as the anticipated Mountain Regional Office of the Federal impact is so minimal. Since this is a Comments Invited Aviation Administration, Air Traffic routine matter that will only affect air Interested parties are invited to Organization, Western Service Center, traffic procedures and air navigation, it participate in this proposed rulemaking Operations Support Group, 1601 Lind is certified this proposed rule, when by submitting such written data, views, Avenue SW., Renton, WA 98057. or arguments, as they may desire. Persons interested in being placed on promulgated, would not have a Comments that provide the factual basis a mailing list for future NPRM’s should significant economic impact on a supporting the views and suggestions contact the FAA’s Office of Rulemaking, substantial number of small entities presented are particularly helpful in (202) 267–9677, for a copy of Advisory under the criteria of the Regulatory developing reasoned regulatory Circular No. 11–2A, Notice of Proposed Flexibility Act. decisions on the proposal. Comments Rulemaking Distribution System, which The FAA’s authority to issue rules are specifically invited on the overall describes the application procedure. regarding aviation safety is found in regulatory, aeronautical, economic, Title 49 of the U.S. Code. Subtitle 1, The Proposal environmental, and energy-related Section 106, describes the authority for aspects of the proposal. The FAA is proposing an amendment the FAA Administrator. Subtitle VII, Communications should identify both to Title 14 Code of Federal Regulations Aviation Programs, describes in more docket numbers (FAA Docket No. FAA– (14 CFR) Part 71 by modifying Class E detail the scope of the agency’s 2013–0921 and Airspace Docket No. 13– surface area airspace and Class E authority. This rulemaking is AAL–4) and be submitted in triplicate to airspace extending upward from 700 promulgated under the authority the Docket Management System (see feet above the surface at Sitka Rocky described in Subtitle VII, Part A, ADDRESSES section for address and Gutierrez, AK. After review of the Subpart I, Section 40103. Under that phone number). You may also submit airspace, the FAAs Western Terminal section, the FAA is charged with comments through the Internet at Products Office found modification of prescribing regulations to assign the use http://www.regulations.gov. the airspace necessary for the safety and of the airspace necessary to ensure the Commenters wishing the FAA to management of aircraft departing and safety of aircraft and the efficient use of acknowledge receipt of their comments arriving under IFR operations at the airspace. This proposed regulation is on this action must submit with those airport. The segment of Class E surface within the scope of that authority as it comments a self-addressed stamped area airspace southwest of the 4.1-mile would modify controlled airspace at postcard on which the following radius of the airport would be modified Sitka Rocky Gutierrez Airport, Sitka, statement is made: ‘‘Comments to FAA to 10 miles southwest of the airport. The AK. Docket No. FAA–2013–0921 and segment of Class E airspace extending Airspace Docket No. 13–AAL–4’’. The upward from 700 feet above the surface This proposal will be subject to an postcard will be date/time stamped and southwest of the 6.6-mile radius of the environmental analysis in accordance returned to the commenter. airport would be modified to 14 miles with FAA Order 1050.1E, All communications received on or southwest of the airport, and the ‘‘Environmental Impacts: Policies and before the specified closing date for segment northwest of the 6.6-mile Procedures’’ prior to any FAA final comments will be considered before radius of the airport would be modified regulatory action. taking action on the proposed rule. The to 29 miles northwest of the airport. The List of Subjects in 14 CFR Part 71 proposal contained in this action may segments of controlled airspace west be changed in light of comments and southwest of the airport would be Airspace, Incorporation by reference, received. All comments submitted will removed as they are no longer required Navigation (air).

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00011 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69789

The Proposed Amendment Issued in Seattle, Washington, on finalized, would apply prospectively to November 13, 2013. use of proceeds from both new taxes Accordingly, pursuant to the Clark Desing, and to existing taxes that do not qualify authority delegated to me, the Federal Manager, Operations Support Group, Western for grandfathering from revenue use Aviation Administration proposes to Service Center. requirements. amend 14 CFR part 71 as follows: [FR Doc. 2013–27858 Filed 11–20–13; 8:45 am] DATES: Comments must be received by PART 71—DESIGNATION OF CLASS A, BILLING CODE 4910–13–P January 21, 2014. Comments that are B, C, D AND E AIRSPACE AREAS; AIR received after that date will be TRAFFIC SERVICE ROUTES; AND considered only to the extent possible. DEPARTMENT OF TRANSPORTATION REPORTING POINTS ADDRESSES: To read background Federal Aviation Administration documents or comments received, go to ■ 1. The authority citation for 14 CFR http://www.regulations.gov at any time part 71 continues to read as follows: 14 CFR Chapter I or to Room W12–140 on the ground floor of the DOT West Building, 1200 Authority: 49 U.S.C. 106(g), 40103, 40113, [Docket No. FAA–2013–0988] 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– New Jersey Avenue SE., Washington, 1963 Comp., p. 389. Policy and Procedures Concerning the DC, between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays. § 71.1 [Amended] Use of Airport Revenue; Proceeds From Taxes on Aviation Fuel You may also send written comments ■ 2. The incorporation by reference in by any of the following methods. 14 CFR 71.1 of the Federal Aviation AGENCY: Federal Aviation • Federal eRulemaking Portal: Go to Administration Order 7400.9X, Airspace Administration (FAA), DOT. http://www.regulations.gov and follow Designations and Reporting Points, ACTION: Notice of Proposed Clarification the instructions for sending your dated August 7, 2013, and effective of Policy; Request for Comments. comments electronically. Docket September 15, 2013 is amended as Number: FAA 2013–0988. follows: SUMMARY: This action proposes to • Mail: Docket Management Facility, amend the Federal Aviation U.S. Department of Transportation, 1200 Paragraph 6002 Class E airspace Administration (‘‘FAA’’) Policy and New Jersey Avenue SE., West Building Designated as Surface Areas. Procedures Concerning the Use of Ground Floor, Room W12–140, * * * * * Airport Revenue published in the Washington, DC 20590–0001. Federal Register on February 16, 1999 • Hand Delivery: Deliver to mail AAL AK E2 Sitka, AK [Modified] (‘‘Revenue Use Policy’’) to clarify FAA’s address above between 9:00 a.m. and 5 Sitka Rocky Gutierrez Airport, AK policy on Federal requirements for the ° ′ ″ ° ′ ″ p.m. EST, Monday through Friday, (Lat. 57 02 50 N., long. 135 21 42 W.) use of proceeds from taxes on aviation except Federal holidays. Within a 4.1 mile radius of Sitka Rocky fuel. Under Federal law, airport • Fax: (202) 493–2251. Gutierrez Airport, and within 3.5 miles each ° operators that have accepted Federal Identify all transmissions with side of the airport 209 radial extending from assistance generally may use airport ‘‘Docket Number FAA 2013–0988’’ at the 4.1-mile radius to 10.5 miles southwest of the airport, and within 3 miles each side revenues only for airport-related the beginning of the document. of the airport 313° radial extending from the purposes. The revenue use requirements FOR FURTHER INFORMATION CONTACT: 4.1-mile radius to 11.1 miles northwest of the apply to certain state and local Randall S. Fiertz, Director, Office of airport. This Class E airspace is effective government taxes on aviation fuel as Airport Compliance and Management during the dates and times established in well as to revenues received directly by Analysis, Federal Aviation advance by a Notice to Airmen. The effective an airport operator. This notice Administration, 800 Independence date and time will thereafter be continuously publishes a proposed clarification of Avenue SW., Washington, DC 20591, published in the Airport/Facility Directory, FAA’s understanding of the Federal telephone (202) 267–3085; facsimile Alaska Supplement. requirements for use of revenues (202) 267–5257. Paragraph 6005 Class E airspace areas derived from taxes on aviation fuel. SUPPLEMENTARY INFORMATION: extending upward from 700 feet or more Briefly, an airport operator or state above the surface of the earth. government submitting an application Authority for the Proposed Policy * * * * * under the Airport Improvement Program Clarification AAL AK E5 Sitka, AK [Modified] must provide assurance that revenues This notice is published under the from state and local government taxes authority described in Subtitle VII, part Sitka Rocky Gutierrez Airport, AK on aviation fuel are used for certain (Lat. 57°02′50″ N., long. 135°21′42″ W.) B, chapter 471, section 47122, and the aviation-related purposes. These Federal Aviation Administration That airspace extending upward from 700 purposes include airport capital and feet above the surface within a 6.6-mile Authorization Act of 1994, section radius of Sitka Rocky Gutierrez Airport, and operating costs, and state aviation 112(a), Public Law 103–305, 49 U.S.C. within 4 miles each side of the airport 209° programs. In view of the interests of 47107(l)(1) (Aug. 23, 1994). sellers and consumers of aviation fuel, radial extending from the 6.6-mile radius to Background 14.5 miles south of the airport, and within 4 and of state and local government taxing miles east and 8 miles west of the airport authorities in limits on use of proceeds The Airport and Airway Improvement 313° radial extending from the 6.6-mile from taxes touching aviation fuel, this Act of 1982, now codified at 49 U.S.C. radius to 29 miles northwest of the airport; notice solicits public comment on the 47101 et seq. (AAIA), establishes the and that airspace extending upward from proposed policy clarification. This Airport Improvement Program (AIP) for 1,200 feet above the surface within a 40-mile notice also solicits comments about awarding Federal grants to airports in radius of lat. 56°51′34″ N., long. 135°33′05″ W.; and that airspace extending upward from whether there are other reasonable the United States. The AAIA requires 5,500 feet MSL within an 85-mile radius of interpretations regarding local taxes that that an airport sponsor accepting a grant lat. 56°51′34″ N., long. 135°33′05″ W.; are not enumerated here and should be under the AIP give assurances that any excluding that airspace that extends beyond considered by the FAA. Finally, this revenues received by the airport will be 12 miles from the coast. proposed policy clarification, if used for the capital and operating

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00012 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS 69790 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

expenses of the airport, the local airport owner or operator, provides that the or local taxes on aviation fuel in the system, or other local facilities owned or revenues, including local taxes on definition of airport revenue: operated by the airport owner or aviation fuel at public airports, from any 2. State or local taxes on aviation fuel operator and directly and substantially of the facilities of the owner or operator, (except taxes in effect on December 30, 1987) related to air transportation. The including the airport, be used to support are considered to be airport revenue subject purposes of the revenue use not only the airport but also the general to the revenue-use requirement. However, requirements are to prevent a ‘‘hidden debt obligations or other facilities of the revenues from state taxes on aviation fuel tax’’ on air transportation, and to ensure owner or operator. The statute does not may be used to support state aviation that Federal airport grants are used to prevent the use of a State tax on aviation programs or for noise mitigation purposes, on or off the airport. supplement funding for airport projects fuel to support a State aviation program and are not simply used to substitute or the use of airport revenue on or off On the subject of noise mitigation, funds diverted to support local non- the airport for a noise mitigation section 47133(c) states: ‘‘Rule of airport programs. purpose. construction.—Nothing in this section In the years following the 1982 However, the 1987 amendment itself may be construed to prevent the use of enactment of the AAIA, there were was open to interpretation on the a state tax on aviation fuel to support a several instances of new state taxes application of use requirements to state aviation program or the use of being imposed on the sale of aviation different taxes on aviation fuel. The airport revenue on or off the airport for fuel at AIP-funded airports. The conference report on the 1987 a noise mitigation purpose.’’ While the application of the AAIA revenue use amendment to the AAIA did not clearly statute does not expressly state that requirements to these new taxes was not resolve all of these issues. The report aviation fuel tax proceeds can be used 1 entirely clear. In response, Congress stated: for noise mitigation, those proceeds adopted an amendment to the AAIA in could be used for any purpose for which 1987 to bring state and local taxes on The assurance requiring that local taxes on an airport operator’s revenue could be aviation fuel must be spent on the airport is aviation fuel within the scope of the used, and that expressly includes noise airport revenue use requirements of the intended to apply to local fuel taxes only, and not to other taxes imposed by local mitigation. AAIA. The amendment also provided governments, or to state taxes. Similarly, this Aviation Fuel that revenues from a state fuel tax could provision is not intended to modify be used for state aviation programs, in subsequent provisions in the bill which As background, aviation fuel includes addition to the uses permitted for clarify that a state may commit the proceeds two general categories of fuel used in revenue received by the airport sponsor. from state aviation fuel taxes to state aviation aircraft: aviation gasoline, or ‘‘avgas,’’ Specifically, 49 U.S.C. 47107(b), as agencies and that an airport may apply used in reciprocating engines; and amended in 1987, requires that airport revenues for airport noise abatement kerosene jet fuel used in turbine recipients of airport grants under the on or off the airport. engines. The American Society for Airport Improvement Program provide (1987 U.S.C.C.A.N. vol. 5, pp. 2613– Testing and Materials (ASTM) has the FAA with written assurances on use 2614 (H.R. Rep. No. 100–123(II)); 2638– issued separate standards for aviation of revenue that local taxes on aviation 2639 (H.R. Rep. No. 100–484)) fuel: ASTM D910 and D6227 for avgas fuel (except taxes in effect on December In 1996, Congress enacted 49 U.S.C. and ASTM D1655–13 and D6615–11a 30, 1987) and the revenues generated by 47133 to extend substantially the of 49 for civil jet fuel. Both avgas and jet fuel a public airport will be expended for the U.S.C. 47107(b) identical requirements are high-quality petroleum products that capital or operating costs of the airport; for use of airport revenue and state and are refined, delivered, and stored the local airport system; or other local local taxes on aviation fuel to all separately from other fuels, such as facilities owned or operated by the airports that have been the subject of vehicle gasoline, which can be refined airport owner or operator and directly Federal assistance, regardless of to lower standards. Since aviation fuel and substantially related to the air whether the airport is currently subject and other fuels are distinct products, it transportation of passengers or property. to an FAA grant agreement. should not be difficult for state and This revenue use limitation does not local government to identify the tax apply if a provision enacted not later The conference report for the FAA Reauthorization Act of 1996, which revenues attributable solely to aviation than September 2, 1982, in a law fuels. controlling financing by the airport added section 47133, noted that owner or operator, or a covenant or ‘‘revenue diversion burdens interstate The Case for Clarification assurance in a debt obligation issued not commerce even if the airport is no The FAA believes that general later than September 2, 1982, by the longer receiving grants,’’ and that the clarification is needed of the Revenue new § 47133 would remove the Use Policy and agency interpretation of 1 Title 49 of the U.S.C., section 40116(e), permits ‘‘perverse incentive’’ for airports to Sections 47107(b) and 47133 for states and political subdivisions to levy or collect refuse AIP grants in order to avoid reference by all state and local taxing certain taxes, including property taxes, net income Federal policies on use of airport taxes, franchise taxes, and sales or use taxes on the authorities. sale of goods or services. Title 49 U.S.C. 40116(b), revenue. states and political subdivisions may not levy or The FAA Reauthorization Act of 1994, Prior FAA Opinions collect a tax on (1) an individual traveling in air Section 112(a), codified at section The FAA has issued five opinions on commerce; (2) the transportation of an individual traveling in air commerce; (3) the sale of air 47107(l) directed FAA to establish particular state or local aviation taxes on transportation; or (4) the gross receipts from that air policies and procedures to assure the aviation fuel since 1987: commerce or transportation. The FAA prompt and effective enforcement of In 1990, Senator Slade Gorton sought Authorization Act of 1994 Section 112(e), amended illegal diversion of airport revenue. clarification on whether the State of the Anti-Head Tax Act, 49 U.S.C. 40116(d)(2)(A) to prohibit State, political subdivision, or an authority Accordingly, to implement Sections Washington or a locality within the state acting for a State or political subdivision from 47107(b) and 47133, FAA has issued a could impose a sales tax on aviation fuel collecting a new tax, fee, or charge which is comprehensive Revenue Use Policy on and use the proceeds for a non-aviation imposed exclusively upon any business located at the use of revenues received by an purpose. FAA concluded that if the a commercial service airport or operating as a permittee of the airport, other than a tax, fee, or airport sponsor. The Revenue Use State and its localities imposed a direct charge utilized for airport or aeronautical purposes. Policy, at Section II.b.2., includes state tax on aviation fuel and used it for non-

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00013 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69791

aviation purposes, it would be contrary proposed sales tax upon aircraft fuel statute. The agency is also aware that to revenue use restrictions under 49 would violate 49 U.S.C. 40116, 49 any interpretation of this statute will U.S.C. 47107. The FAA advised that a U.S.C. 47107, or other Federal statutes, have substantial practical consequences local tax on aviation fuel after December rules, or regulations. The FAA advised both for state and local government 1987 can only be expended for the that if the State Legislature imposed a agencies and for industry consumers of capital and operating costs of the sales tax on aviation fuel sold on an aviation fuel. airport. The FAA further advised that airport, the use of the proceeds from the Any question of statutory the state tax on aviation fuel could only tax to support non-aviation activities interpretation begins with looking at the be spent on the local airport system or would be inconsistent with Federal law. plain language of the statute to discover a state aviation program or noise Monies from such a tax would have to its original intent. To discover a mitigation measures on or off the be spent to support either (1) the capital statute’s original intent, courts first look airport. The opinion explained that or operating costs of the airport, the to the words of the statute and apply Congress, by expressly permitting local airport system, or other local their usual and ordinary meanings. specific uses of aviation fuel tax facilities owned or operated by the ‘‘[T]he meaning of a statute must, in the revenue, necessarily excluded other airport owner or operator and directly first instance, be sought in the language non-airport related uses. and substantially related to the air in which the act is framed, and if that In 1992, Senator Christopher Bond transportation of passengers or property; is plain . . . the sole function of the sought clarification on the limitations or (2) a state aviation program. The FAA courts is to enforce it according to its on the imposition of a use tax on advised that the enactment of the terms.’’ Caminetti v. U.S., 242 U.S. 470, aviation fuel. The FAA response legislation to permit general use of the 485 (1917). If the meaning is clear, the acknowledged that states are permitted proceeds from the aviation fuel tax agency must ‘‘give effect to the to impose a use tax on aviation fuel, but could jeopardize continued Federal unambiguously expressed intent of that the AAIA limits the use that a state funding of airport and noise abatement Congress.’’ Barnhart v. Walton, 535 U.S. may prescribe for taxes collected at projects at Federally-assisted airports 212, 217–218 (U.S. 2002), citing Federally-funded airports. The FAA throughout the State of Nebraska. Chevron v. Natural Resources Defense concluded that the collection of the In 2010, a state senator from Hawaii Council, Inc., 467 U.S. 837, 842–843 proposed tax at Federally-funded wrote to the General Counsel of the (1984). This principle is called ‘the airports in the state would be in conflict United States Department of plain meaning rule.’ The rule ‘‘generally with Federal grant assurance Transportation and FAA Chief Counsel means when the language of the statute requirements, because the state’s tax requesting a legal opinion concerning a is clear and not unreasonable or illogical statute provided for unlimited use of tax proposed broad state tax on petroleum in its operation, the court may not go proceeds. The tax at issue in Missouri products that would have applied to outside the statute to give it a different was a general sales tax, not a specific tax aviation fuel as well as to other fuels. meaning.’’ 2A Sutherland Statutory on aviation fuel. The Hawaii Attorney General took the Construction section 46:1 (7th ed.) (Nov. In 2000, the Tennessee Legislature position that because the tax law did not 2012). considered diverting funds designated use the term ‘‘aviation fuel’’ and was not If after looking at the language of the for the Tennessee Transportation Equity limited to aviation fuel, the statute the meaning of the statute Fund (Equity Fund) or allocating funds requirements of Sections 47107(b) and remains unclear (e.g., the statute is already in the Equity Fund to the state 47133 would not apply. The FAA, silent or ambiguous), courts attempt to general fund. The proceeds in the responding for both FAA and DOT ascertain the intent of the legislature by Equity Fund came from a 4 1/2% tax on General Counsel, disagreed, and looking at legislative history. 3A the sale of aviation fuel on Federally concluded that the proposed tax would Sutherland Statutory Construction obligated airports. The FAA advised be invalid under Federal law unless the section 66:3 (7th ed.) (Nov. 2012). that such action would be contrary to proceeds from the sale of aviation fuel ‘‘Where, as here, resolution of a Federal law. In addition, FAA explained were used consistently with the revenue question of Federal law turns on a that the State of Tennessee could not use statutes, or unless aviation fuel was statute and the intention of Congress, rely on the fact that its 1986 state expressly exempted from the tax. we look first to the statutory language aviation fuel tax was grandfathered to and then to the legislative history if the enact new measures to divert, directly Interpretation of Sections 47107(b) and statutory language is unclear.’’ Blum v. or indirectly, revenue previously 47133 Stenson, 465 U.S. 886, 896–897 (1984). allocated to aviation use. The FAA In each of FAA’s five opinions since When a Federal agency interprets a further advised that passage of the 1987, the agency interpreted the statute, the primary focus is to legislation to permit general use of the provisions of Sections 47107(b) and determine the intent of Congress. Where proceeds from the aviation fuel tax 47133 to apply to any state or local tax different interpretations are possible, a would place in jeopardy continued on aviation fuel, whether the tax was court must look to reasons for the Federal funding of airport and noise specifically targeted at aviation fuel or enactment of the statute and the abatement projects at Federally-assisted was a general sales tax on products that purposes to be gained by it and construe airports throughout the State of included aviation fuel without the statute in the manner which is Tennessee. exemption. Also, FAA interpreted these consistent with the law’s purpose. Dole In 2009, the State of Nebraska had a statutes to make no distinction between v. United Steelworkers of America, 494 statewide general sales tax upon retail taxes imposed by a local government or U.S. 26, 35 (1990). Where a statute ‘‘is sales of products and services, but at state government agency. The FAA silent or ambiguous with respect to the some point had exempted the sale of continues to see this interpretation as specific issue,’’ an agency’s aircraft fuel from the sales tax. The the most reasonable construction of interpretation must be sustained if it is Nebraska Legislature considered these statutes, in view of the letter and ‘‘based on a permissible construction’’ repealing that exemption and proposed intent of the statutes. At the same time, of the Act. Chevron, 476 U.S. at 843. to make the aircraft fuel tax proceeds the agency also understands that there The U.S. Supreme Court has ‘‘long payable to the state general fund. An can be alternate views of the recognized that considerable weight opinion was sought on whether the interpretation of a facially ambiguous should be accorded to an executive

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00014 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS 69792 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

department’s construction of a statutory for accomplishing the purposes of the would not make any change in the scheme it is entrusted to administer . . . Federal airport revenue use meaning or construction of the statute. .’’ Chevron at 844. ‘‘[T]he well-reasoned requirements, i.e., the prohibition on See Public Law 103–272, section 1 (July views of the agencies implementing a airport revenue diversion and avoidance 5, 1994). In our view, ‘‘any’’ connotes statute ‘constitute a body of experience of hidden taxes on aviation. Under the broad applicability and without and informed judgment to which courts statutory framework, state governments restriction. and litigants may properly resort for are allowed slightly broader use of • Legislation enacted in 1994 and guidance.’ ’’ Bragdon v. Abbott, 524 U.S. proceeds from aviation fuel taxes—i.e., 1996 adopted increasingly stringent 624, 642 (1998), citing Skidmore v. Swift support of state aviation programs—but requirements for use of airport revenue & Co., 323 U.S. 134, 139–140 (1944). otherwise all state and local government and added sanctions for violations of While the plain language of these taxes on aviation fuel are treated revenue use requirements, including statutes is not precise and could be identically. civil penalty authority for violations of subject to alternate interpretations, FAA • Requiring aviation use of local 47107(b) and 47133. This indicates believes that there are compelling government proceeds but not state congressional support for the most reasons for the agency’s past reading of proceeds from taxes on aviation fuel effective administration of the revenue the statutes. Alternate interpretations, would substantially undermine the use requirements, and argues against an while possible, tend to be inconsistent purpose and effect of Sections 47107(b) interpretation that effectively leaves with the basic purposes of the and 47133, and would be inconsistent aviation fuel tax proceeds subject to legislation, including the need to avoid with the congressional intent behind the potentially unlimited state taxation. ‘‘hidden taxation,’’ and may not 1987 amendment regarding taxation of The FAA seeks comments on whether adequately account for language in aviation fuel. there are other reasonable • legislative history indicating intent for a The AAIA uses the term ‘‘political interpretations of the phrase ‘‘taxes on broader reach of the revenue use subdivisions of the state’’ elsewhere in aviation fuel’’ that are not enumerated requirements. the statute where the intent is to refer here and should be considered by the to local government. FAA. Statutory construction, however, is a Other taxes. The conference report on holistic endeavor. A provision that may seem The FAA seeks comment on whether ambiguous in isolation is often clarified by there are other reasonable the 1987 amendment to the AAIA states the remainder of the statutory scheme interpretations regarding local taxes that that: because the same terminology is used are not enumerated here and should be The assurance requiring that local elsewhere in a context that makes its considered by the FAA. taxes on aviation fuel must be spent on meaning clear . . . or because only one of the Taxes on aviation fuel. Given the the airport is intended to apply to local permissible meanings produces a substantive basic purpose of the revenue use fuel taxes only, and not to other taxes effect that is compatible with the rest of the statutes, the term ‘‘taxes on aviation imposed by local governments, or to law. United Savings Association of Texas v. fuel’’ cannot reasonably be construed to state taxes. (1987 U.S.C.C.A.N. vol. 5, Timbers of Inwood Forest Associates, Ltd., mean only taxes specifically on aviation pp. 2613–2614 (H.R. Rep. No. 100– 484 U.S. 365, 371 (1988). fuel, and not to include taxes on 123(II)); 2638–2639 (H.R. Rep. No. 100– Courts harmonize the various parts of petroleum products generally or general 484)) a statute if possible, reconciling them in sales taxes on all goods that touch on While this could be read out of the manner that best carries out the aviation fuel. It seems to us that the context to appear to exempt all state overriding purpose of the legislation. 3B most reasonable test is whether payment taxes, including taxes on aviation fuel, Sutherland Statutory Construction of the tax is required for sale of aviation from the statute, the report states in the section 75:2 (7th ed.) (Nov. 2012). fuel, not what the tax is called or next sentence that: Reasons for FAA’s interpretation of whether other products are also subject * * * a state may commit the proceeds Sections 47107(b) and 47133, and for to the tax. For a number of reasons, FAA from state aviation fuel taxes to state aviation the clarification of policy on use of has to date interpreted sections 47107(b) agencies * * * (H.R. Rep. No. 100–4844, p. aviation fuel tax proceeds proposed in and 47133 to apply to all taxes that 2638–2639) this Notice, include: touch the sale of aviation fuel, Because this second sentence Local taxes. The term ‘‘local taxes’’ is regardless of whether the taxes are expressly refers to a permitted but still reasonably interpreted to include both specific or general. These reasons limited use of state aviation fuel tax local government and state government include: revenues, it is clear that Congress taxes. ‘‘Local’’ refers to the geographic • Limiting the application of sections intended for the statute to apply to such locale where the tax is collected, not to 47107(b) and 47133 only to taxes revenues. In our view, the reasonable local government. This interpretation is specifically imposed solely on aviation reading of both provisions together is to supported both by the statutory fuel would substantially defeat the take the term ‘‘other taxes imposed by language and by legislative intent (see legislative purpose of these statutes. If local governments, or to state taxes’’ to 1987 U.S.C.C.A.N. vol. 5, pp. 2613–2614 revenues from taxes on aviation fuel mean taxes collected from sale of (H.R. Rep. No. 100–123(II)); 2638–2639 could be used for any purpose simply products other than aviation fuel. In (H.R. Rep. No. 100–484)): because the tax also applied to other other words, simply because a general • The provisions permitting certain products, then state and local tax collects revenues from sales of both uses of a ‘‘state tax’’ in sections governments could easily structure aviation fuel and other products, the 47107(b)(3) and 47133(c) would be taxes to circumvent the effect of sections total revenues from the tax are not unnecessary and meaningless unless 47107(b) and 47133. considered airport revenue. Only the tax state taxes were included in the • The amendment as originally collections from the sale of aviation fuel requirements of sections 47107(b)(1) adopted by Congress in 1987 referred to are subject to the statutory revenue use and (2) and 47133(a), which refer only ‘‘any local taxes on aviation fuel.’’ The requirements. ‘‘Other taxes’’ means tax to ‘‘local’’ taxes. word ‘‘any’’ was removed in the 1994 revenues collected from sale of products • There is no apparent rationale for recodification of the AAIA, but Congress other than aviation fuel. distinguishing between local made clear in adopting the Grandfathered taxes. Sections government and state government taxes recodification that changes in wording 47107(b) and 47133 both contain a

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00015 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69793

‘‘grandfather’’ exception for taxes in 47107(b). Congress has provided two 2. Airport sponsors that are subject to an effect on December 30, 1987. By itself means for Federal enforcement of the AIP grant agreement have agreed, as a the term ‘‘in effect’’ could mean enacted terms of section 47133: Civil penalty condition of receiving a grant, that the but not imposed, or enacted and authority in 49 U.S.C. 46301(a), and proceeds from a state or local government tax on aviation fuel will be used only for the actually being collected. The conference application to U.S. district court for purposes listed in paragraph 1. This report to the Federal Aviation judicial enforcement pursuant to 49 commitment is not limited to taxes on Reauthorization Act of 1996 clarifies U.S.C. 47111(f). aviation fuel imposed by the airport operator, congressional intent toward the scope of Prospective application. In and includes taxes on aviation fuel imposed this exception: determining that a clarification of by state government and other local jurisdictions. The conferees want to clarify that if a local agency policy on use of aviation fuel tax fuel tax was enacted or adopted before proceeds is warranted, FAA is mindful 3. The Federal limits on use of aviation December 30, 1987, but for which collections that entities affected by this policy may fuel tax proceeds apply at an airport that is were not made until some significant period not have fully understood the scope of the subject of Federal assistance (as defined of time after December 30, 1987, it shall not Federal requirements in the past. in Section II.b.2 of this Policy), whether or not the airport is currently subject to the be grandfathered pursuant to this section and Accordingly, it is FAA’s intention to all proceeds of such a tax must be used for terms of an AIP grant agreement, and apply any final clarification of policy regardless of the state or local jurisdiction the capital or operating costs of the airport, adopted in this proceeding the local airport system, or pursuant to imposing the tax. paragraph (3) of subsection (a). prospectively, and to allow affected 4. The limits on use of aviation fuel tax parties a reasonable time to bring state revenues established by section 47107(b) and Accordingly, the fact that an and local government taxes into section 47133: ordinance permitting taxes on aviation compliance. a. Apply to a tax imposed by either a state fuel existed in 1987 is not sufficient to Request for comments. The government or a local government taxing exempt the tax from the revenue use clarification of policy proposed in this authority; b. Apply to any tax on aviation fuel, requirements. A tax ordinance is notice is intended to clarify FAA’s grandfathered only if collection of the whether the tax is imposed only on aviation interpretation of statutory requirements fuel or is imposed on other products as well tax revenues on the sale of aviation fuel for use of airport revenue. In view of the as aviation fuel. However, the limits on use was initiated before December 30, 1987 potential interests of aircraft operators, of revenues apply only to the amounts of tax or within a relatively short period after aviation service providers, the aviation collected specifically for the sale, purchase or that date. If tax collections begin later, fuel industry, state and local taxing storage of aviation fuel, and not to the then the proceeds must be used for the authorities and others in the Federal amounts collected for transactions involving purposes in sections 47107(b) and requirements applicable to aviation fuel products other than aviation fuel under the 47133. same general tax law; taxes, this notice requests public c. apply to taxes on all aviation fuel Compliance comment on the proposed policy dispensed at an airport, regardless of where clarification. Airport sponsors. An airport sponsor the taxes on the sale of fuel at the airport are Clarification of the Revenue Use Policy collected; and applying for an AIP grant agrees to d. apply to a new assessment or imposition comply with a number of standard grant on Use of Proceeds From Taxes on of a tax on aviation fuel, even if the tax could assurances, which are published on Aviation Fuel have been imposed earlier under a statute FAA’s Airports Web site. See http:// In consideration of the foregoing, FAA enacted before December 30, 1987. _ www.faa.gov/airports/aip/grant proposes to amend the Policy and Issued in Washington, DC on November 14, assurances/. Grant Assurance no. 25, Procedures Concerning the Use of 2013. Airport Revenues, incorporates the Airport Revenue, published in the Randall S. Fiertz, provisions of 49 U.S.C. 47107(b) in each Federal Register at 64 FR 7696 on Director, Office of Airport Compliance and AIP grant agreement. So, executing a February 16, 1999, as follows: Management Analysis. grant application involves assuring FAA 1. Section II, Definitions, paragraph [FR Doc. 2013–27860 Filed 11–19–13; 11:15 am] that fuel taxes collected on aviation fuel B.2, is revised to read: will only be used for certain aviation BILLING CODE 4910–13–P State or local taxes on aviation fuel (except purposes. Neither section 47107(b) nor taxes in effect on December 30, 1987) are section 47133 limits this requirement to considered to be airport revenue subject to CONSUMER PRODUCT SAFETY taxes imposed by the airport sponsor; the revenue-use requirement. However, the assurance applies to any state or revenues from state taxes on aviation fuel COMMISSION may be used to support state aviation local government tax on aviation fuel. 16 CFR Part 1115 As FAA noted in a 2009 letter to the programs, and as airport revenue can be used Hall County Airport Authority, for noise mitigation purposes, on or off the [CPSC Docket No. CPSC–2013–0040] airport. Nebraska, regarding proposed state legislation to tax aviation fuel: 2. In Section IV, Statutory Voluntary Remedial Actions and Requirements for the Use of Airport Guidelines for Voluntary Recall * * * enactment of the [state] legislation to Notices permit general use of the proceeds from the Revenue, renumber paragraphs D and E as paragraphs E and F, and add a new aviation fuel tax could jeopardize continued AGENCY: Consumer Product Safety federal funding of airport and noise paragraph D to read as follows: Commission. abatement projects at Federally-assisted D. Use of Proceeds From Taxes on Aviation ACTION: Notice of proposed rulemaking. airports throughout the [state]. Fuel. Non-sponsor state and local 1. Federal law limits use of the proceeds SUMMARY: In this document, the governments. Title 49 U.S.C. 47133 from a state or local government tax on Consumer Product Safety Commission contains a prohibition on use of aviation aviation fuel to the purposes permitted in (Commission, CPSC, or we) proposes an those sections, as described in IV.A. of this fuel tax proceeds for general purposes. Policy. Proceeds from tax on aviation fuel interpretive rule to set forth principles This is a direct and self-implementing may be used for any purpose for which other and guidelines for the content and form statutory requirement, and does not rely airport revenues may be used, and may also of voluntary recall notices that firms on contract terms, as does section be used for a state aviation program. provide as part of corrective action

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00016 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS 69794 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

plans under Section 15 of the Consumer www.regulations.gov, and insert the action programs and the associated Product Safety Act (CPSA). The docket number, CPSC 2013–0040, into recall notices. Commission has issued regulations the ‘‘Search’’ box, and follow the Commission regulations provide that interpreting the requirements of section prompts. ‘‘the Commission will attempt to protect 15 of the CPSA. The existing regulations the public from substantial product FOR FURTHER INFORMATION CONTACT: provide for notice to the public of the hazards by seeking . . . voluntary Howard Tarnoff, Project Manager, Office corrective action that a firm agrees to remedies,’’ including ‘‘corrective action of Compliance and Field Operations, undertake. The regulations, however, do plans.’’ 16 CFR 1115.20. The regulation U.S. Consumer Product Safety not provide any guidance regarding the states: ‘‘[c]orrective actions shall Commission, 4330 East-West Highway, information that should be included in include, as appropriate: . . . (xi) An Bethesda, MD 20814; email: htarnoff@ a recall notice issued as part of a agreement that the Commission may cpsc.gov. corrective action plan agreement. The publicize the terms of the plan to the proposed rule would set forth the SUPPLEMENTARY INFORMATION: extent necessary to inform the public of Commission’s expectations for the nature and extent of the alleged I. Background voluntary remedial actions and recall substantial product hazard and of the notices, bearing in mind that certain The Consumer Product Safety actions being undertaken to correct the elements of product recalls vary and Improvement Act of 2008, Public Law alleged hazard presented.’’ The each notice should be tailored 110–314, 122 Stat. 3016 (2008) (CPSIA), corrective action plan regulations do not appropriately. The proposed rule also amended the CPSA to strengthen the address the form or content of the notice would provide that, when appropriate, CPSC’s authority to recall products and issued by the Commission as a a corrective action plan negotiated to notify the public effectively about the component of a corrective action plan. under our regulations may include scope of a recall and available remedies. II. Basis for Proposed Rule compliance program-related Section 214 of the CPSIA required the The portion of the proposed rule requirements. Commission to establish guidelines and regarding recall notices is based upon a requirements for mandatory recall DATES: Submit comments by February 4, recommendation from a House Report notices ordered by the Commission or 2014. that voluntary recall notices should by a United States District Court under ADDRESSES: Comments, identified by contain information similar to that the CPSA. Section 214 also required that Docket No. CPSC–2013–0040, may be required for mandatory recall notices a recall notice include certain specific submitted electronically or in writing: (see H.R. Rep. No. 110–501 at 40 (2008)) information, unless the Commission Electronic Submissions: Submit and upon many years of Commission determines otherwise. 15 U.S.C. 2064(i). electronic comments to the Federal experience with recalls and recall eRulemaking Portal at: http:// This information includes, but is not effectiveness. The proposal also is based www.regulations.gov. Follow the limited to, descriptions of the product, on related agency expertise and on the instructions for submitting comments. hazard, injuries, deaths, actions being information contained in agency recall The Commission is no longer directly taken, and remedy; identification of the guidance materials, including the Recall accepting comments submitted by manufacturer and retailers; Handbook (http://www.cpsc.gov/ electronic mail (email), except through identification of relevant dates; and any PageFiles/106141/8002.pdf) and the www.regulations.gov. The Commission other information the Commission requirements and guidelines for encourages you to submit electronic deems appropriate. mandatory recall notices (16 CFR part comments by using the Federal Although Section 214 applies only to 1115, subpart C). eRulemaking Portal, as described above. mandatory recalls, the House Committee The Commission believes that an Written Submissions: Submit written considering the legislation explicitly interpretive rule setting forth the submissions in the following way: Mail/ expressed an expectation that similar Commission’s principles and guidelines Hand delivery/Courier (for paper, disk, information would be provided, as regarding the content of voluntary recall or CD–ROM submissions), preferably in applicable and to the greatest extent notices will result in: (1) Greater five copies, to: Office of the Secretary, possible, in the notices issued in efficiencies during recall negotiations, Consumer Product Safety Commission, voluntary recalls. H.R. Rep. No. 110–501 (2) greater predictability for the Room 820, 4330 East-West Highway, at 40 (2008) (House Report). The regulated community in working with Bethesda, MD 20814; telephone (301) Commission agrees with this statement, the agency to develop voluntary recall 504–7923. and believes that whether a product notice content, and (3) timelier issuance Instructions: All submissions received hazard is addressed in the context of a of recall announcements to the public. must include the agency name and mandatory recall or a voluntary recall, In addition, the proposed rule reflects docket number for this rulemaking. All the need to inform and encourage technological advances. The tools comments received may be posted affected consumers to act is similar. available to improve recall effectiveness without change, including any personal As required by Section 214(c) of the through broader dissemination of identifiers, contact information, or other CPSIA, the Commission promulgated a important recall information have personal information provided, to final rule setting forth requirements and expanded significantly in recent years. http://www.regulations.gov. Do not guidelines for mandatory recall notices. The Commission believes that specific submit confidential business 75 Fed. Reg. 3355 (Jan. 21, 2010). That reference to these tools should be information, trade secret information, or rule does not address voluntary recall included in a voluntary recall notice other sensitive or protected information notices related to corrective action rule. For example, firms and the that you do not want to be available to agreements with the Commission. Commission now have access to various the public. If furnished at all, such Although no mandatory recall notices social media resources, such as a blog, information should be submitted in have been announced since issuance of Twitter, YouTube, a widget, mobile writing. the mandatory recall notice rule in phone application, and Flickr, which Docket: For access to the docket to January 2010, the CPSC has worked can be used to increase the number of read background documents or cooperatively with regulated companies consumers who respond to safety comments received, go to: http:// on more than 1,000 voluntary corrective information.

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00017 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69795

Negotiated corrective actions give the encountered firms that have deliberately distribution of dangerously defective or Commission the opportunity to tailor and unnecessarily delayed the timely violative products. remedies to a particular situation and implementation of the provisions of The proposed rule sets forth the types the associated health and safety risks their correction action plans. of enforcement actions in which the presented. The proposed rule would Accordingly, proposed § 1115.20(a) Commission may address violations of a include language that would permit, in would provide the Commission with the voluntary compliance program appropriate situations and at the necessary tools to compel a agreement including, but not limited to: Commission’s discretion, the noncompliant or dilatory firm to carry Seeking an injunction or specific Commission to pursue compliance out the terms of its voluntarily agreed performance as well as pursuing all program requirements in the course of upon corrective action plan. applicable sanctions under the CPSA. negotiating corrective action plans. The In addition, amended § 1115.20(a) In addition, proposed § 1115.20(b) proposed rule contemplates that if would make clear to firms wishing to would provide examples of the types of appropriate, a corresponding reference conduct a voluntary recall that the provisions that may be included in a to compliance program requirements Commission’s preferred remedies are voluntary compliance program may be included in the related refunds, repairs and replacements, and agreement including, but not limited to: voluntary recall notice. Inclusion of that firms wishing to use other remedies Maintaining and enforcing a system of compliance program requirements as an shall have the burden of demonstrating internal controls and procedures to element of voluntary corrective action that those alternatives will be as ensure that a firm promptly, completely, and accurately reports required plans would echo compliance program effective as the preferred remedies. requirements incorporated as part of information about its products to the recent civil penalty settlement 2. Proposed § 1115.20(a)(1)(xiii)— Commission; ensuring that information agreements. Admissions required to be disclosed by the firm to the Commission is recorded, processed, Amended § 1115.20(a)(1)(xiii) would III. Description of the Proposed Rule and reported, in accordance with provide the Commission with additional In general, the proposed rule would applicable law; establishing an effective establish a new subpart D, titled, flexibility concerning admissions in program to ensure the firm remains in ‘‘Principles and Guidelines for corrective action plans. Eliminating the compliance with safety statutes and Voluntary Recall Notices,’’ in part 1115 phrase, ‘‘If desired by the subject firm,’’ regulations enforced by the of title 16 of the Code of Federal and revising the sentence to include the Commission; providing firm employees Regulations and would add a new following language later in the sentence with written standards and policies, paragraph to 16 CFR 1115.20. ‘‘if agreed to by all parties’’ facilitates an compliance training, and the means to opportunity for the Commission to report compliance-related concerns 1. Proposed § 1115.20(a)—Legally negotiate and agree to appropriate confidentially; ensuring that prompt Binding admissions in each particular corrective disclosure is made to the firm’s The Commission proposes to revise active plan. management of any significant § 1115.20(a) to state that, once a firm 3. Proposed § 1115.20(a)(5)—Compliant deficiencies or material weaknesses in voluntarily agrees to undertake a Remedies the design or operation of such internal corrective action plan, the firm is legally controls that are reasonably likely to bound to fulfill the terms of the Proposed § 1115.20(a)(5) would affect adversely, in any material respect, agreement. The Commission has the describe the Commission’s intent that the firm’s ability to report to the authority to order mandatory recalls of any remedial actions set forth in a Commission; providing the Commission products, and, as noted earlier, the corrective action plan be compliant with with written documentation, upon CPSIA increased the Commission’s all applicable CPSC rules, regulations, request, of the firm’s improvements, ability to undertake mandatory recalls of standards, or bans. This revision is processes, and controls related to the defective or violative products. intended to make that expectation firm’s reporting procedures; or making However, in the interests of the public specific. available all information, materials, and and most importers, manufacturers, 4. Proposed § 1115.20(a)(1)(xv) and personnel deemed necessary to the wholesalers, and retailers, almost all § 1115.20(b)—Compliance Programs Commission to evaluate the firm’s recalls overseen by the Commission are compliance with the terms of the jointly conducted by firms and the Proposed § 1115.20(a)(1)(xv) would agreement. Commission on a voluntary basis. Part add compliance program-related Current § 1115.20(b) regarding of the process of a voluntary recall requirements as possible components of consent order agreements would be re- includes the Commission and the firm a corrective action plan. Proposed designated to § 1115.20(c). agreeing to a corrective action plan that § 1115.20(b) would provide examples of details the steps the firm will take the types of circumstances that such 5. Proposed § 1115.20(c)(1)(xii)— including, but not limited to, the type of compliance program-related Admissions remedy it will offer to the public. requirements, in the Commission’s Proposed § 1115.20(c)(1)(xii) would Currently, § 1115.20(a) defines a discretion, may be proposed as amend 16 CFR 1115.20(b)(1)(xii) to corrective action plan as ‘‘a document, appropriate elements of a voluntary provide the Commission with additional signed by a subject firm, which sets corrective action plan. Such flexibility concerning admissions in forth the remedial action which the firm circumstances might include, but are consent order agreements. Eliminating will voluntarily undertake to protect the not limited to: Multiple previous recalls the phrase, ‘‘If desired by the subject public, but which has no legally binding and/or violations of CPSC requirements firm,’’ and revising the sentence to effect.’’ The result is that the over a relatively short period of time; include the following language later in Commission is prohibited from failure to timely report substantial the sentence ‘‘if agreed to by all parties’’ enforcing the terms of a corrective product hazards on previous occasions; facilitates an opportunity for the action plan if a recalcitrant firm violates or evidence of insufficient or ineffectual Commission to negotiate and agree to the terms of its corrective action plan. procedures and controls for preventing appropriate admissions in each In addition, the Commission has the manufacturing, importation, and/or particular consent order agreement.’’

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00018 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS 69796 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

6. Proposed § 1115.30—Purpose forms of notice. Proposed Proposed § 1115.33(b)(2) is similar to Proposed § 1115.30 would describe § 1115.33(a)(2) is similar to 16 CFR 16 CFR 1115.26(b)(2) and would the purpose for a new subpart D, 1115.26(a)(2), but would reference the recognize that a direct recall notice is ‘‘Principles and Guidelines for Associated Press (AP) Stylebook as the the most effective form of a recall Voluntary Recall Notices,’’ which is to guide for the language and format of notice. The proposed rule would state see that every voluntary recall notice voluntary recall notices. CPSC staff has that when firms have contact helps consumers and other affected used the AP Stylebook for decades to information for consumers, or when persons identify the product to which a develop the template used for the contact information is reasonably recall notice pertains, understand the drafting of recall press releases. Staff’s obtainable, firms shall issue direct recall actual or potential hazards presented by experience is that most media outlets notices. Proposed § 1115.33(b)(2) the product, understand the remedies are familiar with or use the rules set includes ‘‘electronic medium’’ and available to consumers concerning the forth in the AP Stylebook within their ‘‘hard copy’’ as possible forms of direct product, and take appropriate action in own media organization. Thus, media voluntary recall notice. response to the notice. The proposed organizations are more likely to Because firms often lack specific rule would provide principles disseminate information contained in a contact information, most recall notices concerning the content and form of press release that comports with the AP are disseminated to broad audiences. In voluntary recall notices and guidelines Stylebook. contrast, a direct recall notice is sent concerning the expected content of all Proposed § 1115.33(a)(5) is similar to directly to specific, identifiable such recall notices, drafted by 16 CFR 1115.26(a)(5) but specifically consumers of the recalled product. In Commission staff and the recalling firm. identifies the methods to be used to most instances, these consumers are the publicize a voluntary recall notice. purchasers of the recalled product. In 7. Proposed § 1115.31—Applicability These methods are clearly listed as a other instances, the purchasers may Proposed § 1115.31 would explain press release or recall alert, a have given the product to other that the principles and guidelines in prominently displayed in-store poster, consumers, as a gift, for example. In the subpart D apply to manufacturers and a Web site posting, as well as two latter case, if the purchaser received the (including importers), retailers, and additional forms of publication from the recall notice, the purchaser will distributors of consumer products. subsequent list of voluntary recall generally know to whom the purchaser notice forms delineated in § 1115.33 gave the product and could contact the 8. Proposed § 1115.32—Definitions (b)(1)(i)–(vi). In an effort to provide recipient about the recall notice. In Proposed § 1115.32 would define clarity regarding the types of methods a either case, the persons exposed to the certain terms used in subpart D. The firm should use, this proposed change product and its hazard will be more proposed definitions in this section are describes the five preferred categories of likely to receive and respond to a direct based on the Commission’s experience methods for disseminating the voluntary recall notice than a broadly with recalls under section 15. This recall information to broad audiences. disseminated recall notice. The section would define ‘‘electronic Proposed § 1115.33(b)(1) is similar to proposed rule reflects the Commission’s medium’’ to encompass the various 16 CFR 1115.26(b)(1) but would include expectation that firms will take methods of communicating recall ‘‘electronic’’ and ‘‘electronic medium’’ reasonable steps to obtain direct information electronically and would as general forms for a voluntary recall customer contact information from third define ‘‘voluntary recall notice’’ as the notice and would identify additional parties for purposes of issuing direct means of notifying consumers and specific forms of, and means for, voluntary recall notices, rather than rely others of the voluntary remedial actions communicating a voluntary recall notice solely on information contained in the applicable to a consumer product. as acceptable, such as radio news firm’s own records. Additionally, proposed § 1115.32 would release; video news release; b-roll Proposed § 1115.33(b)(3) is similar to state that the definitions in section 3 of package; YouTube; Instagram, or Vine 16 CFR 1115.26(b)(3) and would discuss the CPSA (15 U.S.C. 2052) apply. video; and social media sites, such as Web site recall notices, stating that Facebook, Google+, Twitter, Pinterest, recall notices should be posted on the 9. Proposed § 1115.33—Voluntary Tumblr, Flickr, and blogs, as examples. Web site’s first entry point. The recall Recall Notice Principles Guidance from the Office of notices should be clear, prominent, and Proposed § 1115.33 would provide Management and Budget calls for interactive, allowing consumers and general principles and describe the agencies to format public others to obtain recall information and Commission’s policies pertaining to communications for mobile platforms, request a remedy. recall notices. The proposed principles such as smartphones, tablets, and Proposed § 1115.33(c) is similar to 16 are similar to the guidelines for similar devices. The reference to CFR 1115.26(c) and would provide that mandatory recall notices codified at 16 ‘‘electronic’’ and ‘‘electronic medium’’ the recall notice (including the press CFR 1115.26, with certain exceptions. In forms of the press release is intended to release, call center scripts, in-store general, proposed § 1115.33(a) would promote the use of communications posters and social media state principles that are important for using digital and mobile platforms. In communications) should be in recall notices to be effective. For addition, this section seeks to reflect the languages in addition to English, example, proposed § 1115.33(a)(1) common practice in recent years for whenever appropriate, to adequately would state that a recall notice should CPSC staff to request that recalling firms inform the public of a product recall. provide information that enables use their own social media platforms to The proposed rule recognizes that a consumers and other affected persons to communicate directly with customers language in addition to English may be identify the recalled product and take about voluntary recalls. This low-cost necessary to communicate information appropriate action. mechanism of informing customers is regarding defective or violative products Proposed § 1115.33(a)(2) through designed to enhance the likelihood that when factors such as product labeling (a)(5) would state the purpose of a customers will learn about the recall and marketing location indicate that a voluntary recall notice, provide and pursue the remedy offered and that significant number of individuals who guidance on the form of the voluntary these firms use video and other could potentially be affected by the recall notice, and set forth the principal electronic media for this purpose. recall do not speak or read English. The

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00019 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69797

proposed rule provides that the issuing a voluntary recall notice that should include. For example, the Commission’s Spanish translation of a will provide consumers with clear and description should include the product press release should be used on a consistent information regarding the defect, fault, failure, flaw, and/or recalling firm’s Web site and other manner in which to pursue the recall problem giving rise to the recall. agreed-upon locations. remedy. Proposed § 1115.34(g)(3) does not have In unique cases, it may be appropriate a corresponding provision in 16 CFR 10. Proposed § 1115.34—Voluntary for the headline to identify the U.S.- Recall Notice Content Guidelines 1115.27. This proposed section provides based entity that is managing the that the description of the alleged Proposed § 1115.34 is similar to 16 logistics of the recall, as well as specify substantial product hazard should state CFR 1115.27 and would set forth the name of the overseas manufacturer. that the hazard ‘‘can’’ occur in instances guidelines for the content of voluntary In other unique cases, such as when the where there have been injuries and recall notices. The objectives of a recall overseas manufacturer is directly incidents associated with the product. include locating the recalled products, handling all elements of the corrective Consistent with the AP Stylebook, the removing the recalled products from the action plan, it may be appropriate for proposed rule states that the words distribution chain and from consumers, the headline to identify only the ‘‘could,’’ ‘‘may,’’ or ‘‘potential’’ should and communicating information to the overseas manufacturer of the recalled not be used in the Hazard section of the public about the recalled product and product. These cases are the exception release when there are documented the remedy offered to consumers. A and not the rule. incidents or injuries. voluntary recall notice should motivate Proposed § 1115.34(d) is similar to 16 Proposed § 1115.34(h) is similar to 16 firms and media to publicize the recall CFR 1115.27(c) and would provide that CFR 1115.27(g) and would state that the information widely, and the notice the voluntary recall notice should voluntary recall notice should identify should motivate consumers to act on the include a description of the product, the firm conducting the recall and also recall for the sake of safety. including model name and number, underscore the CPSA definition of the Proposed § 1115.34(a) would provide SKU number, and the names of the term ‘‘manufacturer’’ to include an that a voluntary recall notice should product and other information needed importer. include the word ‘‘recall’’ in the to describe the product, such as the Proposed § 1115.34(i) is similar to 16 heading and text. For many years, the product’s color, identifying tags, or CFR 1115.27(h) and addresses how the Commission staff’s Recall Handbook has labels. Proposed § 1115.34(d) also manufacturer should be identified (e.g., directed firms to use the term ‘‘recall’’ contains a paragraph describing the type legal name, location of headquarters, in the heading and text. The word and quality of photographs that should Web domain, or other reasonably ‘‘recall’’ draws media and consumer be provided by the recalling firm, if accessible electronic medium). attention to the notice and to the requested by the Commission, for the information contained in the notice. In product photographs to comport with Identifying ‘‘significant retailers’’ will addition, use of the term ‘‘recall’’ draws the established standards for the size of help consumers determine whether the attention to the notice more effectively photographs on the CPSC’s Web site. consumer might have the product. In than omitting the term or using an Proposed § 1115.34(e) is similar to 16 the absence of a statutory definition, alternative term. A recall notice must be CFR 1115.27(d) and would provide that and based on experience with recalls, read to be effective. Drawing attention to the voluntary recall notice should the Commission believes that a the notice through the use of the word contain a clear and concise statement of significant retailer can be determined on ‘‘recall’’ increases the likelihood that the the actions that a firm is taking the basis of several factors, and notice will be read and will help concerning the product so that proposed § 1115.34(j), which is similar effectuate the purposes of the CPSA and consumers and others are aware of, and to 16 CFR 1115.27(i), would describe Consumer Product Safety Improvement understand, the firm’s actions and the those factors. Act. options that will be available to the First, under proposed § 1115.34(j), a Proposed § 1115.34(b) is similar to 16 consumer to address the defective or product’s retailer is significant if the CFR 1115.27(b) and would provide that violative product. retailer was the exclusive retailer of the the voluntary recall notice contain the Proposed § 1115.34(f) is similar to 16 product. Identifying an exclusive date of the notice’s release, issuance, CFR 1115.27(e) and would provide that retailer can help consumers determine posting, or publication. the voluntary recall notice should state whether they have the product, based Proposed § 1115.34(c) sets forth the the approximate number of units on whether they have shopped at that content for voluntary recall notice covered by the recall, including all retailer. headlines and does not correspond to product units manufactured, imported, Second, a product’s retailer is any provision in 16 CFR 1115.27. A and/or distributed in commerce. This significant if the retailer was an protocol for drafting voluntary recall information communicates to the importer of the product. As an importer, notice headlines will support the consumer whether the product was a retailer will typically have more Commission’s efforts to achieve fairness, widely produced and distributed or sold information and greater access to accuracy, and newsworthiness of recall only in limited numbers. information about a product than a press releases. Proposed § 1115.34(g) is similar to 16 retailer that was not an importer. Overseas firms will sometimes engage CFR 1115.27(f) and would provide that Third, a product’s retailer is an entity with U.S.-based operations to the description of the alleged substantial significant if the retailer is a nationwide manage the logistics of a recall; that product hazard should allow consumers or regionally located retailer with entity should be identified in the to recognize the risks of potential injury multiple locations. Retailers with Remedy section of the voluntary recall or death associated with the product, multiple locations nationwide or notice as the entity to be contacted by the problem giving rise to the recall, and regionally are likely to have sold more the consumer to obtain the remedy. The the type of hazard or risk at issue (e.g., units of the product or may have sold headline should include the name of the burn, laceration). Proposed the product to more consumers than U.S.-based entity responsible for § 1115.34(g)(1) and (g)(2) are similar to retailers without such multiple physical effectuating the recall remedy for 16 CFR 1115.27(g)(1) and (g)(2) and locations. Therefore, nationwide and consumers, reflecting staff’s goal of would specify what the description regional retailers are likely to be more

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00020 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS 69798 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

familiar to consumers than retailers that Commission of information relating to IV. Administrative Procedure Act have only a limited physical presence. any product-related fatality or a The Administrative Procedure Act Fourth, a retailer with a significant significant number of additional (APA) requires publication of a general market presence, as measured by units product-related incidents that a firm notice of proposed rulemaking for most sold or held for purposes of sale or receives after the initial recall notice. In rules. 5 U.S.C. 553(b). However, this distribution in commerce, also is a addition, this section provides that the requirement does not apply to significant retailer. This category would information should be reflected interpretive rules and general include, for example, retailers who have promptly in an update to the notice on statements of policy. Id. 553(b)(A). This a significant sales volume through the firm’s Web site and the proposed rule would provide guidance Internet sales rather than sales at Commission’s Web site. about the content of voluntary recall physical locations. A retailer that has Proposed § 1115.34(o), which is notices, and amend 16 CFR 1115.20 of sold, or held for purposes of sale or similar to 16 CFR 1115.27(n), would distribution, a significant number of the provide that the voluntary recall notice the Commission’s existing interpretive total manufactured, imported, or should provide a description of each rule regarding corrective action plans to distributed units of the product, will remedy available to the consumer, the provide that, where appropriate, a have sold the product to, and affected, actions required of the consumer to corrective action plan may include more consumers than a retailer who obtain each remedy, and any compliance program-related sold fewer units of the product. information needed by the consumer to requirements. The proposed rule would Fifth, a product’s retailer is obtain each remedy. As reflected in this not establish any mandatory significant, if identification of the section, potential remedies include, but requirements. retailer is in the public interest. Recalls are not limited to: forwarding the Because both corrective action plans and products vary from one to the next, product to the manufacturer, returning and related voluntary recall notices and identifying certain retailers who do the product to the retailer, or scheduling require agency and firm consensus, not otherwise satisfy the categories an in-home repair. Proposed notice and comment could provide described above still may have public § 1115.34(o) also provides that where valuable feedback to improve the and consumer benefits. Deeming a the listing of model names and model efficacy and usefulness of the guidance retailer to be significant in the public and/or serial numbers of a recalled to be contained in the rule. As interest reflects the flexibility needed to product is extensive, complicated, or proposed, the rule reflects agency seek the best possible recall not conducive to inclusion in the experience and practice; and is intended effectiveness under specific voluntary recall notice, the notice to help address product hazards and circumstances. should refer customers to the recalling promote the timely, accurate, and Proposed § 1115.34(k) is similar to 16 firm’s Web site or call center. complete disclosure of information CFR 1115.27(j) and would provide that This proposed section would also necessary to protect public health and the voluntary recall notice should provide that any changes to the process safety. Additional information regarding include a description of the region or nature of the remedy contemplated stakeholder experience in framing and where the product was sold or held for by the firm after the issuance of the communicating corrective action plans purposes of sale or distribution in voluntary recall notice should be and related voluntary recall notices commerce to assist consumers in communicated immediately to the could assist CPSC in refining related determining whether they have the Commission and reflected in an agreed- interpretive rule guidance, with a goal product at issue. upon update to the notice on the firm’s of protecting public health and safety. Proposed § 1115.34(l) is similar to 16 Web site and the CPSC’s Web site. Thus, although the APA does not CFR 1115.27(k) and would provide that Updated remedy information also require the Commission to begin this the voluntary recall notice should state should be transmitted to consumers in rulemaking with a notice of proposed the month and year in which the a manner consistent with the rulemaking, the Commission is manufacture of the product began and communication of the initial voluntary providing an opportunity for public ended and the month and year in which recall notice. comment. the retail sales began and ended for each Proposed § 1115.34(p) reflects V. Effective Date make and model of the product covered inclusion in a voluntary recall notice of by the recall notice to assist consumers information regarding compliance The APA generally requires that the in determining whether they have the program-related actions agreed to by the effective date of a rule be at least 30 product at issue. recalling firm as a component of its days after publication of the final rule. Proposed § 1115.34(m), which is corrective action plan. This section does Id. 553(d). However, an earlier effective similar to 16 CFR 1115.27(l), would not correspond to any provision in 16 date is permitted for interpretive rules provide that the voluntary recall notice CFR 1115.27. and statements of policy. Id. Thus, this should state the approximate price of Proposed § 1115.34(q) is similar to 16 proposed rule is excepted from the APA the product or a price range. Price CFR 1115.27(o) and provides that the effective date requirement. Id. 553(d)(2). information will help consumers voluntary recall notice should contain Because CPSC is giving notice and identify the product and inform them any other information that the soliciting comment (even though notice about refund remedies, as applicable. Commission and the recalling firm and comment procedures are not Proposed § 1115.34(n), which is deem appropriate. required), the public and potentially similar to 16 CFR 1115.27(m), addresses affected firms will have significant the description in the voluntary recall 11. Proposed § 1115.35—Multiple advance notice of the agency’s proposed notice of all incidents, injuries, and Products or Models guidance. Moreover, implementation of deaths associated with the product Proposed § 1115.35 is similar to 16 the rule will not result in the imposition conditions or circumstances giving rise CFR 1115.28 and provides that the of new, mandatory requirements. to the recall. The notice should provide voluntary recall notice for each product Stakeholders necessarily are involved in the ages and states of residence of or model covered by the recall notice the negotiations that precede corrective persons killed. This section also comports with the guidelines set forth action plans and associated recall provides for prompt conveyance to the in this subpart. notices, and they would benefit from the

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00021 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69799

additional information about agency PART 1115—SUBSTANTIAL PRODUCT action by the Commission to enforce the policy and staff expectations to be HAZARD REPORTS terms of a compliance agreement such contained in the rule when finalized. as seeking an injunction or specific Therefore, the Commission proposes ■ 1. The authority for part 1115 performance, as appropriate. that the effective date be the date of continues to read as follows: (1) The Commission always retains publication of a final rule in the Federal Authority: 15 U.S.C. 2061, 2064, 2065, broad discretion to seek a voluntary Register. 2066(a), 2068, 2069, 2070, 2071, 2073, 2076, compliance program agreement. Under 2079, and 2084. certain circumstances, it may be VI. Regulatory Flexibility Act ■ 2. In § 1115.20 revise paragraphs (a) appropriate for the Commission to seek Under section 603 of the Regulatory and (a)(1)(xiii); add paragraphs (a)(1)(xv) agreements with firms to implement a Flexibility Act (RFA), when the APA and (a)(5); redesignate paragraph (b) as compliance program, including but not requires an agency to publish a general paragraph (c) and add new paragraph limited to, the following: notice of proposed rulemaking, the (b); and revise newly redesignated (i) Multiple previous recalls and/or agency must prepare an initial paragraph (c)(1)(xii) to read as follows: violations of Commission requirements regulatory flexibility analysis assessing over a relatively short period of time; the economic impact of the proposed § 1115.20 Voluntary remedial actions. (ii) Failure to timely report substantial rule on small entities. 5 U.S.C. 603(a). * * * * * product hazards on previous occasions; As noted, the Commission is proposing (a) Corrective action plans. A or an interpretive rule that would provide corrective action plan is a document, (iii) Evidence of insufficient or guidance concerning the content of signed by a subject firm, which is ineffectual procedures and controls for voluntary recall notices and further legally binding and sets forth the preventing the manufacturing, would provide that, when appropriate, remedial action which the firm will importation, and/or distribution of corrective action plans may include voluntarily undertake to protect the dangerously defective or violative compliance program-related public. Refunds, repairs and products. requirements. Although the Commission replacements are preferred remedies. (2) The provisions in a voluntary is choosing to issue the rule through Firms that wish to use other remedies compliance program agreement may notice and comment procedures, the shall have the burden of demonstrating vary depending on the nature and APA does not require a proposed rule. that those alternatives will be as circumstances of a firm’s behavior that Therefore, no initial regulatory effective as the preferred remedies. The led the Commission to determine that flexibility analysis is required under the Commission reserves the right to seek such an agreement is in the public RFA. Moreover, the proposed rule broader corrective action if it becomes interest. The following provisions, would not establish any mandatory aware of new facts or if the corrective among others as appropriate, may be requirements and would not impose any action plan does not sufficiently protect included in a written voluntary obligations on small entities (or any the public. compliance program agreement: other entity or party). (1) * * * (i) Maintain and enforce a system of (xiii) The following statement or its internal controls and procedures to VII. Paperwork Reduction Act equivalent, if agreed to by all parties: ensure that the firm promptly, The proposed rule would not impose ‘‘The submission of this corrective completely, and accurately reports any information collection action plan does not constitute an required information about its products requirements. It sets out proposed admission by (the subject firm) that to the Commission; (ii) Ensure that information required guidelines for the content of recall either reportable information or a to be disclosed by the firm to the notices that are issued as part of substantial product hazard exists.’’ Commission is recorded, processed, and corrective action agreements negotiated * * * * * reported, in accordance with applicable between Commission staff and firms. (xv) Compliance program-related law; Accordingly, the rulemaking is not requirements. (iii) Establish an effective program to subject to the Paperwork Reduction Act, * * * * * ensure the firm remains in compliance 44 U.S.C. sections 3501 through 3520. (5) All remedial actions undertaken with safety statutes and regulations VIII. Environmental Considerations pursuant to a corrective action plan enforced by the Commission; shall be compliant with all applicable (iv) Provide firm employees with The Commission’s regulations address CPSC rules, regulations, standards, or written standards and policies, whether we are required to prepare an bans. compliance training, and the means to environmental assessment or an (b) Voluntary compliance program report compliance-related concerns environmental impact statement. These agreements under section 15 of CPSA. A confidentially; regulations provide a categorical voluntary compliance program (v) Ensure that prompt disclosure is exclusion for certain CPSC actions that agreement is a provision in a voluntary made to the firm’s management of any normally have ‘‘little or no potential for corrective action plan (or a separate significant deficiencies or material affecting the human environment.’’ 16 agreement, as appropriate) executed by weaknesses in the design or operation of CFR 1021.5(c)(1). This proposed rule a subject firm and the Commission that such internal controls that are falls within the categorical exclusion. incorporates a specific written plan for reasonably likely to affect adversely, in List of Subjects in 16 CFR Part 1115 future steps to be taken by the firm to any material respect, the firm’s ability to assure that it meets the requirements of report to the Commission; Administrative practice and the agency’s laws and regulations. (vi) Provide the Commission with procedure, Business and industry, Violation of a voluntary compliance written documentation, upon request, of Consumer protection, Reporting and program agreement may result in a the firm’s improvements, processes, and recordkeeping requirements. formal Commission enforcement action, controls related to the firm’s reporting Therefore, the Commission proposes including all applicable sanctions set procedures; or to amend Title 16 of the Code of Federal forth in the Consumer Product Safety (vii) Make available all information, Regulations as follows: Act. A violation may also result in legal materials, and personnel deemed

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00022 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS 69800 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

necessary to the Commission to evaluate communicated, sent, or transmitted (iv) At least two additional methods the firm’s compliance with the terms of directly to specifically identified of publication not included in (i) the agreement. consumers. through (iii) above from the voluntary (c) Consent order agreements under (b) Electronic means technology recall notice forms provided in section 15 of CPSA. having electrical, digital, magnetic, Subsection (b) of this section. * * * * * wireless, optical, electromagnetic, voice- (b) Form of voluntary recall notice. (1) (1) * * * recording systems, or similar Possible forms. A voluntary recall notice (xii) The following statement or its capabilities. may be written, electronic, or in any equivalent, if agreed to by all parties: (c) Electronic medium means an other form agreed upon by the ‘‘The signing of this consent order electronic method of communication Commission and the firm. Voluntary agreement does not constitute an (including, but not limited to, Web site, recall notices may be transmitted using admission by (the Consenting Party) that electronic mail, telephonic system, text an electronic medium and in hard copy either reportable information or a messaging, tweeting, magnetic disk, CD– form. Acceptable forms of, and means substantial product hazard exists.’’ ROM), pursuant to which the intended for, communicating voluntary recall ■ 3. Add a new Subpart D to read as recipient can effectively access the notices include, but are not limited to: follows: information provided and as to which (i) Letter, Web site posting, electronic the firm can provide, upon request, mail, RSS feed, or text message; Subpart D—Voluntary Recall Notices evidence of delivery. (ii) Press release or recall alert; Secs. (d) Firm means a manufacturer (iii) Video news release, radio news 1115.30 Purpose. (including importer), retailer, or release, b-roll package, YouTube, 1115.31 Applicability. distributor, as those terms are defined in Instagram, or Vine video; 1115.32 Definitions. the CPSA. (iv) Newspaper, magazine, catalog, or 1115.33 Voluntary recall notice principles. (e) Voluntary recall notice means a other publication; 1115.34 Voluntary recall notice content notification to consumers and others of (v) Advertisement, newsletter, and guidelines. service bulletin; and 1115.35 Multiple products or mode. the voluntary remedial action applicable to a consumer product or other products (vi) Social media, including, but not Subpart D—Voluntary Recall Notices or substances that are regulated under limited to, Facebook, Google+, Twitter, the CPSA, or any other Act enforced by Pinterest, Tumblr, Flickr, and blogs. § 1115.30 Purpose. the Commission. (2) Direct voluntary recall notice. A (a) This section sets forth the direct voluntary recall notice shall be information that should be included in § 1115.33 Voluntary recall notice used for each consumer for whom a firm a voluntary recall notice and the manner principles. has direct contact information, or when in which the notice should be (a) General. (1) A voluntary recall such information is reasonably distributed. notice should provide sufficient obtainable from third parties, such as (b) The Commission establishes these information and motivation for retailers, or from the firm’s internal guidelines to help ensure that every consumers and other persons to identify records, regardless of whether the voluntary recall notice effectively helps the product and its actual or potential information was collected for product consumers and other persons to: hazards, and to respond and take the registration, sales records, catalog (1) Identify the specific product to stated action. A voluntary recall notice orders, billing records, marketing which the voluntary recall notice should clearly and concisely state the purposes, warranty information, loyal pertains; potential for injury or death. purchaser clubs, or other such purposes. (2) Understand the product’s actual or (2) A voluntary recall notice should Direct contact information includes, but potential hazards to which the be written in language designed for, and is not limited to: Name and address, voluntary recall notice pertains and readily understood by, the targeted telephone number, and electronic mail information relating to such hazards; consumers or other persons. The address. Direct voluntary recall notices (3) Understand all remedies available language should be simple and should may be transmitted using an electronic to consumers concerning the product to avoid or minimize the use of highly medium and in hard copy form. Direct which the voluntary recall notice technical or legal terminology. The voluntary recall notices should include pertains; and language and formatting of a voluntary in a readily-apparent location, a (4) Take appropriate actions in recall notice in the form of a press prominent and conspicuous statement response to the notice. release should comport with the most (e.g., by using large, bold, red typeface), current edition of the Associated Press which includes the term ‘‘Safety § 1115.31 Applicability. Stylebook. Recall,’’ and which otherwise highlights This subpart applies to manufacturers (3) A voluntary recall notice should the importance of the communication. (including importers), retailers, and be targeted and tailored to the specific (3) Web site recall notice. A Web site distributors of consumer products (as product and circumstances. In recall notice should be visible on a Web those terms are defined herein and in determining the form and content of a site’s first entry point, such as a home the Consumer Product Safety Act voluntary recall notice, the manner in page, should be clear and prominent, (CPSA)), and other products or which the product was advertised and and should be interactive, by permitting substances that are regulated under the marketed should be considered. consumers and other persons to obtain CPSA, or any other Act enforced by the (4) A direct voluntary recall notice is recall information and request a remedy Commission. the most effective form of voluntary directly on the Web site. recall notice. (4) Social media notice. A social § 1115.32 Definitions. (5) Voluntary recall notices should be media notice should be prominently In addition to the definitions given in made using: placed and should remain prominently Section 3 of the CPSA (15 U.S.C. 2052), (i) A press release or Recall Alert; placed for at least 48 hours after initial the following definitions apply: (ii) A prominently displayed in-store placement. (a) Direct voluntary recall notice poster; (c) Languages. All voluntary recall means a voluntary recall notice that is (iii) A Web site posting; and notices should be in the English

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00023 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69801

language. In addition, a voluntary recall (2) The product’s intended or targeted injuries associated with the recalled notice should be translated into use population (e.g., infants, children, product. additional languages, if, in the or adults); (h) Identification of recalling firm. A Commission’s discretion, such (3) The product’s colors and sizes; voluntary recall notice should identify translations are necessary or appropriate (4) The product’s model names and the firm conducting the recall by stating to adequately inform consumers or the numbers, serial numbers, date codes, the firm’s legal name and commonly public. Such voluntary recall notice stock keeping unit (SKU) numbers, and known trade name, the city and state of translations should be transmitted in the tracking labels, including their exact its headquarters, and Web domain or same manner as, and along with, the locations on the product; other effective and reasonably accessible English language voluntary recall (5) Identification and exact locations electronic mechanism through which notice. In circumstances requiring of product tags, labels, and other consumers and others can communicate voluntary recall notice translations, the identifying parts, and a statement of the with the firm. The notice should state recalling firm should provide consumer specific identifying information found whether the recalling firm is a recall support (such as call center on each part; and manufacturer (including importer), scripts, in-store posters and other (6) Product photographs. Upon retailer, or distributor. communications) in both English and request by the Commission, a firm (i) Identification of manufacturer. A the applicable translation. Where should provide to the Commission, voluntary recall notice should identify Spanish, in addition to English, is the digital, color photographs that are of each manufacturer (including importer) appropriate language for a voluntary high resolution and quality, in a format of the product and the country of recall notice, the recalling firm should that is consistent with applicable manufacture. Under the definition in use the Commission’s Spanish Commission specifications. Effective section 3(a)(11) of the CPSA (15 U.S.C. translation of the recall press release on notification may require multiple 2052(a)(11)), a ‘‘manufacturer’’ means its Web site and other agreed-upon photographs and photographic angles. ‘‘any person who manufactures or (e) Description of action being taken. locations. imports a consumer product.’’ If a A voluntary recall notice should contain product has been manufactured outside § 1115.34 Voluntary recall notice content a clear and concise statement of the of the United States, a voluntary recall guidelines. actions that a firm is taking concerning notice should identify the foreign the product. These actions may include, Every voluntary recall notice should manufacturer and the United States but are not limited to, one or more of include the information set forth below: importer. A voluntary recall notice (a) Terms. A voluntary recall notice the following: Stop sale and distribution should identify the manufacturer by should include the word ‘‘recall’’ in the in commerce; recall to the distributor, stating the manufacturer’s legal name heading and text. retailer, or consumer level; repair; and the city and state of its (b) Date. A voluntary recall notice request return, and provide a headquarters, or, if a foreign should include its date of release, replacement; and request a return, and manufacturer, the foreign issuance, posting, or publication. provide a refund or credit. manufacturer’s legal name and the city (c) Headline. The headline (or (f) Statement of number of product and country of its headquarters. equivalent language in an electronic units. A voluntary recall notice should medium) on the voluntary recall notice state the approximate number of (j) Identification of significant should be brief and should product units covered by the recall, retailers. A voluntary recall notice communicate: The name of the firm including all product units should identify each significant retailer conducting the recall; the type of manufactured, imported, and/or of the product. A recall notice should product being recalled; the hazard; the distributed in commerce. identify such a retailer by stating the name of the U.S.-based manufacturer, (g) Description of alleged substantial retailer’s commonly known trade name. importer, or retailer responsible for product hazard. A voluntary recall Under the definition in Section 3(a)(13) effectuating the remedy for consumers; notice should contain a clear and of the CPSA (15 U.S.C. 2052(a)(13)), a and the name of the retailer, if the firm concise description of the product’s ‘‘retailer’’ means ‘‘a person to whom a is the exclusive retailer of the product. actual or potential hazards that result consumer product is delivered or sold The headline may include a reference to from the product condition or for purposes of sale or distribution by the nature of the remedy (such as circumstance giving rise to the recall. such person to a consumer.’’ A refund, repair or replacement). The description should enable product’s retailer is ‘‘significant’’ if, (d) Description of product. A consumers and other persons to readily upon the Commission’s information and voluntary recall notice should include a identify the reasons that a firm is belief, any one or more of the clear and concise statement of the conducting a recall. The description circumstances set forth below is present information that will enable consumers should also enable consumers and other (the Commission may request and other persons to readily and persons to readily identify and manufacturers (including importers), accurately identify the specific product understand the risks and potential retailers and distributors to provide and distinguish the product from injuries or deaths associated with the information relating to these similar products. The information product conditions and circumstances circumstances): should allow consumers to determine giving rise to the recall. The description (1) The retailer was the exclusive readily whether they have, or may have should include: retailer of the product; been exposed to the product. To the (1) The product defect, fault, failure, (2) The retailer was an importer of the extent applicable to a product, or flaw, and/or problem giving rise to product; descriptive information that should the recall; (3) The retailer has multiple stores appear on a voluntary recall notice (2) The type of hazard or risk, nationwide or regionally; should include, but not be limited to: including, by way of example only, (4) The retailer sold, or held for (1) The product’s name, including burn, fall, choking, laceration, purposes of sale or distribution in informal and abbreviated names, by entrapment, or death; and commerce, a significant number of the which customers and other persons (3) A statement that the hazard ‘‘can’’ total manufactured, imported, or should know or recognize the product; occur when there have been incidents or distributed units of the product; or;

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00024 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS 69802 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

(5) Identification of the retailer is in from use, discarding the product, AGENCY FOR INTERNATIONAL the public interest. forwarding the product to the DEVELOPMENT (k) Region. Where necessary or manufacturer, returning the product to appropriate to assist consumers in the retailer, scheduling an in-home 22 CFR Part 226 determining whether they have the repair, or removing or disabling a part product at issue, a description of the of the product. RIN 0412–AA71 region where the product was sold, or (3) All specific information that a held for purposes of sale or distribution Partner Vetting in USAID Assistance; consumer needs to obtain each remedy in commerce, should be provided. Correction (l) Dates of manufacture and sale. A and to obtain all information about each remedy. This information may include, voluntary recall notice should state the AGENCY: Agency for International but is not limited to, the following: month and year in which the Development. manufacture of the product began and Manufacturer, retailer, and distributor ended, and the month and year in contact information (such as name, ACTION: Notice of proposed rulemaking; which the retail sales of the product address, telephone, and facsimile correction. began and ended. These dates should be number, email address, and Web site included for each make and model of address); whether telephone calls will SUMMARY: USAID is allowing an the product. be toll-free or collect; and telephone additional 15 days to provide comments (m) Price. A voluntary recall notice number days and hours of operation, on its proposed Partner Vetting in should state the approximate retail price including time zone. If inclusion of all USAID Assistance Rule. There was a or price range of the product. model names and model and serial technical error in the email address, (n) Description of incidents, injuries numbers in the voluntary recall notice provided in the Notice of Proposed and deaths. A voluntary recall notice is complicated or extensive, the Rulemaking that was published in the should contain a clear and concise voluntary recall notice should refer Federal Register on August 29, 2013, for summary description of all incidents (including, but not limited to, property consumers to the recalling firm’s Web receipt of public comments on the damage), injuries, and deaths associated site, call center, or similar customer proposed rule. The technical error in the with the product, conditions or service resource. email address prevented comments that circumstances giving rise to the recall, (4) If, after the issuance of the were submitted through that email as well as a statement of the number of voluntary recall notice, the firm intends address from being reviewable by such incidents, injuries, and deaths. The to change the process or nature of the USAID. As a result, USAID, with the description should allow consumers remedy, this information should be approval of the Office of Management and other persons to understand readily promptly communicated to the and Budget, is issuing a correction the nature and extent of the incidents Commission. Changes to the process or notice allowing public comment on the and injuries. A voluntary recall notice nature of the remedy should be reflected proposed rulemaking for an additional should provide the age and state of in an update to the voluntary recall 15 days. The proposed rulemaking is residence of all persons killed. notice agreed to by the Commission and unchanged from the original publication (1) If, after the issuance of the the firm. The updated voluntary recall in August 2013 and amends the voluntary recall notice, the firm receives notice should be posted promptly on the regulation governing the administration information that a significant number of firm’s Web site and the Commission’s of USAID-funded assistance awards to additional incidents, or one or more Web site and otherwise transmitted to implement a Partner Vetting System fatalities associated with the product (PVS). have occurred, such information should consumers in a manner consistent with be reflected in an update to the notice the communication of the initial FOR FURTHER INFORMATION CONTACT: on the firm’s Web site. voluntary recall notice. George Higginbotham, Telephone: 202– (2) The firm should immediately (p) Compliance program. A voluntary 712–1948; Email: ghigginbotham@ notify the Commission of all newly recall notice may contain a reference to usaid.gov. reported injuries and/or fatalities in applicable compliance programs or order to permit the issuance of an requirements, as appropriate. Correction updated voluntary recall notice. (o) Description of remedy. A (q) Other information. A voluntary In the Federal Register of August 29, voluntary recall notice should contain a recall notice should contain such other 2013, in FR Doc. 2013–20846, on page clear and concise statement, readily information as the Commission and the 53375, in the second column, correct understandable by consumers and other recalling firm deem appropriate. the email address to which comments should be submitted. Electronic persons, of: § 1115.35 Multiple products or mode. (1) Each remedy available to a comments should be sent to the consumer for the product conditions or For each product or model covered by following email: m.rulemaking@ circumstances giving rise to the recall. a voluntary recall notice, the notice usaid.gov. Comments must be submitted Remedies include, but are not limited should comport with the guidelines set on or before December 6, 2013. to, refunds, product repairs, product forth in § 1115.34. Dated: November 8, 2013. replacements, rebates, coupons, gifts, Dated: November 14, 2013. premiums, and other incentives. Angelique M. Crumbly, (2) All specific actions that a Todd A. Stevenson, Agency Regulatory Official, U.S. Agency for consumer must take to obtain each Secretary, Consumer Product Safety International Development. remedy, including, but not limited to, Commission. [FR Doc. 2013–27921 Filed 11–20–13; 8:45 am] the following: Instructions on how to [FR Doc. 2013–27656 Filed 11–20–13; 8:45 am] BILLING CODE P participate in the recall. These actions BILLING CODE 6355–01–P may include, but are not limited to, contacting a firm, removing the product

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00025 Fmt 4702 Sfmt 9990 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69803

DEPARTMENT OF HOMELAND DHS Department of Homeland Security docket number USCG–2013–0848 in the SECURITY FR Federal Register ‘‘SEARCH’’ box and click ‘‘SEARCH.’’ NPRM Notice of Proposed Rulemaking Click on Open Docket Folder on the line Coast Guard § Section Symbol associated with this rulemaking. You U.S.C. United States Code may also visit the Docket Management 33 CFR Part 117 A. Public Participation and Request for Facility in Room W12–140 on the [Docket No. USCG–2013–0848] Comments ground floor of the Department of Transportation West Building, 1200 RIN 1625–AA09 We encourage you to participate in this proposed rulemaking by submitting New Jersey Avenue SE., Washington, Drawbridge Operation Regulations; comments and related materials. All DC, 20590, between 9 a.m. and 5 p.m., Gulf Intracoastal Waterway, Venice, FL comments received will be posted, Monday through Friday, except Federal without change to http:// holidays. AGENCY: Coast Guard, DHS. www.regulations.gov and will include 3. Privacy Act ACTION: Notice of proposed rulemaking. any personal information you have provided. Anyone can search the electronic SUMMARY: The Coast Guard proposes to change the operating schedule that 1. Submitting Comments form of comments received into any of governs the Hatchett Creek (US–41) our dockets by the name of the If you submit a comment, please individual submitting the comment (or Twin Bridges, Gulf Intracoastal include the docket number for this Waterway mile 56.9, Venice, FL. signing the comment, if submitted on proposed rulemaking (USCG–2013– behalf of an association, business, labor Changing the operational scheduled of 0848), indicate the specific section of the Hatchett Creek (US–41) Twin union, etc.). You may review a Privacy this document to which each comment Act notice regarding our public dockets Bridges will allow the Iron Man applies, and provide a reason for each Triathlon event to be unimpeded for an in the January 17, 2008, issue of the suggestion or recommendation. You Federal Register (73 FR 3316). eight hour period. This event is may submit your comments and anticipated to be scheduled on the material online (http:// 4. Public Meeting second Sunday of November annually www.regulations.gov), or by fax, mail or from 9 a.m. to 5 p.m. hand delivery, but please use only one We do not now plan to hold a public DATES: Comments and related material of these means. If you submit a meeting. But you may submit a request must reach the Coast Guard on or before comment online via http:// for one using one of the three methods February 19, 2014. www.regulations.gov, it will be specified under ADDRESSES. Please ADDRESSES: You may submit comments considered received by the Coast Guard explain why one would be beneficial. If identified by docket number USCG– when you successfully transmit the we determine that one would aid this 2013–0848 using any one of the comment. If you fax, hand deliver, or rulemaking, we will hold one at a time following methods: mail your comment, it will be and place announced by a later notice (1) Federal eRulemaking Portal: considered as having been received by in the Federal Register. http://www.regulations.gov. the Coast Guard when it is received at B. Regulatory History and Information (2) Fax: 202–493–2251. the Docket Management Facility. We (3) Mail or Delivery: Docket recommend that you include your name The current operating regulation Management Facility (M–30), U.S. and a mailing address, an email address, governing the Hatchett Creek (US–41) Department of Transportation, West or a phone number in the body of your bridges, Gulf Intracoastal Waterway Building Ground Floor, Room W12–140, document so that we can contact you if mile 56.9 at Venice, FL as listed in 1200 New Jersey Avenue SE., we have questions regarding your § 117.287(b), provides the draw of the Washington, DC 20590–0001. Deliveries submission. Hatchett Creek (US–41) bridge, mile accepted between 9 a.m. and 5 p.m., To submit your comment online, go to 56.9 at Venice, shall open on signal, Monday through Friday, except federal http://www.regulations.gov, type the except that, from 7 a.m. to 4:20 p.m., holidays. The telephone number is 202– docket number USCG–2013–0848 in the Monday through Friday except Federal 366–9329. ‘‘SEARCH’’ box and click ‘‘SEARCH.’’ See the ‘‘Public Participation and holidays, the draw need open only on Click on ‘‘Submit a Comment’’ on the the hour, 20 minutes after the hour, and Request for Comments’’ portion of the line associated with this rulemaking. If SUPPLEMENTARY INFORMATION section 40 minutes after the hour and except you submit your comments by mail or between 4:25 p.m. and 5:25 p.m. when below for instructions on submitting hand delivery, submit them in an comments. To avoid duplication, please 1 the draw need not open. On Saturdays, unbound format, no larger than 8 ⁄2 by Sundays, and Federal holidays from use only one of these four methods. 11 inches, suitable for copying and 7:30 a.m. to 6 p.m. the draw need open FOR FURTHER INFORMATION CONTACT: If electronic filing. If you submit them by only on the hour, quarter-hour, half- you have questions on this proposed mail and would like to know that they hour, and three quarter-hour. rule, call or email Ms. Danielle Mauser, reached the Facility, please enclose a Seventh Coast Guard District, Bridge stamped, self-addressed postcard or C. Basis and Purpose Branch, 305–415–6946, email envelope. We will consider all [email protected]. If you comments and material received during The proposed changes will have a have questions on viewing or submitting the comment period and may change minor impact on vessels transiting the material to the docket, call Barbara the rule based on your comments. Gulf Intracoastal Waterway in the Hairston, Program Manager, Docket vicinity of Venice, Florida and will still Operations, telephone 202–366–9826. 2. Viewing Comments and Documents meet the reasonable needs to navigation. SUPPLEMENTARY INFORMATION: To view comments, as well as This action will accommodate the documents mentioned in this preamble Sarasota Iron Man Triathlon held Table of Acronyms as being available in the docket, go to annually on the second Sunday of CFR Code of Federal Regulations http://www.regulations.gov, type the November.

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00026 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS 69804 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

D. Discussion of Proposed Rule number of small entities for the Federal agencies to assess the effects of This proposed rule will allow the following reasons. This rule will be in their discretionary regulatory actions. In Hatchett Creek Bridge to remain closed effect for eight hours annually. Vessels particular, the Act addresses actions to navigation for eight hours once a year that can safely transit under the bridge that may result in the expenditure by a for an annual event. The Hatchett Creek may do so at any time. Before the State, local, or tribal government, in the (US–41) Bridge provides a vertical effective period, the Coast Guard will aggregate, or by the private sector of clearance of 16 feet at mean high water issue maritime advisories widely $100,000,000 (adjusted for inflation) or in the closed position and a horizontal available to users of the river. more in any one year. Though this clearance of 90 feet. Vessels with a If you think that your business, proposed rule will not result in such an height of less than 16 feet may pass organization, or governmental expenditure, we do discuss the effects of through the bridge at any time. The Gulf jurisdiction qualifies as a small entity this rule elsewhere in this preamble. of Mexico is the only alternative route and that this rule would have a 8. Taking of Private Property and this route would be unacceptable significant economic impact on it, This proposed rule would not cause a for certain classes of vessels such as tugs please submit a comment (see taking of private property or otherwise and barges. ADDRESSES) explaining why you think it qualifies and how and to what degree have taking implications under E. Regulatory Analyses this rule would economically affect it. Executive Order 12630, Governmental We developed this proposed rule after Actions and Interference with 3. Assistance for Small Entities considering numerous statutes and Constitutionally Protected Property executive orders related to rulemaking. Under section 213(a) of the Small Rights. Below we summarize our analyses Business Regulatory Enforcement 9. Civil Justice Reform based on these statutes or executive Fairness Act of 1996 (Pub. L. 104–121), This proposed rule meets applicable orders. we want to assist small entities in understanding this proposed rule. If the standards in sections 3(a) and 3(b)(2) of 1. Regulatory Planning and Review rule would affect your small business, Executive Order 12988, Civil Justice This proposed rule is not a organization, or governmental Reform, to minimize litigation, ‘‘significant regulatory action’’ under jurisdiction and you have questions eliminate ambiguity, and reduce section 3(f) of Executive Order 12866, concerning its provisions or options for burden. Regulatory Planning and Review, as compliance, please contact the person 10. Protection of Children supplemented by Executive Order listed in the FOR FURTHER INFORMATION We have analyzed this proposed rule 13563, Improving Regulation and CONTACT, above. The Coast Guard will under Executive Order 13045, Regulatory Review, and does not require not retaliate against small entities that Protection of Children from an assessment of potential costs and question or complain about this Environmental Health Risks and Safety benefits under section 6(a)(3) of Order proposed rule or any policy or action of Risks. This rule is not an economically 12866 or under section 1 of Executive the Coast Guard. significant rule and would not create an Order 13563. The Office of Management environmental risk to health or risk to and Budget has not reviewed it under 4. Collection of Information safety that might disproportionately those Orders. This proposed rule would call for no affect children. This action will have a minor impact new collection of information under the on vessels transiting the Gulf Paperwork Reduction Act of 1995 (44 11. Indian Tribal Governments Intracoastal Waterway in the vicinity of U.S.C. 3501–3520). This proposed rule does not have Venice, Florida and will still meet the 5. Federalism tribal implications under Executive reasonable needs of navigation. Order 13175, Consultation and A rule has implications for federalism 2. Impact on Small Entities Coordination with Indian Tribal under Executive Order 13132, Governments, because it would not have The Regulatory Flexibility Act of 1980 Federalism, if it has a substantial direct a substantial direct effect on one or (RFA), 5 U.S.C. 601–612, as amended, effect on the States, on the relationship more Indian tribes, on the relationship requires federal agencies to consider the between the national government and between the Federal Government and potential impact of regulations on small the States, or on the distribution of Indian tribes, or on the distribution of entities during rulemaking. The term power and responsibilities among the power and responsibilities between the ‘‘small entities’’ comprises small various levels of government. We have Federal Government and Indian tribes. businesses, not-for-profit organizations analyzed this proposed rule under that that are independently owned and Order and have determined that it does 12. Energy Effects operated and are not dominant in their not have implications for federalism. This proposed rule is not a fields, and governmental jurisdictions 6. Protest Activities ‘‘significant energy action’’ under with populations of less than 50,000. Executive Order 13211, Actions The Coast Guard certifies under 5 U.S.C. The Coast Guard respects the First Concerning Regulations That 605(b) that this proposed rule would not Amendment rights of protesters. Significantly Affect Energy Supply, have a significant economic impact on Protesters are asked to contact the Distribution, or Use. a substantial number of small entities. person listed in the FOR FURTHER This proposed rule would affect the INFORMATION CONTACT section to 13. Technical Standards following entities, some of which might coordinate protest activities so that your This proposed rule does not use be small entities: The owners or message can be received without technical standards. Therefore, we did operators of vessels needing the draw to jeopardizing the safety or security of not consider the use of voluntary open for safe transit under the bridge people, places or vessels. consensus standards. from 9 a.m. to 5 p.m. on the second Sunday of November each year. 7. Unfunded Mandates Reform Act 14. Environment This action will not have a significant The Unfunded Mandates Reform Act We have analyzed this rule under economic impact on a substantial of 1995 (2 U.S.C. 1531–1538) requires Department of Homeland Security

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00027 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69805

Management Directive 023–01 and Dated: October 25, 2013. Proposal Nine attached to its Revised Commandant Instruction M16475.lD, J.H. Korn, Petition.2 The changes contained in which guides the Coast Guard in Rear Admiral, U.S. Coast Guard,Commander, Proposals Six through Nine are complying with the National Seventh Coast Guard District. described below. Environmental Policy Act of 1969 [FR Doc. 2013–27564 Filed 11–20–13; 8:45 am] II. Proposals (NEPA)(42 U.S.C. 4321–4370f), and BILLING CODE 9110–04–P have made a preliminary determination A. Proposal Six: Proposed Changes in that this action is one of a category of Stamp Fulfillment Services (SFS) actions which do not individually or POSTAL REGULATORY COMMISSION Handling and Philatelic Sales Cost Estimation Models cumulatively have a significant effect on the human environment. This proposed 39 CFR Part 3050 To address a concern raised by the rule simply promulgates the operating [Docket No. RM2014–1; Order No. 1877] Commission in the FY 2012 ACD, the regulations or procedures for Postal Service proposes to update its drawbridges. This rule is categorically Periodic Reporting (Proposals Six methodology for calculating the costs excluded, under figure 2–1, paragraph Through Nine) for Philatelic Sales and the handling (32)(e), of the Instruction. costs of SFS in order to align the AGENCY: Postal Regulatory Commission. product description in the Mail Under figure 2–1, paragraph (32)(e), of ACTION: Notice of proposed rulemaking. Classification Schedule (MCS). the Instruction, an environmental To do so, the Postal Service proposes SUMMARY: analysis checklist and a categorical The Commission is noticing a to update the cost model for SFS exclusion determination are not recent Postal Service filing concerning handling costs (StFS2012.xls) and the required for this rule. We seek any the initiation of a proceeding to way handling revenue (the $1.25 and consider proposed changes in analytical comments or information that may lead the $1.75 fees) is classified by not principles (Proposals Six Through to the discovery of a significant including the handling costs and Nine). This notice informs the public of revenue (the $1.25 and $1.75 fees) for environmental impact from this the filing, invites public comment, and proposed rule. Philatelic Sales in the SFS handling takes other administrative steps. workpaper going forward. The handling List of Subjects in 33 CFR Part 117 DATES: Comments are due: December 2, costs of Philatelic Sales will be included 2013. Reply comments are due: solely in the Philatelic Sales cost Bridges. December 9, 2013. estimation workpaper (StFS For the reasons discussed in the ADDRESSES: Submit comments Philatelic2012.xls). Id. preamble, the Coast Guard proposes to electronically via the Commission’s The Postal Service further states that amend 33 CFR part 117 as follows: Filing Online system at http:// this proposal also seeks to update the www.prc.gov. Those who cannot submit methodology in order to capture the PART 117—DRAWBRIDGE comments electronically should contact window costs of Philatelic products OPERATION REGULATIONS the person identified in the FOR FURTHER sold in retail. INFORMATION CONTACT section by B. Proposal Seven: Change in ■ 1. The authority citation for part 117 telephone for advice on filing Attributable Costs for Competitive Post continues to read as follows: alternatives. Office Box Service Enhancements Authority: 33 U.S.C. 499; 33 CFR 1.05–1; FOR FURTHER INFORMATION CONTACT: The Postal Service states Proposal Department of Homeland Security Delegation Stephen L. Sharfman, General Counsel, Seven updates and improves the No. 0170.1. at 202–789–6820. methodology for developing attributable SUPPLEMENTARY INFORMATION: costs for the enhancements to ■ 2. In § 117.287, revise paragraph (b) to Table of Contents competitive Post Office Box service, as read as follows: requested by the Commission in the FY I. Introduction § 117.287 Gulf Intracoastal Waterway. 2012 ACD at 163 and 199. There are two II. Proposals elements of these costs: (1) handling of * * * * * III. Notice and Comment packages from third-party carriers; and IV. Ordering Paragraphs (b) The draw of the Hatchett Creek (2) information technology costs. Id., (U.S.–41) bridge, mile 56.9 at Venice, I. Introduction Proposal 7 at 1. shall open on signal, except that, from On November 8, 2013, the Postal The Postal Service filed under seal a 7 a.m. to 4:20 p.m., Monday through Service filed a petition pursuant to 39 non-public version of Proposal Seven in Friday except Federal holidays, the CFR 3050.11 requesting the Commission USPS–RM2014–1/NP1 which includes draw need open only on the hour, 20 initiate an informal rulemaking material provided under seal in the FY minutes after the hour, and 40 minutes 2012 Annual Compliance Report, as proceeding to consider three changes to 3 after the hour and except between 4:25 analytical principles for use in periodic well as updates to that material. The proposed methodology for p.m. and 5:25 p.m. when the draw need reporting.1 Petition at 1. The Petition information technology costs, (which is not open. On Saturdays, Sundays, and labels the proposed analytical principle a description of the calculation done for Federal holidays from 7:30 a.m. to 6 changes attached to its Petition filed on FY 2012) entails consulting with p.m. the draw need open only on the November 8, 2013 in this docket as Engineering to determine: (1) The hour, quarter-hour, half-hour, and three Proposals Six through Eight. On quarter-hour. This bridge need not open November 12, 2013, the Postal Service 2 Notice of the United States Postal Service of to navigation on the second Sunday of filed an errata to its Petition to add Revision to Add Proposal Nine to the Petition for November annually from 9 a.m. to 5 Rulemaking—Errata, November 12, 2012 (Revised p.m. to facilitate the Iron Man Triathlon 1 Petition of the United States Postal Service for Petition). event. the Initiation of a Proceeding to Consider Proposed 3 Notice of Filing of USPS–RM2014–1/NP1 and Changes in Analytical Principles (Proposals Six Application for Nonpublic Treatment, November 8, * * * * * through Eight), November 8, 2013 (Petition). 2013.

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00028 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS 69806 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

estimated proportion of time spent by Postal Service notes that the IV. Ordering Paragraphs contractor engineers on maintaining the productivity changes affect the non- It is ordered: Competitive PO Box service Web site machinable categories of mail as the 1. The Commission establishes Docket and software; (2) any server costs; and manual letter productivities affect those No. RM2014–1 for consideration of the (3) any other contractor costs related to categories the most. Changes to matters raised by the Petition of the Web site and software development. machinable/automation rate categories United States Postal Service for the The estimated time proportions are are because of the change in the CRA Initiation of a Proceeding to Consider applied to the hourly rates of the adjustment factor. Id. at 4. Proposed Changes in Analytical contractor engineers involved to Principles (Proposals Six through Eight), determine a labor cost, which is added D. Proposal Nine: Changes in In-Office Cost System (IOCS) Encirclement Rules filed November 8, 2013 and the Revised to the server and additional contractor Petition of the United States Postal costs. Id., Proposal 7 at 2. The Postal In Proposal Nine, the Postal Service Service for the Initiation of a Proceeding Service states the proposed proposes to update the encirclement to Consider Proposed Changes in methodology is a detailed description or rules for Delivery Confirmation to Analytical Principles (Proposals Six explanation of the proposed reflect changes in products. In the In- through Nine), filed November 12, 2013. calculations as requested by the Office Cost System (IOCS), encirclement 2. Comments by interested persons in Commission. Id. is the process of assigning the cost of this proceeding are due no later than C. Proposal Eight: Changes to MODS handling a mailpiece with an Extra December 2, 2013. Reply comments are Operation Groups for Productivity Service to the Extra Service rather than due no later than December 9, 2013. Calculations to the host mailpiece. The Postal Service 3. Pursuant to 39 U.S.C. 505, the Commission appoints John P. The Postal Service states that Proposal states that encirclement is warranted Klingenberg to serve as an officer of the Eight would modify the MODS when an Extra Service is the primary Commission (Public Representative) to operation groups reported in Docket No. reason that an employee has to handle ACR2013 folder USPS–FY13–23 to a mailpiece. Revised Petition, Proposal represent the interests of the general reflect operational changes and other 9 at 1. public in this docket. 4. The Secretary shall arrange for cost modeling requirements. In Docket Specifically, the Postal Service publication of this order in the Federal No. ACR2012, folder USPS–FY12–23 proposes to stop encircling costs at Register. provided MODS productivity data (TPF acceptance to Delivery Confirmation for or TPH per workhour) for a variety of IOCS tallies after January 27, 2013 for By the Commission. operation groups related to letter, flat, Priority Mail (retail), Standard Post Ruth Ann Abrams, parcel, and bundle sorting. The MODS (retail), Parcel Select Lightweight, and Acting Secretary. productivity data are used to First-Class Package Service. The Postal [FR Doc. 2013–27826 Filed 11–20–13; 8:45 am] parameterize a number of cost models Service reasons that beginning January BILLING CODE 7710–FW–P presented in the ACR, which are used 27, 2013, the products began to include to compute disaggregated product costs Tracking (Delivery Confirmation) as a for purposes including measurement of free service. Therefore, after that date, ENVIRONMENTAL PROTECTION worksharing cost avoidances. Id., costs should no longer be encircled to AGENCY Proposal 8 at 1. the Delivery Confirmation service, but The Postal Service further states that instead should be assigned to the host 40 CFR Parts 51 operational changes such as product. Id. introduction and retirement of mail [EPA–HQ–OAR–2013–0694, FRL–9903–28– processing equipment periodically III. Notice and Comment OAR] require conforming changes to MODS The Commission establishes Docket Identification of Nonattainment data reporting, as cost model structures No. RM2014–1 for consideration of Classification and Deadlines for are modified to reflect currently active matters raised by the Petition and the Submission of State Implementation operations. When equipment and Revised Petition. For specific details on Plan (SIP) Provisions for the 1997 Fine associated operations are withdrawn each of the proposals, interested persons Particle (PM2.5) National Ambient Air from service, there may be no data, or are encouraged to review the Petition Quality Standard (NAAQS) and 2006 insufficient data, for reliable and Revised Petition, which are PM2.5 NAAQS productivity reporting. Less frequently, available via the Commission’s Web site changes to MODS methodology may AGENCY: Environmental Protection at http://www.prc.gov. The Postal affect the validity of MODS data. Id. Agency (EPA). Service filed portions of its supporting The Petition includes a table of the ACTION: Proposed rule. twelve USPS–FY12–23 Group(s) and documentation relating to Proposal their respective Proposed Group for Seven under seal as part of a non-public SUMMARY: On January 4, 2013, in USPS–FY13–23. The Postal Service says annex. Information concerning access to Natural Resources Defense Council that the productivity calculations for the these non-public materials is located in (NRDC) v. EPA, the D.C. Circuit Court new groups would continue to use the 39 CFR part 3007. (Court) remanded to the EPA the ‘‘Final methods from USPS–FY12–23. As Interested persons may submit Clean Air Fine Particle Implementation applicable, the mailflow models would comments on the Petition no later than Rule’’ (April 25, 2007) and the employ productivities from the December 2, 2013. Reply comments are ‘‘Implementation of the New Source consolidated operation groups in place due no later than December 9, 2013. Review (NSR) Program for Particulate of the previous disaggregated groups. Id. Pursuant to 39 U.S.C. 505, John P. Matter Less than 2.5 Micrometers at 2. Klingenberg is designated as an officer (PM2.5)’’ final rule (May 16, 2008) The Postal Service has filed modified of the Commission (Public (collectively, ‘‘1997 PM2.5 versions of the USPS–FY12–10 and Representative) to represent the Implementation Rules’’). The Court USPS–FY12–11 models with proposed interests of the general public in this found that the EPA erred in changes highlighted in the models. The proceeding. implementing the 1997 PM2.5 National

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00029 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69807

Ambient Air Quality Standards Headquarters Library, Room Number the Air and Radiation Docket and (NAAQS) pursuant solely to the general 3334 in the WJC West Building, located Information Center in the EPA implementation provisions of subpart 1 at 1301 Constitution Ave. NW., Headquarters Library, Room Number of Part D of Title I of the Clean Air Act Washington, DC. The EPA/DC Public 3334 in the WJC West Building, located (CAA or Act), without also considering Reading Room is open from 8:30 a.m. to at 1301 Constitution Ave. NW., the particulate matter-specific 4:30 p.m. Eastern Standard Time (EST), Washington, DC. The Public Reading provisions of subpart 4 of Part D. The Monday through Friday, Air and Room is open from 8:30 a.m. to 4:30 Court’s ruling remanded the rules to the Radiation Docket and Information p.m., Monday through Friday, excluding EPA to address implementation of the Center. legal holidays. The telephone number • 1997 PM2.5 NAAQS under subpart 4. Instructions: Direct your comments for the Public Reading Room is (202) This proposed rulemaking identifies the to Docket ID No. EPA–HQ–OAR–2013– 566–1744. 0694. The EPA’s policy is that all classification under subpart 4 for areas FOR FURTHER INFORMATION CONTACT: comments received will be included in For currently designated nonattainment for further general information on this the 1997 and/or 2006 PM2.5 standards, the public docket without change and may be made available on-line at rulemaking, contact Ms. Mia South, Air the deadlines for states to submit Quality Policy Division, Office of Air attainment-related and new source www.regulations.gov, including any personal information provided, unless Quality Planning and Standards (C539– review (NSR) state implementation plan 01), Environmental Protection Agency, (SIP) elements required for these areas the comment includes information claimed to be confidential business Research Triangle Park, North Carolina pursuant to subpart 4, and the EPA 27711; telephone number (919) 541– guidance that is currently available information (CBI) or other information whose disclosure is restricted by statute. 5550; fax number (919) 541–5315; email regarding subpart 4 requirements. The at [email protected]. proposed deadlines for 1997 and 2006 Do not submit information that you consider to be CBI or otherwise SUPPLEMENTARY INFORMATION PM2.5 attainment-related SIP : protected through www.regulations.gov submissions and NSR requirements for I. General Information nonattainment areas would replace or email. The www.regulations.gov Web previous deadlines that were set solely site is an ‘‘anonymous access’’ system, A. Does this action apply to me? pursuant to subpart 1. Specifically, the which means the EPA will not know your identity or contact information Entities potentially affected directly EPA is proposing to identify the initial by this proposal include state, local and classification of current 1997 and/or unless you provide it in the body of your comment. If you send an email tribal governments. 2006 PM2.5 nonattainment areas as ‘‘moderate,’’ and the EPA is proposing comment directly to the EPA without B. What should I consider as I prepare to set a deadline of December 31, 2014, going through www.regulations.gov, my comments for the EPA? for submission of remaining required your email address will be 1. Submitting CBI. Do not submit CBI SIP submissions for these areas, automatically captured and included as information to the EPA through pursuant to and considering the part of the comment that is placed in the www.regulations.gov or email. Clearly application of subpart 4. This public docket and made available on the mark the part or all of the information rulemaking affects eight nonattainment Internet. If you submit an electronic that you claim to be CBI. For CBI areas in five states. comment, the EPA recommends that you include your name and other information on a disk or CD ROM that DATES: Comments. Comments must be contact information in the body of your you mail to the EPA, mark the outside received on or before December 23, comment and with any CD you submit. of the disk or CD ROM as CBI and then 2013. If the EPA cannot read your comment identify electronically within the disk or ADDRESSES: Submit your comments, due to technical difficulties and cannot CD ROM the specific information that is identified by Docket ID No. EPA–HQ– contact you for clarification, the EPA claimed as CBI. In addition to one OAR–2013–0694 by one of the following may not be able to consider your complete version of the comment that methods: comment. Electronic files should avoid includes information claimed as CBI, a • www.regulations.gov: Follow the the use of special characters and any copy of the comment that does not on-line instructions for submitting form of encryption and be free of any contain the information claimed to be comments. defects or viruses. For additional CBI must be submitted for inclusion in • Email: [email protected]. information about the EPA’s public the public docket. Information marked • Mail: Air and Radiation Docket and docket, visit the EPA Docket Center CBI will not be disclosed except in Information Center, Attention Docket ID homepage at http://www.epa.gov/ accordance with procedures set forth in No. EPA–HQ–OAR- 2013–0694, epahome/dockets.htm. For additional 40 CFR part 2. Environmental Protection Agency, 1200 instructions on submitting comments, 2. Tips for Preparing Your Comments. Pennsylvania Avenue NW., Washington, go to the SUPPLEMENTARY INFORMATION When submitting comments, remember DC 20460. Mail Code: 28221T. Please section of this document. to: include two copies if possible. In Docket: All documents in the docket • Identify the rulemaking by docket addition, please mail a copy of your are listed in www.regulations.gov. comments on the information collection Although listed in the index, some number and other identifying provisions to the Office of Information information is not publicly available, information (subject heading, Federal and Regulatory Affairs, Office of i.e., CBI or other information whose Register date and page number). • Management and Budget (OMB), Attn: disclosure is restricted by statute. Follow directions—The agency may Desk Officer for EPA, 725 17th St. NW., Certain other material, such as ask you to respond to specific questions Washington, DC 20503. copyrighted material, is not placed on or organize comments by referencing a • Hand Delivery: Air and Radiation the Internet and will be publicly Code of Federal Regulations (CFR) part Docket and Information Center, available only in hard copy form. or section number. Attention Docket ID No. EPA–HQ– Publicly available docket materials are • Explain why you agree or disagree; OAR–2013–0694, Environmental available either electronically in suggest alternatives and substitute Protection Agency in the EPA www.regulations.gov or in hard copy at language for your requested changes.

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00030 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS 69808 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

• Describe any assumptions and List of Subjects general implementation provisions of provide any technical information and/ II. What actions is the EPA proposing? subpart 1 of Part D of Title I of the CAA. or data that you used. The Court found that the EPA erred in • If you estimate potential costs or The EPA’s proposed rulemaking implementing the 1997 PM2.5 NAAQS burdens, explain how you arrived at responds to the Court’s remand in solely pursuant to subpart 1 of Part D of your estimate in sufficient detail to NRDC v. EPA by notifying the states of Title I of the CAA, without allow for it to be reproduced. the EPA’s initial modification of its consideration of the particulate matter- • Provide specific examples to previous approach to implementation of specific provisions of subpart 4 of Part illustrate your concerns, and suggest the 1997 and 2006 PM2.5 standards. This D. In this proposed rulemaking, the EPA alternatives. proposed rulemaking identifies: (1) The takes additional steps to respond to the • Explain your views as clearly as classification under subpart 4 of areas Court’s remand,2 and to address the possible, avoiding the use of profanity currently designated nonattainment for implementation of the 1997 and 2006 or personal threats. the 1997 and/or 2006 PM standards; PM2.5 NAAQS under subpart 4. In light • 2.5 Make sure to submit your (2) the deadline for states to submit any of the long history of implementation of comments by the comment period remaining attainment-related and NSR these standards under subpart 1, the deadline identified. SIP submissions required pursuant to EPA’s proposal seeks to integrate and C. Where can I get a copy of this subpart 4; and (3) the EPA guidance and harmonize ongoing implementation document and other related relevant rulemakings that are currently under subpart 1 with the subpart 4 information? available regarding implementation of requirements the Court has directed the subpart 4 requirements. Specifically, the EPA to address. In addition to being available in the EPA is proposing to identify the initial docket, an electronic copy of this notice IV. Proposed Initial Identification of classification of areas currently will be posted at http://www.epa.gov/ ‘‘Moderate’’ Classification for PM2.5 designated nonattainment for the 1997 airquality/particlepollution/ Nonattainment Areas Under Subpart 4 and the 2006 PM standards as actions.html. 2.5 ‘‘moderate,’’ and to set a deadline of Subpart 1 of Part D contains no D. How is this notice organized? December 31, 2014, for submission of nondiscretionary provision for any attainment-related and NSR SIP classification of nonattainment areas, The information presented in this although it authorizes the EPA to make notice is organized as follows: elements that may be due for these areas in consideration of the requirements classifications if it considers such classification appropriate. As a result, I. General Information under subpart 4. Additional details A. Does this action apply to me? under the EPA’s prior approach to regarding attainment-related and NSR B. What should I consider as I prepare my implementing the 1997 and 2006 PM SIP elements requirements of subpart 4 2.5 comments for the EPA? standards, the EPA did not identify any may also be addressed under separate C. Where can I get a copy of this document classifications for areas designated EPA guidance and/or rulemaking. With and other related information? nonattainment for those standards. By D. How is this notice organized? regard to SIPs that previously have been contrast, subpart 4 of the CAA, section II. What actions is the EPA proposing? submitted solely under the requirements 188, provides that all areas designated III. Background for Proposal of subpart 1, and which are now also nonattainment are initially classified IV. Proposed Initial Identification of subject to subpart 4 requirements, states ‘‘Moderate’’ Classification for PM ‘‘by operation of law’’ as ‘‘moderate’’ 2.5 should consult with their respective Nonattainment Areas Under Subpart 4 nonattainment areas, and they remain EPA regional offices for assistance in V. Proposed Deadlines for Submission of classified as moderate nonattainment evaluating the appropriate course for Remaining Required Attainment-Related areas unless and until the EPA later addressing the effect of subpart 4 SIP Elements reclassifies them as serious VI. What guidance is currently available to requirements on these submissions and nonattainment areas.3 Pursuant to this States regarding subpart 4 requirements? for accomplishing any additional state provision, the EPA is proposing in this VII. Proposed Actions work and the EPA review. The EPA notice to identify the classification of all VIII. Statutory and Executive Order Reviews expects that the existing submittals will PM areas currently designated A. Executive Order 12866: Regulatory already satisfy many of the subpart 4 2.5 Planning and Review and Executive nonattainment for the 1997 and 2006 requirements, and, to the extent that Order 13563: Improving Regulation and NAAQS as ‘‘moderate.’’ Thus the additional information is needed for Regulatory Review provisions of subpart 4 relevant to areas specific requirements, every effort will B. Paperwork Reduction Act currently designated nonattainment for C. Regulatory Flexibility Act be made to avoid duplicative work from 1997 and/or 2006 PM2.5 NAAQS would D. Unfunded Mandates Reform Act the states. initially be those applicable to moderate E. Executive Order 13132: Federalism F. Executive Order 13175: Consultation III. Background for Proposal areas. For more information on current nonattainment areas, see 1997 PM2.5 and Coordination With Indian Tribal On January 4, 2013, in NRDC v. EPA, Governments Nonattainment Areas, http:// G. Executive Order 13045: Protection of the D.C. Circuit Court remanded to the www.epa.gov/oaqps001/greenbk/ Children From Environmental Health EPA the 1997 PM2.5 Implementation and Safety Risks Rules. 706 F.3d 428 (D.C. Cir. 2013). March 2, 2012. This guidance was withdrawn on H. Executive Order 13211: Actions Prior to the Court’s decision, and June 6, 2013. Concerning Regulations That continuously since 2005, the EPA had 2 The EPA has previously addressed the NRDC Significantly Affect Energy Supply, implemented the 1997 and 2006 PM2.5 decision and the role of subpart 4 in PM2.5 Distribution, or Use implementation in numerous rulemakings on NAAQS pursuant to regulations and individual areas. See areas listed in footnote 4, I. National Technology Transfer and 1 guidance that were based on the below. Advancement Act 3 J. Executive Order 12898: Federal Actions In the General Preamble, the EPA has previously 1 ‘‘Implementation Guidance for the 2006 24-Hour addressed the requirements of section 188 To Address Environmental Justice in Fine Particle (PM2.5) National Ambient Air Quality concerning classifications under subpart 4, Minority Populations and Low-Income Standards (NAAQS),’’ from Stephen D. Page, including the issue of discretionary and mandatory Populations Director, Office of Air Quality Planning and reclassification from moderate to serious. See 57 FR Statutory Authority Standards, to Regional Air Directors, Region I–X, 13498, at 13537–8.

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00031 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69809

qnc.html and 2006 PM2.5 Nonattainment including, among other requirements, would help support NAAQS Areas, http://www.epa.gov/oaqps001/ nonattainment NSR permitting implementation and that approximately greenbk/rnc.html. programs. The EPA must therefore 1 year would provide an additional The areas that are most clearly respond to the Court’s remand in the amount of time for development of any affected by this rule are areas that did context of the states’ prior and ongoing additional SIP submittal for these areas not submit a SIP under subpart 1 and efforts to attain the standards under the if needed. which do not have a clean data framework of subpart 1. The EPA takes The EPA is therefore proposing to set determination or which have not yet this history into account in proposing to a deadline of December 31, 2014, for the submitted a redesignation request. The set a new deadline for any remaining states to submit any additional states and specific nonattainment areas submissions that may be required for a attainment-related SIP elements that affected for the PM2.5 1997 areas are moderate nonattainment area due to the may be needed to meet the applicable Libby, MT, San Joaquin Valley, CA and applicability of subpart 4. It is important requirements of subpart 4 for areas the Los Angeles-South Coast Air Basin, for EPA to set a new deadline in order currently designated nonattainment for CA. For the 2006 PM2.5 nonattainment to give states the opportunity to address the 1997 and/or 2006 PM2.5 NAAQS, areas, the states and specific the interpretation announced by the and to submit SIPs addressing the nonattainment areas affected are Court earlier this year. In rulemakings nonattainment NSR requirements in Fairbanks, AK, Imperial County, CA, on individual areas subsequent to the subpart 4. The EPA believes that this Liberty-Clairton, PA, Provo, UT and Salt Court’s decision, the EPA has explained period provides a relatively brief but Lake City, UT. in detail its view that the Court’s reasonable amount of time for states to The subpart 4 requirements for areas recently announced interpretation ascertain whether and to what extent classified as moderate are generally should not be applied retroactively. See, any additional submissions are needed comparable to those of subpart 1. The for example, ‘‘Approval and for a particular 1997 or 2006 PM2.5 general provisions for requirements for Promulgation of Air Quality nonattainment area,5 and to develop, all nonattainment areas for subpart 4 Implementation Plans; Indiana; adopt and submit any such SIPs. include: (1) Section 189 (a)(1)(A) (NSR Redesignation of the Indianapolis Area Section 188(c)(1) of Subpart 4 permit program); (2) section 189 to Attainment of the 1997 Annual establishes an attainment deadline of no (a)(1)(B) (attainment demonstration); (3) Standard for Fine Particulate Matter’’ later than the end of the sixth calendar section 189 (a)(1)(C) [reasonably (78 FR 20856, April 8, 2013—proposal), year after designation as nonattainment. available control measures (RACM) and (78 FR 41698, July 11, 2013—final). The With respect to the 2006 24-hour PM2.5 reasonable available control technology EPA has continued to consider and act NAAQS, nonattainment area (RACT)]; (4) section 189 (c) [request for upon submissions already made, designations for most areas became proposals (RFP) and quantitative explaining in those individual effective in December 2009 (74 FR milestones]; and (5) section 189 (e) rulemakings how the EPA has taken into 58688, November 13, 2009). Thus, these (precursor requirements for major account the NRDC Court’s decision.4 areas are subject to an attainment stationary sources). Subpart 4 also Notwithstanding those actions, there are deadline under subpart 4 of no later includes additional statutory SIP areas for which states are required to than December 31, 2015. A SIP planning requirements in the event that make additional submissions under submission deadline of December 31, EPA reclassifies a moderate subparts 1 and 4. With respect to those 2014, for these areas will therefore nonattainment area to a serious areas the EPA believes that states should ensure that there is at least a year nonattainment area and in the event the be provided a reasonable opportunity to between SIP submission and attainment area needs additional extensions of time make such submissions based on the deadlines.6 The December 31, 2014, to attain the NAAQS. The General EPA interactions with states regarding 5 Preamble and Addendum provide the implementation of the PM2.5 The answers to these questions will depend useful additional guidance on the NAAQS for the areas likely to be most upon the circumstances of each individual specific subpart 4 statutory nonattainment area, including whether the area’s affected by this rule, we anticipate that monitored air quality meets the standard, and requirements. establishing a clear submittal date whether the state has already made attainment- V. Proposed Deadlines for Submission related and NSR SIP submissions for the area. As 4 the EPA has explained in its proposed rulemaking of Remaining Required Attainment- In addition to the Indianapolis redesignation, since the NRDC Court’s decision, the EPA has on Approval and Promulgation of Air Quality Related SIP Elements considered the role of subpart 4 in PM2.5 Implementation Plans; Indiana; Redesignation of the Indianapolis Area to Attainment of the 1997 In 2013, the D.C. Circuit Court in implementation in a number of other individual rulemakings: ‘‘Redesignation of Ohio Portions of Annual Standard for Fine Particulate Matter (78 FR NRDC v. EPA directed the EPA to Parkersburg-Marietta and Wheeling Areas to 20856, April 8, 2013), it is also important to modify its regulatory approach to Attainment of the 1997 Annual Standard for Fine evaluate, for each area, the interrelationship of the two subparts, and whether the substance of subpart implementing the 1997 PM2.5 standard Particulate Matter’’ (78 FR 53275, August 29, 2013), 1 and subpart 4 provisions, should, for certain solely under subpart 1. The EPA’s ‘‘Redesignation of the Detroit-Ann Arbor Area to Attainment of the 1997 and 2006 Standards for Fine purposes, be considered equivalent. subpart 1-based rulemakings were Particulate Matter’’ (78 FR 53272, August 29, 2013), 6 The EPA designation for the West Central Pinal issued in 2007 and 2008, and for more ‘‘Redesignation of the Cleveland-Akron-Lorain Area area in Arizona as nonattainment for the 2006 24- than 5 years they have governed the for the 1997 Annual and 2006 24-Hour Standards’’ hour PM2.5 standard became effective March 7, (78 FR 57270, September 18, 2013), ‘‘Redesignation 2011. See 76 FR 6056, February 3, 2011. Although EPA’s and the states’ implementation of Ohio Portion of the Steubenville-Weirton Area the latest attainment date applicable to this area efforts. Prior to the Court’s decision, for the 1997 Annual and 2006 24-Hour Standards’’ under subpart 4 is December 31, 2017 (2 years later states understandably have worked (78 FR 57273, September 18, 2013), ‘‘Redesignation than the December 31, 2015, attainment date that towards meeting the air quality goals of of Dayton-Springfield, OH Nonattainment Area for applies to areas designated nonattainment in 2009), 1997 PM-2.5’’ (78 FR 59258, September 26, 2013), the EPA is proposing to require Arizona to submit the 1997 and 2006 standards in ‘‘Redesignation of Canton-Massillon OH an attainment SIP meeting the requirements of accordance with the EPA regulations Nonattainment Area for 1997 PM-2.5’’ (78 FR subpart 4 for the 2006 24-hour PM2.5 standard for and guidance derived from subpart 1. 62459, October 22, 2013), and ‘‘Proposed Approval this area by the same December 31, 2014, date that During this time, many PM2.5 of Delaware Attainment Plan for the Delaware we are proposing for other nonattainment areas. Portion of the Philadelphia-Wilmington, The December 31, 2014, SIP submission date would nonattainment areas have attained the Pennsylvania-New Jersey-Delaware Nonattainment supplant the March 7, 2014, date by which the state 1997 and 2006 PM2.5 standards and/or Area for the 1997 Annual Fine Particulate Matter was previously required under subpart 1 to submit submitted SIPs aimed at attainment, Standard’’ (78 FR 57573, September 19, 2013). Continued

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00032 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS 69810 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

deadline would allow a brief but VI. What guidance is currently of Part D of Title I of the CAA, without reasonable amount of time for the states available to States regarding subpart 4 also considering the particulate matter- to modify their SIPs in consideration of requirements? specific provisions of subpart 4 of Part subpart 4 in keeping with the timeframe The EPA has longstanding general D. The EPA proposes to identify the established by the existing subpart 4 guidance that interprets the 1990 initial classification of current 1997 and attainment deadline. With respect to the amendments to the CAA, making 2006 PM2.5 nonattainment areas as 1997 Annual PM2.5 NAAQS, although recommendations to states for meeting moderate. For these areas, the EPA is nonattainment area designations in most the statutory requirements for SIPs for also proposing to set December 31, areas became effective more than 8 years nonattainment areas. See ‘‘State 2014, as the deadline for any remaining ago (see 70 FR 944, January 5, 2005), we Implementation Plans; General required attainment-related and are proposing to establish for these areas Preamble for the Implementation of nonattainment NSR SIP submissions, the same subpart 4 SIP submission Title I of the Clear Air Act Amendments pursuant to and considering the deadline that would apply for purposes of 1990’’ (57 FR 13498, April 16, 1992) application of subpart 4. The EPA is of the 2006 PM2.5 NAAQS (December (the ‘‘General Preamble’’). In the General soliciting comment, specifically on the 31, 2014), so that all states with PM2.5 Preamble, the EPA discussed the proposed deadlines for submission of nonattainment areas have a reasonable relationship of subpart 1 and subpart 4 remaining SIP requirements. amount of time to develop any SIP requirements, and pointed out that There are two main categories of areas additional SIP elements that may be subpart 1 requirements were to an most affected by this rule: (1) Areas that required under subpart 4 in response to extent ‘‘subsumed by, or integrally did not submit a SIP under subpart 1 related to, the more specific PM–10 the NRDC decision. Thus, for all PM2.5 and (2) areas which do not have a clean nonattainment areas, the states would requirements.’’ 57 FR at 13538. In recent data determination or which have not be required to submit any remaining rulemakings for individual areas yet submitted a redesignation request. attainment-related SIPs that are published after the NRDC Court The states and specific nonattainment decision, the EPA has further elaborated necessary to satisfy the requirements areas affected for the 1997 PM2.5 on the relationship of subpart 1 and applicable to moderate nonattainment NAAQS are Libby, MT, San Joaquin subpart 4 requirements in the context of areas under section 189(a) of the Act no Valley, CA and the Los Angeles-South an area that has attained the 1997 PM2.5 later than December 31, 2014. This Coast Air Basin, CA. For the 2006 PM2.5 standard and requested redesignation to NAAQS, the states and specific proposal does not affect any action that attainment. ‘‘Approval and nonattainment areas affected are the EPA has previously taken under Promulgation of Air Quality Fairbanks, AK, Imperial County, CA, section 110(k) of the Act on a SIP for a Implementation Plans; Indiana; Liberty-Clairton, PA, Provo, UT and Salt PM2.5 nonattainment area. As noted in Redesignation of the Indianapolis Area Lake City, UT. Using the most up to date the section below, because subpart 4 to Attainment of the 1997 Annual status of SIP submissions and approved incorporates the requirements of subpart Standard for Fine Particulate Matter’’ SIPs, the EPA will continue working 1 and affects the requirements that it (78 FR 20856, April 8, 2013—proposal) with states on a case-by-case basis, subsumes, the EPA is proposing that the (78 FR 41698, July 11, 2013—final). The based on their stage of SIP development, December 31, 2014, deadline replaces EPA believes that both the General to address subpart 4 requirements. the deadlines previously set for Preamble and its recent rulemakings on submissions designed solely for subpart Indianapolis and other areas provide VIII. Statutory and Executive Order 1. By coordinating implementation of helpful guidance for states in Reviews subpart 4 and subpart 1 submissions, ascertaining the impact of subpart 4 and clarifying the deadline for requirements on their ongoing efforts to A. Executive Order 12866: Regulatory submission of additional subpart 4 meet the 1997 and 2006 PM2.5 Planning and Review and Executive requirements, the proposed rule will standards.8 For help with questions or Order 13563: Improving Regulation and help states and areas understand and further clarification, states should Regulatory Review consult their respective EPA regional efficiently discharge any remaining This action is not a ‘‘significant offices. responsibilities. The proposed rule will regulatory action’’ under the terms of also facilitate the processing of requests VII. Proposed Actions Executive Order 12866 (58 FR 51735, to redesignate 1997 and 2006 This rule responds to the Court’s October 4, 1993) and is therefore not nonattainment areas to attainment, since subject to review under Executive clear deadlines for submissions of decision in NRDC v. EPA, supra. The Court found that the EPA erred in Orders 12866 and 13563 (76 FR 3821, requirements will provide a means for implementing the 1997 PM NAAQS January 21, 2011). identifying applicable requirements for 2.5 pursuant solely to the general purposes evaluating redesignation B. Paperwork Reduction Act implementation provisions of subpart 1 requests.7 This action does not impose an 8 See also ‘‘Redesignation of Ohio Portions of information collection burden under the a PM2.5 attainment SIP for this area, and would Parkersburg-Marietta and Wheeling Areas to provisions of the Paperwork Reduction provide a reasonable amount of additional time for Attainment of the 1997 Annual Standard for Fine the state to both develop the required subpart 4 SIP Particulate Matter’’ (78 FR 53275, August 29, 2013), Act, 44 U.S.C. 3501 et seq. Burden is elements and implement its control strategy in ‘‘Redesignation of the Detroit-Ann Arbor Area to defined at 5 CFR 1320.3(b). This advance of the applicable attainment date. Attainment of the 1997 and 2006 Standards for Fine proposed rulemaking identifies the 7 As explained in the EPA’s proposed Particulate Matter’’ (78 FR 53272, August 29, 2013); classification under subpart 4 for areas redesignation of the Indianapolis Area to ‘‘Redesignation of the Cleveland-Akron-Lorain Area Attainment for the 1997 PM2.5 Standard, in for the 1997 Annual and 2006 24-Hour Standards’’ currently designated nonattainment for evaluating redesignation requests, the EPA’s (78 FR 57270, September 18, 2013), ‘‘Redesignation the 1997 and/or 2006 PM2.5 standards longstanding interpretation is that ‘‘applicable of Ohio Portion of the Steubenville-Weirton Area and the deadline for states to submit requirements’’ are those whose deadline for for the 1997 Annual and 2006 24-Hour Standards’’ attainment-related SIP elements for submission occurs prior to the state’s submission of (78 FR 57273, September 18, 2013), ‘‘Redesignation a complete redesignation request. 78 FR 20856, of Dayton-Springfield, OH Nonattainment Area for these areas that are required pursuant to 20861. 1997 PM-2.5’’ (78 FR 59258, September 26, 2013). subpart 4.

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00033 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69811

C. Regulatory Flexibility Act UMRA because it contains no regulatory G. Executive Order 13045: Protection of The Regulatory Flexibility Act (RFA) requirements that might significantly or Children From Environmental Health generally requires an agency to prepare uniquely affect small governments. This and Safety Risks a regulatory flexibility analysis of any proposed rulemaking identifies the The EPA interprets E.O. 13045 (62 FR regulation subject to notice and classification under subpart 4 for areas 19885, April 23, 1997) as applying only comment rulemaking requirements currently designated nonattainment for to those regulatory actions that concern under the Administrative Procedures the 1997 and/or 2006 PM2.5 standards health or safety risks, such that the Act or any other statute unless the and the deadline for states to submit analysis required under section 5–501 of agency certifies the rule will not have a attainment-related SIP elements for the E.O. has the potential to influence significant economic impact on a these areas that are required pursuant to the regulation. This action is not subject substantial number of small entities. subpart 4. to E.O. 13045 because it does not Small entities include small businesses, E. Executive Order 13132: Federalism establish an environmental standard small organizations and small intended to mitigate health or safety governmental jurisdictions. This action does not have federalism risks. This proposed rulemaking For purposes of assessing the impacts implications. It will not have substantial identifies the classification under of this rule on small entities, small direct effects on the states, on the subpart 4 for areas currently designated entity is defined as: (1) A small business relationship between the national nonattainment for the 1997 and/or 2006 as defined in the Small Business government and the states, or on the PM2.5 standards and the deadline for Administration’s (SBA) regulations at 13 distribution of power and states to submit attainment-related SIP CFR 121.201;) (2) a small governmental responsibilities among the various elements for these areas that are jurisdiction that is a government of a levels of government, as specified in required pursuant to subpart 4. city, county, town, school district or Executive Order 13132. The special district with a population of less H. Executive Order 13211: Actions requirement to submit SIP revisions to Concerning Regulations That than 50,000; and (3) a small meet the 1997 and 2006 PM2.5 NAAQS organization that is any not-for-profit Significantly Affect Energy Supply, requirements under subpart 4 is Distribution, or Use enterprise which is independently imposed by the CAA. This proposed owned and operated and is not rule, if made final, would interpret This action is not subject to Executive dominant in its field. those requirements as they apply to the Order 13211 (66 FR 28355 (May 22, After considering the economic 2001)), because it is not a significant 1997 and 2006 PM2.5 NAAQS. Thus, impacts of this proposed rule on small Executive Order 13132 does not apply regulatory action under Executive Order entities, I certify that this action will not to this action. 12866. have a significant economic impact on I. National Technology Transfer and a substantial number of small entities. In the spirit of Executive Order 13132 Advancement Act This proposed rule will not impose any and consistent with the EPA policy to requirements directly on small entities. promote communications between the Section 12(d) of the National Entities potentially affected directly by EPA and state and local governments, Technology Transfer and Advancement this proposal include state, local and the EPA specifically solicits comments Act of 1995 (NTTAA), Public Law No. tribal governments and none of these on this proposed action from state and 104–113, section 12(d) (15 U.S.C. 272 governments are small governments. local officials. note) directs the EPA to use voluntary consensus standards in its regulatory Other types of small entities are not F. Executive Order 13175: Consultation directly subject to the requirements of activities unless to do so would be and Coordination With Indian Tribal inconsistent with applicable law or this rule because this action only Governments identifies the classification under otherwise impractical. Voluntary subpart 4 for areas currently designated This action does not have tribal consensus standards are technical nonattainment for the 1997 and/or 2006 implications, as specified in Executive standards (e.g., materials specifications, PM2.5 standards and the deadline for Order 13175 (65 FR 67249, November 9, test methods, sampling procedures and states to submit attainment-related SIP 2000). It would not have a substantial business practices) that are developed or elements for these areas that are direct effect on one or more Indian adopted by voluntary consensus required pursuant to subpart 4. tribes, since no tribe has to develop an standards bodies. NTTAA directs the We continue to be interested in the implementation plan under these EPA to provide Congress, through OMB, potential impacts of the proposed rule proposed regulatory revisions. explanations when the agency decides on small entities and welcome Furthermore, these proposed regulation not to use available and applicable comments on issues related to such revisions do not affect the relationship voluntary consensus standards. This action does not involve technical impacts. or distribution of power and standards. Therefore, the EPA is not responsibilities between the federal D. Unfunded Mandates Reform Act considering the use of any voluntary government and Indian tribes. The CAA This action contains no federal consensus standards. and the Tribal Air Rule establish the mandate under the provisions of title II relationship of the federal government J. Executive Order 12898: Federal of the Unfunded Mandates Reform Act and tribes in developing plans to attain Actions To Address Environmental of 1995 (UMRA), 2 U.S.C. 1531–1538 for the NAAQS, and these revisions to the Justice in Minority Populations and state, local and tribal governments, in regulations do nothing to modify that Low-Income Populations the aggregate, or the private sector. This relationship. Thus, Executive Order action imposes no enforceable duty on Executive Order (E.O.) 12898 (59 FR any state, local or tribal governments or 13175 does not apply to this action. 7629 (Feb. 16, 1994)) establishes federal the private sector. Therefore, this action Although Executive Order 13175 does executive policy on environmental is not subject to the requirements of not apply to this action, the EPA justice. Its main provision directs section 202 and 205 of the UMRA. specifically solicits additional comment federal agencies, to the greatest extent This action is also not subject to the on this proposed action from tribal practicable and permitted by law, to requirements of section 203 of the officials. make environmental justice part of their

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00034 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS 69812 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

mission by identifying and addressing, the Clean Air Act and EPA regulations DEPARTMENT OF DEFENSE as appropriate, disproportionately high and are consistent with EPA policies. and adverse human health or This action is being taken under section GENERAL SERVICES environmental effects of their programs, 110 and parts C and D of the Act. ADMINISTRATION policies and activities on minority populations and low-income DATES: Comments must be received on NATIONAL AERONAUTICS AND populations in the United States. or before December 23, 2013. SPACE ADMINISTRATION The EPA has determined that this ADDRESSES: Comments may be mailed to action will not have disproportionately Ms. Adina Wiley, Air Permits Section 48 CFR Parts 1, 2, 9, 12, 22, and 52 high and adverse human health or (6PD–R), Environmental Protection [FAR Case 2013–001; Docket 2013–0001, environmental effects on minority or Agency, 1445 Ross Avenue, Suite 1200, Sequence 1] low-income populations because it does Dallas, Texas 75202–2733. Comments not affect the level of protection RIN 9000–AM55 may also be submitted electronically or provided to human health or the through hand delivery/courier by Federal Acquisition Regulation; environment. This proposed rulemaking Ending Trafficking in Persons; identifies the classification under following the detailed instructions in Extension of Time for Comments subpart 4 for areas currently designated the Addresses section of the direct final rule located in the rules section of this nonattainment for the 1997 and/or 2006 AGENCY: Department of Defense (DoD), Federal Register. PM2.5 standards and the deadline for General Services Administration (GSA), states to submit attainment-related SIP FOR FURTHER INFORMATION CONTACT: Ms. and National Aeronautics and Space elements for these areas that are Adina Wiley, Air Permits Section (6PD– Administration (NASA). required pursuant to subpart 4. R), Environmental Protection Agency, ACTION: Proposed rule; extension of Statutory Authority Region 6, 1445 Ross Avenue, Suite comment period. 1200, Dallas, Texas 75202–2733, The statutory authority for this action SUMMARY: DoD, GSA, and NASA issued telephone (214) 665–2115; fax number is provided by 42 U.S.C. 7401, 7408, a proposed rule on September 26, 2013, (214) 665–6762; email address 7410, 7501–7509a, and 7601(a)(1). amending the Federal Acquisition [email protected]. List of Subjects in 40 CFR Part 51 Regulation (FAR) to strengthen SUPPLEMENTARY INFORMATION: In the protections against trafficking in Environmental protection, final rules section of this Federal persons in Federal contracts. These Administrative practice and procedure, Register, EPA is approving the State’s changes are intended to implement E.O. Air pollution control, Intergovernmental SIP submittal as a direct final rule 13627 and Title XVII of the National relations, Nitrogen dioxide, Ozone, without prior proposal because the Defense Authorization Act for Fiscal Particulate matter, Sulfur oxides, Year 2013. The comment period is being Volatile organic compound. Agency views this as a noncontroversial submittal and anticipates no adverse extended to provide additional time for Dated: November 15, 2013. comments. A detailed rationale for the interested parties to provide comments Gina McCarthy, approval is set forth in the direct final for FAR Case 2013–001, Ending Administrator. rule. If no relevant adverse comments Trafficking in Persons, to December 20, 2013. [FR Doc. 2013–27992 Filed 11–20–13; 8:45 am] are received in response to this action, BILLING CODE 6560–50–P no further activity is contemplated. If DATES: For the proposed rule published EPA receives relevant adverse on September 26, 2013 (78 FR 59317), comments, the direct final rule will be submit comments by December 20, ENVIRONMENTAL PROTECTION 2013. withdrawn and all public comments AGENCY received will be addressed in a ADDRESSES: Submit comments in 40 CFR Parts 52 subsequent final rule based on this response to FAR Case 2013–001 by any proposed rule. EPA will not institute a of the following methods: • [EPA–R06–OAR–2006–0593; FRL–9902–99– second comment period. Any parties Regulations.gov: http:// Region 6] interested in commenting on this action www.regulations.gov. Submit comments via the Federal eRulemaking portal by Approval and Promulgation of should do so at this time. Please note that if EPA receives adverse comment entering ‘‘FAR Case 2013–001’’ under Implementation Plans; Texas; Control the heading ‘‘Enter Keyword or ID’’ and on an amendment, paragraph, or section of Air Pollution by Permits for New selecting ‘‘Search’’. Select the link of this rule and if that provision may be Construction or Modification; Permits ‘‘Submit a Comment’’ that corresponds for Specific Designated Facilities severed from the remainder of the rule, with ‘‘FAR Case 2013–001’’. Follow the EPA may adopt as final those provisions AGENCY: Environmental Protection instructions provided at the ‘‘Submit a of the rule that are not the subject of an Agency (EPA). Comment’’ screen. Please include your adverse comment. ACTION: Proposed rule. name, company name (if any), and For additional information, see the ‘‘FAR Case 2013–001’’ on your attached SUMMARY: EPA is proposing to approve direct final rule which is located in the document. portions of two revisions to the Texas rules section of this Federal Register. • Fax: 202–501–4067. State Implementation Plan (SIP) • Mail: General Services concerning the Permits for Specific Dated: November 1, 2013. Administration, Regulatory Secretariat Designated Facilities Program, also Ron Curry, (MVCB), ATTN: Hada Flowers, 1800 F referred to as the FutureGen Program. Regional Administrator, Region 6. Street NW., 2nd Floor, Washington, DC EPA has determined that the portions of [FR Doc. 2013–27573 Filed 11–20–13; 8:45 am] 20405. these SIP revisions specific to the BILLING CODE 6560–50–P Instructions: Please submit comments FutureGen Program submitted on March only and cite ‘‘FAR Case 2013–001’’ in 9, 2006 and July 2, 2010, comply with all correspondence related to this case.

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00035 Fmt 4702 Sfmt 4702 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69813

All comments received will be posted the Regulatory Secretariat at 202–501– List of Subjects in 48 CFR Parts 1, 2, 9, without change to http:// 4755. Please cite FAR Case 2013–001. 12, 22, and 52 www.regulations.gov, including any SUPPLEMENTARY INFORMATION: personal and/or business confidential Government procurement. I. Background information provided. Dated: November 15, 2013. DoD, GSA, and NASA published a William Clark, FOR FURTHER INFORMATION CONTACT: Ms. proposed rule in the Federal Register at Marissa Petrusek, Procurement Analyst, 78 FR 59317, September 26, 2013. The Acting Director, Office of Government-wide at 202–501–0136 for clarification of comment period is extended to provide Acquisition Policy, Office of Acquisition Policy, Office of Government-wide Policy. content. For information pertaining to additional time for interested parties to status or publication schedules, contact submit comments on the FAR case until [FR Doc. 2013–27878 Filed 11–20–13; 8:45 am] December 20, 2013. BILLING CODE 6820–EP–P

VerDate Mar<15>2010 14:11 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00036 Fmt 4702 Sfmt 9990 E:\FR\FM\21NOP1.SGM 21NOP1 wreier-aviles on DSK5TPTVN1PROD with PROPOSALS 69814

Notices Federal Register Vol. 78, No. 225

Thursday, November 21, 2013

This section of the FEDERAL REGISTER FOR FURTHER INFORMATION CONTACT: On August 9, 2012, a public contains documents other than rules or Pedro Rios, Forest Planning Team announcement was made that El proposed rules that are applicable to the Leader, at 787–888–1880. Individuals Yunque NF was beginning to work on public. Notices of hearings and investigations, who use telecommunication devices for the Assessment for revising their Forest committee meetings, agency decisions and the deaf (TDD) may call the Federal Plan. This notice announces the start of rulings, delegations of authority, filing of petitions and applications and agency Information Relay Service (FIRS) at the second stage of the planning statements of organization and functions are 1–800–877–8339 between 8:00 a.m. and process, the development of the land examples of documents appearing in this 8:00 p.m. (Eastern time), Monday management plan revision. The third section. through Friday. stage of the planning process is the More information on the planning monitoring and evaluation of the process can also be found on the El revised plan, which is ongoing over the DEPARTMENT OF AGRICULTURE Yunque National Forest Web site at life of the revised plan. www.fs.usda.gov/elyunque. As public meetings, other Forest Service SUPPLEMENTARY INFORMATION: Pursuant opportunities for public engagement, to the 2012 Forest Planning Rule (36 and public review and comment Revision of the Land Management Plan opportunties are identified to assist with for El Yunque National Forest CFR part 219), the planning process encompases three-stages: Assessment, the development of the forest plan AGENCY: Forest Service, USDA. plan revision, and monitoring. The first revision, public announcements will be made, notifications will be posted on ACTION: Notice of Initiating the stage of the planning process involves the Forest’s Web site at development of a land management assessing social, economic, and www.fs.usda.gov/elyunque and plan revision for El Yunque National ecological conditions of the planning information will be sent out to the Forest. area, which is documented in an assessment report. A draft of the Forest’s mailing list. If anyone is SUMMARY: El Yunque National Forest, assessment report for El Yunque NF is interested in being on the Forest’s located in Puerto Rico, is initiating the being completed and will be available mailing list to receive these development of a land management by November 30, 2013 on the Forest notifications, please contact Pedro Rios, plan revision (forest plan) for El Yunque Web site at: www.fs.usda.gov/elyunque. Forest Planning Team Leader, at the National Forest (NF). A Draft This notice announces the start of the address identified above, or by sending Assessment is being posted to our Web second stage of the planning process, an email to commentselyunqueplan@ site. We are inviting the public to help which is the development of the land fs.fed.us. us develop a preliminary ‘‘need for management plan revision. The first Responsible Official change’’ and a proposed action for the task of plan revision is to develop a land management plan revision. The responsible official for the preliminary ‘‘need for change’’, which revision of the land management plan DATES: A draft of the Assessment report identifies the need to change for El Yunque National Forest is Pablo for the revision of El Yunque NF land management direction in current plans Cruz, Forest Supervisor, El Yunque management plan will be posted on the due to changing conditions or other National Forests, HC–01 Box 13490, Rio following Web site at www.fs.usda.gov/ monitoring information. The next task is Grande, Puerto Rico, 00745–9625. elyunque by November 30, 2013. to develop a proposed action, which is Public meetings associated with the a proposal on how to respond to needs Dated: November 1, 2013. development of the preliminary ‘‘need for changes. We are inviting the public Pablo Cruz, for change’’ and a proposed action will to help us develop our preliminary Forest Supervisor. be announced on the Web site cited ‘‘need for change’’ and a proposed [FR Doc. 2013–27930 Filed 11–20–13; 8:45 am] above. action. BILLING CODE 3410–11–P It is anticipated that the Notice of A proposed action will initiate our Intent to prepare an environmental compliance with the National impact statement (which will Environmental Policy Act. A Notice of DEPARTMENT OF COMMERCE accompany the land management plan Intent to prepare an environmental revision for El Yunque NF), will be impact statement for the land Census Bureau published in the Federal Register mangement plan revision, which will around March to April 2014. include a description of the preliminary Proposed Information Collection; ADDRESSES: Written comments or need for change and a description of the Comment Request; Questionnaire for questions concerning this notice should proposed action, will be published Building Permit Official be addressed to U.S. Forest Service, El around March to April 2014 in the AGENCY: U.S. Census Bureau. Yunque National Forest, HC–01 Box Federal Register. ACTION: Notice. 13490, Rio Grande, Puerto Rico, 00745– Forest plans developed under the 9625. Comments or questions may also National Forest Management Act SUMMARY: The Department of be sent via email to comments (NFMA) of 1976 describe the strategic Commerce, as part of its continuing [email protected]. All direction for management of forest effort to reduce paperwork and correspondence, including names and resources for ten to fifteen years, and are respondent burden, invites the general addresses when provided, are placed in adaptive and amendable as conditions public and other Federal agencies to the record and are available for public changes over time. The Forest Plan for take this opportunity to comment on inspection and copying. El Yunque NF was approved in 1997. proposed and/or continuing information

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00001 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69815

collections, as required by the representative visits the permit office, DEPARTMENT OF COMMERCE Paperwork Reduction Act of 1995, conducts the interview, and completes Public Law 104–13 (44 U.S.C. this electronic form. Foreign-Trade Zones Board 3506(c)(2)(A)). III. Data [B–97–2013] DATES: To ensure consideration, written comments must be submitted on or OMB Control Number: 0607–0125. Foreign-Trade Zone (FTZ) 3—San Francisco, CA; Notification of before January 21, 2014. Form Number: SOC–QBPO. ADDRESSES: Direct all written comments Proposed Production Activity, Phillips to Jennifer Jessup, Departmental Type of Review: Regular submission. 66 Company, (Oil Refining/Blending), Paperwork Clearance Officer, Affected Public: State and local Rodeo, California Department of Commerce, Room 6616, Government. The San Francisco Port Commission, 14th and Constitution Avenue NW., Estimated Number of Respondents: grantee of FTZ 3, submitted a Washington, DC 20230 (or via the 900. notification of proposed production Internet at [email protected]). activity to the FTZ Board on behalf of Estimated Time per Response: 15 FOR FURTHER INFORMATION CONTACT: Phillips 66 Company (Phillips 66), minutes. Requests for additional information or located in Rodeo, California. The copies of the information collection Estimated Total Annual Burden notification conforming to the instrument(s) and instructions should Hours: 225 hours. requirements of the regulations of the be directed to Erica Filipek, U.S. Census Estimated Total Annual Cost: The FTZ Board (15 CFR 400.22) was Bureau, MCD, CENHQ Room 7K057, cost to the respondents is estimated to received on November 12, 2013. A separate application for subzone 4600 Silver Hill Road, Washington, DC be $5,418 based on an average hourly status at the Phillips 66 facility was 20233, telephone (301)763–5161 (or via salary of $24.08 for local government the Internet at Erica.Mary.Filipek@ submitted and is being processed under employees. This estimate was taken Section 400.31 of the FTZ Board’s census.gov). from the Census Bureau’s Annual SUPPLEMENTARY INFORMATION: regulations (B–89–2013, 78 FR 64196, Survey of Government Employment for 10/28/2013). The facility is used for I. Abstract 2011. refining crude and intermediate oils into The U.S. Census Bureau plans to Respondent’s Obligation: Voluntary. fuels, gases, petrochemicals, and by- request an extension of the current Legal Authority: Title 13, U.S.C., products. Phillips 66 also blends Office of Management and Budget Section 182. purchased petroleum products, such as (OMB) clearance of the Questionnaire gasoline, alkylates, biodiesel, renewable for Building Permit Official (SOC– IV. Request for Comments diesel, and additives, with products QBPO). The Census Bureau uses the produced at the refinery. Pursuant to 15 Computer-Assisted Personal Comments are invited on: (a) Whether CFR 400.14(b), FTZ activity would be Interviewing (CAPI) electronic the proposed collection of information limited to the specific foreign-status questionnaire SOC–QBPO to collect is necessary for the proper performance materials and components and specific information from state and local of the functions of the agency, including finished products listed in the building permit officials on: (1) The whether the information shall have submitted notification (as described types of permits they issue, (2) the practical utility; (b) the accuracy of the below) and subsequently authorized by length of time a permit is valid, (3) how agency’s estimate of the burden the FTZ Board. they store permits, and (4) the (including hours and cost) of the Phillips 66 has requested approval geographic coverage of the permit proposed collection of information; (c) subject to the standard refinery system. We need this information to ways to enhance the quality, utility, and restrictions and has indicated that it carry out the sampling for the Survey of clarity of the information to be would either be admitting any foreign Housing Starts, Sales, and Completions collected; and (d) ways to minimize the biodiesel in privileged-foreign (PF) (OMB number 0607–0110), also known burden of the collection of information status or filing a customs entry on as Survey of Construction (SOC). The on respondents, including through the foreign biodiesel prior to admission into SOC provides widely used measures of use of automated collection techniques the proposed FTZ. Production under FTZ procedures could exempt Phillips construction activity, including the or other forms of information 66 from customs duty payments on economic indicators Housing Starts, technology. Housing Completions, and New foreign status inputs used in export Comments submitted in response to Housing Sales. production. On its domestic sales, The current clearance of SOC–QBPO this notice will be summarized and/or Phillips 66 would be able to choose the is scheduled to expire on May 31, 2014. included in the request for OMB duty rates during customs entry We will continue to use the current approval of this information collection; procedures that apply to: Motor CAPI questionnaire without any they also will become a matter of public gasoline; gasoline components for revisions and are requesting approval of record. blending; alkylate; light distillates and continual use of the existing Dated: November 15, 2013. light distillate blend stock (testing 25 degrees API or over); diesel; diesel questionnaire in the field. There are no Glenna Mickelson, revisions to the current questionnaire. blend stock (testing 25 degrees API or The overall length of the interview and Management Analyst, Office of the Chief over); diesel containing biodiesel; Jet A Information Officer. the sample size also will not change. fuel; benzene; toluene; xylenes; [FR Doc. 2013–27868 Filed 11–20–13; 8:45 am] naphthalene; high aromatic mixtures; II. Method of Collection BILLING CODE 3510–07–P carbon black oil; methane/natural gas; The Census Bureau uses its field refinery gases: Ethane, propane, and representatives to obtain information on butanes, and mixtures of such gases; the operating procedures of a permit liquefied refinery gas: Propane, iso- office using the SOC–QBPO. The field butane, and mixed butane; ethylene;

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00002 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69816 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

propylene; butylene; butadiene; buta- Dated: November 15, 2013. responsibilities of determining 1,3-diene; ethane; mixtures such as Andrew McGilvray, eligibility for duty-free entry assigned propane-propylene mix; ethane-propane Executive Secretary. by law. mix; hydrogen; sulfur; sulfuric acid; [FR Doc. 2013–27975 Filed 11–20–13; 8:45 am] II. Method of Collection non-calcined coke, including green; BILLING CODE 3510–DS–P calcined coke; asphalt; combined heavy A copy of Form ITA–338P is provided unicrackate (light distillate from on and downloadable from a Web site hydrocracker); combined U250 feed DEPARTMENT OF COMMERCE at http://enforcement.trade.gov/sips/ (ultra-low sulfur diesel); naphtha; sipsform/ita-338p.pdf or the potential International Trade Administration pressure distillate (distillate oil with applicant may request a copy from the average gravity of 54.8); gas oil feed Proposed Information Collection; Department. The applicant completes (FCC heavy gas oil; hydrocracker feed); Comment Request; Request for Duty- the form and then forwards it via mail recovered oil (heavy intermediates Free Entry of Scientific Instrument or to DHS. testing under 25 degrees API); recovered Apparatus Upon acceptance by DHS as a valid oil (light slop oil testing 25 degrees API application, the application is or over); recovered gasoline slop; gas oil AGENCY: International Trade transmitted to Commerce for further (testing under 25 degrees API); gas oil Administration, Commerce. processing. ACTION: Notice. (testing 25 degrees API or over); U246 III. Data fluid catalytic cracker feed (low sulfur SUMMARY: The Department of gas oil testing over 25 degrees API); Commerce, as part of its continuing OMB Control Number: 0625–0037. U267 residual oil (heavy gas oil testing effort to reduce paperwork and Form Number(s): ITA–338P. less than 20 degrees API); fuel oil respondent burden, invites the general Type of Review: Regular submission. (testing under 25 degrees API); and, public and other Federal agencies to prefractionator bottoms (testing approx. take this opportunity to comment on Affected Public: State or local 10 degrees API; fuel oil) (duty rates proposed and/or continuing information government; Federal government; not range between duty-free and 52.5 cents collections, as required by the for-profit institutions. per barrel or 3.7%) for the foreign status Paperwork Reduction Act of 1995. Estimated Number of Respondents: inputs noted below. Customs duties also DATES: Written comments must be 65. could possibly be deferred or reduced submitted on or before January 21, 2014. Estimated Time Per Response: 2 on foreign status production equipment. ADDRESSES: Direct all written comments hours. to Jennifer Jessup, Departmental The components and materials Estimated Total Annual Burden Paperwork Clearance Officer, sourced from abroad include: Crude oil Hours: 130. (testing under, at, or above 25 degrees Department of Commerce, Room 6616, 14th and Constitution Avenue NW, Estimated Total Annual Cost to API); hydrocracker feed; decant oil (fuel Public: $2,138. oil; slurry oil; testing under 25 degrees Washington, DC 20230 (or via the Internet at [email protected]). API); alkylates; combined heavy IV. Request for Comments unicrackate (light distillate from FOR FURTHER INFORMATION CONTACT: Comments are invited on: (a) Whether hydrocracker); combined U250 Feed Requests for additional information or copies of the information collection the proposed collection of information (ULSD unit feed); naphtha, pressure instrument and instructions should be is necessary for the proper performance distillate (distillate oil with average directed to Charlie Michael, Import of the functions of the agency, including gravity of 54.8); biodiesel (B100); Policy Analyst, phone number 202– whether the information shall have biodiesel other than B100; and 482–0596, or via the internet at charles. practical utility; (b) the accuracy of the renewable diesel (R100) (duty rates: 5.25 [email protected]. agency’s estimate of the burden cents per barrel, 10.5 cents per barrel, SUPPLEMENTARY INFORMATION: (including hours and cost) of the 4.6% or 6.5%). proposed collection of information; (c) Public comment is invited from I. Abstract ways to enhance the quality, utility, and interested parties. Submissions shall be The Departments of Commerce and clarity of the information to be addressed to the FTZ Board’s Executive Homeland Security (DHS) are required collected; and (d) ways to minimize the Secretary at the address below. The to determine whether nonprofit burden of the collection of information closing period for their receipt is institutions established for scientific or on respondents, including through the December 31, 2013. educational purposes are entitled to use of automated collection techniques duty-free entry for scientific instruments or other forms of information A copy of the notification will be the institutions import under the technology. available for public inspection at the Florence Agreement. Form ITA–338P Office of the Executive Secretary, Comments submitted in response to enables: this notice will be summarized and/or Foreign-Trade Zones Board, Room (1) DHS to determine whether the included in the request for OMB 21013, U.S. Department of Commerce, statutory eligibility requirements for the approval of this information collection; 1401 Constitution Avenue NW., institution and the instrument are they also will become a matter of public Washington, DC 20230–0002, and in the fulfilled, and (2) Commerce to make a record. ‘‘Reading Room’’ section of the FTZ comparison and finding as to the Board’s Web site, which is accessible scientific equivalency of comparable Dated: November 15, 2013. via www.trade.gov/ftz. instruments being manufactured in the Gwellnar Banks, United States. Without the collection of Management Analyst, Office of the Chief For further information, contact Diane Information Officer. Finver at [email protected] or the information, DHS and Commerce would not have the necessary [FR Doc. 2013–27884 Filed 11–20–13; 8:45 am] (202) 482–1367. information to carry out the BILLING CODE 3510–DS–P

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00003 Fmt 4703 Sfmt 9990 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69817

DEPARTMENT OF COMMERCE Department’s selection of adverse facts publication of these amended final available applied to subject results in the Federal Register. International Trade Administration merchandise produced or exported by Cash Deposit Requirements [A–549–821] King Pac and Master Packaging at the CIT. The CIT held in its April 28, 2011, Polyethylene Retail Carrier Bags From On April 28, 2011, the CIT remanded judgment, which remanded the Final Thailand: Final Court Decision and for reconsideration, the selected adverse Results to the Department, that the legal Amended Final Results of facts available rate specifically applied question at issue in this litigation Administrative Review of the to merchandise both produced or pertained only to entries imported by Antidumping Duty Order; 2006–2007 exported by King Pac and Master KYD during the POR and did not 8 Packaging and imported by KYD.3 On pertain to ‘‘future entries whatsoever.’’ AGENCY: Enforcement and Compliance, remand, the Department revisited its Accordingly, in the Final Remand formerly Import Administration, selection of an adverse facts available Results, the Department applied the International Trade Administration, rate applied to merchandise produced 94.62 percent rate ‘‘only to the Department of Commerce. or exported by King Pac and Master assessment of antidumping duties on SUMMARY: On January 18, 2012, the Packaging and imported by KYD, entries of subject merchandise produced Court of International Trade (CIT) applying a rate of 94.62 percent.4 The and/or exported by King Pac or Master entered judgment in KYD Inc. v. United CIT affirmed the Department’s Final Packaging and imported by KYD during 9 States, 807 F. Supp. 2d 1372 (CIT Remand Results on January 18, 2012.5 the period of review.’’ Because the CIT January 18, 2012) (KYD v. United States) The CIT subsequently denied KYD’s affirmed the Final Remand Results in affirming the Department’s results of motion for reconsideration.6 Upon KYD v. United States, no modification redetermination pursuant to remand, appeal, the CAFC affirmed the to the Department’s cash deposit which recalculated the weighted- Department’s Final Remand Results on instructions is necessary in this case. average duty margin for polyethylene May 29, 2013. KYD did not appeal the Notification retail carrier bags (PRCBs) from CAFC’s judgment. Thailand produced or exported by King We are issuing and publishing these Pac Industrial Co., Ltd. (King Pac) and Amended Final Results amended final results of administrative review in accordance with sections Master Packaging Co., Ltd. (Master As the time period for appealing the 751(a)(1) and 777(i) of the Tariff Act of Packaging) and imported by KYD Inc. CAFC’s affirmation of the CIT’s 1930, as amended. (KYD) for the period of review (POR) of judgment has expired, the litigation is August 1, 2006, through July 31, 2007, final and conclusive in this proceeding. Dated: November 15, 2013. to be 94.62 percent. KYD appealed the Pursuant to section 516A(e) of the Tariff Ronald K. Lorentzen, CIT’s decision to the Court of Appeals Act of 1930, as amended, we are, Acting Assistant Secretary for Enforcement for the Federal Circuit (CAFC). On May therefore, amending our final results of and Compliance. 29, 2013, the CAFC affirmed the review covering the POR August 1, [FR Doc. 2013–27973 Filed 11–20–13; 8:45 am] 1 judgment of the CIT. The time for 2006, through July 31, 2007, to reflect BILLING CODE 3510–DS–P appeal has expired. Accordingly, the the findings of the remand Department is amending the final redetermination affirmed in KYD v. results of the administrative review of United States. DEPARTMENT OF COMMERCE the antidumping duty order on PRCBs Accordingly, the Department will International Trade Administration from Thailand covering the POR, in determine, and U.S. Customs and accordance with KYD v. United States. Border Protection (CBP) shall assess, [A–570–851] DATES: Effective Date: November 21, antidumping duties on all subject 2013. merchandise both produced or exported Certain Preserved Mushrooms From the People’s Republic of China: FOR FURTHER INFORMATION CONTACT: by King Pac and Master Packaging and Thomas Schauer or Minoo Hatten, AD/ imported by KYD for the period August Preliminary Results and Rescission in CVD Operations, Office I, Enforcement 1, 2006, through July 31, 2007, at the Part of Antidumping Duty and Compliance, International Trade rate of 94.62 percent, in accordance Administrative Review; 2012–2013 7 Administration, U.S. Department of with these amended final results. The AGENCY: Enforcement and Compliance, Commerce, 14th Street and Constitution Department intends to issue liquidation formerly Import Administration, Avenue NW., Washington, DC 20230; instructions to CBP 15 days after International Trade Administration, telephone: (202) 482–0410, and (202) Department of Commerce. 482–1690, respectively. Antidumping Duty Administrative Review, 74 FR DATES: Effective Date: November 21, 2511 (January 15, 2009) (Final Results). SUPPLEMENTARY INFORMATION: 3 See KYD Inc. v. United States, 779 F. Supp. 2d 2013. SUMMARY: The Department of Commerce Background 1361 (CIT April 28, 2011). 4 See ‘‘Final Results of Redetermination Pursuant (the Department) is conducting an On January 15, 2009, the Department to Remand, KYD Inc. v. United States, Court No. administrative review of the published the final results of the 09–00034, Slip Op. 11–49’’ (August 16, 2011) (Final antidumping duty order on certain administrative review of the Remand Results). preserved mushrooms from the People’s 5 See KYD v. United States, 807 F. Supp. 2d at antidumping duty order on PRCBs from 1378. Republic of China (PRC) covering the 2 Thailand. KYD challenged the 6 See KYD Inc. v. United States, 836 F. Supp. 2d period of review (POR) February 1, 1410 (CIT May 8, 2012). 2012, through January 31, 2013. The 1 See KYD Inc. v. United States, Nos. 2012–1533 7 Subsequent to the CIT’s affirmance of the Department has preliminarily applied and 1534, 2013 U.S. App. LEXIS 11984 (Fed. Cir. Department’s remand redetermination, no facts otherwise available with an May 29, 2013) (affirming the CIT’s judgment administrative review was requested pursuant to 19 without opinion, in accordance with Rule 36 of the CFR 351.213(b) during the applicable anniversary CAFC’s Rules of Practice). months for entries of subject merchandise produced 8 See KYD Inc. v. United States, 779 F. Supp. 2d 2 See Polyethylene Retail Carrier Bags from or exported by King Pac and Master Packaging and at 1372. Thailand: Final Results and Partial Rescission of imported by KYD. 9 See Final Remand Results, at 21.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00004 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69818 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

adverse inference (AFA) to the PRC- results of this review is now November Canned Foods Co., Ltd., Fujian); 5 and wide entity because an element of the 18, 2013. (6) Zhangzhou Tongfa Foods Industry, entity, Blue Field (Sichuan) Food Co., Ltd. These exporters have separate Methodology Industrial Co., Ltd. (Blue Field), failed rates from a prior segment of this to act to the best of its ability in The Department has conducted this proceeding. Therefore, antidumping complying with the Department’s review in accordance with section duties shall be assessed at rates equal to request for information in this review 751(a)(1)(B) of the Tariff Act of 1930, as the cash deposit of estimated and, consequently, significantly amended (the Act). AFA has been antidumping duties required at the time impeded the proceeding. In addition, applied to the PRC-wide entity in of entry, or withdrawal from warehouse, the Department is rescinding this accordance with section 776 of the Act. for consumption, in accordance with 19 administrative review in part with For a full description of the CFR 351.212(c)(2). methodology underlying our respect to certain exporters for which all Intent Not To Rescind Review in Part review requests have been withdrawn. conclusions, see the Preliminary We have received withdrawal of FOR FURTHER INFORMATION CONTACT: Decision Memorandum. The review requests for the following Deborah Scott, Michael J. Heaney, or Preliminary Decision Memorandum is a exporters that remain a part of the PRC- Robert James, AD/CVD Operations, public document and is on file wide entity, which is currently under Office VI, Enforcement and Compliance, electronically via Enforcement and review: (1) Ayecue (Liaocheng) International Trade Administration, Compliance’s Antidumping and Foodstuff Co., Ltd.; (2) China National U.S. Department of Commerce, 14th Countervailing Duty Centralized Electronic Service System (IA ACCESS). Cereals, Oils & Foodstuffs Import & Street and Constitution Avenue NW., Export Corp.; (3) China Processed Food Washington, DC 20230; telephone: (202) IA ACCESS is available to registered users at http://iaaccess.trade.gov, and is Import & Export Co.; (4) Dujiangyan 482–2657, (202) 482–4475, or (202) 482– Xingda Foodstuff Co., Ltd.; (5) Fujian 0649, respectively. available to all parties in the Central Records Unit, room 7046 of the main Pinghe Baofeng Canned Foods; (6) SUPPLEMENTARY INFORMATION: Department of Commerce building. In Fujian Yuxing Fruits and Vegetables Scope of the Order addition, a complete version of the Foodstuffs Development Co., Ltd.; (7) Preliminary Decision Memorandum can Fujian Zishan Group Co., Ltd.; (8) The products covered by this Guangxi Eastwing Trading Co., Ltd.; (9) antidumping order are certain preserved be accessed directly at http:// enforcement.trade.gov/frn/. The signed Inter-Foods (Dongshan) Co., Ltd.; (10) mushrooms, whether imported whole, Longhai Guangfa Food Co., Ltd.; (11) sliced, diced, or as stems and pieces. Preliminary Decision Memorandum and the electronic versions of the Primera Harvest (Xiangfan) Co., Ltd.; The merchandise subject to this order is (12) Shandong Fengyu Edible Fungus classifiable under subheadings: Preliminary Decision Memorandum are identical in content. Corporation Ltd.; (13) Shandong Jiufa 2003.10.0127, 2003.10.0131, Edible Fungus Corporation, Ltd.; (14) 2003.10.0137, 2003.10.0143, Partial Rescission of Review Shandong Yinfeng Rare Fungus 2003.10.0147, 2003.10.0153, and For those exporters named in the Corporation, Ltd.; (15) Sun Wave 0711.51.0000 of the Harmonized Tariff Initiation Notice 3 that are not part of the Trading Co., Ltd.; (16) Xiamen Schedule of the United States (HTSUS). PRC-wide entity for which all review Greenland Import & Export Co., Ltd.; Although the HTSUS subheadings are requests have been withdrawn, we are (17) Xiamen Gulong Import & Export provided for convenience and customs rescinding this administrative review, in Co., Ltd.; (18) Xiamen Jiahua Import & purposes, the written description of the accordance with 19 CFR 351.213(d)(1). Export Trading Co., Ltd.; (19) Xiamen scope of this order is dispositive.1 The exporters for which we are Longhuai Import & Export Co., Ltd.; (20) Tolling of Deadlines for Preliminary rescinding this review include: (1) Zhangzhou Golden Banyan; (21) Results Fujian Golden Banyan Foodstuffs Zhangzhou Long Mountain Foods Co., Industrial Co., Ltd. (Golden Banyan); 4 Ltd.; (22) Zhejiang Iceman Food Co., As explained in the memorandum Ltd.; 6 and (23) Zhejiang Iceman Group from the Assistant Secretary for (2) Guangxi Hengyong Industrial & Commercial Dev. Ltd.; (3) Guangxi Co., Ltd. Enforcement and Compliance, the For those exporters named in the Jisheng Foods, Inc.; (4) Linyi City Department has exercised its discretion Initiation Notice for which all review Kangfa Foodstuff Drinkable Co., Ltd.; (5) to toll deadlines for the duration of the requests have been withdrawn, but Zhangzhou Gangchang Canned Foods closure of the Federal Government from which have not previously received October 1, through October 16, 2013.2 Co., Ltd. (aka Zhangzhou Gangchang Therefore, all deadlines in this segment 5 Zhangzhou Gangchang Canned Foods Co., Ltd., of the proceeding have been extended 3 See Initiation of Antidumping and Fujian was found to be the name of the company Countervailing Duty Administrative Reviews and initially referenced by that party and the by 16 days. If the new deadline falls on Request for Revocation in Part, 78 FR 19197 (March Department as Zhangzhou Gangchang Canned a non-business day, in accordance with 29, 2013) (Initiation Notice). Foods Co., Ltd. See Certain Preserved Mushrooms the Department’s practice, the deadline 4 The Department considers Golden Banyan to be from the People’s Republic of China: Preliminary will become the next business day. The distinct from another company with a similar name Results of Antidumping Duty New Shipper Reviews, for which a review was originally requested, 74 FR 14772 (April 1, 2009), unchanged in Certain revised deadline for the preliminary Zhangzhou Golden Banyan Foodstuffs Industrial Preserved Mushrooms from the People’s Republic of Co., Ltd. (Zhangzhou Golden Banyan). In the China: Final Results of Antidumping Duty New 1 For a complete description of the scope of the administrative review covering the period February Shipper Reviews 74 FR 28882 (June 18, 2009). The order, see ‘‘Certain Preserved Mushrooms from the 1, 2010 through January 31, 2011, the Department record of this review does not contain any evidence People’s Republic of China: Decision Memorandum calculated a separate rate for Golden Banyan, while that contradicts this finding. for the Preliminary Results of the 2012–2013 it considered Zhangzhou Golden Banyan to remain 6 The Department has found that Zhejiang Iceman Administrative Review,’’ dated concurrently with a part of the PRC-wide entity. See Certain Preserved Food Co., Ltd. should be equated with Zhejiang this notice and incorporated herein by reference Mushrooms From the People’s Republic of China: Iceman Group Co., Ltd. See Certain Preserved (Preliminary Decision Memorandum). Final Results of Antidumping Duty Administrative Mushrooms From the People’s Republic of China: 2 See Memorandum for the Record from Paul Review, 77 FR 55808 (September 11, 2012). The Amended Final Results of Antidumping Duty Piquado, Assistant Secretary for Enforcement and record of this review does not contain any evidence Administrative Review, 76 FR 70112 (November 10, Compliance, ‘‘Deadlines Affected by the Shutdown that suggests these two companies should be 2011). The record of this review does not contain of the Federal Government’’ (October 18, 2013). considered a single entity. any evidence that contradicts this finding.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00005 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69819

separate rate status, the Department’s Weighted- instruct CBP to assess antidumping practice is to refrain from rescinding the Exporter average dumping duties on all appropriate entries. The margin Department intends to issue appropriate review with respect to these exporters at (percent) this time.7 As stated above, requests for partial rescission assessment review of several exporters belonging to PRC-wide entity 9 ...... 308.33 instructions directly to CBP 15 days the PRC-wide entity were timely after publication of these preliminary withdrawn. While the requests for Public Comment and Opportunity To results of review in the Federal review were timely withdrawn, the Request a Hearing Register. exporters remain part of the PRC-wide Interested parties may submit case Upon issuance of the final results of entity. The PRC-wide entity is under briefs within 30 days after the date of this review, the Department will review for these preliminary results. publication of this notice of preliminary determine, and CBP shall assess, Therefore, at this time, we are not results of the review.10 Rebuttal briefs, antidumping duties on all appropriate rescinding this review with respect to which must be limited to issues raised entries of subject merchandise covered 16 those exporters belonging to the PRC- in the case briefs, must be filed within by this review. For the PRC-wide wide entity for which a request for five days after the time limit for filing entity, we will instruct CBP to assess review has been withdrawn. case briefs.11 Parties who submit case antidumping duties at an ad valorem briefs or rebuttal briefs in this rate equal to the weighted-average Preliminary Determination of No proceeding are requested to submit with dumping margin published in the final Shipments each argument: (1) A statement of the results of this review. The Department intends to issue assessment instructions Xiamen International Trade & issue; (2) a brief summary of the argument; and (3) a table of to CBP 15 days after the date of Industrial Co., Ltd. (XITIC) and authorities.12 Interested parties publication of the final results of this Zhangzhou Hongda Import & Export submitting case and rebuttal briefs review in the Federal Register. Trading Co., Ltd. (Zhangzhou Hongda) should do so pursuant to the The Department recently announced a submitted timely certifications of no Department’s electronic filing system, refinement to its assessment practice in shipments, entries, or sales of subject IA ACCESS.13 NME cases. Pursuant to this refinement merchandise during the POR. The Any interested party may request a in practice, for entries that were not Department issued a ‘‘No Shipment hearing within 30 days of the reported in U.S. sales databases Inquiry’’ to CBP to confirm that there publication of this notice.14 Hearing submitted by companies individually were no entries of subject merchandise requests should contain the following examined during the review, the exported by XITIC or Zhangzhou information: (1) The party’s name, Department will instruct CBP to Hongda during the POR. Based on the address, and telephone number; (2) the liquidate such entries at the PRC-wide certifications and our analysis of CBP number of participants; and (3) a list of rate. In addition, if the Department information, we preliminary determine the issues to be discussed. Oral determines that an exporter under that XITIC and Zhangzhou Hongda did argument presentations will be limited review had no shipments of the subject not have any reviewable transactions to issues raised in the briefs. If a request merchandise, any suspended entries during the POR. However, consistent for a hearing is made, parties will be that entered under that exporter’s case with our practice, the Department finds notified of the date and time for the number (i.e., at that exporter’s rate) will that it is not appropriate to rescind the hearing to be held at the U.S. be liquidated at the PRC-wide rate.17 Department of Commerce, 1401 review with respect to XITIC and Cash Deposit Requirements Zhangzhou Hongda, but rather to Constitution Avenue NW., Washington, DC 20230.15 complete the review of XITIC and The following cash deposit The Department intends to issue the Zhangzhou Hongda and issue requirements, when imposed, will apply final results of this administrative to all shipments of subject merchandise appropriate instructions to CBP based review, which will include the results of on the final results of the review.8 entered, or withdrawn from warehouse, our analysis of all issues raised in the for consumption on or after the Preliminary Results of the Review briefs, within 120 days after the publication of the final results of this publication of these preliminary results administrative review, as provided by The Department has preliminarily in the Federal Register, pursuant to section 751(a)(2)(C) of the Act: (1) For determined that the following weighted- section 751(a)(3)(A) of the Act. any previously reviewed or investigated average dumping margin exists for the Assessment Rates PRC and non-PRC exporter not listed period February 1, 2012 through January above that received a separate rate in a With regard to the partial rescission of 31, 2013: previous segment of this proceeding, the this review, the Department will cash deposit rate will continue to be the existing exporter-specific rate published 9 The PRC-wide entity includes, among other companies, Blue Field (Sichuan) Food Industrial for the most recently completed period; 7 See, e.g., Small Diameter Graphite Electrodes Co., Ltd. (2) for all PRC exporters that have not From the People’s Republic of China: Final Results 10 See 19 CFR 351.309(c)(1)(ii). of Antidumping Duty Administrative Review; 2011– 11 See 19 CFR 351.309(d)(1)–(2). 16 See 19 CFR 351.212(b). 12 2012, 78 FR 55680, 55681 (September 11, 2013). See 19 CFR 351.309(c)(2), (d)(2). 17 For a full discussion of this practice, see Non- 8 See Non-Market Economy Antidumping 13 See 19 CFR 351.303(b). Market Economy Antidumping Proceedings: Proceedings: Assessment of Antidumping Duties, 76 14 See 19 CFR 351.310(c). Assessment of Antidumping Duties, 76 FR 65694 FR 65694 (October 24, 2011). 15 See 19 CFR 351.310(d). (October 24, 2011).

VerDate Mar<15>2010 18:20 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00006 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69820 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

been found to be entitled to a separate SUMMARY: In response to requests from results of this review is now November rate, the cash deposit rate will be that interested parties, the Department of 18, 2013. for the PRC-wide entity (i.e., 308.33 Commerce (the ‘‘Department’’) is Partial Rescission of Administrative percent); and (3) for all non-PRC conducting the second administrative Review exporters of subject merchandise which review of the antidumping duty order have not received their own rate, the on seamless refined copper pipe and Pursuant to 19 CFR 351.213(d)(1), the cash deposit rate will be the rate tube from the People’s Republic of Secretary will rescind an administrative applicable to the PRC exporter that China (‘‘PRC’’), covering the period review, in whole or in part, if a party supplied the non-PRC exporter. These November 1, 2011 through October 31, who requested the review withdraws cash deposit requirements, when 2012. The Department has preliminarily the request within 90 days of the date imposed, shall remain in effect until determined that during the period of of publication of the notice of initiation further notice. review (‘‘POR’’) respondents in this of the requested review. The proceeding have made sales of subject Notification to Importers Department is rescinding this review merchandise at less than normal value with regard to Luvata Tube (Zhongshan) This notice also serves as a (‘‘NV’’). Ltd. and Luvata Alltop (Zhongshan) preliminary reminder to importers of DATES: Effective Date: November 21, Ltd., as parties have timely withdrawn their responsibility under 19 CFR 2013. all review requests with respect to these 351.402(f)(2) to file a certificate companies. Because Luvata Tube FOR FURTHER INFORMATION CONTACT: regarding the reimbursement of (Zhongshan) Ltd. and Luvata Alltop Thomas Martin, AD/CVD Operations, antidumping duties prior to liquidation (Zhongshan) Ltd. have separate rates Office IV, Enforcement and Compliance, of the relevant entries during the POR. from a prior completed segment of this International Trade Administration, Failure to comply with this requirement proceeding, antidumping duties shall be U.S. Department of Commerce, 14th could result in the Department’s assessed at rates equal to the rates of the Street and Constitution Avenue NW., presumption that reimbursement of cash deposits of estimated antidumping Washington, DC 20230; telephone: (202) antidumping duties occurred and the duties required at the time of entry, or 482–3936. subsequent assessment of double withdrawal from warehouse, for antidumping duties. SUPPLEMENTARY INFORMATION: consumption, in accordance with 19 These preliminary results are issued Scope of Order CFR 351.212(c)(2). and published in accordance with Reviews were also requested for The merchandise subject to the order sections 751(a)(1) and 777(i)(1) of the Shanghai Hailiang Metal Trading is seamless refined copper pipe and Act. Limited and Hong Kong Hailiang Metal, tube. The product is currently classified Dated: November 15, 2013. companies named in the Initiation under Harmonized Tariff Schedule of Notice,3 and those requests were also Ronald K. Lorentzen, the United States (‘‘HTSUS’’) item timely withdrawn. However, we are not Acting Assistant Secretary for Enforcement numbers 7411.10.1030 and rescinding the reviews for these two and Compliance. 7411.10.1090. Products subject to this companies at this time, because they do order may also enter under HTSUS item Appendix—List of Topics Discussed in not have a separate rate and, therefore, numbers 7407.10.1500, 7419.99.5050, the Preliminary Decision Memorandum each currently remains part of the PRC- 8415.90.8065, and 8415.90.8085. 1. Background wide entity. The PRC-wide entity is Although the HTSUS numbers are 2. Respondent Selection currently subject to this administrative provided for convenience and customs 3. Scope of the Order review. 4. Partial Rescission of Review purposes, the written description of the 5. Intent Not To Rescind Review in Part scope of this order remains dispositive.1 Methodology 6. Preliminary Determination of No Shipments Tolling of Deadlines for Preliminary The Department has conducted this 7. Non-Market Economy Country Status Results review in accordance with section 8. Separate Rates Determination As explained in the memorandum 751(a)(1)(A) of the Tariff Act of 1930, as 9. The PRC-Wide Entity from the Assistant Secretary for amended (the ‘‘Act’’). Export prices and 10. Adverse Facts Available Enforcement and Compliance, the constructed export prices were 11. Conclusion Department has exercised its discretion calculated in accordance with section [FR Doc. 2013–27972 Filed 11–20–13; 8:45 am] to toll deadlines for the duration of the 772 of the Act. Because the PRC is a BILLING CODE 3510–DS–P closure of the Federal Government from nonmarket economy within the meaning October 1, through October 16, 2013.2 of section 771(18) of the Act, NV has Therefore, all deadlines in this segment been calculated in accordance with DEPARTMENT OF COMMERCE of the proceeding have been extended section 773(c) of the Act. Specifically, the respondent’s factors of production International Trade Administration by 16 days. If the new deadline falls on a non-business day, in accordance with have been valued using prices in Thailand, which is at a level of [A–570–964] the Department’s practice, the deadline will become the next business day. The economical development comparable to Seamless Refined Copper Pipe and revised deadline for the preliminary that of the PRC and a significant Tube From the People’s Republic of producer of merchandise comparable to China: Preliminary Results and Partial 1 See Seamless Refined Copper Pipe and Tube the subject merchandise. Rescission of Administrative Review; From Mexico and the People’s Republic of China: 2011–2012 Antidumping Duty Orders and Amended Final 3 See Initiation of Antidumping and Determination of Sales at Less Than Fair Value Countervailing Duty Administrative Reviews and AGENCY: Enforcement and Compliance, From Mexico, 75 FR 71070 (November 22, 2010). Request for Revocation in Part, 77 FR 77017 2 See Memorandum for the Record from Paul (December 31, 2012). These companies are not Formerly Import Administration, Piquado, Assistant Secretary for Enforcement and included in the collapsed entity of Hong Kong International Trade Administration, Compliance, ‘‘Deadlines Affected by the Shutdown Hailiang Metal Trading Limited, Zhejiang Hailiang Department of Commerce. of the Federal Government’’ (October 18, 2013). Co., Ltd., and Shanghai Hailiang Copper Co., Ltd.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00007 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69821

For a full description of the preliminary results to the parties within record.9 Furthermore, the Department methodology underlying our five days of the date of publication of generally will not accept business conclusions, please see the this notice in accordance with 19 CFR proprietary information in either the Memorandum to Ronald K. Lorentzen, 351.224(b). Interested parties may surrogate value submissions or the Acting Assistant Secretary for submit written comments no later than rebuttals thereto, as the regulation Enforcement and Compliance, from 30 days after the date of publication of regarding the submission of surrogate Christian Marsh, Deputy Assistant these preliminary results.5 Rebuttals to values allows only for the submission of Secretary for Antidumping and written comments may be filed no later publicly available information.10 Countervailing Duty Operations, than five days after the written Assessment Rates ‘‘Decision Memorandum for the comments are filed.6 Preliminary Results of the 2011–2012 Any interested party may request a Upon issuing the final results of the Administrative Review of the hearing within 30 days of publication of review, the Department shall determine, Antidumping Duty Order on Seamless this notice.7 Hearing requests should and U.S. Customs and Border Protection Refined Copper Pipe and Tube from the contain the following information: (1) (‘‘CBP’’) shall assess, antidumping People’s Republic of China, dated The party’s name, address, and duties on all appropriate entries. The concurrently with this notice telephone number; (2) the number of Department intends to issue assessment (‘‘Preliminary Decision Memorandum’’), participants; and (3) a list of the issues instructions to CBP 15 days after the and hereby adopted by this notice. The to be discussed. Oral presentations will date of publication of the final results of Preliminary Decision Memorandum is a be limited to issues raised in the briefs. review. For any individually examined public document and is on file If a request for a hearing is made, parties respondents whose weighted-average electronically via Enforcement and will be notified of the time and date for dumping margin is not zero or de Compliance’s Antidumping and the hearing to be held at the U.S. minimis (i.e., less than 0.5 percent), the Countervailing Duty Centralized Department of Commerce, 1401 Department will calculate importer- Electronic Service System (‘‘IA Constitution Avenue NW., Washington, specific ad valorem duty assessment ACCESS’’). IA ACCESS is available to DC 20230.8 rates based on the ratio of the total registered users at http:// The Department intends to issue the amount of dumping calculated for the iaaccess.trade.gov, and it is available to final results of this administrative importer’s examined sales to the total all parties in the Central Records Unit, review, which will include the results of entered value of those same sales in 11 Room 7046 of the main Department of its analysis of issues raised in any accordance with 19 CFR 351.212(b)(1). Commerce building. In addition, a written comments, within 120 days of The Department will instruct CBP to complete version of the Preliminary publication of these preliminary results, assess antidumping duties on all Decision Memorandum can be accessed pursuant to section 751(a)(3)(A) of the appropriate entries covered by this at http://trade.gov/enforcement/. The Act. review when the importer-specific signed Preliminary Decision assessment rate calculated in the final Memorandum and the electronic Deadline for Submission of Publicly results of this review is not zero or de versions of the Preliminary Decision Available Surrogate Value Information minimis. Where either the respondent’s Memorandum are identical in content. In accordance with 19 CFR weighted-average dumping margin is zero or de minimis, or an importer- Preliminary Results of Review 351.301(c)(3)(ii), the deadline for submission of publicly available specific assessment rate is zero or de The Department has preliminarily information to value factors of minimis, the Department will instruct determined that the following weighted- production under 19 CFR 351.408(c) is CBP to liquidate the appropriate entries average dumping margins exist: 20 days after the date of publication of without regard to antidumping duties. The Department recently announced a the preliminary results. In accordance refinement to its assessment practice in Weighted- with 19 CFR 351.301(c)(1), if an average NME cases. Pursuant to this refinement interested party submits factual Exporter dumping in practice, for entries that were not margin information less than ten days before, reported in the U.S. sales databases (percent) on, or after (if the Department has submitted by companies individually extended the deadline) the applicable examined during this review, the Golden Dragon Precise Cop- deadline for submission of such factual per Tube Group, Inc., Department will instruct CBP to information, an interested party may Hong Kong GD Trading liquidate such entries at the PRC-wide submit factual information to rebut, Co., Ltd., and Golden rate. In addition, if the Department clarify, or correct the factual Dragon Holding (Hong determines that an exporter under information no later than ten days after Kong) International, Ltd .... 3.55 review had no shipments of the subject Hong Kong Hailiang Metal such factual information is served on merchandise, any suspended entries Trading Limited, Zhejiang the interested party. However, if the that entered under that exporter’s case Hailiang Co., Ltd., and deadline for submission of surrogate Shanghai Hailiang Copper value information has passed, the 9 See, e.g., Glycine from the People’s Republic of Co., Ltd ...... 3.55 Department generally will not accept PRC-Wide Entity 4 ...... 60.85 China: Final Results of Antidumping Duty additional or alternative surrogate value Administrative Review and Final Rescission, in information not previously on the Part, 72 FR 58809 (October 17, 2007), and Disclosure and Public Comment accompanying Issues and Decision Memorandum at The Department will disclose Comment 2. Export Co., Ltd., Sinochem Ningbo Ltd., Taicang 10 See 19 CFR 351.301(c)(3). City Jinxin Copper Tube Co., Ltd., Ningbo Jintian calculations performed for these 11 In these preliminary results, the Department Copper Tube Co., Ltd., Zhejiang Jiahe Pipes Inc., applied the assessment rate calculation method and Zhejiang Naile Copper Co., Ltd. 4 The PRC-Wide Entity includes, inter alia, adopted in Antidumping Proceedings: Calculation 5 Shanghai Hailiang Metal Trading Limited, Hong See 19 CFR 351.309(c). of the Weighted-Average Dumping Margin and Kong Hailiang Metal, China Hailiang Metal Trading, 6 See 19 CFR 351.309(d). Assessment Rate in Certain Antidumping Foshan Hua Hong Copper Tube Co., Ltd., Guilin 7 See 19 CFR 351.310(c). Proceedings: Final Modification, 77 FR 8101 Lijia Metals Co., Ltd., Sinochem Ningbo Import & 8 See 19 CFR 351.310(d). (February 14, 2012).

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00008 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69822 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

number (i.e., at that exporter’s rate) will This administrative review and notice 980–4036 or Rachael.Wadsworth@ be liquidated at the PRC-wide rate.12 are in accordance with sections noaa.gov The final results of this review shall 751(a)(1) and 777(i) of the Act and 19 SUPPLEMENTARY INFORMATION: be the basis for the assessment of CFR 351.213. I. Abstract antidumping duties on entries of Dated: November 14, 2013. merchandise covered by the final results Ronald K. Lorentzen, United States (U.S.) participation in of this review and for future deposits of Acting Assistant Secretary for Enforcement the Inter-American Tropical Tuna estimated antidumping duties. and Compliance. Commission (IATTC) results in certain recordkeeping requirements for U.S. Cash Deposit Requirements Appendix—List of Topics Discussed in fishermen who fish in the IATTC’s area The following cash deposit the Preliminary Decision Memorandum of management responsibility. These requirements will be effective upon 1. Affiliation and Collapsing fishermen must maintain a log of all publication of the final results of this 2. Separate Rate operations conducted from the fishing administrative review for shipments of 3. Rate for Non-Examined, Separate Rate vessel, including the date, noon the subject merchandise from the PRC Respondents position, and the tonnage of fish aboard entered, or withdrawn from warehouse, 4. PRC-Wide Entity the vessel, by species. The logbook form 5. Use of Facts Available and Adverse Facts for consumption on or after the provided by the IATTC is universally Available used by U.S. fishermen to meet this publication date, as provided by section 6. Surrogate Country 751(a)(2)(C) of the Act: (1) For the 7. Date of Sale recordkeeping requirement. The exporters listed above, the cash deposit 8. Fair Value Comparisons information in the logbooks includes rate will be equal to the weighted- 9. Determination of Comparison Method areas and times of operation and catch average dumping margin established in 10. Export Price and effort by area. Logbook data are the final results of this review (except, 11. Constructed Export Price used in stock assessments and other if the rate is zero or de minimis, then the 12. Normal Value research concerning the fishery. If the cash deposit rate will be zero for that 13. Factor Valuations data were not collected or if erroneous 14. Duty Absorption data were provided, the IATTC exporter); (2) for previously investigated 15. Currency Conversion or reviewed PRC and non-PRC exporters assessments would likely be incorrect not listed above that have separate rates, [FR Doc. 2013–27971 Filed 11–20–13; 8:45 am] and there would be an increased risk of the cash deposit rate will continue to be BILLING CODE 3510–DS–P overfishing or inadequate management the exporter-specific rate published for of the fishery. the most recently completed segment of DEPARTMENT OF COMMERCE II. Method of Collection this proceeding; (3) for all PRC exporters of subject merchandise that have not Vessel operators maintain bridge logs National Oceanic and Atmospheric on a daily basis, and the forms are either been found to be entitled to a separate Administration rate, the cash deposit rate will be 60.85 mailed to the IATTC or to National percent, which is the rate for the PRC- Proposed Information Collection; Marine Fisheries Service (NMFS) at the wide entity; 13 and (4) for all non-PRC Comment Request; Pacific Tuna completion of each trip. The data are exporters of subject merchandise which Fisheries Logbook processed and maintained as have not received their own rate, the confidential by the IATTC. cash deposit rate will be the rate AGENCY: National Oceanic and III. Data applicable to the PRC exporter that Atmospheric Administration (NOAA), Commerce. OMB Control Number: 0648–0148. supplied that non-PRC exporter. These Form Number: None. deposit requirements, when imposed, ACTION: Notice. Type of Review: Regular submission. shall remain in effect until further Affected Public: Individuals or notice. SUMMARY: The Department of households, business or other for profit Commerce, as part of its continuing Notification to Importers organizations. effort to reduce paperwork and Estimated Number of Respondents: This notice serves as a preliminary respondent burden, invites the general 11. reminder to importers of their public and other Federal agencies to Estimated Time per Response: 5 responsibility under 19 CFR take this opportunity to comment on minutes. 351.402(f)(2) to file a certificate proposed and/or continuing information Estimated Total Annual Burden regarding the reimbursement of collections, as required by the Hours: 170. antidumping duties prior to liquidation Paperwork Reduction Act of 1995. Estimated Total Annual Cost to of the relevant entries during this DATES: Written comments must be Public: $122. review period. Failure to comply with submitted on or before January 21, 2014. IV. Request for Comments this requirement could result in the CBP ADDRESSES: Direct all written comments assessing double antidumping duties Comments are invited on: (a) Whether to Jennifer Jessup, Departmental based on the Department’s presumption the proposed collection of information Paperwork Clearance Officer, that antidumping duties were is necessary for the proper performance Department of Commerce, Room 6616, reimbursed. of the functions of the agency, including 14th and Constitution Avenue NW., whether the information shall have Washington, DC 20230 (or via the 12 For a full discussion of this practice, see Non- practical utility; (b) the accuracy of the Market Economy Antidumping Proceedings: Internet at [email protected]). agency’s estimate of the burden Assessment of Antidumping Duties, 76 FR 65694 FOR FURTHER INFORMATION CONTACT: (including hours and cost) of the (October 24, 2011). Requests for additional information or proposed collection of information; (c) 13 See Seamless Refined Copper Pipe and Tube From the People’s Republic of China: Final copies of the information collection ways to enhance the quality, utility, and Determination of Sales at Less Than Fair Value, 75 instrument and instructions should be clarity of the information to be FR 60725, 60729 (October 1, 2010). directed to Rachael Wadsworth, (562) collected; and (d) ways to minimize the

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00009 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69823

burden of the collection of information ADDRESSES: Comments may be research platforms while conducting the on respondents, including through the submitted by any of the following specified research. For example, in the use of automated collection techniques methods: past, NMFS has determined that or other forms of information • Email: nmfs.hms.efp2014@ commercial pelagic longline vessels technology. noaa.gov. Include in the subject line the assisting with population surveys for Comments submitted in response to following identifier: 0648–XC974. sharks are considered bona fide research this notice will be summarized and/or • Mail: Craig Cockrell, Highly vessels while engaged only in the included in the request for OMB Migratory Species Management Division specified research. NMFS requests approval of this information collection; (F/SF1), NMFS, 1315 East-West copies of scientific research plans for they also will become a matter of public Highway, Silver Spring, MD 20910. these activities and acknowledges the record. • Fax: (301) 713–1917. activity by issuing an LOA to researchers to indicate that the proposed Dated: November 15, 2013. FOR FURTHER INFORMATION CONTACT: activity meets the definition of research. Gwellnar Banks, Craig Cockrell, phone: (301) 427–8503, fax: (301) 713–1917. Examples of research conducted under Management Analyst, Office of the Chief SUPPLEMENTARY INFORMATION: Issuance LOAs include tagging and releasing of Information Officer. sharks during bottom longline surveys [FR Doc. 2013–27883 Filed 11–20–13; 8:45 am] of EFPs and related permits are necessary for the collections of HMS for to understand the distribution and BILLING CODE 3510–22–P public display and scientific research to seasonal abundance of different shark exempt them from regulations (e.g., species, and collecting and sampling sharks caught during trawl surveys for DEPARTMENT OF COMMERCE fishing seasons, prohibited species, authorized gear, closed areas, and life history studies. Scientific research is not exempt from National Oceanic and Atmospheric minimum sizes) that may otherwise regulation under ATCA. NMFS issues Administration prohibit the collection. Collection for SRPs which authorize researchers to scientific research and display collect HMS from bona fide research RIN 0648–XC974 represents a small portion of the overall vessels for collection of species fishing mortality for HMS, and this managed under this statute (e.g., tunas, Atlantic Highly Migratory Species; mortality is counted against the quota of swordfish, billfish, and some species of Exempted Fishing, Scientific Research, the species harvested, as appropriate sharks). One example of research Display, and Chartering Permits; and applicable. The terms and conducted under SRPs consists of Letters of Acknowledgment conditions of individual permits are scientific surveys of HMS conducted unique; however, all permits will from the NOAA research vessels. EFPs AGENCY: National Marine Fisheries include reporting requirements, limit Service (NMFS), National Oceanic and are issued to researchers collecting the number and species of HMS to be ATCA-managed species and conducting Atmospheric Administration (NOAA), collected, and only authorize collection Commerce. research from commercial or in Federal waters of the Atlantic Ocean, recreational fishing vessels. NMFS ACTION: Notice of intent; request for Gulf of Mexico, and Caribbean Sea. regulations concerning the implantation comments. EFPs and related permits are issued or attachment of archival tags in under the authority of the Magnuson- Atlantic HMS require scientists to report SUMMARY: NMFS announces its intent to Stevens Fishery Conservation and issue Exempted Fishing Permits (EFPs), their activities associated with these Management Reauthorization Act tags. Examples of research conducted Scientific Research Permits (SRPs), (Magnuson-Stevens Act) (16 U.S.C. 1801 Display Permits, Letters of under EFPs include deploying pop-up et seq.) and/or the Atlantic Tunas satellite archival tags on billfish, sharks, Acknowledgment (LOAs), and Convention Act (ATCA) (16 U.S.C. 971 and tunas to determine migration Chartering Permits for Atlantic highly et seq.). Regulations at 50 CFR 600.745 patterns of these species; conducting migratory species (HMS) in 2014. and 635.32 govern scientific research billfish larval tows to determine billfish Exempted fishing permits and related activity, exempted fishing, chartering habitat use, life history, and population permits would authorize collection of a arrangements, and exempted public structure; and determining catch rates limited number of tunas, swordfish, display and educational activities with and gear characteristics of the swordfish billfishes, and sharks (collectively respect to Atlantic HMS. Since the buoy gear fishery. known as HMS) from Federal waters in Magnuson-Stevens Act does not NMFS is also seeking public comment the Atlantic Ocean, Caribbean Sea, and consider scientific research to be on its intent to issue display permits for Gulf of Mexico for the purposes of ‘‘fishing,’’ scientific research is exempt the collection of sharks and other HMS scientific data collection and public from this statute, and NMFS does not for public display in 2014. Collection of display. Chartering permits allow the issue EFPs for bona fide research sharks and other HMS sought for public collection of HMS on the high seas or activities (e.g., research conducted from display in aquaria often involves in the Exclusive Economic Zone of other a research vessel and not a commercial collection when the commercial fishing nations under certain conditions. or recreational fishing vessel) involving seasons are closed, collection of Generally, EFPs and related permits will species that are only regulated under the otherwise prohibited species, and be valid from the date of issuance Magnuson-Stevens Act (e.g., most collection of fish below the regulatory through December 31, 2014, unless species of sharks) and not under ATCA. minimum size. NMFS established a 60- otherwise specified, subject to the terms NMFS generally does not consider metric ton (mt) whole weight (ww) and conditions of individual permits. recreational or commercial vessels bona (approximately 3,000 sharks) quota for DATES: Written comments on these fide research vessels. However, if the the public display and research of activities received in response to this vessels have been contracted to only sharks (combined) in the final Fishery notice will be considered by NMFS conduct research and not participate in Management Plan for Atlantic Tunas, when issuing EFPs and related permits any commercial or recreational fishing Swordfish, and Sharks (1999 FMP). Out and must be received on or before activities during that research, NMFS of this 60 mt ww quota, 1.4 mt ww is December 23, 2013. may consider those vessels as bona fide set aside to collect sandbar sharks under

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00010 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69824 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

a display permit and 1. 4 mt ww is set information for determining overall shark research fishery. This research aside to collect sandbar sharks under stock health. Further, it is in the fishery is conducted under the auspices EFPs. Public display of dusky sharks is researcher’s best interest to ensure that of the exempted fishing permit program. prohibited; NMFS considers collection incidental mortality does not occur due Research fishery permit holders assist of dusky sharks for research under an to the high costs involved with NMFS in collecting valuable shark life EFP and/or SRP on a case-by-case basis. installing the tags on sharks (i.e., a dead history data and data for future shark The environment effects of these quotas shark represents a lost tag and little or stock assessments. Fishermen must fill have been analyzed in conjunction with no data). Although not anticipated, if a out an application for a shark research other sources of mortality in the 2006 disproportionate number of sharks were permit under the exempted fishing Consolidated HMS FMP and its to die as a result of this or similar program to participate in the shark amendments, and NMFS has research activities, then the following research fishery. Shark research fishery determined that harvesting this amount year, NMFS would consider that participants are subject to 100-percent for public display and scientific information deciding whether to issue observer coverage in addition to other research will not have a significant permits to those researchers or may terms and conditions. A Federal impact on the stocks. The number of require additional actions to minimize Register notice describing the objectives sharks harvested for display and the mortality of the shark before issuing for the shark research fishery in 2014 research has remained under the annual any permits. In the researcher’s 2012 and announcing that NMFS will be 60-mt ww quota every year since annual report to NMFS, they reported accepting applications is expected to establishment of the quota. In 2012, tagging 4 white sharks and 1 porbeagle publish in the near future. approximately 39 percent of the sharks shark without any mortality. NMFS The authorized number of species for authorized for public display and requests public comment specific to this 2013, as well as the number of scientific research purposes were research during the comment period of specimens collected in 2012, is actually harvested or discarded dead. this notice. summarized in Table 1. The number of Amendment 3 to the 2006 Consolidated The majority of EFPs and related specimens collected in 2013 will be HMS FMP also established a separate permits described within this annual available when all 2013 interim and set-aside quota for smoothhound sharks notice relate to scientific sampling and annual reports are submitted to NMFS. (i.e., smooth dogfish, Florida tagging of Atlantic HMS within existing In 2012, the number of specimens smoothhounds, and Gulf quotas, the impacts of which have been collected was less than the number of smoothhounds) taken for research previously analyzed in various authorized specimens for most permit purposes, which would be in addition environmental assessments and types, with the exception of the number to the overall 60-mt ww quota for the environmental impact statements for of sharks taken under EFPs and Display public display and research of all Atlantic HMS. NMFS intends to issue permits. For sharks taken under EFPs, sharks. However, the smoothhound these permits without additional SRPs, and Display Permits 1,017 of the shark research set-aside quota is not yet opportunity for public comment beyond sharks caught were Atlantic sharpnose effective and their harvest resulting what is provided in this notice. sharks collected during trips using from research activities is not yet Occasionally NMFS receives longline gear. It is difficult to control the deducted from the set-aside quota for applications for research activities that number and species of animals caught public display and research of sharks. were not anticipated or for research that when using this gear type. Atlantic NMFS will announce when such is outside the scope of general scientific sharpnose sharks were not determined regulations become effective through a sampling and tagging of Atlantic HMS to be overfished nor experiencing publication in the Federal Register. or, rarely, for research that is overfishing in a 2007 stock assessment; For the coming year, NMFS is particularly controversial. Should therefore, the overages in Table 1 for expecting an EFP application that NMFS receive such applications, NMFS certain permit categories in 2012 are not would request the tagging of white will provide additional opportunity for expected to have negative ecological sharks to track their migration patterns public comment. in the Northwest Atlantic. In 2012 and NMFS is also requesting comments on impacts on the stock. When added to 2013, NMFS issued such a permit to chartering permits considered for the total number of sharks discarded conduct this tagging research on white issuance in 2013 to U.S. vessels fishing dead and kept in 2012, the 1,017 sharks using the R/V Ocearch. After for HMS while operating under Atlantic sharpnose sharks caught is issuance of the permit, a few members chartering arrangements with foreign within the established 60 mt quota for of the public contacted NMFS about the countries. NMFS has not issued any EFPs, SRPs, and display permits. A new use of the R/V Ocearch for tagging white chartering permits since 2004. A stock assessment is underway and any sharks. They expressed concern about chartering arrangement is a contract or changes to the Atlantic sharpnose stock the relatively recent, but unrelated, agreement between a U.S. vessel owner status could limit the amount of this incidental mortality of a white shark and a foreign entity by which the species that may be authorized for tagged off the coast of South Africa and control, use, or services of a vessel are collection in the future. requested that NMFS not issue research secured for a period of time for fishing In all cases, mortality associated with permits to authorize similar activities in for Atlantic HMS. Before fishing under an EFP, SRP, Display Permit, or LOA U.S. waters. NMFS recognizes that this a chartering arrangement, the owner of (except for larvae) is counted against the kind of research potentially could result the U.S. fishing vessel must apply for a appropriate quota. NMFS issued a total in incidental mortality, although no chartering permit. The vessel chartering of 43 EFPs, SRPs, Display Permits, and such mortality has occurred in relation regulations can be found at 50 CFR LOAs in 2012 for the collection of HMS. to this particular permit. Research such 635.5(a)(4) and 635.32(e). As of November 14, 2013, NMFS has as this is important to better understand In addition, Amendment 2 to the 2006 issued a total of 38 EFPs, SRPs, Display shark life history and provides valuable Consolidated HMS FMP implemented a Permits, and LOAs.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00011 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69825

TABLE 1—SUMMARY OF HMS EXEMPTED FISHING PERMITS ISSUED IN 2011 AND 2012 [‘‘HMS’’ refers to multiple species being collected under a given permit type]

2012 2013 Fish kept/ Permits Authorized Authorized discarded Larvae kept Permits Authorized Authorized Permit type issued ** fish larvae dead (number) issued ** fish larvae (number) (number) (number) (number) (number)

EFP: HMS ...... 3 163 0 0 0 3 229 0 Shark ...... 10 1,118 0 †1,145 0 10 3,239 0 Tuna ...... 5 687 0 0 0 5 327 0 Billfish ...... 1 20 1,000 0 2,243 1 30 1,000 SRP: HMS ...... 4 83 0 1 0 3 941 0 Shark ...... 4 2,160 0 134 0 3 2,132 0 Tuna ...... 3 610 2,000 0 0 2 80 2000 Display: HMS ...... 2 126 0 0 0 2 94 0 Shark ...... 4 115 0 †170 0 4 121 0

Total ...... 36 5,082 3,000 4,485 2,243 32 7,193 3,000 LOA *: Shark ...... 7 2,140 0 699 0 6 2,770 0 * LOAs are issued for bona fide scientific research activities involving non-ATCA managed species (e.g., most species of sharks). Collections made under an LOA are not authorized; rather this estimated harvest for research is acknowledged by NMFS. Permitees are encouraged to re- port all fishing activities in a timely manner. ** 2012 permits issued listed in Table 1 do not include permits issued solely for research related to the Deepwater Horizon/BP oil spill research in the Gulf of Mexico. † All additional collections above the authorized levels were due to incidentally caught Atlantic sharpnose sharks.

Final decisions on the issuance of any DEPARTMENT OF COMMERCE http://www.nmfs.noaa.gov/pr/permits/ EFPs, SRPs, Display Permits, and incidental.htm. In the case of problems Chartering Permits will depend on the National Oceanic and Atmospheric accessing these documents, please call submission of all required information Administration the contact listed below. A about the proposed activities, NMFS RIN 0648–XC824 memorandum describing our adoption review of public comments received on of the Navy’s Environmental this notice, an applicant’s reporting Takes of Marine Mammals Incidental to Assessment (2013) and our associated history on past permits issued, any prior Specified Activities; Taking Marine Finding of No Significant Impact, violations of marine resource laws Mammals Incidental to a Pier prepared pursuant to the National administered by NOAA, consistency Maintenance Project Environmental Policy Act, are also available at the same site. with relevant NEPA documents, and AGENCY: National Marine Fisheries any consultations with appropriate Service (NMFS), National Oceanic and FOR FURTHER INFORMATION CONTACT: Ben Regional Fishery Management Councils, Atmospheric Administration (NOAA), Laws, Office of Protected Resources, states, or Federal agencies. NMFS does Commerce. NMFS, (301) 427–8401. not anticipate any significant ACTION: Notice; issuance of an incidental SUPPLEMENTARY INFORMATION: environmental impacts from the harassment authorization. Background issuance of these EFPs as assessed in the 1999 FMP, the 2006 Consolidated HMS SUMMARY: In accordance with the Sections 101(a)(5)(A) and (D) of the FMP and its amendments, 2011 Bluefin regulations implementing the Marine MMPA (16 U.S.C. 1361 et seq.) direct Tuna Specifications, and 2012 Mammal Protection Act (MMPA) as the Secretary of Commerce to allow, Swordfish Specifications. amended, notification is hereby given upon request by U.S. citizens who that we have issued an incidental engage in a specified activity (other than Authority: 16 U.S.C. 971 et seq. and 16 harassment authorization (IHA) to the commercial fishing) within a specified U.S.C. 1801 et seq. U.S. Navy (Navy) to incidentally harass, area, the incidental, but not intentional, Dated: November 15, 2013. by Level B harassment only, two species taking of small numbers of marine Kelly Denit, of marine mammals during construction mammals, providing that certain activities associated with a pier Acting Deputy Director, Office of Sustainable findings are made and the necessary maintenance project at Naval Base Fisheries, National Marine Fisheries Service. prescriptions are established. Kitsap Bremerton, Washington. [FR Doc. 2013–27969 Filed 11–20–13; 8:45 am] The incidental taking of small DATES: This authorization is effective numbers of marine mammals may be BILLING CODE 3510–22–P from December 1, 2013, through March allowed only if NMFS (through 1, 2014. authority delegated by the Secretary) ADDRESSES: A copy of the Navy’s finds that the total taking by the application and any supporting specified activity during the specified documents, as well as a list of the time period will (i) have a negligible references cited in this document, may impact on the species or stock(s) and (ii) be obtained by visiting the internet at: not have an unmitigable adverse impact

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00012 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69826 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

on the availability of the species or work window from June 15 to March 1. to the main basin of Puget Sound stock(s) for subsistence uses (where This IHA is valid from December 1, through Port Washington Narrows and relevant). Further, the permissible 2013, through March 1, 2014. Two then Agate Pass to the north or Rich methods of taking and requirements species of marine mammal are expected Passage to the east. Sinclair Inlet has pertaining to the mitigation, monitoring to be affected by the specified activities: been significantly modified by and reporting of such taking must be set California sea lion (Zalophus development activities. Fill associated forth, either in specific regulations or in californianus californianus) and harbor with transportation, commercial, and an authorization. seal (Phoca vitulina richardii). These residential development of NBKB, the The allowance of such incidental species may occur year-round in the City of Bremerton, and the local ports of taking under section 101(a)(5)(A), by action area, although California sea Bremerton and Port Orchard has harassment, serious injury, death or a lions are less common and potentially resulted in significant changes to the combination thereof, requires that absent in the summer months. shoreline. The area surrounding Pier 6 regulations be established. NBKB serves as the homeport for a is industrialized, armored and adjacent Subsequently, a Letter of Authorization nuclear aircraft carrier and other Navy to railroads and highways. Sinclair Inlet may be issued pursuant to the vessels and as a shipyard capable of is also the receiving body for a prescriptions established in such overhauling and repairing all types and wastewater treatment plant located just regulations, providing that the level of sizes of ships. Other significant west of NBKB. Sinclair Inlet is relatively taking will be consistent with the capabilities include alteration, shallow and does not flush fully despite findings made for the total taking construction, deactivation, and dry- freshwater stream inputs. allowable under the specific regulations. docking of naval vessels. Pier 6 was The project is expected to require a Under section 101(a)(5)(D), NMFS may completed in 1926 and requires maximum of 135 days of in-water authorize such incidental taking by substantial maintenance to maintain impact pile driving work and 65 days of harassment only, for periods of not more readiness. Over the length of the entire in-water vibratory pile removal work than 1 year, pursuant to requirements project, the Navy plans to remove up to over a 3-year period. In-water work will and conditions contained within an 400 deteriorating fender piles and to occur only from June 15 to March 1 of Incidental Harassment Authorization. replace them with up to 330 new pre- any year. During the timeframe of this The establishment of prescriptions stressed concrete fender piles. Under IHA (December 1, 2013–March 1, 2014), through either specific regulations or an this IHA, the Navy plans to conduct 20 45 days of impact pile driving and 20 authorization requires notice and days of vibratory pile removal and 45 days of vibratory removal are planned. opportunity for public comment. days of pile installation with an impact Description of Specified Activity NMFS has defined ‘‘negligible hammer. impact’’ in 50 CFR 216.103 as ‘‘. . . an Effects to marine mammals from the The Navy plans to remove impact resulting from the specified specified activity are expected to result deteriorated fender piles at Pier 6 and activity that cannot be reasonably from underwater sound produced by replace them with prestressed concrete expected to, and is not reasonably likely vibratory and impact pile driving. In piles. The entire project calls for the to, adversely affect the species or stock order to assess project impacts, the Navy removal of 380 12-in diameter creosoted through effects on annual rates of used thresholds recommended by timber piles and twenty 12-in steel pipe recruitment or survival.’’ Except with NMFS, outlined later in this document. piles. These would be replaced with 240 respect to certain activities not pertinent The Navy assumed practical spreading 18-in square concrete piles and 90 24- here, section 3(18) of the MMPA defines loss and used empirically-measured in square concrete piles. It is not ‘‘harassment’’ as: ‘‘. . . any act of source levels from representative pile possible to specify accurately the pursuit, torment, or annoyance which (i) driving events to estimate potential number of piles that might be installed has the potential to injure a marine marine mammal exposures. Predicted or removed in any given work window, mammal or marine mammal stock in the exposures are described later in this due to various delays that may be wild; or (ii) has the potential to disturb document. The calculations predict that expected during construction work and a marine mammal or marine mammal only Level B harassment would occur uncertainty inherent to estimating stock in the wild by causing disruption associated with pile driving activities, production rates. The Navy assumes a of behavioral patterns, including, but and required mitigation measures notional production rate of four piles not limited to, migration, breathing, further ensure that no more than Level per day in determining the number of nursing, breeding, feeding, or B harassment would occur. days of pile driving expected, and sheltering.’’ The former is termed Level scheduling—as well as exposure A harassment and the latter is termed Description of the Specified Activity analyses—is based on this assumption. Level B harassment. Additional details regarding the All piles are planned for removal via specified activity were described in our vibratory driver. The driver is Summary of Request Federal Register notice of proposed suspended from a barge-mounted crane On May 22, 2013, we received a authorization (78 FR 56659; September and positioned on top of a pile. request from the Navy for authorization 13, 2013; hereafter, the FR notice); Vibration from the activated driver of the taking, by Level B harassment please see that document or the Navy’s loosens the pile from the substrate. only, of marine mammals incidental to application for more information. Once the pile is released, the crane pile driving in association with the Pier raises the driver and pulls the pile from 6 pile replacement project at Naval Base Specific Geographic Region and the sediment. Vibratory extraction is Kitsap Bremerton, WA (NBKB). That Duration expected to take approximately 5–30 request was modified on June 5, 2013, NBKB is located on the north side of minutes per pile. If piles break during and a final version, which we deemed Sinclair Inlet in Puget Sound (see removal, the remaining portion may be adequate and complete, was submitted Figures 1–1 and 2–1 of the Navy’s removed via direct pull or with a on June 12, 2013. In-water work application). Sinclair Inlet, an estuary of clamshell bucket. Replacement piles associated with the project will be Puget Sound extending 3.5 miles will be installed via impact driver and conducted over three years and will southwesterly from its connection with are expected to require approximately occur only during the approved in-water the Port Washington Narrows, connects 15–60 minutes of driving time per pile,

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00013 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69827

depending on subsurface conditions. sound (produced by impact pile Department of Transportation (WSDOT) Impact driving and/or vibratory removal driving), but below injurious thresholds. and the California Department of could occur on any work day during the NMFS uses these levels as guidelines to Transportation (CalTrans). In order to period of the IHA, but a maximum of estimate when harassment may occur. determine reasonable SPLs that are one pile driving rig will be operating at NMFS is in the process of revising likely to result from pile driving at any given time. these acoustic thresholds, with the first NBKB, the Navy evaluated existing data step being to identify new auditory on the basis of pile materials and driver Description of Sound Sources and injury criteria for all source types and type. Representative data for pile Distances to Thresholds new behavioral criteria for seismic driving SPLs recorded from similar An in-depth description of sound activities (primarily airgun-type construction activities in recent years sources in general was provided in the sources). For more information on that were presented in the FR notice (78 FR FR notice (78 FR 56659; September 13, process, please visit http:// 56659; September 13, 2013). 2013). Significant sound-producing in- www.nmfs.noaa.gov/pr/acoustics/ Underwater sound levels from pile water construction activities associated guidelines.htm. driving for this project are assumed to with the project include vibratory and Distance to Sound Thresholds be as follows: impact pile driving. • For impact driving of concrete Underwater Sound—Pile driving piles, 191 dB re 1 mPa (rms). This value Sound Thresholds generates underwater noise that can was selected as representative of the NMFS currently uses acoustic potentially result in disturbance to largest concrete pile size to be installed exposure thresholds as important tools marine mammals in the project area. and may be conservative when smaller to help better characterize and quantify Please see the FR notice (78 FR 56659; concrete piles are driven (CalTrans, the effects of human-induced noise on September 13, 2013) for a detailed 2012). marine mammals. These thresholds description of the calculations and • have predominantly been presented in information used to estimate distances For vibratory removal of steel piles, the form of single received levels for to relevant threshold levels. In general, 170 dB re 1 mPa (rms). This proxy value, particular source categories (e.g., the sound pressure level (SPL) at some from the CalTrans compendium of pile impulse, continuous, or explosive) distance away from the source (e.g., driving data (CalTrans, 2012), is for above which an exposed animal would driven pile) is governed by a measured vibratory installation and would likely be predicted to incur auditory injury or source level, minus the transmission be conservative when applied to be behaviorally harassed. Current NMFS loss of the energy as it dissipates with vibratory extraction, which would be practice (in relation to the MMPA) distance. A practical spreading value of expected to produce lower SPLs than regarding exposure of marine mammals 15 (4.5 dB reduction in sound level for vibratory installation of same-sized to sound is that cetaceans and each doubling of distance) is often used piles. pinnipeds exposed to sound levels of under intermediate conditions, and is • For vibratory removal of timber 180 and 190 dB rms or above, assumed here. piles, 168 dB re 1 mPa (rms). This proxy respectively, are considered to have Source level, or the intensity of pile value was measured by the Washington been taken by Level A (i.e., injurious) driving sound, is greatly influenced by State Department of Transportation for harassment, while behavioral factors such as the type of piles, vibratory removal of timber piles and is harassment (Level B) is considered to hammers, and the physical environment the only information we are aware of for have occurred when marine mammals in which the activity takes place. A this event type (Laughlin, 2011). All are exposed to sounds at or above 120 number of studies have measured sound calculated distances to and the total area dB rms for continuous sound (such as produced during underwater pile encompassed by the marine mammal will be produced by vibratory pile driving projects, primarily during work sound thresholds are provided in Table driving) and 160 dB rms for pulsed conducted by the Washington State 1.

TABLE 1—CALCULATED DISTANCE(S) TO AND AREA ENCOMPASSED BY UNDERWATER MARINE MAMMAL SOUND THRESHOLDS DURING PILE INSTALLATION 1

Distance to threshold (m) and associated area of ensonification (km 2) Description 190 dB 180 dB 160 dB 120 dB

Concrete piles, impact ...... 1.2, <0.0001 5.4, 0.0001 117, 0.04 n/a Steel piles, vibratory ...... 0 0 n/a 2 2,154, 7.5 Timber piles, vibratory ...... 0 0 n/a 1,585; 5.04 1 SPLs (levels at source) used for calculations were: 191 dB for impact driving, 170 dB for vibratory removal of steel piles, and 168 dB for vi- bratory removal of timber piles. 2 Areas presented take into account attenuation and/or shadowing by land. Please see Figures B–1 and B–2 in the Navy’s application.

Sinclair Inlet does not represent open application for a depiction of areas in surface. As a result, the Navy analyzed water, or free field, conditions. which each underwater sound threshold the potential for pinnipeds hauled out Therefore, sounds would attenuate is predicted to occur at the project area or swimming at the surface near NBKB according to the shoreline topography. due to pile driving. to be exposed to airborne SPLs that Distances shown in Table 1 are Airborne Sound—Pile driving can could result in Level B behavioral estimated for free-field conditions, but generate airborne sound that could harassment. Although there is no areas are calculated per the actual potentially result in disturbance to official airborne sound threshold, NMFS conditions of the action area. See marine mammals (specifically, assumes for purposes of the MMPA that pinnipeds) which are hauled out or Figures B–1 and B–2 of the Navy’s behavioral disturbance can occur upon have their heads above the water’s

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00014 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69828 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

exposure to sounds above 100 dB re 20 (Commission). The Commission’s stock only; Eumetopias jubatus mPa rms (unweighted) for all pinnipeds, comments and our responses are monteriensis), gray whale (Eschrichtius except harbor seals. For harbor seals, the provided here, and the comments have robustus), and killer whale (Orcinus threshold is 90 dB re 20 mPa rms been posted on the Internet at: http:// orca). For the killer whale, both (unweighted). www.nmfs.noaa.gov/pr/permits/ transient (west coast stock) and resident The potential effects of airborne incidental.htm. (southern stock) animals, which are sound on pinnipeds were discussed in Comment 1: The Commission currently considered unnamed greater detail in the FR notice (78 FR recommends that we require the Navy to subspecies (Committee on Taxonomy, 56659; September 13, 2013). Based on conduct empirical in-water and in-air 2012), have occurred in the area. available proxy data from the Navy’s sound measurements during removal However, southern resident animals are Test Pile Program in the Hood Canal and installation of piles of various types known to have occurred only once, with (Illingworth & Rodkin, 2012) and from and sizes and use those data to inform the last confirmed sighting from 1997 in WSDOT (Laughlin, 2010), we future IHA applications at NBKB. Dyes Inlet. A group of 19 whales from determined that only very small zones Response: We agree with the the L–25 subpod entered and stayed in (< 169 m2) would be ensonified. There Commission’s statement that conducting Dyes Inlet, which connects to Sinclair are no haul-out opportunities within empirical sound measurements during Inlet northeast of NBKB, for 30 days. these small zones, which are the first year of activities for the 3-year Dyes Inlet may be reached only by encompassed by the zones estimated for project at NBKB would augment the traversing from Sinclair Inlet through underwater sound. Protective measures available data for the respective pile the Port Washington Narrows, a narrow will be in place out to the distances types, sizes, and locations (for which connecting body that is crossed by two calculated for the underwater little data are available) and also would bridges, and it was speculated at the thresholds, and the distances for the provide important information time that the whales’ long stay was the airborne thresholds will be covered regarding verification of assumed source result of a reluctance to traverse back fully by mitigation and monitoring levels and propagation loss for use in through the Narrows and under the two measures in place for underwater sound subsequent IHA requests at NBKB. In a bridges. There is one other unconfirmed thresholds. We recognize that pinnipeds constrained fiscal environment, such as report of a single southern resident in water that are within the area of currently exists, applicants are generally animal occurring in the project area, in ensonification for airborne sound could not able to conduct acoustic source January 2009. Of these stocks, the be incidentally taken by either verifications in all situations where it Steller sea lion and southern resident underwater or airborne sound or both. may be desirable but must prioritize killer whales are listed under the We consider these incidences of such efforts. However, the Navy has Endangered Species Act (ESA), with the harassment to be accounted for in the agreed to conduct acoustic monitoring eastern stock of Steller sea lions listed take estimates for underwater sound. during the first year of this project as as threatened and the southern resident The effects of airborne sound are not recommended by the Commission. stock of killer whales listed as considered further in this document’s Further details are provided below (see endangered. The FR notice (78 FR analysis. ‘‘Monitoring and Reporting’’). 56659; September 13, 2013) summarizes the population status and abundance of Comments and Responses Description of Marine Mammals in the these species and discusses additional We published a notice of receipt of Area of the Specified Activity species known from Puget Sound, and the Navy’s application and proposed There are five marine mammal the Navy’s application provides detailed IHA in the Federal Register on species with records of occurrence in life history information. Table 2 lists the September 13, 2013 (78 FR 56659). waters of Sinclair Inlet in the action marine mammal species with expected NMFS received comments from the area. These are the California sea lion, potential for occurrence in the vicinity Marine Mammal Commission harbor seal, Steller sea lion (eastern of NBKB during the project timeframe.

TABLE 2—MARINE MAMMALS POTENTIALLY PRESENT IN THE VICINITY OF NBKB

Stock Species abundance 1 Relative occurrence in Sinclair Inlet Season of occurrence (CV, Nmin)

California sea lion U.S. Stock ...... 296,750 Common ...... Year-round, excluding July. (n/a, 153,337) Harbor seal WA inland waters stock ...... 214,612 Common ...... Year-round. (0.15, 12,844) Steller sea lion Eastern stock ...... 58,334–72,223 Occasional presence ...... Seasonal (Oct–May). (n/a, 52,847) Killer whale West Coast transient stock 354 (n/a) Uncommon ...... Year-round. Gray whale Eastern North Pacific stock 19,126 Uncommon ...... Year-round. (0.071, 18,017)

1 NMFS marine mammal stock assessment reports at: http://www.nmfs.noaa.gov/pr/sars/species.htm. CV is coefficient of variation; Nmin is the minimum estimate of stock abundance. 2 This abundance estimate is greater than eight years old and is therefore not considered current.

Potential Effects of the Specified has the potential to result in behavioral September 13, 2013) provides a detailed Activity on Marine Mammals harassment of marine mammals that description of marine mammal hearing may be present in the project vicinity and of the potential effects of these We have determined that pile driving, while construction activity is being construction activities on marine as outlined in the project description, conducted. The FR notice (78 FR 56659; mammals.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00015 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69829

Anticipated Effects on Habitat mammal monitoring protocol, and sound levels constituting incidental The planned activities at NBKB operational procedures. harassment on the basis of predicted distances to relevant thresholds in post- would not result in permanent impacts Monitoring and Shutdown for Pile processing of observational and acoustic to habitats used directly by marine Driving mammals, but may have potential short- data, and a precise accounting of The following measures apply to the observed incidences of harassment term impacts to food sources such as Navy’s mitigation through shutdown forage fish and may affect acoustic created. This information may then be and disturbance zones: used to extrapolate observed takes to habitat (see masking discussion in Shutdown Zone—For all pile driving proposed IHA FR notice). There are no reach an approximate understanding of and removal activities, the Navy will actual total takes. rookeries or major haul-out sites, no establish a shutdown zone intended to Monitoring Protocols—Monitoring known foraging hotspots, or other ocean contain the area in which SPLs equal or will be conducted before, during, and bottom structure of significant biological exceed the 190 dB rms acoustic injury after pile driving activities. In addition, importance to marine mammals present criterion. The purpose of a shutdown observers shall record all incidences of in the marine waters in the vicinity of zone is to define an area within which marine mammal occurrence, regardless the project area. Therefore, the main shutdown of activity would occur upon of distance from activity, and shall impact issue associated with the sighting of a marine mammal (or in document any behavioral reactions in specified activity would be temporarily anticipation of an animal entering the concert with distance from piles being elevated sound levels and the associated defined area), thus preventing injury, driven. Observations made outside the direct effects on marine mammals, as serious injury, or death of marine shutdown zone will not result in discussed previously in the proposed mammals. Radial distances for shutdown; that pile segment would be IHA FR notice. The most likely impact shutdown zones are shown in Table 1. completed without cessation, unless the to marine mammal habitat occurs from However, for this project, a minimum animal approaches or enters the pile driving effects on likely marine shutdown zone of 10 m will be shutdown zone, at which point all pile mammal prey (i.e., fish) near NBKB and established during all pile driving driving activities would be halted. minor impacts to the immediate activities, regardless of the estimated Please see the Monitoring Plan substrate during installation and zone. Vibratory pile driving activities (Appendix C in the Navy’s application), removal of piles during the project. The are not predicted to produce sound developed by the Navy in agreement FR notice (78 FR 56659; September 13, exceeding the Level A standard, but with NMFS, for full details of the 2013) describes these potential impacts these precautionary measures are monitoring protocols. Monitoring will in greater detail. intended to prevent the already unlikely take place from 15 minutes prior to Mitigation possibility of physical interaction with initiation through 30 minutes post- construction equipment and to further completion of pile driving activities. In order to issue an incidental take reduce any possibility of acoustic Pile driving activities include the time authorization (ITA) under section injury. to remove a single pile or series of piles, 101(a)(5)(D) of the MMPA, we must set Disturbance Zone—Disturbance zones as long as the time elapsed between uses forth the permissible methods of taking are the areas in which SPLs equal or of the pile driving equipment is no more pursuant to such activity, and other exceed 160 and 120 dB rms (for pulsed than 30 minutes. The following means of effecting the least practicable and non-pulsed sound, respectively). additional measures apply to visual impact on such species or stock and its Disturbance zones provide utility for monitoring: habitat, paying particular attention to monitoring conducted for mitigation (1) Monitoring will be conducted by rookeries, mating grounds, and areas of purposes (i.e., shutdown zone qualified observers, who will be placed similar significance, and on the monitoring) by establishing monitoring at the best vantage point(s) practicable availability of such species or stock for protocols for areas adjacent to the to monitor for marine mammals and taking for certain subsistence uses shutdown zones. Monitoring of implement shutdown/delay procedures (where relevant). disturbance zones enables observers to when applicable by calling for the Measurements from proxy pile be aware of and communicate the shutdown to the hammer operator. driving events were coupled with presence of marine mammals in the Qualified observers are trained practical spreading loss to estimate project area but outside the shutdown biologists, with the following minimum zones of influence (ZOIs; see ‘‘Estimated zone and thus prepare for potential qualifications: Take by Incidental Harassment’’); these shutdowns of activity. However, the • Visual acuity in both eyes values were used to develop mitigation primary purpose of disturbance zone (correction is permissible) sufficient for measures for pile driving activities at monitoring is for documenting incidents discernment of moving targets at the NBKB. The ZOIs effectively represent of Level B harassment; disturbance zone water’s surface with ability to estimate the mitigation zone that would be monitoring is discussed in greater detail target size and distance; use of established around each pile to prevent later (see ‘‘Monitoring and Reporting’’). binoculars may be necessary to correctly Level A harassment to marine Nominal radial distances for identify the target; mammals, while providing estimates of disturbance zones are shown in Table 1. • Advanced education in biological the areas within which Level B In order to document observed science, wildlife management, harassment might occur. In addition to incidences of harassment, monitors mammalogy, or related fields (bachelor’s the specific measures described later in record all marine mammal observations, degree or higher is required); this section, the Navy will conduct regardless of location. The observer’s • Experience and ability to conduct briefings between construction location, as well as the location of the field observations and collect data supervisors and crews, marine mammal pile being driven, is known from a GPS. according to assigned protocols (this monitoring team, and Navy staff prior to The location of the animal is estimated may include academic experience); the start of all pile driving activity, and as a distance from the observer, which • Experience or training in the field when new personnel join the work, in is then compared to the location from identification of marine mammals, order to explain responsibilities, the pile. It may then be estimated including the identification of communication procedures, marine whether the animal was exposed to behaviors;

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00016 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69830 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

• Sufficient training, orientation, or occurrence of an individual or group reduced energy followed by a 30-second experience with the construction would likely be highly noticeable and waiting period. This procedure is operation to provide for personal safety would attract significant attention in repeated two additional times. However, during observations; local media and with local whale implementation of soft start for • Writing skills sufficient to prepare a watchers and interested citizens. vibratory pile driving during previous report of observations including but not Prior to the start of pile driving on any pile driving work conducted by the limited to the number and species of day, the Navy will contact and/or Navy at another location has led to marine mammals observed; dates and review the latest sightings data from the equipment failure and serious human times when in-water construction Orca Network and/or Center for Whale safety concerns. Therefore, vibratory activities were conducted; dates and Research to determine the location of soft start is not required as a mitigation times when in-water construction the nearest marine mammal sightings. measure for this project, as we have activities were suspended to avoid The Orca Sightings Network consists of determined it not to be practicable. We potential incidental injury from a list of over 600 residents, scientists, have further determined this measure construction sound of marine mammals and government agency personnel in the unnecessary to providing the means of observed within a defined shutdown U.S. and Canada, and includes passive effecting the least practicable impact on zone; and marine mammal behavior; acoustic detections. The presence of a marine mammals and their habitat. Prior and killer whale or gray whale in the to issuing any further IHAs to the Navy • Ability to communicate orally, by southern reaches of Puget Sound would for pile driving activities in 2014 and radio or in person, with project be a notable event, drawing public beyond, we plan to facilitate personnel to provide real-time attention and media scrutiny. With this consultation between the Navy and information on marine mammals level of coordination in the region of other practitioners (e.g., Washington observed in the area as necessary. activity, the Navy should be able to State Department of Transportation and/ (2) Prior to the start of pile driving effectively receive real-time information or the California Department of activity, the shutdown zone will be on the presence or absence of whales, Transportation) in order to determine monitored for 15 minutes to ensure that sufficient to inform the day’s activities. whether the potentially significant it is clear of marine mammals. Pile Pile removal or driving would not occur human safety issue is inherent to driving will only commence once if there was the risk of incidental implementation of the measure or is due observers have declared the shutdown harassment of a species for which to operator error. For impact driving, zone clear of marine mammals; animals incidental take was not authorized. soft start will be required, and will be allowed to remain in the Prior to beginning pile driving on contractors will provide an initial set of shutdown zone (i.e., must leave of their each day, monitors will scan the floating three strikes from the impact hammer at own volition) and their behavior will be security barrier to ensure that no Steller 40 percent energy, followed by a 30- monitored and documented. The sea lions are present. During vibratory second waiting period, then two shutdown zone may only be declared pile removal, four land-based observers subsequent three-strike sets. clear, and pile driving started, when the will monitor the area; these will be We have carefully evaluated the entire shutdown zone is visible (i.e., positioned with two at the pier work applicant’s planned mitigation measures when not obscured by dark, rain, fog, site, one at the eastern extent of the ZOI and considered a range of other etc.). In addition, if such conditions in the Manette neighborhood of measures in the context of ensuring that should arise during impact pile driving Bremerton, and one at the southern we prescribe the means of effecting the that is already underway, the activity extent of the ZOI near the Annapolis least practicable impact on the affected will be halted. ferry landing in Port Orchard (please see marine mammal species and stocks and (3) If a marine mammal approaches or Figure 1 of Appendix C in the Navy’s their habitat. Our evaluation of potential enters the shutdown zone during the application). Additionally, one vessel- measures included consideration of the course of pile driving operations, based observer will travel through the following factors in relation to one activity will be halted and delayed until monitoring area, completing an entire another: (1) The manner in which, and either the animal has voluntarily left loop approximately every 30 minutes. If the degree to which, the successful and been visually confirmed beyond the any killer whales, grey whales, or Steller implementation of the measure is shutdown zone or 15 minutes have sea lions are detected, activity will not expected to minimize adverse impacts passed without re-detection of the begin or will shut down. to marine mammals; (2) the proven or animal. Monitoring will be conducted likely efficacy of the specific measure to throughout the time required to drive a Timing Restrictions minimize adverse impacts as planned; pile. In the project area, designated timing and (3) the practicability of the measure restrictions exist to avoid in-water work Special Conditions for applicant implementation. when salmonids and other spawning Based on our evaluation of the The Navy has not requested the forage fish are likely to be present. The applicant’s planned measures, as well as authorization of incidental take for in-water work window is June 15– any other potential measures that may Steller sea lions, killer whales, or gray March 1. All in-water construction be relevant to the specified activity, we whales (see discussion in Estimated activities would occur only during have determined that these mitigation Take by Incidental Harassment). daylight hours (sunrise to sunset). measures provide the means of effecting Therefore, shutdown would be the least practicable impact on marine Soft Start implemented in the event that a Steller mammal species or stocks and their sea lion or any cetacean is observed The use of a soft-start procedure is habitat, paying particular attention to upon sighting within (or in anticipation believed to provide additional rookeries, mating grounds, and areas of of entering) the defined disturbance protection to marine mammals by similar significance. zone. As described later in this warning or providing a chance to leave document, we believe that occurrence of the area prior to the hammer operating Monitoring and Reporting any of these species during the in-water at full capacity, and typically involves In order to issue an ITA for an work window would be uncommon. For a requirement to initiate sound from activity, section 101(a)(5)(D) of the gray and killer whales, in particular, the vibratory hammers for fifteen seconds at MMPA states that we must set forth

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00017 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69831

‘‘requirements pertaining to the driving at that location will not be • Other human activity in the area; monitoring and reporting of such initiated until that zone is visible. and taking’’. The MMPA implementing Should such conditions arise while • Description of implementation of regulations at 50 CFR 216.104(a)(13) impact driving is underway, the activity mitigation measures (e.g., shutdown or indicate that requests for ITAs must would be halted. delay). • include the suggested means of The shutdown and disturbance Reporting accomplishing the necessary monitoring zones around the pile will be monitored and reporting that will result in for the presence of marine mammals A draft report will be submitted to increased knowledge of the species and before, during, and after any pile driving NMFS within 45 days of the completion of the level of taking or impacts on or removal activity. of marine mammal and acoustic populations of marine mammals that are During vibratory pile removal, four monitoring, or 60 days prior to the expected to be present in the action observers will be deployed as described issuance of any subsequent IHA for this area. The Navy’s planned monitoring under the preceding mitigation project, whichever comes first. The and reporting is also described in their discussion, including four land-based report will include marine mammal Marine Mammal Monitoring Plan observers and one-vessel-based observer observations pre-activity, during- activity, and post-activity during pile (Appendix C of the Navy’s application). traversing the extent of the Level B driving days, and will also provide harassment zone. During impact Acoustic Monitoring descriptions of any adverse responses to driving, one observer will be positioned construction activities by marine The Navy will implement a sound at or near the pile to observe the much mammals and a complete description of source level verification study during smaller disturbance zone. all mitigation shutdowns and the results the specified activities. Data will be Individuals implementing the of those actions and a refined take collected in order to estimate airborne monitoring protocol will assess its and underwater source levels for estimate based on the number of marine effectiveness using an adaptive mammals observed during the course of vibratory removal of timber piles and approach. Monitoring biologists will use impact driving of concrete piles, with construction. Reporting will also their best professional judgment include the results of the acoustic measurements conducted for ten piles of throughout implementation and seek each type. Monitoring will include one monitoring effort. A final report will be improvements to these methods when prepared and submitted within 30 days underwater and one airborne deemed appropriate. Any modifications monitoring position. These exact following resolution of comments on the to protocol will be coordinated between draft report. positions will be determined in the field NMFS and the Navy. during consultation with Navy Estimated Take by Incidental personnel, subject to constraints related Data Collection Harassment to logistics and security requirements. We require that observers use Reporting of measured sound level With respect to the activities approved data forms. Among other described here, the MMPA defines signals will include the average, pieces of information, the Navy will minimum, and maximum rms value and ‘‘harassment’’ as: ‘‘any act of pursuit, record detailed information about any torment, or annoyance which (i) has the frequency spectra for each pile implementation of shutdowns, monitored. Please see section 11.4.4 for potential to injure a marine mammal or including the distance of animals to the marine mammal stock in the wild [Level details of the Navy’s acoustic pile and description of specific actions monitoring plan. A harassment]; or (ii) has the potential that ensued and resulting behavior of to disturb a marine mammal or marine Visual Marine Mammal Observations the animal, if any. In addition, the Navy mammal stock in the wild by causing The Navy will collect sighting data will attempt to distinguish between the disruption of behavioral patterns, and behavioral responses to number of individual animals taken and including, but not limited to, migration, construction for marine mammal the number of incidences of take. We breathing, nursing, breeding, feeding, or species observed in the region of require that, at a minimum, the sheltering [Level B harassment].’’ All activity during the period of activity. All following information be collected on anticipated takes will be by Level B the sighting forms: harassment, involving temporary observers will be trained in marine • mammal identification and behaviors Date and time that monitored changes in behavior. The planned activity begins or ends; mitigation and monitoring measures are and are required to have no other • construction-related tasks while Construction activities occurring expected to minimize the possibility of during each observation period; injurious or lethal takes such that take conducting monitoring. The Navy will • monitor the shutdown zone and Weather parameters (e.g., percent by Level A harassment, serious injury, cover, visibility); or mortality is considered discountable. disturbance zone before, during, and • after pile driving, with observers located Water conditions (e.g., sea state, However, it is unlikely that injurious or at the best practicable vantage points. tide state); lethal takes would occur even in the • Based on our requirements, the Navy Species, numbers, and, if possible, absence of the planned mitigation and will implement the following sex and age class of marine mammals; monitoring measures. • procedures for pile driving: Description of any observable If a marine mammal responds to a • MMOs will be located at the best marine mammal behavior patterns, stimulus by changing its behavior (e.g., vantage point(s) in order to properly see including bearing and direction of through relatively minor changes in the entire shutdown zone and as much travel, and if possible, the correlation to locomotion direction/speed or of the disturbance zone as possible. SPLs; vocalization behavior), the response • During all observation periods, • Distance from pile driving activities may or may not constitute taking at the observers will use binoculars and the to marine mammals and distance from individual level, and is unlikely to naked eye to search continuously for the marine mammals to the observation affect the stock or the species as a marine mammals. point; whole. However, if a sound source • If the shutdown zones are obscured • Locations of all marine mammal displaces marine mammals from an by fog or poor lighting conditions, pile observations; important feeding or breeding area for a

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00018 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69832 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

prolonged period, impacts on animals or opinion, and survey data from Navy exposure assessment methodology is an on the stock or species could potentially biologists and other agencies. A estimate of the numbers of individuals be significant (Lusseau and Bejder, technical report documenting exposed to the effects of pile driving 2007; Weilgart, 2007). Given the many methodologies used to derive these activities exceeding NMFS-established uncertainties in predicting the quantity densities and relevant background data thresholds. Of note in these exposure and types of impacts of sound on is still in development (DoN, in prep.). estimates, mitigation methods (i.e., marine mammals, it is common practice These data are generally considered the visual monitoring and the use of to estimate how many animals are likely best available information for shutdown zones; soft start for impact to be present within a particular Washington inland waters, except pile driving) were not quantified within distance of a given activity, or exposed where specific local abundance the assessment and successful to a particular level of sound. This information is available. At NBKB, the implementation of mitigation is not practice potentially overestimates the Navy began collecting opportunistic reflected in exposure estimates. In numbers of marine mammals taken. In observational data of animals hauled- addition, equating exposure with addition, it is often difficult to out on the floating security barrier. response (i.e., a behavioral response distinguish between the number of These surveys began in February 2010 meeting the definition of take under the individuals harassed and incidences of and have been conducted approximately MMPA) is simplistic and conservative harassment. In particular, for stationary monthly from September 2010 through assumption. For these reasons, results activities, it is more likely that some present (DoN, 2013). In addition, from this acoustic exposure assessment smaller number of individuals may WSDOT recently conducted in-water likely overestimate take estimates to accrue a number of incidences of pile driving over the course of multiple some degree. Species-specific harassment per individual than for each work windows as part of the Manette information and considerations in the incidence to accrue to a new individual, Bridge construction project in the take estimation process are detailed especially if those individuals display nearby Port Washington Narrows. here. some degree of residency or site fidelity WSDOT conducted required marine Harbor Seal—While no harbor seal and the impetus to use the site (e.g., mammal monitoring as part of this haul-outs are present in the action area because of foraging opportunities) is project (WSDOT, 2011, 2012; Rand, or in the immediate vicinity of NBKB, stronger than the deterrence presented 2011). We determined, for both harbor haul-outs are present elsewhere in by the harassing activity. seals and California sea lions, that these Sinclair Inlet and in other nearby waters The project area is not believed to be sources of local abundance information and harbor seals may haul out on particularly important habitat for comprise the best available data for use available objects opportunistically. Use marine mammals, nor is it considered in the take assessment calculations, as of the NMSDD density value (0.4267 an area frequented by marine mammals, described below. animals/km2; corrected for proportion of although harbor seals may be present animals hauled-out at any given time) year-round and sea lions are known to TABLE 3—MAXIMUM MARINE MAMMAL would result in an estimate of 2–3 haul-out on man-made objects at the DENSITY ESTIMATES FOR NBKB incidences of harassment per day; it is NBKB waterfront. Sightings of other (SINCLAIR INLET) likely that this would not adequately species are rare. Therefore, behavioral represent the potential presence of disturbances that could result from harbor seals given observed occurrence Species Density (Sinclair anthropogenic sound associated with Inlet), #/km2 at other nearby construction projects. these activities are expected to affect Marine mammal monitoring conducted only a relatively small number of Harbor seal ...... 0.4267 during pile driving work on the Manette individual marine mammals, although California sea lion ...... 0 .13 Bridge showed variable numbers of those effects could be recurring over the Steller sea lion ...... 0.037 harbor seals (but generally greater than Transient killer whale ...... 0.0024 life of the project if the same individuals Gray whale ...... 0 .0005 indicated by the NMSDD density). remain in the project vicinity. The Navy During the first year of construction (in- requested authorization for the Description of Take Calculation water work window only), an average of incidental taking of small numbers of 3.7 harbor seals were observed per day harbor seals and California sea lions in The take calculations presented here of monitoring with a maximum of 59 Sinclair Inlet and nearby waters that rely on the best data currently available observed in October 2011 (WSDOT, may be ensonified by project activities. for marine mammal populations in 2011; Rand, 2011). During the most Puget Sound. The methodology for recent construction period (July– Marine Mammal Densities estimating take was described in detail November 2012), an average of eleven For all species, the best scientific in the FR notice (78 FR 56659; harbor seals per monitoring day was information available was used to derive September 13, 2013). The ZOI impact observed, though some animals were density estimates and the maximum area is the estimated range of impact to likely counted multiple times (WSDOT, appropriate density value for each the sound criteria. The distances 2012). Given the potential for similar species was considered for use in the specified in Table 1 were used to occurrence of harbor seals in the marine mammal take assessment calculate ZOIs around each pile. The vicinity of NBKB during the in-water calculations. These values, shown in ZOI impact area calculations took into construction period, we determined it Table 3 below, were derived or consideration the possible affected area appropriate to use this most recent, confirmed by experts convened to with attenuation due to the local abundance information in the take develop such information for use in topographical constraints of Sinclair assessment calculation. Navy environmental compliance efforts Inlet, and the radial distances to California Sea Lion—Similar to in the Pacific Northwest, including thresholds are not always reached. harbor seals, it is not likely that use of Washington inland waters. The Navy While pile driving can occur any day, the NMSDD density value for California Marine Species Density Database and the analysis is conducted on a per sea lions (0.13 animals/km2) would (NMSDD) density estimates were day basis, only a fraction of that time adequately represent their potential recently finalized, and use data from (typically a matter of hours on any given occurrence in the project area. local marine mammal data sets, expert day) is actually spent pile driving. The California sea lions are commonly

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00019 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69833

observed hauled out on the floating other observations have occurred during Small Numbers Analysis security barrier which is in close Navy surveys or during project The number of incidences of take proximity to Pier 6; counts from 34 monitoring for Manette Bridge. Use of authorized for harbor seals and surveys (March 2010–June 2013) the NMSDD density estimate (0.0005 California sea lions would be 2 showed an average of 42 individuals per animals/km ) results in an estimate of considered small relative to the relevant survey day (range 0–144; DoN, 2013). zero exposures, and there are no stocks or populations (less than five These counts represent the best local existing data to indicate that gray percent and one percent, respectively) abundance data available and were used whales would occur more frequently even if each estimated taking occurred in the take assessment calculation. locally. Therefore, the Navy did not to a new individual. This is an Steller Sea Lion—No Steller sea lion request the authorization of incidental extremely unlikely scenario as, for haul-outs are present within or near the take for gray whales and we have not pinnipeds in estuarine/inland waters, action area, and Steller sea lions have issued such authorization. The Navy there is likely to be some overlap in not been observed during Navy would not begin activity or would shut individuals present day-to-day. waterfront surveys or during monitoring down upon report of a gray whale associated with the Manette Bridge present within or approaching the Negligible Impact Analysis construction project. It is assumed that relevant ZOI. Pile driving activities associated with the possibility exists that a Steller sea the Navy’s pier maintenance project, as lion could occur in the project area, but TABLE 4. NUMBER OF POTENTIAL INCI- outlined previously, have the potential there is no known attractant in Sinclair DENTAL TAKES OF MARINE MAM- to disturb or displace marine mammals. Inlet, which is a relatively muddy, MALS Specifically, the specified activities may industrialized area, and the floating result in take, in the form of Level B security barrier that California sea lions Exposure harassment (behavioral disturbance) use as an opportunistic haul-out cannot Species estimate only, from underwater sounds generated generally accommodate the larger adult from pile driving and removal. Potential Steller sea lions (juveniles could haul- 1 Harbor seal ...... 715 takes could occur if individuals of these out on the barrier). Use of the NMSDD California sea lion2 ...... 2,730 species are present in the ensonified density estimate (0.037 animals/km2) Steller sea lion ...... 0 results in an estimate of zero exposures, Transient killer whale ...... 0 zone when the specified activity is and there are no existing data to Gray whale ...... 0 occurring. indicate that Steller sea lions would No injury, serious injury, or mortality 1 Use of NMSDD density results in esti- occur more frequently locally. is anticipated given the nature of the mated range of potential exposures of 130– activity and measures designed to Therefore, the Navy did not request the 195. Local abundance data were used in ex- authorization of incidental take for posure assessment, i.e., 11 harbor seals po- minimize the possibility of injury to Steller sea lions and we have not issued tentially exposed per day for 65 days of pile marine mammals. The potential for driving. such authorization. The Navy would not these outcomes is minimized through 2 Use of NMSDD density results in esti- the construction method and the begin activity or would shut down upon mated potential exposures of 65. Local abun- report of a Steller sea lion present dance data were used in exposure assess- implementation of the planned within or approaching the relevant ZOI. ment, i.e., 42 California sea lions potentially mitigation measures. Specifically, piles Killer Whale—Transient killer whales exposed per day for 65 days of pile driving. will be removed via vibratory means— are rarely observed in the project area, an activity that does not have the For the Steller sea lion, transient potential to cause injury to marine with records since 2002 showing one killer whale, and gray whale, available group transiting through the area in May mammals due to the relatively low information indicates that presence of source levels produced (less than 180 2004 and a subsequent, similar these species is sufficiently rare to make observation in May 2010. No other dB) and the lack of potentially injurious exposure unlikely. Further, the Navy’s observations have occurred during Navy source characteristics—and, while monitoring plan further mitigates any surveys or during project monitoring for impact pile driving produces short, such possibility to the point that we Manette Bridge. Use of the NMSDD sharp pulses with higher peak levels consider it discountable and have not density estimate (0.0024 animals/km2) and much sharper rise time to reach authorized incidental take for these results in an estimate of zero exposures, those peaks, only small diameter three species. and there are no existing data to concrete piles are planned for impact indicate that killer whales would occur Negligible Impact and Small Numbers driving. Predicted source levels for such more frequently locally. Therefore, the Analyses and Determinations impact driving events are significantly Navy did not request the authorization lower than those typical of impact of incidental take for transient killer NMFS has defined ‘‘negligible driving of steel piles and/or larger whales and we have not issued such impact’’ in 50 CFR 216.103 as ‘‘. . . an diameter piles. In addition, authorization. The Navy would not impact resulting from the specified implementation of soft start and begin activity or would shut down upon activity that cannot be reasonably shutdown zones significantly reduces report of a killer whale present within expected to, and is not reasonably likely any possibility of injury. Given or approaching the relevant ZOI. to, adversely affect the species or stock sufficient ‘‘notice’’ through use of soft Gray Whale—Gray whales are rarely through effects on annual rates of start (for impact driving), marine observed in the project area, and the recruitment or survival.’’ In making a mammals are expected to move away majority of in-water work would occur negligible impact determination, we from a sound source that is annoying when whales are relatively less likely to considers a variety of factors, including prior to its becoming potentially occur (i.e., outside of March–May). but not limited to: (1) The number of injurious. Environmental conditions in Since 2002 and during the in-water anticipated mortalities; (2) the number Sinclair Inlet are expected to generally work window, there are observational and nature of anticipated injuries; (3) be good, with calm sea states, although records of three whales (all during the number, nature, intensity, and Sinclair Inlet waters may be more turbid winter 2008–09) and a stranding record duration of Level B harassment; and (4) than those further north in Puget Sound of a fourth whale (January 2013). No the context in which the take occurs. or in Hood Canal. Nevertheless, we

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00020 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69834 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

expect conditions in Sinclair Inlet to significance for foraging or the regulations published by the allow a high marine mammal detection reproduction; (4) the presumed efficacy Council on Environmental Quality (40 capability for the trained observers of the planned mitigation measures in CFR parts 1500–1508), the Navy required, enabling a high rate of success reducing the effects of the specified prepared an Environmental Assessment in implementation of shutdowns to activity to the level of least practicable (EA) to consider the direct, indirect and avoid injury, serious injury, or impact. In addition, neither of these cumulative effects to the human mortality. In addition, the topography of stocks are listed under the ESA or environment resulting from the pier Sinclair Inlet should allow for considered depleted under the MMPA. maintenance project. NMFS made the placement of observers sufficient to In combination, we believe that these Navy’s EA available to the public for detect cetaceans, should any occur (see factors, as well as the available body of review and comment, in relation to its Figure 1 of Appendix C in the Navy’s evidence from other similar activities, suitability for adoption by NMFS in application). demonstrate that the potential effects of order to assess the impacts to the human Effects on individuals that are taken the specified activity will have only environment of issuance of an IHA to by Level B harassment, on the basis of short-term effects on individuals. The the Navy. Also in compliance with reports in the literature as well as specified activity is not expected to NEPA and the CEQ regulations, as well monitoring from other similar activities, impact rates of recruitment or survival as NOAA Administrative Order 216–6, will likely be limited to reactions such and will therefore not result in NMFS has reviewed the Navy’s EA, as increased swimming speeds, population-level impacts. determined it to be sufficient, and increased surfacing time, or decreased adopted that EA and signed a Finding Determinations foraging (if such activity were occurring) of No Significant Impact (FONSI) on (e.g., Thorson and Reyff, 2006; HDR, The number of marine mammals November 8, 2013. The Navy’s EA and Inc., 2012). Most likely, individuals will actually incidentally harassed by the NMFS’ FONSI for this action may be simply move away from the sound project will depend on the distribution found at http://www.nmfs.noaa.gov/pr/ source and be temporarily displaced and abundance of marine mammals in permits/incidental.htm. from the areas of pile driving, although the vicinity of the activity. However, we even this reaction has been observed find that the number of potential takings Authorization primarily only in association with authorized (by level B harassment only), As a result of these determinations, impact pile driving. The pile driving which we consider to be a conservative, we have issued an IHA to the Navy to activities analyzed here are similar to, or maximum estimate, is small relative to conduct the specified activities at Naval less impactful than, numerous other the relevant regional stock or population Base Kitsap Bremerton, WA for the construction activities conducted in San numbers, and that the effect of the period from December 1, 2013, through Francisco Bay and in the Puget Sound activity will be mitigated to the level of March 1, 2014, provided the previously region, which have taken place with no least practicable impact through described mitigation, monitoring, and reported injuries or mortality to marine implementation of the mitigation and reporting requirements are incorporated. mammals, and no known long-term monitoring measures described Dated: November 15, 2013. adverse consequences from behavioral previously. Based on the analysis Helen M. Golde, harassment. Repeated exposures of contained herein of the likely effects of individuals to levels of sound that may the specified activity on marine Deputy Director, Office of Protected Resources, National Marine Fisheries Service. cause Level B harassment are unlikely mammals and their habitat, we find that to result in hearing impairment or to the total taking from the activity will [FR Doc. 2013–27867 Filed 11–20–13; 8:45 am] significantly disrupt foraging behavior. have a negligible impact on the affected BILLING CODE 3510–22–P Thus, even repeated Level B harassment species or stocks. of some small subset of the overall stock is unlikely to result in any significant Impact on Availability of Affected BUREAU OF CONSUMER FINANCIAL realized decrease in viability for the Species for Taking for Subsistence Uses PROTECTION affected individuals, and thus would There are no relevant subsistence uses not result in any adverse impact to the of marine mammals implicated by this Privacy Act of 1974, as Amended stock as a whole. Level B harassment action. Therefore, we have determined AGENCY: Bureau of Consumer Financial will be reduced to the level of least that the total taking of affected species Protection. practicable impact through use of or stocks will not have an unmitigable ACTION: Notice of Proposed Privacy Act mitigation measures described herein adverse impact on the availability of System of Records. and, if sound produced by project such species or stocks for taking for activities is sufficiently disturbing, subsistence purposes. SUMMARY: In accordance with the animals are likely to simply avoid the Endangered Species Act (ESA) Privacy Act of 1974, as amended, the area—which is not believed to provide Bureau of Consumer Financial any habitat of special significance— There are no ESA-listed marine Protection, hereinto referred to as the while the activity is occurring. mammals expected to occur in the Consumer Financial Protection Bureau In summary, this negligible impact action area. Therefore, the Navy has not (‘‘CFPB’’ or the ‘‘Bureau’’), gives notice analysis is founded on the following requested authorization of the factors: (1) The possibility of injury, of the establishment of a Privacy Act incidental take of ESA-listed species System of Records. serious injury, or mortality may and no such authorization is issued; reasonably be considered discountable; therefore, no consultation under the DATES: Comments must be received no (2) the anticipated incidences of Level B ESA is required. later than December 23, 2013. The new harassment consist of, at worst, system of records will be effective temporary modifications in behavior; (3) National Environmental Policy Act December 31, 2013, unless the the absence of any significant habitat (NEPA) comments received result in a contrary within the project area, including In compliance with the National determination. rookeries, significant haul-outs, or Environmental Policy Act of 1969 (42 ADDRESSES: You may submit comments known areas or features of special U.S.C. 4321 et seq.), as implemented by by any of the following methods:

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00021 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69835

• Electronic: [email protected]. The system of records entitled Records and Information Rules, • Mail/Hand Delivery/Courier: Claire ‘‘CFPB.026—Biographies’’ is published promulgated at 12 CFR part 1070 et seq., Stapleton, Chief Privacy Officer, in its entirety below. to: (1) Appropriate agencies, entities, and Consumer Financial Protection Bureau, Claire Stapleton, persons when: (a) the CFPB suspects or 1700 G Street NW., Washington, DC Chief Privacy Officer, Bureau of Consumer has confirmed that the security or 20552. Financial Protection. confidentiality of information in the Comments will be available for public CFPB.026 system of records has been inspection and copying at 1700 G Street compromised; (b) the CFPB has NW., Washington, DC 20552 on official SYSTEM NAME: determined that, as a result of the business days between the hours of 10 Biographies suspected or confirmed compromise, a.m. and 5 p.m. Eastern Time. You can there is a risk of harm to economic or SYSTEM LOCATION: make an appointment to inspect property interests, identity theft or comments by telephoning (202) 435– Consumer Financial Protection fraud, or harm to the security or Bureau, 1700 G Street NW., Washington, 7220. All comments, including integrity of this system or other systems DC 20552. attachments and other supporting or programs (whether maintained by the materials, will become part of the public CATEGORIES OF INDIVIDUALS COVERED BY THE CFPB or another agency or entity) that record and subject to public disclosure. SYSTEM: rely upon the compromised You should submit only information Individuals covered by this system information; and (c) the disclosure made that you wish to make available include: Any CFPB personnel, including to such agencies, entities, and persons is publicly. federal employees, detailees, and reasonably necessary to assist in contractors, whose biographical connection with the CFPB’s efforts to FOR FURTHER INFORMATION CONTACT: information is collected and distributed respond to the suspected or confirmed Claire Stapleton, Chief Privacy Officer, by CFPB. The system may also contain compromise and prevent, minimize, or Consumer Financial Protection Bureau, information about individuals who have remedy such harm; 1700 G Street NW., Washington, DC collaborated with, or have joint (2) Another federal or state agency to 20552, (202) 435–7220. authorship of publications or (a) permit a decision as to access, presentations with CFPB personnel. amendment or correction of records to SUPPLEMENTARY INFORMATION: The Dodd- be made in consultation with or by that Frank Wall Street Reform and Consumer CATEGORIES OF RECORDS IN THE SYSTEM: agency, or (b) verify the identity of an Protection Act (the ‘‘Act’’), Public Law Information contained in this system individual or the accuracy of 111–203, Title X, established the CFPB includes: Individuals’ (1) name; (2) information submitted by an individual to administer and enforce federal photograph; (3) professional contact who has requested access to or consumer financial law. The new information; (4) work history and amendment or correction of records; system of records described in this experience; (5) education background; (3) To the Office of the President in notice ‘‘CFPB.026—Biographies’’ will (6) fields of interest; (7) military response to an inquiry from that office collect biographical information of experience, if applicable; (8) civic made at the request of the subject of a CFPB employees, detailees, and duties; (9) honors or awards; (10) record or a third party on that person’s contractors in order to provide membership in professional societies; behalf; (4) Congressional offices in response information to Bureau staff, appropriate (11) publications authored and speeches to an inquiry made at the request of the agencies and entities, the media, and the or presentations given; and (12) other biographical information upon individual to whom the record pertains; public in order for the Bureau to carry (5) Contractors, agents, or other agreement by the individual that may be out its responsibilities. The CFPB will authorized individuals performing work collected and distributed to Bureau maintain control over the records on a contract, service, cooperative staff, appropriate agencies and entities, covered by this notice. agreement, job, or other activity on the media, and the public in order for behalf of the CFPB or Federal The report of the new system of the Bureau to carry out its Government and who have a need to records has been submitted to the responsibilities. Committee on Oversight and access the information in the Government Reform of the House of AUTHORITY FOR MAINTENANCE OF THE SYSTEM: performance of their duties or activities; Representatives, the Committee on Public Law 111–203, Title X, Sections (6) The U.S. Department of Justice Homeland Security and Governmental 1011, 1012, 1013, codified at 12 U.S.C. (‘‘DOJ’’) for its use in providing legal Affairs of the Senate, and the Office of §§ 5491, 5492, 5493. advice to the CFPB or in representing the CFPB in a proceeding before a court, Management and Budget, pursuant to PURPOSE(S): adjudicative body, or other Appendix I to OMB Circular A–130, administrative body, where the use of ‘‘Federal Agency Responsibilities for Records in this system are collected to enable the CFPB to collect and such information by the DOJ is deemed Maintaining Records About distribute biographical information of by the CFPB to be relevant and Individuals,’’ dated November 30, CFPB personnel, including employees, necessary to the advice or proceeding, 1 and the Privacy Act, 5 U.S.C. 2000, detailees, and contractors, in order to and such proceeding names as a party 552a(r). distribute information to Bureau staff, in interest: appropriate agencies and entities, the (a) The CFPB; (b) Any employee of the CFPB in his 1 media, and the public. Although pursuant to section 1017(a)(4)(E) of or her official capacity; the Consumer Financial Protection Act, Public Law ROUTINE USES OF RECORDS MAINTAINED IN THE 111–203, the CFPB is not required to comply with (c) Any employee of the CFPB in his SYSTEM, INCLUDING CATEGORIES OF USERS AND OMB-issued guidance, it voluntarily follows OMB or her individual capacity where DOJ THE PURPOSES OF SUCH USES: privacy-related guidance as a best practice and to has agreed to represent the employee; or facilitate cooperation and collaboration with other These records may be disclosed, (d) The United States, where the agencies. consistent with the CFPB Disclosure of CFPB determines that litigation is likely

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00022 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69836 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

to affect the CFPB or any of its RECORD SOURCE CATEGORIES: Board quarterly meeting for December components; Information in this system is obtained 18–19, 2013, will be closed to the (7) To audiences attending a from the individual personnel and co- public. Specifically, the Under Secretary particular event or meeting when the workers. of Defense (Acquisition, Technology, biographies of speakers are used as and Logistics), in consultation with the background in introductions or other EXEMPTIONS CLAIMED FOR THE SYSTEM: DoD Office of General Counsel, has informational material; and None. determined in writing that all sessions (8) To the news media and the public, [FR Doc. 2013–27977 Filed 11–20–13; 8:45 am] of the meeting for December 18–19, with the approval of the Chief Privacy BILLING CODE 4810–AM–P 2013, will be closed to the public Officer in consultation with counsel, because it will consider matters covered when necessary for recruiting, or by 5 U.S.C. §§ 552b(c)(1) and (4). providing information relevant to DEPARTMENT OF DEFENSE Interested persons may submit a products authored by CFPB personnel. written statement for consideration by Office of the Secretary the Defense Science Board. Individuals POLICIES AND PRACTICES FOR STORING, submitting a written statement must RETRIEVING, ACCESSING, RETAINING, AND Defense Science Board; Notice of DISPOSING OF RECORDS IN THE SYSTEM: submit their statement to the Designated Advisory Committee Meetings Federal Official at the address detailed STORAGE: in FOR FURTHER INFORMATION CONTACT, at AGENCY: Department of Defense. Paper and electronic records. any point, however, if a written ACTION: Notice of advisory committee RETRIEVABILITY: statement is not received at least 10 meetings. calendar days prior to the meeting, Records are retrievable by a variety of which is the subject of this notice, then fields including, without limitation, SUMMARY: The Defense Science Board it may not be provided to or considered name, work experience, educational will meet in closed session on December by the Defense Science Board. The background, publications and 18–19, 2013, from 8:00 a.m. to 5:00 p.m. Designated Federal Official will review at the Pentagon, Room 3E863, presentations, or by some combination all timely submissions with the Defense Washington, DC. thereof. Science Board Chairperson, and ensure DATES: SAFEGUARDS: December 18–19, 2013, from 8:00 they are provided to members of the a.m. to 5:00 p.m. Access to electronic records is Defense Science Board before the restricted to authorized personnel who ADDRESSES: The Pentagon, Room 3E863, meeting that is the subject of this notice. have been issued non-transferrable Washington, DC. Dated: November 18, 2013. access codes and passwords. Other FOR FURTHER INFORMATION CONTACT: Ms. Aaron Siegel, records are maintained in locked file Debra Rose, Executive Officer, Defense Alternate OSD Federal Register Liaison cabinets or rooms with access limited to Science Board, 3140 Defense Pentagon, Officer, Department of Defense. those personnel whose official duties Room 3B888A, Washington, DC 20301– [FR Doc. 2013–27951 Filed 11–20–13; 8:45 am] require access. 3140, via email at debra.a.rose20.civ@ BILLING CODE 5001–06–P mail.mil, or via phone at (703) 571– RETENTION AND DISPOSAL: 0084. The CFPB will manage all computer DEPARTMENT OF DEFENSE and paper files in the system as SUPPLEMENTARY INFORMATION: This meeting is being held under the permanent records until the disposition Department of the Army schedule for these records is approved provisions of the Federal Advisory by the National Archives and Records Committee Act of 1972 (5 U.S.C., [Docket ID: USA–2013–0037] Administration, at which time, the Appendix, as amended), the Government in the Sunshine Act of Proposed Collection; Comment CFPB will dispose of such files in Request accordance with the schedule. 1976 (5 U.S.C. 552b, as amended), and 41 CFR § 102–3.150. AGENCY: Department of the Army, DoD. SYSTEM MANAGER(S) AND ADDRESS: The mission of the Defense Science ACTION: Notice. Consumer Financial Protection Board is to advise the Secretary of Bureau, Chief Operating Officer, 1700 G Defense and the Under Secretary of SUMMARY: In compliance with Section Street NW., Washington, DC 20552. Defense for Acquisition, Technology & 3506(c)(2)(A) of the Paperwork Logistics on scientific and technical Reduction Act of 1995, the Department NOTIFICATION PROCEDURE: matters as they affect the perceived of the Army announces a proposed Individuals seeking notification and needs of the Department of Defense. At public information collection and seeks access to any record contained in this this meeting, the Board will discuss public comment on the provisions system of records, or seeking to contest interim finding and recommendations thereof. Comments are invited on: (a) its content, may inquire in writing in resulting from ongoing Task Force Whether the proposed collection of accordance with instructions appearing activities. The Board will also discuss information is necessary for the proper in Title 12, Chapter 10 of the CFR, plans for future consideration of performance of the functions of the ‘‘Disclosure of Records and scientific and technical aspects of agency, including whether the Information.’’ Address such requests to: specific strategies, tactics, and policies information shall have practical utility; Chief Privacy Officer, Bureau of as they may affect the U.S. national (b) the accuracy of the agency’s estimate Consumer Financial Protection, 1700 G defense posture and homeland security. of the burden of the proposed Street NW., Washington, DC 20552. In accordance with section 10(d) of information collection; (c) ways to RECORD ACCESS PROCEDURES: the Federal Advisory Committee Act, enhance the quality, utility, and clarity See ‘‘Notification Procedures’’ above. Public Law 92–463, as amended (5 of the information to be collected; and U.S.C. App. 2) and 41 CFR 102–3.155, (d) ways to minimize the burden of the CONTESTING RECORD PROCEDURES: the Department of Defense has information collection on respondents, See ‘‘Notification Procedures’’ above. determined that the Defense Science including through the use of automated

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00023 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69837

collection techniques or other forms of tonnage and community information as number and title for this Federal information technology. stipulated on ENG Form 3102C, Register document. The general policy DATES: Consideration will be given to all Waterway Traffic Report—Vessel Log or for comments and other submissions comments received by January 21, 2014. ENG form 3102D, Waterway Traffic from members of the public is to make Report—Detail Vessel Log. The ADDRESSES: You may submit comments, these submissions available for public information is applied to navigation identified by docket number and title, viewing on the Internet at http:// system management to identify and by any of the following methods: www.regulations.gov as they are prioritize lock maintenance, • Federal eRulemaking Portal: http:// received without change, including any rehabilitation, or replacement. It is also www.regulations.gov. Follow the personal identifiers or contact used to measure waterway performance instructions for submitting comments. information. and the level of service of the national • Mail: Federal Docket Management waterway systems. System Office, 4800 Mark Center Drive, FOR FURTHER INFORMATION CONTACT: To East Tower, Suite 02G09, Alexandria, Dated: November 15, 2013. request more information on this VA 22350–3100. Aaron Siegel, proposed information collection or to Instructions: All submissions received Alternate OSD Federal Register Liaison obtain a copy of the proposal and must include the agency name, docket Officer, Department of Defense. associated collection instruments, number and title for this Federal [FR Doc. 2013–27876 Filed 11–20–13; 8:45 am] please write to the U.S. Army ROTC Register document. The general policy BILLING CODE 5001–06–P Cadet Command, ATTN: ATCC–OP–I–S for comments and other submissions (Iantha Spalding), 55 Patch Road, from members of the public is to make Building 56, Fort Monroe, Virginia these submissions available for public DEPARTMENT OF DEFENSE 23651–5238, or call the Department of viewing on the Internet at http:// the Army Reports Clearance Officer at Department of the Army www.regulations.gov as they are (703) 428–6440. received without change, including any [Docket ID: USA–2013–0040] personal identifiers or contact SUPPLEMENTARY INFORMATION: information. Proposed Collection; Comment Title; Associated Form; and OMB Request FOR FURTHER INFORMATION CONTACT: To Number: U.S. Army ROTC 4-Year request more information on this AGENCY: Office of the Administrative College Scholarship Application (For proposed information collection or to Assistant to the Secretary of the Army High School Students); CC Form 114–R; obtain a copy of the proposal and (OAA–RPA), DoD. OMB Control Number 0702–0073. associated collection instruments, ACTION: Notice. Needs and Uses: The Army ROTC please write to the Institute for Water Program produces approximately 80 SUMMARY: In compliance with Section Resources, Navigation and Civil Works percent of the newly commissioned 3506(c)(2)(A) of the Paperwork Decision Support Center, 7701 officers for the U.S. Army. The Army Telegraph Road, Alexandria, VA 22315– Reduction Act of 1995, the Department of the Army announces a proposed ROTC scholarship is an incentive to 3868 ATTN: Virginia R. Pankow or call attract men and women to pursue 703–428–9047. public information collection and seeks public comment on the provisions educational degrees in the academic SUPPLEMENTARY INFORMATION: thereof. Comments are invited on: (a) disciplines required by the Army. The Title; Associated Form; and OMB Whether the proposed collection of information is collected annually. Number: Lock Performance Monitoring information is necessary for the proper Affected Public: Individuals or System (LPMS) Waterway Traffic performance of the functions of the households. Report; ENG FORM 3102C and 3102D; agency, including whether the Annual Burden Hours: 20,351. OMB Control, Number 0710–0008. information shall have practical utility; Needs and Uses: The U.S. Army (b) the accuracy of the agency’s estimate Number of Respondents: 13,508. Corps of Engineers utilizes the data of the burden of the proposed Responses per Respondent: 1. collected to monitor and analyze the use information collection; (c) ways to Average Burden per Response: 45 and operation of federally owned and enhance the quality, utility, and clarity operated locks. General data of vessel of the information to be collected; and minutes. identification, tonnage and commodities (d) ways to minimize the burden of the Frequency: Annually. are supplied by the master of vessels at information collection on respondents, The applications are available to high all locks owned and operated by the including through the use of automated school students. Once the applications U.S. Army Corps of Engineers. The collection techniques or other forms of for U.S. Army ROTC 4-Year College information is used for sizing and information technology. Scholarship Program are completed, scheduling replacements, the timing of DATES: Consideration will be given to all they are submitted to Headquarters, rehabilitation or maintenance actions, comments received by January 21, 2014. Cadet Command for review, screening, and the setting of operation procedures ADDRESSES: You may submit comments, and selection of scholarship recipients. and closures for locks and canals. identified by docket number and title, Affected Public: Business or other for The application and information by any of the following methods: provides the basis for the scholarship profit. • Federal eRulemaking Portal: http:// award. Annual Burden Hours: 26,312. www.regulations.gov. Follow the Number of Respondents: 6,529. instructions for submitting comments. Dated: November 15, 2013. Responses per Respondent: 93. • Mail: Federal Docket Management Aaron Siegel, Average Burden per Response: 2.6 System Office, 4800 Mark Center Drive, Alternate OSD Federal Register Liaison Minutes. East Tower, Suite 02G09, Alexandria, Officer, Department of Defense. Frequency: On occasion. VA 22350–3100. [FR Doc. 2013–27888 Filed 11–20–13; 8:45 am] Respondents are vessel operators who Instructions: All submissions received provide the vessel identification, must include the agency name, docket BILLING CODE 5001–06–P

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00024 Fmt 4703 Sfmt 9990 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69838 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

DEPARTMENT OF DEFENSE proposed information collection or to DEPARTMENT OF DEFENSE obtain a copy of the proposal and Department of the Army associated collection instruments, Department of the Army [Docket ID USA–2013–0039] please write to the Department of the [Docket ID: USA–2013–0038] Army, U.S. Army Corps of Engineers, Proposed Collection; Comment Institute for Water Resources (IWR), Proposed Collection; Comment Request Waterborne Commerce Statistics Center, Request P.O. Box 61280, New Orleans, LA AGENCY: Department of the Army, DoD. 70161, ATTN: CEIWR–NDC–C (David L. AGENCY: Department of the Army, DoD. ACTION: Notice. Penick, CEIWR–NDC–C), or call ACTION: Notice. Department of the Army reports SUMMARY: In compliance with Section clearance officer at (703) 428–6440. SUMMARY: In compliance with Section 3506(c)(2)(A) of the Paperwork 3506(c)(2)(A) of the Paperwork Reduction Act of 1995, the Department SUPPLEMENTARY INFORMATION: Reduction Act of 1995, the Department of the Army announces a proposed Title; Associated Form; and OMB of the Army announces a proposed public information collection and seeks Number: Terminal and Transfer public information collection and seeks public comment on the provisions Facilities Descriptions, IWR Forms 1–9; public comment on the provisions thereof. Comments are invited on: (a) OMB Control Number 0710–0007. thereof. Comments are invited on: (a) Whether the proposed collection of Needs and Uses: Data gathered and Whether the proposed collection of information is necessary for the proper published as one of the 56 Port Series information is necessary for the proper performance of the functions of the Reports, relating to terminals, transfer performance of the functions of the agency, including whether the facilities, storage facilities, and agency, including whether the information shall have practical utility; intermodal transportation. This information shall have practical utility; (b) the accuracy of the agency’s estimate information is used in navigation, (b) the accuracy of the agency’s estimate of the burden of the proposed planning, safety, National security, of the burden of the proposed information collection; (c) ways to emergency operations, and general information collection; (c) ways to enhance the quality, utility, and clarity interest studies and activities. enhance the quality, utility, and clarity of the information to be collected; and Respondents are terminal and transfer of the information to be collected; and (d) ways to minimize the burden of the facility operators. This data is essential (d) ways to minimize the burden of the information collection on respondents, to the Waterborne Commerce Statistics information collection on respondents, including through the use of automated Center in exercising their enforcement including through the use of automated collection techniques or other forms of and quality control responsibilities in collection techniques or other forms of information technology. the collection of data from vessel information technology. DATES: Consideration will be given to all reporting companies. DATES: Consideration will be given to all comments received by January 21, 2014. Affected Public: Business or other for comments received by January 21, 2014. ADDRESSES: You may submit comments, profit; Federal Government; and State, ADDRESSES: You may submit comments, identified by docket number and title, Local or Tribal government. identified by docket number and title, by any of the following methods: Annual Burden Hours: 316. by any of the following methods: • Federal eRulemaking Portal: http:// • Federal eRulemaking Portal: http:// www.regulations.gov. Follow the Number of Respondents: 1,262. www.regulations.gov. Follow the instructions for submitting comments. Responses per Respondent: 1. instructions for submitting comments. • Mail: Federal Docket Management Average Burden per Response: 15 • Mail: Federal Docket Management System Office, 4800 Mark Center Drive, minutes. System Office, 4800 Mark Center Drive, East Tower, Suite 02G09, Alexandria, Frequency: Annually. East Tower, Suite 02G09, Alexandria, VA 22350–3100. VA 22350–3100. Instructions: All submissions received The Federal Emergency Management Instructions: All submissions received must include the agency name, docket Agency (FEMA) has used the port must include the agency name, docket number and title for this Federal facility data in rapidly identifying number and title for this Federal Register document. The general policy affected businesses in need of assistance Register document. The general policy for comments and other submissions during the flooding events. Military for comments and other submissions from members of the public is to make interest of the Army, Navy, and Coast from members of the public is to make these submissions available for public Guard are met with information on these submissions available for public viewing on the Internet at http:// intermodal connections, terminal viewing on the Internet at http:// www.regulations.gov as they are transfer and storage facilities and www.regulations.gov as they are received without change, including any loading equipment capabilities in the received without change, including any personal identifiers or contact event of rapid military deployment, or personal identifiers or contact information. National emergencies. The Army’s information. Any associated form(s) for this Military Surface and Deployment and Any associated form(s) for this collection may be located within this Distribution Command (SDDC) use the collection may be located within this same electronic docket and downloaded information as a baseline for updating same electronic docket and downloaded for review/testing. Follow the their ‘‘Ports for National Defense’’ for review/testing. Follow the instructions at http:// mission. instructions at http:// www.regulations.gov for submitting Dated: November 15, 2013. www.regulations.gov for submitting comments. Please submit comments on Aaron Siegel, comments. Please submit comments on any given form identified by docket Alternate OSD Federal Register Liaison any given form identified by docket number, form number, and title. Officer, Department of Defense. number, form number, and title. FOR FURTHER INFORMATION CONTACT: To [FR Doc. 2013–27881 Filed 11–20–13; 8:45 am] FOR FURTHER INFORMATION CONTACT: To request more information on this BILLING CODE 5001–06–P request more information on this

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00025 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69839

proposed information collection or to DEPARTMENT OF EDUCATION • Reports on and Discussions of Topics obtain a copy of the proposal and of General Interest in High Energy associated collection instruments, Applications for New Awards; National Physics please write to the Department of the Institute on Disability and • Public Comment (10-minute rule) Army, Army Safety Office, Chief of Staff Rehabilitation Research—Disability Public Participation: The meeting is DACS–SF, 2221 S. Clark Street, Room and Rehabilitation Research Projects open to the public. A webcast of this 1113, Arlington, VA 22202 Attn: Mr. and Centers Program—Minority- meeting will be available. Please check Greg Komp, telephone (703) 601–2405. Serving Institution Field-Initiated the Web site below for updates and Projects Program information on how to view the SUPPLEMENTARY INFORMATION: meeting. If you would like to file a Correction Title; Associated Form; and OMB written statement with the Committee, Number: Letter Permit for Non-Army In notice document 2013–27559 you may do so either before or after the Agency Radiation Sources on Army appearing on pages 69398–69402 in the meeting. If you would like to make oral issue of November 19, 2013, make the Land; OMB Control Number 0702–0109. statements regarding any of these items following correction: on the agenda, you should contact John Needs and Uses: Army radiation On page 69398, in the first column, in Kogut, (301) 903–1298 or John.Kogut@ permits are required for use, storage, or the 21st line from the bottom, ‘‘February science.doe.gov. You must make your possession of radiation sources by non- 18, 2014’’ should read ‘‘January 21, request for an oral statement at least five Army agencies (including their civilian 2014’’. business days before the meeting. contractors) on an Army installation. [FR Doc. C1–2013–27559 Filed 11–20–13; 8:45 am] Reasonable provision will be made to The non-Army applicant will apply BILLING CODE 1505–01–D include the scheduled oral statements by letter, email or facsimile with on the agenda. The Chairperson of the supporting documentation to the Panel will conduct the meeting to garrison commander through the DEPARTMENT OF ENERGY facilitate the orderly conduct of appropriate tenant commander or business. Public comment will follow garrison director. DOE/NSF High Energy Physics the 10-minute rule. Advisory Panel Minutes: The minutes of the meeting The Army radiation permit will be available on the U.S. Department AGENCY: application will specify the effective Department of Energy, Office of of Energy’s Office of High Energy date and duration for the Army Science. Physics Advisory Panel Web site: radiation permit and describe the ACTION: Notice of Open Meeting. http://science.energy.gov/hep/hepap/ purposes for which the Army radiation SUMMARY: This notice announces a meetings/. permit is being sought. The application meeting of the DOE/NSF High Energy Issued at Washington, DC, on November will include identification of the trained Physics Advisory Panel (HEPAP). The 15, 2013. operating personnel who will be Federal Advisory Committee Act (Pub. LaTanya R. Butler, responsible for implementation of the L. 92–463, 86 Stat. 770) requires that Deputy Committee Management Officer. activities authorized by the permit and public notice of these meetings be [FR Doc. 2013–27939 Filed 11–20–13; 8:45 am] a summary of their professional announced in the Federal Register. BILLING CODE 6450–01–P qualifications; the point-of-contact name DATES: Friday, December 6, 2013; 9:00 and phone number for the application; a.m.–6:00 p.m. Saturday, December 7, the applicant’s radiation safety Standing 2013; 9:00 a.m.–4:00 p.m. DEPARTMENT OF ENERGY Operating Procedures (SOPs); storage ADDRESSES: Gaithersburg Marriott, 9751 Building Technologies Office provisions when the radiation source is Washingtonian Boulevard, Gaithersburg, Prioritization Tool not in use; and procedures for notifying Maryland 20878. the installation of reportable incidents/ FOR FURTHER INFORMATION CONTACT: John AGENCY: Office of Energy Efficiency and accidents. Kogut, Executive Secretary; High Energy Renewable Energy, Department of Affected Public: Business or other for- Physics Advisory Panel; U.S. Energy. profit entities; not-for-profit institutions; Department of Energy; SC–25/ ACTION: Request for information (RFI). State, local or Tribal governments. Germantown Building, 1000 Independence Avenue SW., SUMMARY: The U.S. Department of Annual Burden Hours: 470 hours. Washington, DC 20585–1290; Energy’s (DOE) Building Technologies Number of Respondents: 235. Telephone: (301) 903–1298. Office (BTO) developed the Prioritization Tool to improve its Responses per Respondent: 1. SUPPLEMENTARY INFORMATION: programmatic decision-making. The tool Average Burden per Response: 2 Purpose of Meeting: To provide advice and guidance on a continuing provides an objective framework for hours. basis to the Department of Energy and most energy-saving measures and Frequency: On occasion. the National Science Foundation on scenarios, as well as methodology, comparing long-term benefits and end- Dated: November 15, 2013. scientific priorities within the field of user costs applied to various markets, Aaron Siegel, high energy physics research. Tentative Agenda: Agenda will end-uses, and lifetimes. Currently, BTO Alternate OSD Federal Register, Liaison include discussions of the following: seeks comments and information related Officer, Department of Defense. to the Prioritization Tool that improves [FR Doc. 2013–27877 Filed 11–20–13; 8:45 am] December 6–7, 2013 the tool’s accuracy and applicability for BILLING CODE 5001–06–P • Discussion of Department of Energy technology planning within BTO. High Energy Physics Program Specifically, this notice solicits • Discussion of National Science comments and information on data, Foundation Elementary Particle assumptions and outputs of various Physics Program energy efficiency technologies and

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00026 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69840 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

activities analyzed by the Prioritization measures, and it ultimately helps the • Had one or more significant market Tool. BTO to create Funding Opportunity barriers; • DATES: Responses to this RFI must be Announcements (FOAs) objectives. Were deemed impractical by the _ _ Currently, the tool contains data on over analysis team; submitted electronically to BTO P • [email protected] no later than 5:00 500 energy efficiency measures along Were already included in the p.m. (EST) on December 24, 2013. with their markets. It has the capability Annual Energy Outlook (AEO) 2010 baseline, which takes into account FOR FURTHER INFORMATION CONTACT: Mr. to perform extensive analyses using known technologies, technological and Patrick Phelan, U.S. Department of established methodology for calculating energy savings potential and the costs of demographic trends, and current laws Energy, Office of Energy Efficiency and and regulations. Renewable Energy, Building conserved energy associated with each Technologies Office, EE 2J, 1000 measure. These criteria were considered as The Prioritization Tool enables open general guidelines; exceptions for Independence Avenue SW., and objective comparison of hundreds certain promising or cost effective Washington, DC 20585–0121. of technology and market-based measures were made on a case-by-case Telephone: (202) 287–1906. Email: investment opportunities available to basis based on expert analysis. Finally, [email protected]. BTO. The energy efficiency measures BTO analyzed and prioritized, both SUPPLEMENTARY INFORMATION: identified in the tool cover a spectrum individually and in the context of the Table of Contents of market opportunities, including full portfolio of measures, all 261 residential and commercial buildings, measures having relatively high energy I. Background new and existing buildings, as well as savings potential and significant ability A. Program Overview B. Prioritization Tool Description industrial and outdoor applications. to compete in the market place. C. Methodology Most of the measures considered fall C. Methodology D. Inputs and Outputs within one of BTO’s main focus areas in II. Purpose building energy end-use sectors: The BTO Prioritization Tool uses III. Disclaimer and Important Notes • Heating, ventilation and air- established methodologies to evaluate IV. Proprietary Information conditioning (HVAC) under a variety of scenarios the V. Evaluation and Administration by Federal • Water heating incremental lifetime costs of a measure’s and Non-Federal Personnel • Appliances energy savings potential. The tool VI. Request for Information Categories and • Lighting calculates potential savings at the Questions • Windows national or regional level and compares A. Category 1 • Envelope: insulation and roofing the results to a business-as-usual B. Category 2 • Sensors and controls baseline defined in the U.S. Energy C. Category 3 • Miscellaneous electric loads D. Category 4 Information Administration’s (EIA) 1 E. Category 5 The tool strives to be comprehensive by Annual Energy Outlook 2010 (AEO). F. Category 6 including most known energy efficiency The following scenarios are used for the measures proven to save energy; prioritization analysis and represent I. Background laboratory-demonstrated, field-tested, potential annual energy savings A. Program Overview analytically derived (with peer review) associated for each measure: savings, and inclusive by integrating • Technical Potential is the annual The U.S. Department of Energy (DOE) inputs from hundreds of sources and energy savings achieved by instant Building Technologies Office (BTO) expert reviews. replacement of all technically suitable focuses on three key areas in order to While BTO has identified over five existing stock in 2010 and beyond with develop innovative and cost-effective hundred energy efficiency measures, it the proposed measure, regardless of energy saving solutions: chose to narrow the scope of analysis to cost. Although the technical potential • Supporting research and development focus on the most promising measures cannot be realized, it provides an upper of high impact building technologies that have the greatest potential for bound to the maximum energy savings • Accelerating market penetration of energy savings across the United States. that can be achieved by the proposed technologies that will save the By excluding measures based on the measure assuming instant and complete country energy by assisting to following predefined criteria, BTO has market adoption of the technology. overcome key market barriers created a portfolio consisting of 261 • Maximum Adoption Potential is the • Organizing and facilitating measures which, by using the total annual savings based on enforcement of minimum efficiency Prioritization Tool, were subsequently deployment of the evaluated measure standards and building codes to subjected to a more extensive given 100% market penetration for all ensure energy savings within quantitative analysis to assure only the end-of-life or accelerated replacements buildings. highest impact measures are the focus of and new purchases or new construction BTO has developed a new technology further effort. The approach was first for installations. The entire existing stock is prioritization framework to provide BTO to focus on technologies which had replaced at an accelerated schedule for analytical support for its programmatic the highest data quality (i.e., where cases when a retrofit opportunity is cost decision-making in order to further peer-reviewed energy efficiency and effective, which means the present accelerate the transformation of the U.S. cost data are available in published value of the energy savings of other building energy efficiency sector. reports or from technology experts). efficiency measures exceeds the full, Then, measures were excluded from installed cost of the evaluated efficiency B. Prioritization Tool Description further analysis if they: measure. Therefore, it becomes The tool was designed to inform • Offered low energy savings programmatic decision-making and potential (less than 100 TBtu in the year 1 http://www.eia.gov/oiaf/aeo/pdf/ facilitate the setting of programmatic 2030); 0383(2010).pdf. The AEO provides annual • projections through the year 2035 of national goals. It also allows the evaluation of Involved fuel switching (unless the equipment stock and energy consumption based on ‘‘what if’’ scenarios when pursuing analysis team deemed a technology as end-use, type of fuel, geographic region, and type potential competing energy efficiency important to assess); of building or home.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00027 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69841

economically rational to replace all of discounted cost per unit of conserved year 2030. Each column of the the currently deployed stock energy after staging of energy savings for spreadsheet referenced above contains immediately with the efficiency each measure. Results are presented for specific input or output data, and is measure. This scenario corresponds to both unstaged and staged scenarios by annotated with a comment box that the least expensive means to deploy a graphing unstaged or staged CCE versus further explains the data in that column. given efficiency measure into the unstaged or staged Maximum Adoption For further information on the marketplace. This potential is also Potential savings, respectively. Prioritization Tool’s individual measure referred to as Unstaged Maximum For further overview, discussion and inputs, refer to its notes and references Adoption Potential. examples of how the Prioritization Tool columns. For further information on the • Staged Maximum Adoption analyses are conducted, please view the tool’s outputs, refer to NREL TP 6A20– Potential adjusts the savings of the video presentation at http://media. 54799 and the BTO video presentation, Maximum Adoption Potential to avoid navigant.com/videotest/EN_ which can be found at links referenced double-counting energy savings for DOEWebex_VID_0913.html. For more above. measures with overlapping markets detailed description and discussion of II. Purpose within a given portfolio. For example, the methodologies underlying the BTO the installation of compact fluorescent Prioritization Tool’s analytical The purpose of this RFI is to solicit light bulbs would reduce the potential capabilities, as well as its outputs, comments and information from energy savings from light-emitting caveats, and functions, refer to the industry, academia, research diodes (LEDs). The savings of the National Renewable Energy Laboratory laboratories, government agencies, and lowest-cost measures are accounted for (NREL) Technical Report: NREL/TP– other stakeholders on input and output first. 6A20–54799, available at http://www. data for all measures evaluated in the • Adoption-Based Potential uses the nrel.gov/docs/fy12osti/54799.pdf. tool. DOE seeks data on new measures Bass diffusion model2 2 to represent a that may be missing from the tool or D. Inputs and Outputs more realistic potential impact on measures that have not been evaluated energy savings in the marketplace. This DOE seeks comments and information but have potential for significant scenario allows simulation of the DOE on measure inputs and assumptions national energy savings. This is solely a programs’ impact on measure diffusion used by the BTO Prioritization Tool as request for information and not a and assumes that research and well as the outputs generated by the Funding Opportunity Announcement development and deployment activities tool. The details of the inputs and (FOA). EERE is not accepting would accelerate market introduction. It outputs for the defined portfolio of 261 applications for funding related to this also allows for evaluation of standards measures are provided in the RFI at this time. spreadsheet, available at https://eere- by replacing all purchased stock with III. Disclaimer and Important Notes the technology being evaluated once a exchange.energy.gov/Default.aspx? standard is set in place. For this RFI, Search=prioritization%20tool&Search This RFI is not a Funding outputs from this scenario are not Type=#FoaIdc83baeea-4a16-48fa-a123- Opportunity Announcement (FOA); 7c03796b503b and titled: RFI therefore, EERE is not accepting available but will be addressed in future _ publications. attachments v11. The spreadsheet is applications at this time. EERE may For the unstaged and staged divided into eight energy end-uses: issue a FOA in the future based on or Maximum Adoption Potential scenarios, Heating, ventilation and air- related to the content and responses to the tool also calculates the levelized conditioning (HVAC), water heating, this RFI; however, EERE may also elect cost of conserved energy (CCE), which envelope, windows, appliances, sensors not to issue a FOA. There is no is an annualized value of discounted and controls, lighting, and guarantee that a FOA will be issued as costs and benefits of each measure. miscellaneous electric loads (MELs). a result of this RFI. Responding to this More specifically, the CCE allows Information on each end-use is RFI does not provide any advantage or comparison of end-user costs per unit of presented in two tabs: An input tab that disadvantage to potential applicants if conserved energy for each measure. The contains relevant input information on EERE chooses to issue a FOA regarding end-user cost refers to the difference in each measure and an output tab that the subject matter. Final details, capital, operations, and maintenance contains the analytical results for the including the anticipated award size, costs between the measure being year 2030. The inputs include data, quantity, and timing of EERE funded analyzed and a typical baseline, calculations and assumptions based on awards, will be subject to Congressional adjusted for potential cost differences the sources listed for each energy appropriations and direction. Any information obtained as a result resulting from the variation in lifetimes efficiency measure. More specifically, of this RFI is intended to be used by the between the proposed measure and the the inputs include a description of each Government on a non-attribution basis baseline. CCE is used during staging measure, targeted market sector, typical for planning and strategy development; analysis, which involves adjusting the technology life expectancy, energy this RFI does not constitute a formal energy savings of each measure by consumption, and installed costs for both the baseline and high-efficiency solicitation for proposals or abstracts. taking into account competition for measures. It also includes the Your response to this notice will be savings within the same or overlapping percentage energy savings and cost treated as information only. EERE will markets, and allocating savings within premium of an efficient measure review and consider all responses in its specific markets to measures with the compared to the baseline measure. DOE formulation of program strategies for the lowest unstaged CCE first. also seeks comments and information identified materials of interest that are Consequently, the staged CCE is with regard to the tool’s outputs, which the subject of this request. In accordance calculated based on adjusted staged include estimated Technical Potential with the Federal Acquisition savings. Hence the staged CCE is energy savings, Unstaged Maximum Regulations, 48 CFR 15.201(e), defined as the annualized value of Adoption Potential savings, unstaged responses to this notice are not offers 2 Bass, F.M., 1969, ‘‘A New Product Growth cost of conserved energy (CCE), Staged and cannot be accepted by the Model for Consumer Durables,’’ Management Maximum Adoption Potential savings, Government to form a binding contract. Science, Vol. 15, pp. 215–227. and staged CCE for each measure in the EERE will not provide reimbursement

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00028 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69842 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

for costs incurred in responding to this V. Evaluation and Administration by the portfolio and help identify the most RFI. Respondents are advised that DOE Federal and Non-Federal Personnel promising cost-effective energy is under no obligation to acknowledge Federal employees are subject to the reduction measures for buildings. receipt of the information received or non-disclosure requirements of a Specifically, DOE is requesting provide feedback to respondents with criminal statute, the Trade Secrets Act, comment and information on the respect to any information submitted 18 U.S.C. 1905. The Government may following topics: under this RFI. Responses to this RFI do seek the advice of qualified non-Federal A. Category 1: Information on BTO not bind EERE to any further actions personnel. The Government may also Prioritization Tool’s Inputs related to this topic. use non-Federal personnel to conduct Please provide your comments on the IV. Proprietary Information routine, nondiscretionary administrative accuracy of the inputs of the activities. The respondents, by Prioritization Tool, listed in the input Because information received in submitting their response, consent to tab for each energy end-use field in the response to this RFI may be used to DOE providing their response to non- spreadsheet (https://eere- structure future programs and FOAs Federal parties. Non-Federal parties exchange.energy.gov/ and/or otherwise be made available to given access to responses must be Default.aspx?Search=prioritization%20 the public, respondents are strongly subject to an appropriate obligation of tool&SearchType=#FoaIdc83baeea- advised to NOT include any information confidentiality prior to being given the 4a16-48fa-a123-7c03796b503b). These in their responses that might be access. Submissions may be reviewed inputs include the measure’s considered business sensitive, by support contractors and private description, targeted market sector, proprietary, or otherwise confidential. consultants. technology typical life expectancy, If, however, a respondent chooses to VI. Request for Information Categories energy consumption and installed cost submit business sensitive, proprietary, and Questions for both baseline and efficient measures, and/or percentage energy savings and or otherwise confidential information, it DOE requests that manufacturers, cost premium of an efficient measure must be clearly and conspicuously utilities, research organizations, state compared to the baseline measure. marked as such in the response. and municipal energy programs, and Responses containing confidential, other stakeholders submit their B. Category 2: Additional Information proprietary, or privileged information comments and additional information on BTO Prioritization Tool’s Inputs must be conspicuously marked as on the Prioritization Tool’s inputs and Please provide additional up-to-date, described below. Failure to comply with outputs for measures as attachments to peer-reviewed and published these marking requirements may result an email. It is recommended that information, studies, and reports on any in the disclosure of the unmarked attachments with file sizes exceeding of the inputs of the evaluated energy information under the Freedom of 25MB be compressed (i.e., zipped) to efficiency measures. Information Act or otherwise. The U.S. ensure message delivery. Only Federal Government is not liable for the electronic responses will be accepted. C. Category 3: BTO Prioritization Tool’s disclosure or use of unmarked Respondents may answer as many or as Generated Outputs information, and may use or disclose few questions as they wish. EERE will Please provide your comments on the such information for any purpose. not respond to individual submissions perceived accuracy of the tool’s or publish publicly a compendium of generated outputs listed in the If your response contains confidential, responses. A response to this RFI will spreadsheet, whether as a whole for the proprietary, or privileged information, not be viewed as a binding commitment entire portfolio of measures or in part you must include a cover sheet marked to develop or pursue the project or ideas for each measure. Specifically, these as follows identifying the specific pages discussed, nor does it provide an outputs include: Technical Potential; containing confidential, proprietary, or advantage to future Funding Unstaged Maximum Adoption Potential, privileged information: Opportunity Announcements. unstaged CCE; Staged Maximum Notice of Restriction on Disclosure and Use Respondents are requested to provide Adoption Potential, and staged CCE. the following information in their of Data: Pages [list applicable pages] of this D. Category 4: Information on Absent response may contain confidential, response to this RFI: Buildings-Related Energy Efficiency proprietary, or privileged information that is • Company/institution name; Measures That May Enhance the Tool or exempt from public disclosure. Such • Company/institution contact; Measures That Are Listed But Were information shall be used or disclosed only • Contact’s address, phone number, Excluded From Analysis for the purposes described in this RFI: DE– and email address. FOA–0001024. The Government may use or DOE invites comments and Please provide any up-to-date, peer- disclose any information that is not information from respondents on all of reviewed and published information, appropriately marked or otherwise restricted, the input and output data that are studies and reports on buildings-related regardless of source. provided in the spreadsheet (https:// energy efficiency measures missing from eere-exchange.energy.gov/ the tool or measures that are listed but In addition, (1) the header and footer Default.aspx?Search=prioritization were excluded from analysis due to a of every page that contains confidential, %20tool&SearchType=#FoaIdc83baeea- lack of reliable peer-reviewed, proprietary, or privileged information 4a16-48fa-a123-7c03796b503b), as well published data. While only a couple must be marked as follows: ‘‘Contains as any of the elements previously hundred measures are included in the Confidential, Proprietary, or Privileged discussed or additional issues the final analysis, hundreds of others are Information Exempt from Public respondent deems important. Use the available for analysis and can be viewed Disclosure’’ and (2) every line and following email address: in the tab called ‘‘Excluded Measures’’ paragraph containing proprietary, [email protected]. in the spreadsheet referenced above. For privileged, or trade secret information Additional high-quality data sources each measure, DOE is specifically must be clearly marked with double and references are needed to evaluate interested in information on measure brackets or highlighting. any other possible initiatives to expand description, its incremental cost and

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00029 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69843

energy savings over its baseline FERC) is soliciting public comment on Gas Policy Act of 1978 (NGPA).2 This technology, life expectancy, and a the currently approved information collection promotes transparency by description of the market to which the collection, FERC–549D (Quarterly collecting and making available measure can be applied. Transportation and Storage Report for intrastate and Hinshaw pipeline Intrastate Natural Gas and Hinshaw transactional information. The E. Category 5: Benefits or Risks of Using Pipelines). Commission collects the data upon a the BTO Prioritization Tool DATES: Comments on the collection of standardized form with all requirements What are potential or perceived information are due January 21, 2014. outlined in 18 CFR 284.126. benefits or risks of using the BTO The FERC Form 549D collects the ADDRESSES: Prioritization Tool to inform decision- You may submit comments following information: making within BTO? (identified by Docket No. IC14–3–000) • Full legal name and identification by either of the following methods: number of the shipper receiving service; F. Category 6: Public Access to the BTO • eFiling at Commission’s Web site: • Type of service performed for each Prioritization Tool http://www.ferc.gov/docs-filing/ transaction; efiling.asp. What is the perceived value in the • The rate charged under each • Mail/Hand Delivery/Courier: BTO Prioritization Tool models and transaction; Federal Energy Regulatory Commission, analysis, and interest in having public • The primary receipt and delivery Secretary of the Commission, 888 First access to the BTO Prioritization Tool? If points for the transaction, specifying the Street NE., Washington, DC 20426. the BTO Prioritization Tool is to be rate schedule/name of service and Instructions: All submissions must be made publically available, what format docket were approved; formatted and filed in accordance with is preferred (e.g., real-time online • The quantity of natural gas the submission guidelines at: http:// execution, downloadable Excel file, shipper is entitled to transport, store, www.ferc.gov/help/submission- downloadable non-Excel file, etc.)? An and deliver for each transaction; guide.asp. For user assistance contact example of a similar publically available • The term of the transaction, FERC Online Support by email at software tool is the System Advisor specifying the beginning and ending [email protected], or by phone Model for renewable energy systems month and year of current agreement; at: (866) 208–3676 (toll-free), or (202) (https://sam.nrel.gov/). • Total volumes transported, stored, 502–8659 for TTY. injected or withdrawn for the shipper; Issued in Washington, DC, on November Docket: Users interested in receiving 13, 2013. and automatic notification of activity in this • Annual revenues received for each Roland J. Risser, docket or in viewing/downloading shipper, excluding revenues from Director, Building Technologies Office, comments and issuances in this docket storage services. Energy Efficiency and Renewable Energy. may do so at http://www.ferc.gov/docs- Filers submit the Form-549D on a [FR Doc. 2013–27941 Filed 11–20–13; 8:45 am] filing/docs-filing.asp. BILLING CODE 6450–01–P quarterly basis. FOR FURTHER INFORMATION CONTACT: Access to the FERC–549D Information Ellen Brown may be reached by email Collection Materials: A copy of the DEPARTMENT OF ENERGY at [email protected], telephone current form and related materials can at (202) 502–8663, and fax at (202) 273– be found at http://www.ferc.gov/docs- Federal Energy Regulatory 0873. filing/forms.asp#549d, but will not be Commission SUPPLEMENTARY INFORMATION: included in the Federal Register. The Title: Quarterly Transportation and [Docket No. IC14–3–000] Commission will not publish these Storage Report for Intrastate Natural Gas materials in the Federal Register. Commission Information Collection and Hinshaw Pipelines. Type of Respondents: Intrastate Activities (Ferc–Ferc–549d); Comment OMB Control No.: 1902–0253 natural gas and Hinshaw pipelines. Request; Extension Type of Request: Three-year extension Estimate of Annual Burden: 3 The of the FERC–549D information Commission estimates the total Public AGENCY: Federal Energy Regulatory collection requirements with no changes Reporting Burden for this information Commission, DOE. to the current reporting requirements. collection as: ACTION: Notice of information collection Abstract: The reporting requirements and request for comments. under FERC–549D are required to carry 2 15 U.S.C. 3301–3432. out the Commission’s policies in 3 The Commission defines burden as the total SUMMARY: In compliance with the accordance with the general authority in time, effort, or financial resources expended by requirements of the Paperwork Sections 1(c) of the Natural Gas Act persons to generate, maintain, retain, or disclose or 1 provide information to or for a Federal agency. For Reduction Act of 1995, 44 U.S.C. (NGA) and Sections 311 of the Natural further explanation of what is included in the 3506(c)(2)(A), the Federal Energy information collection burden, reference 5 Code of Regulatory Commission (Commission or 1 15 U.S.C. 717–817–w. Federal Regulations 1320.3.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00030 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69844 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

FERC–549D—QUARTERLY TRANSPORTATION AND STORAGE REPORT FOR INTRASTATE NATURAL GAS AND HINSHAW PIPELINES

Number of Total Average Estimated Format of pipelines’ filing Number of responses per number of burden hours total annual respondents respondent responses per response burden

(A) (B) (A) × (B) = (C) (D) (C) × (D)

Implementation Burden

PDF filings ...... 3 1 3 68 204 XML filings ...... 2 1 2 104 208

Ongoing Burden

PDF filings ...... 76 4 304 12.5 3,800 XML filings ...... 33 4 132 10 1,320

TOTAL ...... 4 109 ...... 109 ...... 5,532

DEPARTMENT OF ENERGY project will be used by the residents of The total estimated annual cost the city of Old Harbor. Federal Energy Regulatory burden to respondents is $436,254 Intake 5 Commission [5,532 hours $78.86/hour = $436,254]. The intake will consist of a diversion/ [Project No. 13272–003] Comments: Comments are invited on: cut off weir with a height of (1) Whether the collection of Alaska Village Electric Cooperative, approximately 3–8 feet and a length of information is necessary for the proper Inc.; Notice of Application Tendered approximately 100 feet. A below grade performance of the functions of the for Filing With the Commission and transition with an above-ground air Commission, including whether the Establishing Procedural Schedule for relief inlet pipe will convey water to a information will have practical utility; Licensing and Deadline for buried high-density polyethylene pipe (2) the accuracy of the agency’s estimate Submission of Final Amendments and steel pipe penstock. of the burden and cost of the collection Penstock of information, including the validity of Take notice that the following the methodology and assumptions used; hydroelectric application has been filed A 10,100-foot-long penstock consisting of an 18-inch-diameter (3) ways to enhance the quality, utility with the Commission and is available for public inspection. polyethylene pipe, a 20-inch-diameter and clarity of the information collection; a. Type of Application: Minor polyethylene pipe, and a 16-inch- and (4) ways to minimize the burden of Original License. diameter steel pipe will be installed. A the collection of information on those b. Project No.: 13272–003. total of 7,400 feet of polyethylene will who are to respond, including the use c. Date Filed: November 1, 2013. be installed from the intake and 2,750 of automated collection techniques or d. Applicant: Alaska Village Electric feet of steel pipe will be installed near other forms of information technology. Cooperation, Inc. (AVEC). the powerhouse. Dated: November 15, 2013. e. Name of Project: Old Harbor Hydroelectric Project. Powerhouse Kimberly D. Bose, f. Location: The project would be The powerhouse will consist of an Secretary. constructed on the East Fork of approximately 30-foot by 35-foot by 16- [FR Doc. 2013–27956 Filed 11–20–13; 8:45 am] Mountain Creek, near the town of Old foot high metal building or similar BILLING CODE 6717–01–P Harbor, Kodiak Island Borough, Alaska. structure. The building will house two Some project facilities would be located 262-kW Pelton turbines, a 480 volt, 3 on approximately 1.85 acres of federal phase synchronous generator, and lands of the Kodiak National Wildlife switchgear for each turbine. Refuge. g. Filed Pursuant to: Federal Power Tailrace Act, 16 U.S.C. 791(a)–825(r). A tailrace structure and culvert or h. Applicant Contact: Meera Kohler, constructed stream bed will convey the President and CEO, AVEC, 4831 Eagle project flows from the powerhouse to Street, Anchorage, AK 99503; the nearby pond, known in Old Harbor Telephone (907) 561–1818. as Swimming Pond. The tailrace will i. FERC Contact: Mary Greene, (202) continue on from Swimming Pond, 502–8675 or [email protected]. conveying project flows for a total of j. This application is not ready for approximately 2,300 feet. 4 This figure does not include the five environmental analysis at this time. respondents for the ‘‘Implementation Burden’’. k. The Project Description: The Access Road and Trail 5 This cost represents the average cost of four proposed run-of-river project will An approximately 11,500-foot-long by career fields: Legal ($128.02/hour), Accountants ($48.58/hour), Management Analyst ($56.27/hour), consist of an intake, penstock, 10-foot-wide intake access trail will be and Computer and Information ($82.67/hour); this powerhouse, tailrace and constructed constructed between the intake and the cost also includes benefit costs within the hourly channel, access road and trail, and powerhouse and an approximately estimates. transmission line. Power from this 5,720-foot-long by 24-foot-wide access

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00031 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69845

road will extend from powerhouse to from the powerhouse to the existing also available for inspection and the existing community drinking water power distribution system in Old reproduction at the address in item (h) tank access road. As requested by the Harbor. above. U.S. Fish and Wildlife Service, to l. Locations of the Application: A m. You may also register online at prevent traffic in the Kodiak National copy of the application is available for http://www.ferc.gov/docs-filing/ Wildlife Refuge, the intake access trail review at the Commission in the Public esubscription.asp to be notified via will be closed to non-project traffic. The Reference Room or may be viewed on email of new filings and issuances powerhouse access road will be open to related to this or other pending projects. public vehicles. An approximately the Commission’s Web site at http:// www.ferc.gov using the ‘‘eLibrary’’ link. For assistance, contact FERC Online 6,550-foot-long, 12.47kV three-phase Support. overhead power line will extend from Enter the docket number excluding the n. Procedural Schedule: the powerhouse to the existing power last three digits in the docket number distribution system in Old Harbor. field to access the document. For The application will be processed assistance, contact FERC Online according to the following preliminary Transmission Line Support at FERCOnlineSupport@ Hydro Licensing Schedule. Revisions to A 6,500-foot-long, 12.47-kV, 3-phase ferc.gov or toll-free at 1–866–208–3676, the schedule may be made as overhead power line will be installed or for TTY, (202) 502–8659. A copy is appropriate.

Milestone Target date

Notice of Acceptance/Notice of Ready for Environmental Analysis ...... January 2014. Filing of recommendations, preliminary terms and conditions, and fishway prescriptions ...... March 2014. Commission issues Environmental Assessment (EA) ...... July 2014. Comments on EA ...... August 2014. Modified terms and conditions ...... October 2014.

o. Final amendments to the piping, and appurtenant facilities at Commission staff will either: Complete application must be filed with the existing sites located in Orange County, its environmental assessment (EA) and Commission no later than 30 days from New York, Bucks and Montgomery place it into the Commission’s public the issuance date of the notice of ready Counties, Pennsylvania, and Harford record (eLibrary) for this proceeding; or for environmental analysis. County, Maryland, all as more fully set issue a Notice of Schedule for Dated: November 14, 2013. forth in the application. This filing is Environmental Review. If a Notice of Kimberly D. Bose, available for review at the Commission Schedule for Environmental Review is Secretary. in the Public Reference Room or may be issued, it will indicate, among other viewed on the Commission’s Web site at milestones, the anticipated date for the [FR Doc. 2013–27959 Filed 11–20–13; 8:45 am] http://www.ferc.gov using the Commission staff’s issuance of the final BILLING CODE 6717–01–P ‘‘eLibrary’’ link. Enter the docket environmental impact statement (FEIS) number excluding the last three digits in or EA for this proposal. The filing of the DEPARTMENT OF ENERGY the docket number field to access the EA in the Commission’s public record document. For assistance, please contact for this proceeding or the issuance of a Federal Energy Regulatory FERC Online Support at Notice of Schedule for Environmental Commission [email protected] or toll Review will serve to notify federal and free at (866) 208–3676, or for TTY, state agencies of the timing for the [Docket Nos. CP14–17–000; PF13–7–000] contact (202) 502–8659. completion of all necessary reviews, and Columbia Gas Transmission, LLC; Any questions regarding the East Side the subsequent need to complete all Notice of Application Expansion Project should be directed to federal authorizations within 90 days of Fredric J. George, Lead Counsel, the date of issuance of the Commission Take notice that on November 1, Columbia Gas Transmission, LLC, P.O. staff’s FEIS or EA. 2013, Columbia Gas Transmission, LLC Box 1273, Charleston, West Virginia There are two ways to become (Columbia), 1700 MacCorkle Avenue 25325–1273 or at (304) 357–2359 involved in the Commission’s review of SE., Charleston, West Virginia 25314, (phone), or (304) 357–3206 (fax), or this project. First, any person wishing to filed an application under sections 7(b) [email protected] (email). obtain legal status by becoming a party and 7(c) of the Natural Gas Act for the On March 8, 2013, the Commission to the proceedings for this project East Side Expansion Project (Project) in staff granted Columbia’s request to should, on or before the comment date Pennsylvania, New Jersey, New York, utilize the National Environmental stated below, file with the Federal and Maryland. Columbia proposes to (i) Policy Act (NEPA) Pre-Filing Process Energy Regulatory Commission, 888 replace existing compressors with new and assigned Docket No. PF13–7–000 to First Street NE., Washington, DC 20426, compressors at Milford and Easton staff activities involving the project. a motion to intervene in accordance Compressor Stations (CS), located in Now, as of the filing of this application with the requirements of the Pennsylvania, (ii) install approximately on November 1, 2013 (CP14–17–000), Commission’s Rules of Practice and 9.5 miles of new 26-inch pipeline loop the NEPA Pre-Filing Process for this Procedure (18 CFR 385.214 or 385.211) at the existing Line 1278 between Eagle project has ended. From this time and the Regulations under the NGA (18 CS and Downingtown CS in Chester forward, this proceeding will be CFR 157.10). A person obtaining party County, Pennsylvania, (iii) install conducted in Docket No. CP14–17–000, status will be placed on the service list approximately 9.5 miles of 20-inch as noted in the caption of this Notice. maintained by the Secretary of the pipeline loop at the existing Line 10345 Pursuant to section 157.9 of the Commission and will receive copies of in Gloucester County, New Jersey, and Commission’s rules, 18 CFR 157.9, all documents filed by the applicant and (iv) install various measurement, station within 90 days of this Notice, the by all other parties. A party must submit

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00032 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69846 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

7 copies of filings made with the (866) 208–3676 (toll free). For TTY, call Environmental Review. If a Notice of Commission and must mail a copy to (202) 502–8659. Schedule for Environmental Review is the applicant and to every other party in Comment Date: December 6, 2013. issued, it will indicate, among other the proceeding. Only parties to the Dated: November 15, 2013. milestones, the anticipated date for the proceeding can ask for court review of Commission staff’s issuance of the final Kimberly D. Bose, Commission orders in the proceeding. environmental impact statement (FEIS) However, a person does not have to Secretary. or EA for this proposal. The filing of the intervene in order to have comments [FR Doc. 2013–27952 Filed 11–20–13; 8:45 am] EA in the Commission’s public record considered. The second way to BILLING CODE 6717–01–P for this proceeding or the issuance of a participate is by filing with the Notice of Schedule for Environmental Secretary of the Commission, as soon as Review will serve to notify federal and possible, an original and two copies of DEPARTMENT OF ENERGY state agencies of the timing for the comments in support of or in opposition Federal Energy Regulatory completion of all necessary reviews, and to this project. The Commission will Commission the subsequent need to complete all consider these comments in federal authorizations within 90 days of determining the appropriate action to be [Docket No. CP14–18–000] the date of issuance of the Commission taken, but the filing of a comment alone staff’s FEIS or EA. will not serve to make the filer a party Transcontinental Gas Pipe Line There are two ways to become to the proceeding. The Commission’s Company, LLC; Notice of Application involved in the Commission’s review of rules require that persons filing this project. First, any person wishing to On November 7, 2013, comments in opposition to the project obtain legal status by becoming a party Transcontinental Gas Pipe Line provide copies of their protests only to to the proceedings for this project Company, LLC (Transco) filed with the the party or parties directly involved in should, on or before the comment date Federal Energy Regulatory Commission the protest. stated below, file with the Federal (Commission) an application under Persons who wish to comment only Energy Regulatory Commission, 888 section 7 of the Natural Gas Act to on the environmental review of this First Street NE., Washington, DC 20426, construct and operate its Woodbridge project should submit an original and a motion to intervene in accordance Delivery Lateral Project (Project), a new two copies of their comments to the with the requirements of the Secretary of the Commission. delivery lateral extending 2.4 miles from Commission’s Rules of Practice and Environmental commentors will be an interconnection with Transco’s Procedure (18 CFR 385.214 or 385.211) placed on the Commission’s mainline to the CPV Shore, LLC’s and the Regulations under the NGA (18 environmental mailing list, will receive Woodbridge Energy Center electric CFR 157.10). A person obtaining party copies of the environmental documents, generating station. The delivery lateral status will be placed on the service list and will be notified of meetings and generating station are in Middlesex maintained by the Secretary of the associated with the Commission’s County, New Jersey. The Project will Commission and will receive copies of environmental review process. enable Transco to provide 264,000 all documents filed by the applicant and Environmental commentors will not be dekatherms per day of incremental firm by all other parties. A party must submit required to serve copies of filed natural gas transportation service to seven copies of filings made with the documents on all other parties. CPV Shore, LLC under Transco’s Rate Commission and must mail a copy to However, the non-party commentors Schedule FDLS, all as more fully set the applicant and to every other party in will not receive copies of all documents forth in the application which is on file the proceeding. Only parties to the filed by other parties or issued by the with the Commission and open to proceeding can ask for court review of Commission (except for the mailing of public inspection. The filing may also Commission orders in the proceeding. environmental documents issued by the be viewed on the web at http:// However, a person does not have to Commission) and will not have the right www.ferc.gov using the ‘‘eLibrary’’ link. intervene in order to have comments to seek court review of the Enter the docket number excluding the considered. The second way to Commission’s final order. last three digits in the docket number participate is by filing with the The Commission strongly encourages field to access the document. For Secretary of the Commission, as soon as electronic filings of comments, protests assistance, please contact FERC Online possible, an original and two copies of and interventions in lieu of paper using Support at FERCOnlineSupport@ comments in support of or in opposition the ‘‘eFiling’’ link at http:// ferc.gov or toll free at (866) 208–3676, or to this project. The Commission will www.ferc.gov. Persons unable to file TTY, contact (202) 502–8659. consider these comments in electronically should submit an original Questions regarding this application determining the appropriate action to be and 7 copies of the protest or may be directed to Marg Camardello, taken, but the filing of a comment alone intervention to the Federal Energy Team Leader, Rates & Regulatory at will not serve to make the filer a party regulatory Commission, 888 First Street Transcontinental Gas Pipe Line to the proceeding. The Commission’s NE., Washington, DC 20426. Company, LLC, P.O. Box 1396, Houston, rules require that persons filing This filing is accessible on-line at Texas 77251 or by calling 713–215– comments in opposition to the project http://www.ferc.gov, using the 3380. In addition, 866–455–9103 may be provide copies of their protests only to ‘‘eLibrary’’ link and is available for called toll-free or email-mail addressed the party or parties directly involved in review in the Commission’s Public to [email protected]. the protest. Reference Room in Washington, DC. Pursuant to section 157.9 of the The Commission strongly encourages There is an ‘‘eSubscription’’ link on the Commission’s rules, 18 CFR 157.9, electronic submission of protests and Web site that enables subscribers to within 90 days of this Notice the interventions in lieu of paper using the receive email notification when a Commission staff will either: Complete ‘‘eFiling’’ link at http://www.ferc.gov. document is added to a subscribed its environmental assessment (EA) and Persons unable to file electronically docket(s). For assistance with any FERC place it into the Commission’s public should submit an original and seven Online service, please email record (eLibrary) for this proceeding; or copies of the protest or intervention to [email protected], or call issue a Notice of Schedule for the Federal Energy Regulatory

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00033 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69847

Commission, 888 First Street NE., Merlin One, LLC ...... EG13–51–000 to construct a qualifying conduit Washington, DC 20426. This filing is Goal Line L.P...... EG13–52–000 hydropower facility, pursuant to section accessible on-line at http://www.ferc.gov RE Columbia 3 LLC ...... EG13–53–000 30 of the Federal Power Act, as using the ‘‘eLibrary’’ link and is RE Columbia, LLC ...... EG13–54–000 amended by section 4 of the available for review in the RE Yakima LLC ...... EG13–55–000 Hydropower Regulatory Efficiency Act Commission’s Public Reference Room in Allegany Generating Station LLC ...... EG13–56–000 of 2013 (HREA). The Head of U Canal Washington, DC. There is an Hydro Project would be located along ‘‘eSubscription’’ link on the Web site Take notice that during the month of North Side Canal Company’s irrigation that enables subscribers to receive email October 2013, the status of the above- system on the U Canal in Jerome notification when a document is added captioned entities as Exempt Wholesale County, Idaho. Generators became effective by to a subscribed docket(s). For assistance Applicant Contact: Alan W. Hansten, operation of the Commission’s with any FERC Online service, please Manager, North Side Canal Company, regulations. 18 CFR 366.7(a). email [email protected], or Ltd., 921 North Lincoln, Jerome, ID call (866) 208–3676 (toll free). For TTY, Dated: November 15, 2013. 83338, Phone No. (208) 324–2319. call (202) 502–8659. Kimberly D. Bose, FERC Contact: Christopher Chaney, Comment Date: 5:00 p.m. Eastern Secretary. Phone No. (202) 502–6778, email: Time on December 6, 2013. [FR Doc. 2013–27955 Filed 11–20–13; 8:45 am] [email protected]. Dated: November 15, 2013. BILLING CODE 6717–01–P Qualifying Conduit Hydropower Kimberly D. Bose, Facility Description: The proposed Secretary. project would consist of: (1) A proposed [FR Doc. 2013–27953 Filed 11–20–13; 8:45 am] DEPARTMENT OF ENERGY 30-foot-long by 30-foot-wide control BILLING CODE 6717–01–P building; (2) eight proposed siphon Federal Energy Regulatory turbine/generating units, each with a Commission capacity of 150 kilowatts, for a total DEPARTMENT OF ENERGY [Docket No. CD14–10–000] installed capacity of 1,200 kilowatts; and (3) appurtenant facilities. The Federal Energy Regulatory North Side Canal Company; Notice of proposed project would have an Commission Preliminary Determination of a estimated annual generating capacity of Qualifying Conduit Hydropower Notice of Effectiveness of Exempt 4,200 megawatt-hours. Facility and Soliciting Comments and Wholesale Generator Status A qualifying conduit hydropower Motions To Intervene Buffalo Dunes Wind Project, facility is one that is determined or LLC ...... EG13–49–000 On November 5, 2013, North Side deemed to meet all of the criteria shown Whitetail Wind Energy, LLC EG13–50–000 Canal Company, filed a notice of intent in the table below. TABLE 1—CRITERIA FOR QUALIFYING CONDUIT HYDROPOWER FACILITY

Satisfies Statutory provision Description (Y/N)

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

Preliminary Determination: Based the requirements of Rules of Practice person filing; and (4) otherwise comply upon the above criteria, Commission and Procedure, 18 CFR 385.210 and with the requirements of sections staff preliminarily determines that the 385.214. Any motions to intervene must 385.2001 through 385.2005 of the proposal satisfies the requirements for a be received on or before the specified Commission’s regulations.1 All qualifying conduit hydropower facility deadline date for the particular comments contesting Commission staff’s not required to be licensed or exempted proceeding. preliminary determination that the from licensing. Filing and Service of Responsive facility meets the qualifying criteria Comments and Motions To Intervene: Documents: All filings must (1) bear in must set forth their evidentiary basis. Deadline for filing comments contesting all capital letters the ‘‘COMMENTS The Commission strongly encourages whether the facility meets the qualifying CONTESTING QUALIFICATION FOR A electronic filing. Please file motions to criteria is 45 days from the issuance CONDUIT HYDROPOWER FACILITY’’ intervene and comments using the date of this notice. or ‘‘MOTION TO INTERVENE,’’ as Commission’s eFiling system at http:// Deadline for filing motions to applicable; (2) state in the heading the www.ferc.gov/docs-filing/efiling.asp. intervene is 30 days from the issuance name of the applicant and the project Commenters can submit brief comments date of this notice. number of the application to which the up to 6,000 characters, without prior Anyone may submit comments or a filing responds; (3) state the name, motion to intervene in accordance with address, and telephone number of the 1 18 CFR 385.2001–2005 (2013).

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00034 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69848 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

registration, using the eComment system fully set forth in the application which project should submit an original and at http://www.ferc.gov/docs-filing/ is on file with the Commission and open two copies of their comments to the ecomment.asp. You must include your to public inspection. Secretary of the Commission. name and contact information at the end Questar proposes in its Weber Canyon Environmental commenter’s will be of your comments. For assistance, Replacement Project (Project) to replace placed on the Commission’s please contact FERC Online Support at approximately 3.26 miles of its existing environmental mailing list, will receive [email protected], (866) 16-inch ML 3 pipeline on the south side copies of the environmental documents, 208–3676 (toll free), or (202) 502–8659 of Interstate 84 in Weber Canyon and will be notified of meetings (TTY). In lieu of electronic filing, please southeast of Ogden Utah. Questar associated with the Commission’s send a paper copy to: Secretary, Federal proposes to isolate the line, remove the environmental review process. Energy Regulatory Commission, 888 existing pipe, and install new pipe in Environmental commenter’s will not be First Street NE., Washington, DC 20426. the same trench within the existing required to serve copies of filed A copy of all other filings in reference right-of-way. The estimated cost of the documents on all other parties. to this application must be accompanied project is approximately $29,392,000. However, the non-party commentary, by proof of service on all persons listed The Project will have no impact on will not receive copies of all documents in the service list prepared by the the certificated parameters of the filed by other parties or issued by the Commission in this proceeding, in Questar pipeline. In addition, there will Commission (except for the mailing of accordance with 18 CFR 4.34(b) and be no abandonment or decrease in environmental documents issued by the 385.2010. service to Questar customers as a result Commission) and will not have the right Locations of Notice of Intent: Copies of the proposed Project. As described in to seek court review of the of the notice of intent can be obtained the application, ground-disturbing Commission’s final order. directly from the applicant or such activities necessary to construct the The Commission strongly encourages copies can be viewed and reproduced at project will result in minimal electronic filings of comments, protests the Commission in its Public Reference environmental impacts. Questar also and interventions in lieu of paper using Room, Room 2A, 888 First Street NE., requests waiver of the requirements of the ‘‘eFiling’’ link at http:// Washington, DC 20426. The filing may Commissions regulations section www.ferc.gov. Persons unable to file also be viewed on the Web at http:// 157(203)(d)(2) regarding a weekly electronically should submit an original www.ferc.gov/docs-filing/elibrary.asp Environmental Inspector’s report. and 7 copies of the protest or using the ‘‘eLibrary’’ link. Enter the The filing may also be viewed on the intervention to the Federal Energy docket number (e.g., CD14–10) in the Web at http://www.ferc.gov using the Regulatory Commission, 888 First Street docket number field to access the ‘‘eLibrary’’ link. Enter the docket NE., Washington, DC 20426. document. For assistance, call toll-free number excluding the last three digits in Comment Date: 5:00 p.m. Eastern 1–866–208–3676 or email the docket number field to access the Time on January 14, 2014. [email protected]. For TTY, document. For assistance, please contact Dated: November 15, 2013. FERC Online Support at call (202) 502–8659. Kimberly D. Bose, [email protected] or toll Dated: November 14, 2013. free at (866) 208–3676, or TTY, contact Secretary. Kimberly D. Bose, (202) 502–8659. [FR Doc. 2013–27954 Filed 11–20–13; 8:45 am] Secretary. Any questions concerning this BILLING CODE 6717–01–P [FR Doc. 2013–27958 Filed 11–20–13; 8:45 am] application should be directed to L. BILLING CODE 6717–01–P Bradley Burton, General Manager, Federal Regulatory Affairs, and FERC DEPARTMENT OF ENERGY Compliance Officer, Questar Pipeline DEPARTMENT OF ENERGY Federal Energy Regulatory Company, 180 East 100 South, P.O. Box Commission 45360, Salt Lake City, Utah 84145–0360, Federal Energy Regulatory [Project No. 13102–003—Alabama Commission phone (801)324–2459, email [email protected]. Demopolis Lock and Dam Hydroelectric [Docket No. CP14–19–000] Any person or the Commission’s staff Project] may, within 60 days after issuance of Birch Power Company; Notice of Questar Pipeline Company; Notice of the instant notice by the Commission, Request Under Blanket Authorization Proposed Revised Restricted Service file pursuant to Rule 214 of the List for a Programmatic Agreement Take notice that on November 7, Commission’s Procedural Rules (18 CFR 2013, Questar Pipeline Company 385.214) a motion to intervene or notice Rule 2010 of the Federal Energy (Questar), 333 South State Street, P. of intervention and pursuant to Section Regulatory Commission’s (Commission) 45360, Salt Lake City, Utah, filed in 157.205 of the regulations under the Rules of Practice and Procedure, 18 CFR Docket No. CP14–19–000, an NGA (18 CFR 157.205), a protest to the 385.2010, provides that, to eliminate application pursuant to sections 157.205 request. If no protest is filed within the unnecessary expense or improve and 157.208(b) of the Commission’s time allowed therefore, the proposed administrative efficiency, the Secretary Regulations under the Natural Gas Act activity shall be deemed to be may establish a restricted service list for (NGA) as amended, requesting authorized effective the day after the a particular phase or issue in a authorization to replace a section of its time allowed for filing a protest. If a proceeding. The restricted service list existing Main Line (ML) 3 in Davis and protest is filed and not withdrawn should contain the names of persons on Morgan Counties, Utah. The within 30 days after the allowed time the service list who, in the judgment of authorizations are requested under for filing a protest, the instant request the decisional authority establishing the Questar’s blanket certificate issued in shall be treated as an application for list, are active participants with respect Docket No. CP82–491–000,1 all as more authorization pursuant to Section 7 of to the phase or issue in the proceeding the NGA. for which the list is established. 1 See Mountain Fuel Resources, Inc., 20 FERC ¶ Persons who wish to comment only The Commission staff is consulting 62,580 (1982). on the environmental review of this with the Alabama Historical

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00035 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69849

Commission (Alabama SHPO) and the ENVIRONMENTAL PROTECTION 63167. This EUP, issued on March 1, Advisory Council on Historic AGENCY 2013, allows planting and associated activities, e.g., collection of field data, Preservation (Advisory Council) [EPA–HQ–OPP–2012–0780; FRL–9403–1] pursuant to the Advisory Council’s harvesting, processing of corn plant regulations, 36 CFR Part 800, Issuance of an Experimental Use incorporated protectants (PIPs) seeds implementing section 106 of the Permit containing active ingredients, corn PIPs National Historic Preservation Act, as with MON 87410 and MON 87411. The amended, (16 U.S.C. 470f), to prepare a AGENCY: Environmental Protection PIPs contain a Dv49 double stranded Programmatic Agreement for managing Agency (EPA). RNA (dsRNA) suppression cassette in properties included in, or eligible for ACTION: Notice. combination with Bacillus thuringiensis (Bt) Cry Proteins (Cry1A.105, Cry2Ab2, inclusion in, the National Register of SUMMARY: EPA has granted an Historic Places that could be affected by Cry1F, Vip3Aa20, Cry3Bb1, Cry34Ab1/ experimental use permit (EUP) to the Cry35Ab1, and eCry3.1Ab). Tests to issuance of a license for the Demopolis pesticide applicant Monsanto Company. control corn root worm (CRW) are Lock and Dam Hydroelectric Project. An EUP permits use of a pesticide for authorized from March 1, 2013, through The Programmatic Agreement, when experimental or research purposes only February 28, 2015. Field trials will be executed by the Commission and the in accordance with the limitations in conducted in the U.S. territory of Puerto Alabama SHPO, would satisfy the the permit. Rico and in the following 22 U.S. states: Commission’s section 106 FOR FURTHER INFORMATION CONTACT: Arkansas, California, Colorado, Georgia, responsibilities for all individual Robert McNally, Biopesticides and Hawaii, Idaho, Illinois, Indiana, Iowa, undertakings carried out in accordance Pollution Prevention Division (7511P), Kansas, Michigan, Minnesota, with the license until the license expires Office of Pesticide Programs, Mississippi, Missouri, Nebraska, North or is terminated (36 CFR 800.13[e]). The Environmental Protection Agency, 1200 Carolina, Ohio, Pennsylvania, South Commission’s responsibilities pursuant Pennsylvania Ave. NW., Washington, Carolina, South Dakota, Tennessee, and to section 106 for the project would be DC 20460–0001; telephone number: Wisconsin. Approximately 3,392,742 fulfilled through the Programmatic (703) 305–7090; email address: pounds (lb) of seed containing 48.41 lb Agreement, which Commission staff [email protected]. (21,958 grams) of active ingredient × ¥5 proposes to draft in consultation with SUPPLEMENTARY INFORMATION: (2.54, 4.04, 1.57, 12.68, 2.2 10 , 8.45, 16.65, 0.41, and 2.07 lb of Cry1F, Birch Power Company, the Alabama I. General Information SHPO, the U.S. Army Corps of Cry1A.105, Cry2Ab2, Vip3Aa20, Dv49 dsRNA, Cry3Bb1, Cry34Ab1, Cry35Ab1, Engineers, the Poarch Band of Creek A. Does this action apply to me? eCry3.1Ab, respectively) are to be Indians, Alabama-Coushatta Tribe of This action is directed to the public planted over 20,893 acres, including Bt Texas, Alabama-Quassarte Tribal Town, in general. Although this action may be and dsRNA PIP (17,740) and non-PIP of particular interest to those persons United Keetoowah Band of Cherokee (3,153) acreage. The two protocols in the who conduct or sponsor research on Indians, Choctaw Nation of Oklahoma, EUP include: (1) Seed development and pesticides, the Agency has not Jena Band of Choctaw Indians, increase for future testing including attempted to describe all the specific Muscogee (Creek) Nation, and Kialegee nursery observations of traits in various entities that may be affected by this Tribal Town of the Muscogee (Creek) genetic backgrounds; and (2) product action. Nation. characterization work including For purposes of commenting on the B. How can I get copies of this document phenotypic and agronomic observations, Programmatic Agreement, we propose to and other related information? efficacy and yield benefit evaluations make changes to the existing restricted The docket for this action, identified regulatory data generation. service list, issued on August 12, 2013, by docket identification (ID) number Authority: 7 U.S.C. 136c. for Project No. 13102–003 as follows: EPA–HQ–OPP–2012–0780, is available List of Subjects Replace ‘‘Joseph Giliberti’’ with at http://www.regulations.gov or at the Environmental protection, ‘‘Matthew Grunewald.’’ Office of Pesticide Programs Regulatory Public Docket (OPP Docket) in the Experimental use permits. Change the address for Lisa C. Baker, Environmental Protection Agency Dated: November 7, 2013. Acting THPO, United Keetoowah Band Docket Center (EPA/DC), EPA West Daniel J. Rosenblatt, of Cherokee Indians, from ‘‘20525 S. Bldg., Rm. 3334, 1301 Constitution Ave. Jules Valdez Road, Tahlequah, OK Acting Director, Registration Division, Office NW., Washington, DC 20460–0001. The of Pesticide Programs. 74464’’ to ‘‘P.O. Box 746, Tahlequah, Public Reading Room is open from 8:30 [FR Doc. 2013–27994 Filed 11–20–13; 8:45 am] OK 74465.’’ a.m. to 4:30 p.m., Monday through BILLING CODE 6560–50–P Change the address for Chief George Friday, excluding legal holidays. The Tiger or Representative, Kialegee Tribal telephone number for the Public Town of the Muscogee (Creek) Nation, Reading Room is (202) 566–1744, and EXPORT-IMPORT BANK OF THE from ‘‘P.O. Box 146, Wetumpka, OK the telephone number for the OPP UNITED STATES 74883’’ to ‘‘P.O. Box 188, Okemah, OK Docket is (703) 305–5805. Please review 74859.’’ the visitor instructions and additional [Public Notice 2013–6008] information about the docket available Dated: November 14, 2013. at http://www.epa.gov/dockets. Agency Information Collection Kimberly D. Bose, Activities: Comment Request II. EUP Secretary. AGENCY: Export-Import Bank of the [FR Doc. 2013–27957 Filed 11–20–13; 8:45 am] EPA has issued the following EUP: United States. 524–EUP–104. (EPA–HQ–OPP–2012– BILLING CODE 6717–01–P ACTION: Submission for OMB review and 0780). Issuance. Monsanto Company, comments request. 800 N. Lindbergh Blvd., St. Louis, MO

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00036 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69850 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

Form Title: EIB 92–36 Application for Total Government Cost: $24,480. Parties: Issuing Bank Credit Limit (IBCL) Under Principal Supplier: The Boeing Kalesha Malloy, Lender or Exporter-Held Policies. Company. SUMMARY: The Export-Import Banks of Agency Clearance Officer, Office of the Chief Obligor: OJSC VEB-Leasing. Information Officer. the United States (Ex-Im Bank), as part Guarantor(s): N/A. of its continuing effort to reduce [FR Doc. 2013–27962 Filed 11–20–13; 8:45 am] End-User: Aeroflot Russian Airlines. paperwork and respondent burden, BILLING CODE 6690–01–P Description of Items Being Exported: invites the general public and other Boeing 777 aircraft. Federal Agencies to comment on the Information on Decision: Information EXPORT-IMPORT BANK OF THE proposed information collection, as on the final decision for this transaction UNITED STATES required by the Paperwork Reduction will be available in the ‘‘Summary Act of 1995. [Public Notice: 2013–0055] Minutes of Meetings of Board of This collection of information is Directors’’ on http://exim.gov/ necessary, pursuant to 12 U.S.C. Sec. Application for Final Commitment for a newsandevents/boardmeetings/board/. 635(a)(1), to determine eligibility of the Long-Term Loan or Financial Confidential Information: Please note applicant for Ex-Im Bank assistance. Guarantee in Excess of $100 Million: that this notice does not include The application tool can be reviewed AP088285XX confidential or proprietary business information; information which, if at: http://www.exim.gov/pub/pending/ AGENCY: Export-Import Bank of the Form%20EIB%2092-36%20v3.pdf. disclosed, would violate the Trade United States. Secrets Act; or information which DATES: Comments must be received on ACTION: Notice. would jeopardize jobs in the United or before January 21, 2014 to be assured States by supplying information that of consideration. SUMMARY: This Notice is to inform the competitors could use to compete with public, in accordance with Section ADDRESSES: Comments may be companies in the United States. submitted electronically on 3(c)(10) of the Charter of the Export- WWW.REGULATIONS.GOV or by mail Import Bank of the United States (‘‘Ex- Cristopolis Dieguez, to Michele Kuester, Export-Import Bank Im Bank’’), that Ex-Im Bank has received Program Specialist, Office of the General of the United States, 811 Vermont Ave. an application for final commitment for Counsel. NW., Washington, DC. a long-term loan or financial guarantee [FR Doc. 2013–27925 Filed 11–20–13; 8:45 am] SUPPLEMENTARY INFORMATION: in excess of $100 million (as calculated BILLING CODE 6690–01–P Title and Form Number: EIB 92–36 in accordance with Section 3(c)(10) of Application for Issuing Bank Credit the Charter). Comments received within Limit (IBCL) Under Lender or Exporter- the comment period specified below EXPORT-IMPORT BANK will be presented to the Ex-Im Bank Held Policies. [Public Notice: 2013–0054] OMB Number: 3048–0016. Board of Directors prior to final action Type of Review: Regular. on this Transaction. Application for Final Commitment for a Need and Use: This form is used by DATES: Comments must be received on Long-Term Loan or Financial an insured exporter or lender (or broker or before December 16, 2013 to be Guarantee in Excess of $100 Million: acting on its behalf) in order to obtain assured of consideration before final AP086750XX approval for coverage of the repayment consideration of the transaction by the AGENCY: Export-Import Bank of the risk of an overseas bank. The Board of Directors of Ex-Im Bank. United States. information received allows Ex-Im Bank ADDRESSES: Comments may be staff to make a determination of the submitted through Regulations.gov at ACTION: Notice. creditworthiness of the foreign bank and WWW.REGULATIONS.GOV. To submit SUMMARY: This Notice is to inform the the underlying export sale for Ex-Im a comment, enter EIB–2013–0055 under public, in accordance with Section Bank assistance under its programs. the heading ‘‘Enter Keyword or ID’’ and 3(c)(10) of the Charter of the Export- This form has been updated to select Search. Follow the instructions Import Bank of the United States (‘‘Ex- include a new Certification and Notices provided at the Submit a Comment Im Bank’’), that Ex-Im Bank has received section as well as a new statement screen. Please include your name, an application for final commitment for explaining Ex-Im Bank’s limitation on company name (if any) and EIB–2013– a long-term loan or financial guarantee support for goods subject to trade 0055 on any attached document. in excess of $100 million (as calculated measures or sanctions. Reference: AP088285XX. in accordance with Section 3(c)(10) of Purpose and Use: the Charter). Comments received within Affected Public Brief description of the purpose of the the comment period specified below This form affects entities involved in transaction: will be presented to the Ex-Im Bank the export of U.S. goods and services. To support the export of U.S.- Board of Directors prior to final action Annual Number of Respondents: 480. manufactured aircraft to Russia. on this Transaction. Comments received Estimated Time per Respondent: 1 Brief non-proprietary description of will be made available to the public. hour. the anticipated use of the items being Annual Burden Hours: 480 hours. exported: DATES: Comments must be received on Frequency of Reporting of Use: As To provide passenger air service or before December 16, 2013 to be needed. between Russia and other countries. assured of consideration before final To the extent that Ex-Im Bank is consideration of the transaction by the Government Expenses reasonably aware, the item(s) being Board of Directors of Ex-Im Bank. Reviewing time per year: 480 hours. exported may be used to produce ADDRESSES: Comments may be Average Wages per Hour: $42.50. exports or provide services in submitted through Regulations.gov at Average Cost per Year: $20,400. competition with the exportation of WWW.REGULATIONS.GOV. To submit (time * wages) goods or provision of services by a a comment, enter EIB–2013–0054 under Benefits and Overhead: 20%. United States industry. the heading ‘‘Enter Keyword or ID’’ and

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00037 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69851

select Search. Follow the instructions SUMMARY: The Commission announces with your web browser to make provided at the Submit a Comment the next meeting date, time, and agenda presentations accessible to people with screen. Please include your name, of its Consumer Advisory Committee disabilities. You can listen to the audio company name (if any) and EIB–2013– (hereinafter the ‘‘Committee’’). The and use a screen reader to read 0054 on any attached document. purpose of the Committee is to make displayed documents. You can also Reference: AP086750XX. recommendations to the Commission watch the video with open captioning. Purpose and Use: regarding matters within the jurisdiction The Web site to access Accessible Event Brief description of the purpose of the of the Commission and to facilitate the is http://accessibleevent.com. The Web transaction: participation of all consumers in page prompts for an Event Code which To support the export of Caterpillar proceedings before the Commission. is 005202376. To learn about the mining equipment, General Electric DATES: The next meeting of the features of Accessible Event, consult its locomotives and Atlas Copco drilling Committee will take place on Monday, User’s Guide at: http:// equipment to Australia. December 16, 2013. accessibleevent.com/doc/user guide/. Brief non-proprietary description of ADDRESSES: Other reasonable accommodations for the anticipated use of the items being Federal Communications Commission, 445 12th Street SW., people with disabilities are available exported: upon request. The request should To be used in the construction and Washington, DC 20554. FOR FURTHER INFORMATION CONTACT: include a detailed description of the operation of an integrated iron ore mine accommodation needed and contact with processing plant, rail and port Scott Marshall, Consumer and Governmental Affairs Bureau, (202) information. Please provide as much facilities in Australia. advance notice as possible; last minute To the extent that Ex-Im Bank is 418–2809 (voice or Relay), or email requests will be accepted, but may not reasonably aware, the item(s) being [email protected]. be possible to fill. To request an exported may be used to produce SUPPLEMENTARY INFORMATION: This is a accommodation, send an email to exports or provide services in summary of the Commission’s [email protected] or call the Consumer competition with the exportation of document DA 13–2169, released and Governmental Affairs Bureau at goods or provision of services by a November 13, 2013 announcing the 202–418–0530 (voice), 202–418–0432 United States industry. agenda, date, and time of the (TTY). Parties: Committee’s next meeting (commencing Principal Supplier: Caterpillar, at 9:00 a.m. and adjourning at 4:00 p.m.) Federal Communications Commission. General Electric, Atlas Copco. to be held in the Commission Meeting Kris Anne Monteith, Obligor: Roy Hill Holdings Pty. Ltd. Room TW–C305. Acting Chief, Consumer and Governmental Guarantor(s): None. At its December 16, 2013 meeting, the Affairs Bureau. Description of Items Being Exported: Committee is expected to consider [FR Doc. 2013–27978 Filed 11–20–13; 8:45 am] Caterpillar mining equipment, recommendations concerning cramming BILLING CODE 6712–01–P General Electric locomotives and Atlas and the reporting of consumer Copco drilling equipment. complaint data. The Committee may Information on Decision: Information also consider other recommendations FEDERAL COMMUNICATIONS on the final decision for this transaction from its working groups, and may also COMMISSION will be available in the ‘‘Summary receive briefings from FCC staff and Minutes of Meetings of Board of outside speakers on matters of interest Federal Advisory Committee Act; Directors’’ on http://exim.gov/ to the Committee. A limited amount of Communications Security, Reliability, newsandevents/boardmeetings/board/. time will be available on the agenda for and Interoperability Council Confidential Information: Please note comments from the public. The public that this notice does not include AGENCY: Federal Communications may ask questions of presenters via Commission. confidential or proprietary business email [email protected] or via information; information which, if Twitter using the hashtag #fcclive. In ACTION: Notice. disclosed, would violate the Trade addition, the public may also follow the Secrets Act; or information which SUMMARY: In accordance with the meeting on Twitter@fcc or via the Federal Advisory Committee Act, this would jeopardize jobs in the United Commission’s Facebook page at States by supplying information that notice advises interested persons that www.facebook.com/fcc. Alternatively, the Federal Communications competitors could use to compete with members of the public may send written companies in the United States. Commission’s (FCC or Commission) comments to: Scott Marshall, Communications Security, Reliability, Cristopolis Dieguez, Designated Federal Officer of the and Interoperability Council (CSRIC) IV Program Specialist, Office of the General Committee at the address provided will hold its second meeting. At the Counsel. above. meeting, each of the Working Groups [FR Doc. 2013–27915 Filed 11–20–13; 8:45 am] The meeting is open to the public, will present an update on topics and the site is fully accessible to people BILLING CODE 6690–01–P including emergency warning systems, using wheelchairs or other mobility 9–1–1 location accuracy, distributed aids. Sign language interpreters, open denial-of-service (DDoS), and FEDERAL COMMUNICATIONS captioning, assistive listening devices, cybersecurity best practices. and Braille copies of the agenda and COMMISSION DATES: handouts will be provided on site. December 4, 2013. [DA 13–2169] Meetings are also broadcast live with ADDRESSES: Federal Communications open captioning over the Internet from Commission, Room TW–C305 Consumer Advisory Committee the FCC Live Web page at www.fcc.gov/ (Commission Meeting Room), 445 12th Street SW., Washington, DC 20554. AGENCY: Federal Communications live/. Commission. Simultaneous with the webcast, the FOR FURTHER INFORMATION CONTACT: meeting will be available through Jeffery Goldthorp, Designated Federal ACTION: Notice. Accessible Event, a service that works Officer, (202) 418–1096 (voice) or

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00038 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69852 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

[email protected] (email); or Federal Communications Commission. Jacobson Global Logistics, Inc. (NVO & Lauren Kravetz, Deputy Designated Marlene H. Dortch, OFF), 18209 80th Avenue South, Federal Officer, (202) 418–7944 (voice) Secretary. Suite A, Kent, WA 98032. Officers: or [email protected] (email). [FR Doc. 2013–27844 Filed 11–20–13; 8:45 am] Jeanne H. Sargent, Vice President (QI), James G. Smith, CFO, Application SUPPLEMENTARY INFORMATION: The BILLING CODE 6712–01–P Type: QI Change. meeting will be held on December 4, 2013, from 1:00 p.m. to 5:00 p.m. in the Thomas M. Beidleman dba A.C.S. Commission Meeting Room of the FEDERAL MARITIME COMMISSION Forwarding (OFF), 2964 Alvarado Federal Communications Commission, Street, Terminal G, San Leandro, CA Room TW–C305, 445 12th Street SW., Ocean Transportation Intermediary 94577. Officer: Thomas M. Washington, DC 20554. License Applicants Beidleman, Sole Proprietor (QI), Application Type: Trade Name The CSRIC is a Federal Advisory The Commission gives notice that the Change to Blue Ocean Express. Committee that will provide following applicants have filed an United Harbour Logistics LLC (NVO), recommendations to the FCC regarding application for an Ocean Transportation 2251 S. Bon View Avenue, Ontario, best practices and actions the FCC can Intermediary (OTI) license as a Non- CA 91761, Officer: Phuong (A.K.A. take to ensure the security, reliability, Vessel-Operating Common Carrier Jay) La, Member (QI), Application and interoperability of communications (NVO) and/or Ocean Freight Forwarder Type: New NVO License. systems. On March 19, 2013, the FCC, (OFF) pursuant to section 19 of the pursuant to the Federal Advisory Shipping Act of 1984 (46 U.S.C. 40101). By the Commission. Committee Act, renewed the charter for Notice is also given of the filing of Dated: November 15, 2013. the CSRIC for a period of two years applications to amend an existing OTI Karen V. Gregory, through March 18, 2015. Each of the ten license or the Qualifying Individual (QI) Secretary. Working Groups of this most recently- for a licensee. [FR Doc. 2013–27842 Filed 11–20–13; 8:45 am] chartered CSRIC is described in more Interested persons may contact the BILLING CODE 6730–01–P detail at http://www.fcc.gov/ Office of Ocean Transportation encyclopedia/communications-security- Intermediaries, Federal Maritime reliability-and-interoperability-council- Commission, Washington, DC 20573, by iv. telephone at (202) 523–5843 or by email FEDERAL RESERVE SYSTEM The meeting on December 4, 2013, at [email protected]. will be the second meeting of the CSRIC Amerifreight (N.A.), Inc. dba Freight Formations of, Acquisitions by, and under the current charter. The FCC will Team dba iGlobal US (NVO & OFF), Mergers of Bank Holding Companies attempt to accommodate as many 15930 Valley Boulevard, City of Industry, CA 91744. Officers: Kwong The companies listed in this notice attendees as possible; however, have applied to the Board for approval, admittance will be limited to seating Chi (A.K.A. Elton) Chung, President (QI), James Lin, Secretary, pursuant to the Bank Holding Company availability. The Commission will Act of 1956 (12 U.S.C. 1841 et seq.) provide audio and/or video coverage of Application Type: QI Change. Amexlog Corporation dba Amex (BHC Act), Regulation Y (12 CFR Part the meeting over the Internet from the Logistics Corp (NVO & OFF), 1970 225), and all other applicable statutes FCC’s Web page at http://www.fcc.gov/ NW 70th Avenue, Miami, FL 33126. and regulations to become a bank live. The public may submit written Officers: Jorge X. de Tuya, Vice holding company and/or to acquire the comments before the meeting to Jeffery President (QI), Orestes F. Romero, assets or the ownership of, control of, or Goldthorp, CSRIC Designated Federal President, Application Type: New the power to vote shares of a bank or Officer, by email to jeffery.goldthorp@ NVO & OFF License. bank holding company and all of the fcc.gov or U.S. Postal Service Mail to Canfleet Logistics Ltd. (NVO), 1408–700 banks and nonbanking companies Jeffery Goldthorp, Associate Bureau West Pender Street, Vancouver, B.C. owned by the bank holding company, Chief, Public Safety and Homeland V6C 1G8. Officers: Monica H. Yen, including the companies listed below. Security Bureau, Federal President (QI), Vincent Yen, The applications listed below, as well Communications Commission, 445 12th Secretary, Application Type: New as other related filings required by the Street SW., Room 7–A325, Washington, NVO License. Board, are available for immediate DC 20554. CTS Global Logistics (Georgia) Inc. dba inspection at the Federal Reserve Bank Open captioning will be provided for CTS Global Supply Chain Solutions indicated. The applications will also be this event. Other reasonable (NVO & OFF), 5192 Southridge available for inspection at the offices of accommodations for people with Parkway, Suite 117, Atlanta, GA the Board of Governors. Interested disabilities are available upon request. 30349. Officers: Zong Wen (David) persons may express their views in Requests for such accommodations Chen, Vice President (QI), Xian-Zhong writing on the standards enumerated in should be submitted via email to (David) Cai, President, Application the BHC Act (12 U.S.C. 1842(c)). If the [email protected] or by calling the Type: QI Change. proposal also involves the acquisition of Consumer & Governmental Affairs DS Logistics Global, Inc. (NVO), 13353 a nonbanking company, the review also Bureau at (202) 418–0530 (voice), (202) Alondra Blvd., Suite 207, Santa Fe includes whether the acquisition of the 418–0432 (tty). Such requests should Springs, CA 90670. Officer: Susan W. nonbanking company complies with the include a detailed description of the Lee, President (QI), Application Type: standards in section 4 of the BHC Act accommodation needed. In addition, New NVO License. (12 U.S.C. 1843). Unless otherwise please include a way the FCC can International Logistics Associates LLC noted, nonbanking activities will be contact you if it needs more (NVO & OFF), 1852 Holly Road, North conducted throughout the United States. information. Please allow at least five Brunswick, NJ 08902. Officers: Ravi S. Unless otherwise noted, comments days’ advance notice; last-minute Sarvothaman, Member (QI), Man regarding each of these applications requests will be accepted, but may be Kong L. Suen, Member, Application must be received at the Reserve Bank impossible to fill. Type: New NVO & OFF License. indicated or the offices of the Board of

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00039 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69853

Governors not later than December 16, 4001 of the Patient Protection and Dated: November 4, 2013. 2013. Affordable Care Act, Public Law 111– Corinne M. Graffunder, A. Federal Reserve Bank of Dallas (E. 148. Under Executive Order 13591, Designated Federal Officer, Advisory Group Ann Worthy, Vice President) 2200 dated November 23, 2011, operation of on Prevention, Health Promotion, and North Pearl Street, Dallas, Texas 75201– the Advisory Group was terminated on Integrative and Public Health, Office of the 2272: September 30, 2012. On December 7, Surgeon General. 1. Cistern, LLC and Flatonia 2012, President Obama issued Executive [FR Doc. 2013–27927 Filed 11–20–13; 8:45 am] Investments, LLC, both in Houston, Order 13631 to re-establish the Advisory BILLING CODE 4163–18–P Texas; to become bank holding Group until September 30, 2013. companies by acquiring 100 percent of Authorization for the Advisory Group to the voting shares of The Columbia DEPARTMENT OF HEALTH AND continue to operate until September 30, Savings Bank, Cincinnati, Ohio. HUMAN SERVICES 2015, was given under Executive Order Board of Governors of the Federal Reserve 13652, dated September 30, 2013. The Meeting of the Chronic Fatigue System, November 18, 2013. Advisory Group was established to Syndrome Advisory Committee Michael J. Lewandowski, assist in carrying out the mission of the AGENCY: Office of the Assistant Associate Secretary of the Board. National Prevention, Health Promotion, [FR Doc. 2013–27923 Filed 11–20–13; 8:45 am] Secretary for Health, Office of the and Public Health Council (the Secretary, Department of Health and BILLING CODE 6210–01–P Council). The Advisory Group provides Human Services. recommendations and advice to the ACTION: Notice. Council. DEPARTMENT OF HEALTH AND SUMMARY: As stipulated by the Federal HUMAN SERVICES It is authorized for the Advisory Group to consist of not more than 25 Advisory Committee Act, the U.S. non-federal members. The Advisory Department of Health and Human Meeting of the Advisory Group on Services (HHS) is hereby giving notice Group currently has 22 members who Prevention, Health Promotion, and that a meeting of the Chronic Fatigue were appointed by the President. The Integrative and Public Health Syndrome Advisory Committee membership includes a diverse group of AGENCY: (CFSAC) will take place via webinar. Office of the Surgeon General licensed health professionals, including of the United States Public Health This webinar meeting will be open to integrative health practitioners who Service, Office of the Assistant Secretary the public. The webinar will include have expertise in (1) worksite health for Health, Office of the Secretary, public comment session(s). Registration promotion; (2) community services, Department of Health and Human is required in advance for both public Services. including community health centers; (3) participants and comment. Any preventive medicine; (4) health ACTION: Notice. individual who wishes to participate in coaching; (5) public health education; the public meeting and/or in the public SUMMARY: In accordance with Section (6) geriatrics; and (7) rehabilitation comment session should register at 10(a) of the Federal Advisory Committee medicine. Topics of discussion for the www.blsmeetings.net/CFSACdec2013/. Act, Public Law 92–463, as amended (5 December 2013 meeting of the Advisory DATES: The webinar meeting will be U.S.C. App.), notice is hereby given that Group include an update from the held on Tuesday, December 10, 2013 a meeting is scheduled to be held for the National Prevention Council; discussion and Wednesday, December 11, 2013 Advisory Group on Prevention, Health of the Education and Health Working from 12:00 p.m. until 5:00 p.m. (EST) on Promotion, and Integrative and Public Group recommendations; and both days. Health (the ‘‘Advisory Group’’). The discussion of the draft report to the ADDRESSES: The meeting will be meeting will be open to the public. Surgeon General. conducted by webinar. Information about the Advisory Group Members of the public who wish to FOR FURTHER INFORMATION CONTACT: and the agenda for this meeting can be attend must register by 12:00 p.m. EST Nancy C. Lee, M.D., Designated Federal obtained by accessing the following Officer, Chronic Fatigue Syndrome Web site: http:// on December 4, 2013. Individuals should register for public attendance at Advisory Committee, Department of www.surgeongeneral.gov/initiatives/ Health and Human Services, Office on prevention/advisorygrp/index.html. [email protected] by providing your full name and affiliation. Women’s Health, 200 Independence DATES: The meeting will be held on The public will have the opportunity to Avenue SW., Room 712E, Washington, December 11, 2013 from 3:00–5:00 p.m. DC 20201. Phone: 202–690–7650; Fax: provide comments to the Advisory EST via teleconference. More 202–401–4005. [email protected]. Group; public comment will be limited information can be found at: http:// SUPPLEMENTARY INFORMATION: to 3 minutes per speaker. Registration The www.surgeongeneral.gov/initiatives/ CFSAC is authorized under 42 U.S.C. through the designated contact for the prevention/advisorygrp/index.html. 217a, Section 222 of the Public Health public comment session is also FOR FURTHER INFORMATION CONTACT: Service Act, as amended. The purpose required. Any member of the public Office of the Surgeon General, 200 of the CFSAC is to provide advice and Independence Ave. SW.; Hubert H. who wishes to have printed materials recommendations to the Secretary of Humphrey Building, Room 701H; distributed to the Advisory Group for Health and Human Services, through Washington, DC 20201; 202–205–9517; this scheduled meeting should submit the Assistant Secretary for Health [email protected]. material to the designed point of contact (ASH), on issues related to chronic SUPPLEMENTARY INFORMATION: The no later than 12:00 p.m. EST on fatigue syndrome (CFS). The issues can Advisory Group is a non-discretionary December 4, 2013. include factors affecting access and care federal advisory committee that was for persons with CFS; the science and initially established under Executive definition of CFS; and broader public Order 13544, dated June 10, 2010, to health, clinical, research and comply with the statutes under Section educational issues related to CFS.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00040 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69854 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

The agenda for this meeting is being information, such as social security most important ways that CDC protects developed and will be posted on the number, birthdates, driver’s license the health of the public. CDC is CFSAC Web site www.hhs.gov/ number, state identification or foreign frequently called upon to conduct EEIs advocomcfsac and at country equivalent, passport number, at the request of local, state, or www.blsmeetings.net/CFSACdec2013/. financial account number, or credit or international health authorities seeking The webinar will be a ‘‘virtual meeting’’ debit card number. If you wish to support to respond to urgent outbreaks using Adobe Acrobat Connect Pro remain anonymous the document must or urgent public health-related events. Meeting, a Web conferencing product specify this. In response to external partner requests, that allows users to conduct live Dated: November 18, 2013. CDC provides necessary epidemiologic meetings and presentations over the Nancy C. Lee, support to identify the agents, sources, Internet. modes of transmission, or risk factors to Using Adobe Connect Pro Meeting Designated Federal Officer, Chronic Fatigue Syndrome Advisory Committee, U.S. effectively implement rapid prevention software requires that you have an Department of Health and Human Services. and control measures to protect the Internet connection, a Web browser, and public’s health. Data collection is a [FR Doc. 2013–27926 Filed 11–20–13; 8:45 am] the latest version of Adobe Flash Player critical component of the epidemiologic to participate in the webinar. Adobe BILLING CODE 4150–42–P support provided by CDC; data are Connect Pro is supported by many analyzed to determine the agents, operating systems, including Windows, DEPARTMENT OF HEALTH AND sources, modes of transmission, or risk Macintosh, Linux, and Solaris as well as HUMAN SERVICES factors so that effective prevention and the most widely used browsers, control measures can be implemented. including Internet Explorer, Firefox, and Centers for Disease Control and During an unanticipated outbreak or Safari. Prevention event, immediate action by CDC is We recommend that you test your necessary to minimize or prevent public computer prior to participation. You can [30-Day–14–13ZJ] harm. The legal justification for EEIs are do this by going to http:// Agency Forms Undergoing Paperwork found in the Public Health Service Act admin.adobeconnect.com/common/ Reduction Act Review (42 U.S.C. Sec. 301 [241](a)). help/en/support/meeting_test.htm. Successful investigations are Instructions for accessing the webinar The Centers for Disease Control and dependent on rapid and flexible data will be available at: Prevention (CDC) publishes a list of collection that evolves during the www.blsmeetings.net/CFSACdec2013/ information collection requests under investigation and is customized to the webinarinformation.cfm. review by the Office of Management and unique circumstances of each outbreak This webinar will be limited to 500 Budget (OMB) in compliance with the or event. Data collection elements will participants. All individuals who want Paperwork Reduction Act (44 U.S.C. be those necessary to identify the to view the webinar will need to Chapter 35). To request a copy of these agents, sources, mode of transmission, register. You will receive instructions requests, call (404) 639–7570 or send an or risk factors. Examples of potential for accessing the webinar after you email to [email protected]. Send written data collection methods include register. Members of the public will comments to CDC Desk Officer, Office of telephone or face-to-face interview; have the opportunity to provide public Management and Budget, Washington, email, Web or other type of electronic comment during the meeting via DC 20503 or by fax to (202) 395–5806. questionnaire; paper-and-pencil telephone, pre-recorded video, or Written comments should be received questionnaire; focus groups; medical written comments. Registration is within 30 days of this notice. record review; laboratory record review; required in advance in order to submit collection of clinical samples; and public comments. An individual who Proposed Project environmental assessment. Respondents would like to present comments should Emergency Epidemic Investigation will vary depending on the nature of the note this when completing the Data Collections—New—Center for outbreak or event; examples of potential registration form. The deadline to Surveillance, Epidemiology, and respondents include health care register and submit public comments is Laboratory Services (CSELS), Division professionals, patients, laboratorians, Friday, November 29, 2013. We will of Scientific Education and Professional and the general public. Participation in confirm your time for public comment Development, DSEPD), Centers for EEIs is voluntary and there are no via email by December 4, 2013. Please Disease Control and Prevention (CDC). anticipated costs to respondents other refer to the agenda for scheduled public than their time. CDC will use the Background and Brief Description comment periods. Each speaker via information gathered during EEIs to telephone or pre-recorded video will be CDC previously has conducted rapidly identify and effectively limited to five minutes. We will give Emergency Epidemic Investigations implement measures to minimize or priority to individuals who have not (EEIs) under Office of Management and prevent public harm. provided public comment within the Budget (OMB) control number 0920– CDC projects 60 EEIs in response to past 12 months. We will be unable to 0008. CDC is seeking a new OMB outbreaks or events characterized by place international calls for public generic clearance for a 3-year period to undetermined agents, undetermined comments. We can accept written or collect vital information during EEIs in sources, undetermined transmission, or prerecorded video testimony from response to urgent outbreaks or events undetermined risk factors annually. The international locations. Further details (i.e., natural, biological, chemical, projected average number of are available at www.blsmeetings.net/ nuclear, radiological) characterized by respondents is 200 per EEI, for a total CFSACdec2013/publicComments.cfm. undetermined agents, undetermined of 12,000 respondents. CDC estimates Only testimony submitted for public sources, undetermined transmission, or the average burden per response is 0.5 comment and received in advance of the undetermined risk factors. These EEIs hours and each respondent will be meeting are part of the official meeting represent a subset of those performed asked to respond once. Therefore, the record and will be posted to the CFSAC under OMB clearance 0920–0008. total estimated annual burden hours are Web site. Materials submitted should Supporting effective emergency 6,000. These estimates are based on the not include sensitive personal epidemic investigations is one of the reported burden for EEIs that have been

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00041 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69855

performed during the previous two years.

ESTIMATED ANNUALIZED BURDEN HOURS

Average Number of Number of burden per Type of respondents Form name respondents responses per response respondent (in hrs.)

Emergency Epidemic Investigation Participants ...... Emergency Epidemic Investigation 12,000 1 30/60 Data Collection Instruments.

LeRoy A. Richardson, Communication Activities (MTTCA), veterans; individuals who suffer from Chief, Information Collection Review Office, OMB No. 0920–0910, exp. 1/31/2015). A depression and/or anxiety, and Office of Scientific Integrity, Office of the variety of information collection individuals who are English-speaking Associate Director for Science, Office of the strategies are supported through this Hispanics. CDC may also request Director, Center for Disease Control and generic mechanism, including in-depth information about smoking status (e.g., Prevention. interviews, in-person focus groups, current non-smoker, current smoker, ex- [FR Doc. 2013–27942 Filed 11–20–13; 8:45 am] online focus groups, computer-assisted, smoker). BILLING CODE 4163–18–P in-person, or telephone interviews, and CDC is requesting OMB approval to online surveys. Each project approved revise the generic MTTCA clearance, under the MTTCA framework is which was initially approved with the DEPARTMENT OF HEALTH AND outlined in a project-specific HUMAN SERVICES following estimates: 5,775 annualized Information Collection Request that burden hours and 14,974 annualized Centers for Disease Control and describes its purpose and methodology. responses. The initial estimates were The MTTCA clearance has been used Prevention based on the number of respondents to obtain OMB approval for a variety of who were likely to participate in [30-Day–14–0910] message testing activities, with information collection activities such as particular emphasis on communications focus groups, interviews, and surveys. Agency Forms Undergoing Paperwork supporting CDC’s ‘‘Tips from Former Reduction Act Review The initial estimates did not specifically Smokers’’ campaign. This national account for screening activities that are The Centers for Disease Control and campaign, developed and implemented necessary to identify respondents from Prevention (CDC) publishes a list of by OSH, is designed to increase public key target audiences. As a result, the information collection requests under awareness of the health consequences of initial MTTCA clearance review by the Office of Management and tobacco use and exposure to underestimated the total number of Budget (OMB) in compliance with the secondhand smoke. The MTTCA responses needed to support data Paperwork Reduction Act (44 U.S.C. clearance has also supported formative collection conducted in 2012 and 2013. Chapter 35). To request a copy of these research relating to the development of The planned revision will adjust for requests, call (404) 639–7570 or send an health messages that are not specifically screening and recruitment by allocating email to [email protected]. Send written associated with the national campaign. 20,000 additional respondents, and 667 In 2014, CDC will implement a new comments to CDC Desk Officer, Office of additional burden hours, to the phase of the national tobacco education Management and Budget, Washington, annualized estimates. To accommodate campaign and continue ongoing DC or by fax to (202) 395–5806. Written both planned activities and potential programmatic initiatives, such as comments should be received within 30 new initiatives or collaborations, CDC is maintaining the Media Campaign days of this notice. also requesting modest increases in the Resource Center (MCRC) and producing number of respondents and burden Proposed Project reports in conjunction with the Office of hours associated with survey activities. Message Testing for Tobacco the Surgeon General. OSH will continue Communication Activities (OMB No. to use the MTTCA clearance to improve CDC’s authority to collect information 0920–0910, exp. 1/31/2015)— the quality of tobacco-related health for public health purposes is provided Revision—National Center for Chronic messages associated with these by the Public Health Service Act (41 Disease Prevention and Health activities and other tobacco control U.S.C. 241) Section 301. Promotion (NCCDPHP), Centers for efforts of interest to CDC and its The revision request does not affect Disease Control and Prevention (CDC). partners. OSH anticipates that a number the current expiration date of January of messages will be developed or refined 31, 2015. The estimated annualized Background and Brief Description for subpopulations as well as the number of responses will increase from In 2012, CDC’s Office on Smoking and general public. For example, screening 14,974 to 36,847 and the total estimated Health (OSH) obtained OMB approval of activities may be conducted to involve annualized burden hours will increase a generic clearance to support the individuals who are Lesbian, Gay, from 5,775 to 7,219. Participation is development of tobacco-related health Bisexual, and Transgender (LGBT); voluntary and there are no costs to messages (Message Testing for Tobacco individuals who are active military or respondents other than their time.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00042 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69856 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

ESTIMATED ANNUALIZED BURDEN HOURS

Number of Average Type of respondents Data collection method Number of responses per burden per respondents respondent response

General Public and Special Populations ...... Screening and Recruitment ...... 20,000 1 2/60 In-depth Interviews (In Person, telephone, 67 1 1 etc.). Focus Groups (In Person) ...... 160 1 1.5 Focus Groups (Online) ...... 120 1 1 Short Surveys ...... 6,500 1 10/60 (Online, Bulletin Board, etc.) ...... Medium Surveys ...... 8,500 1 25/60 (Online) ...... In-depth Surveys (Online) ...... 1,500 1 1

Leroy A. Richardson, the drug for which they are seeking determined that, for purposes of Chief, Information Collection Review Office, approval contains the same active §§ 314.161 and 314.162, never Office of Scientific Integrity, Office of the ingredient in the same strength and marketing an approved drug product is Associate Director for Science, Office of the dosage form as the ‘‘listed drug,’’ which equivalent to withdrawing the drug Director, Centers for Disease Control and is a version of the drug that was from sale. Prevention. previously approved. ANDA applicants Lupin Pharmaceuticals, Inc., [FR Doc. 2013–27928 Filed 11–20–13; 8:45 am] do not have to repeat the extensive submitted a citizen petition dated May BILLING CODE 4163–18–P clinical testing otherwise necessary to 9, 2013 (Docket No. FDA–2013–P– gain approval of a new drug application 0573), under 21 CFR 10.30, requesting (NDA). that the Agency determine whether DEPARTMENT OF HEALTH AND The 1984 amendments include what BANZEL (rufinamide) tablet, 100 mg, HUMAN SERVICES is now section 505(j)(7) of the Federal was withdrawn or discontinued from Food, Drug, and Cosmetic Act (21 U.S.C. sale for reasons of safety or Food and Drug Administration 355(j)(7)), which requires FDA to effectiveness. [Docket No. FDA–2013–P–0573] publish a list of all approved drugs. After considering the citizen petition FDA publishes this list as part of the and reviewing Agency records and Determination That BANZEL ‘‘Approved Drug Products with based on the information we have at this (Rufinamide) Tablet, 100 Milligrams, Therapeutic Equivalence Evaluations,’’ time, FDA has determined under Was Not Withdrawn From Sale for which is known generally as the Orange § 314.161 that BANZEL (rufinamide) Reasons of Safety or Effectiveness Book. Under FDA regulations, drugs are tablet, 100 mg, was not withdrawn for removed from the list if the Agency reasons of safety or effectiveness. The AGENCY: Food and Drug Administration, withdraws or suspends approval of the petitioner has identified no data or other HHS. drug’s NDA or ANDA for reasons of information suggesting that BANZEL ACTION: Notice. safety or effectiveness or if FDA (rufinamide) tablet, 100 mg, was SUMMARY: The Food and Drug determines that the listed drug was withdrawn for reasons of safety or Administration (FDA) has determined withdrawn from sale for reasons of effectiveness. We have carefully that BANZEL (rufinamide) tablet, 100 safety or effectiveness (§ 314.162 (21 reviewed our files for records milligrams (mg), was not withdrawn CFR 314.162)). concerning the withdrawal of BANZEL from sale for reasons of safety or A person may petition the Agency to (rufinamide) tablet, 100 mg, from sale. effectiveness. This determination will determine, or the Agency may We have also independently evaluated allow FDA to approve abbreviated new determine on its own initiative, whether relevant literature and data for possible drug applications (ANDAs) for a listed drug was withdrawn from sale postmarketing adverse events. We have rufinamide tablet, 100 mg, if all other for reasons of safety or effectiveness. reviewed the available evidence and legal and regulatory requirements are This determination may be made at any determined that this product was not met. time after the drug has been withdrawn withdrawn from sale for reasons of from sale, but must be made prior to safety or effectiveness. FOR FURTHER INFORMATION CONTACT: approving an ANDA that refers to the Accordingly, the Agency will Olivia Morris, Center for Drug listed drug (§ 314.161 (21 CFR 314.161)). continue to list BANZEL (rufinamide) Evaluation and Research, Food and FDA may not approve an ANDA that tablet, 100 mg, in the ‘‘Discontinued Drug Administration, 10903 New does not refer to a listed drug. Drug Product List’’ section of the Orange Hampshire Ave., Bldg. 51, Rm. 6260, BANZEL (rufinamide) tablet, 100 mg, Book. The ‘‘Discontinued Drug Product Silver Spring, MD 20993–0002, 301– is the subject of NDA 21–911, held by List’’ delineates, among other items, 796–3601. Eisai Inc., and initially approved on drug products that have been SUPPLEMENTARY INFORMATION: In 1984, November 14, 2008. BANZEL is discontinued from marketing for reasons Congress enacted the Drug Price indicated for adjunctive treatment of other than safety or effectiveness. Competition and Patent Term seizures associated with Lennox-Gastaut ANDAs that refer to BANZEL Restoration Act of 1984 (Pub. L. 98–417) syndrome in children 4 years and older (rufinamide) tablet, 100 mg, may be (the 1984 amendments), which and adults. approved by the Agency as long as they authorized the approval of duplicate Eisai Inc., has never marketed meet all other legal and regulatory versions of drug products under an BANZEL (rufinamide) tablet, 100 mg. In requirements for the approval of ANDA procedure. ANDA applicants previous instances (see, e.g., 72 FR ANDAs. If FDA determines that labeling must, with certain exceptions, show that 9763, 61 FR 25497), the Agency has for this drug product should be revised

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00043 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69857

to meet current standards, the Agency October 1, 1995, unless it displays a to request a Certificate of Confidentiality will advise ANDA applicants to submit currently valid OMB control number. (CoC) from NIH. As described in the such labeling. Direct Comments to OMB: Written authorizing legislation (Section 301(d) Dated: November 15, 2013. comments and/or suggestions regarding of the Public Health Service Act, 42 the item(s) contained in this notice, Leslie Kux, U.S.C. § 241(d)), CoCs are issued by the especially regarding the estimated Assistant Commissioner for Policy. agencies of Department of Health and public burden and associated response Human Services (DHHS), including [FR Doc. 2013–27874 Filed 11–20–13; 8:45 am] time, should be directed to the: Office NIH, to authorize researchers BILLING CODE 4160–01–P of Management and Budget, Office of conducting sensitive research to protect _ Regulatory Affairs, OIRA submission@ the privacy of human research subjects omb.eop.gov or by fax to 202–395–6974, by enabling them to refuse to release DEPARTMENT OF HEALTH AND Attention: NIH Desk Officer. HUMAN SERVICES names and identifying characteristics of DATES: Comment Due Date: Comments subjects to anyone not connected with National Institutes of Health regarding this information collection are the research. At NIH, the issuance of best assured of having their full effect if CoCs has been delegated to the Submission for OMB Review, 30-Day received within 30-days of the date of individual NIH Institutes and Centers Comment Request: Certificate of this publication. (ICs). The NIH ICs collectively issue Confidentiality Electronic Application FOR FURTHER INFORMATION CONTACT: To approximately 1000 new CoCs each year System obtain a copy of the data collection for eligible research projects. However, plans and instruments, submit the process for submitting a CoC request SUMMARY: Under the provisions of comments in writing, or request more is not consistent across the ICs which Section 3507(a) (1)(D) of the Paperwork information on the proposed project creates confusion for applicants. To Reduction Act of 1995, the Office of contact: Dr. Ann Hardy, NIH Extramural make the application process consistent Extramural Research (OER), National Human Research Protections Officer and across the entire agency, OER is Institutes of Health (NIH) has submitted NIH Coordinator, Certificates of proposing to use an electronic to the Office of Management and Budget Confidentiality, 3701 Rockledge Dr., application system that will be accessed (OMB) a request for review and Rm. 3002, Bethesda, MD 20892, or call by research organizations that wish to approval of the information collection non-toll-free number (301) 435–2690 or listed below. This proposed information request a CoC from any NIH IC. Having Email your request, including your one system for all CoC applications to collection was previously published in address to: [email protected]. Formal the Federal Register on April 29, 2013, NIH will be efficient for both applicants requests for additional plans and and NIH staff who process these page 2590 and allowed 60-days for instruments must be requested in public comment. No public comments requests. As is currently done, NIH will writing. use the information in the application to were received. The purpose of this Proposed Collection: Certificate of determine eligibility for a CoC and to notice is to allow an additional 30 days Confidentiality Electronic Application issue the CoC to the requesting for public comment. The Office of System, 0925-New, Office of Extramural Extramural Research (OER), National Research (OER), National Institutes of organization. Institutes of Health, may not conduct or Health (NIH). OMB approval is requested for 3 sponsor, and the respondent is not Need and Use of Information years. There are no costs to respondents required to respond to, an information Collection: This application system will other than their time. The total collection that has been extended, provide one electronic form to be used estimated annualized burden hours are revised, or implemented on or after by all research organizations that wish 1,500.

ESTIMATED ANNUALIZED BURDEN HOURS

Average Type of Number of Frequency of time per Annual hour respondents respondents response response burden

CoC Applicants-Private ...... 400 1 90/60 600 CoC Applicants-State/local ...... 450 1 90/60 675 CoC Applicants-Small business ...... 50 1 90/60 75 CoC Applicants-Federal ...... 100 1 90/60 150

Dated: November 13, 2013. DEPARTMENT OF HEALTH AND The meeting will be open to the Seleda Perryman, HUMAN SERVICES public, with attendance limited to space Chief, Project Clearance Officer, Office of available. Individuals who plan to Policy for Extramural Research National Institutes of Health attend and need special assistance, such Administration, National Institutes of Health. as sign language interpretation or other Eunice Kennedy Shriver National [FR Doc. 2013–27966 Filed 11–20–13; 8:45 am] reasonable accommodations, should Institute of Child Health and Human BILLING CODE 4140–01–P Development; Notice of Meeting notify the Contact Person listed below in advance of the meeting. Pursuant to section 10(a) of the Name of Committee: National Advisory Federal Advisory Committee Act, as Board on Medical Rehabilitation Research. amended (5 U.S.C. App.), notice is Date: December 2–3, 2013. hereby given of a meeting of the Time: December 2, 2013, 8:30 a.m. to 5:00 National Advisory Board on Medical p.m. Rehabilitation Research.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00044 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69858 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

Agenda: NICHD Director’s Report; NCMRR Revision Applications to Promote CRAN 7400 Wisconsin Avenue, Bethesda, MD Director’s Report; Discussion of the new (R01) Review. 20814. The meeting is open to the model for NCMRR support of rehabilitation Date: December 16, 2013. public and the following agenda topics research; Coordinating Rehabilitation Time: 12:00 p.m. to 3:00 p.m. Research activities across NIH; Defining Agenda: To review and evaluate grant will be discussed: Proposed research opportunities and needs; Renewing applications. organizational change: DEA, Biomedical research infrastructure network program. Place: National Institutes of Health, Cloud Technology, Optimizing Big Data Place: Hyatt Regency Bethesda, One Neuroscience Center, 6001 Executive to Advance Research, and Advocate and Bethesda Metro Center, 7400 Wisconsin Boulevard, Rockville, MD 20852, (Telephone Organizational Engagement. Avenue, Bethesda, MD 20814. Conference Call). Dated: November 15, 2013. Time: December 3, 2013, 8:30 a.m. to 12:00 Contact Person: Scott A. Chen, Ph.D., p.m. Scientific Review Officer, Office of Melanie J. Gray, Agenda: Other business of the NABMRR. Extramural Affairs, National Institute on Program Analyst, Office of Federal Advisory Place: Hyatt Regency Bethesda, One Drug Abuse, NIH, DHHS, 6001 Executive Committee Policy. Bethesda Metro Center, 7400 Wisconsin Blvd., Room 4234, MSC 9550, Bethesda, MD [FR Doc. 2013–27857 Filed 11–20–13; 8:45 am] Avenue, Bethesda, MD 20814. 20892–9550, 301–443–9511, chensc@ Contact Person: Ralph M. Nitkin, Ph.D., mail.nih.gov. BILLING CODE 4140–01–P Acting Director, National Center for Medical Name of Committee: National Institute on Rehabilitation Research (NCMRR), Director, Drug Abuse Special Emphasis Panel; Seek, Biological Sciences and Career Development, Test, Treat, and Retain Data Harmonization DEPARTMENT OF HOMELAND NCMRR, Eunice Kennedy Shriver National Coordinating Center. SECURITY Institute, of Child Health and Human Date: December 17, 2013. Development, NIH, DHHS, 6100 Executive Time: 2:00 p.m. to 5:00 p.m. Office of the Secretary Boulevard, Room 2A03, Bethesda, MD Agenda: To review and evaluate grant 20892–7510, (301) 402–4206, [email protected]. applications. [Docket No. DHS–2013–0077] Information is also available on the Place: National Institutes of Health, Institute’s/Center’s home page: http:// Neuroscience Center, 6001 Executive Privacy Act of 1974; Department of www.nichd.nih.gov/about/advisory/nabmrr/ Boulevard, Rockville, MD 20852, (Telephone Pages/index.aspx where an agenda and any Conference Call). Homeland Security/Federal Emergency additional information for the meeting will Contact Person: Eliane Lazar-Wesley, Management Agency—001 National be posted when available. Ph.D., Scientific Review Officer, Office of Emergency Family Registry and (Catalogue of Federal Domestic Assistance Extramural Affairs, National Institute on Locator System (NEFRLS) System of Program Nos. 93.864, Population Research; Drug Abuse, NIH, DHHS, 6001 Executive Records 93.865, Research for Mothers and Children; Blvd., Room 4245, MSC 9550, Bethesda, MD 93.929, Center for Medical Rehabilitation 20892–9550, 301–451–4530, [email protected]. AGENCY: Department of Homeland Research; 93.209, Contraception and (Catalogue of Federal Domestic Assistance Security, Privacy Office. Infertility Loan Repayment Program, National Program Nos.: 93.279, Drug Abuse and ACTION: Institutes of Health, HHS) Notice of Privacy Act System of Addiction Research Programs, National Records. Dated: November 15, 2013. Institutes of Health, HHS) Michelle Trout, Dated: November 15, 2013. SUMMARY: In accordance with the Program Analyst, Office of Federal Advisory Michelle Trout, Privacy Act of 1974, the Department of Committee Policy. Program Analyst, Office of Federal Advisory Homeland Security proposes to update [FR Doc. 2013–27859 Filed 11–20–13; 8:45 am] Committee Policy. and reissue a current Department of BILLING CODE 4140–01–P [FR Doc. 2013–27856 Filed 11–20–13; 8:45 am] Homeland Security system of records BILLING CODE 4140–01–P titled, ‘‘Department of Homeland Security/Federal Emergency DEPARTMENT OF HEALTH AND Management Agency—001 National HUMAN SERVICES DEPARTMENT OF HEALTH AND Emergency Family Registry and Locator HUMAN SERVICES System of Records.’’ This system of National Institutes of Health records allows the Department of National Institutes of Health Homeland Security/Federal Emergency National Institute on Drug Abuse; Management Agency to collect and Notice of Closed Meetings National Cancer Institute; Amended maintain records on adults displaced Pursuant to section 10(d) of the Notice of Meeting from their homes or pre-disaster Federal Advisory Committee Act, as Notice is hereby given of a change in locations after a Presidentially-declared amended (5 U.S.C. App), notice is the meeting of the National Cancer emergency or disaster. As a result of a hereby given of the following meetings. Institute Director’s Consumer Liaison biennial review of this system, this The meetings will be closed to the Group, October 17, 2013, 10:00 a.m. to system of records notice has been public in accordance with the October 17, 2013, 04:30 p.m., National updated as follows: (1) The security provisions set forth in sections Institutes of Health, Building 31, C- classification has changed to reflect that 552b(c)(4) and 552b(c)(6), Title 5 USC, Wing, 31 Center Drive, Room 10, the system is sensitive but unclassified; as amended. The grant applications and Bethesda, MD, 20892 which was and (2) the language in routine uses the discussions could disclose published in the Federal Register on ‘‘A,’’ ‘‘C,’’ and ‘‘E’’ has been revised for confidential trade secrets or commercial September 18, 2013, 78FR57400. clarity. Additionally, this notice property such as patentable materials, Due to the absence of either an FY includes non-substantive changes to and personal information concerning 2014 appropriation or Continuing simplify the formatting and text of the individuals associated with the grant Resolution for the Department of Health previously published notice. This applications, the disclosure of which and Human Services, the DCLG meeting updated system will be included in the would constitute a clearly unwarranted is rescheduled for December 2, 2013 Department of Homeland Security’s invasion of personal privacy. from 9:30 a.m. to 4:00 p.m. inventory of record systems. Name of Committee: National Institute on Additionally, the meeting location has DATES: Submit comments on or before Drug Abuse Special Emphasis Panel; changed to the Hyatt Regency Bethesda, December 23, 2013. This updated

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00045 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69859

system will be effective December 23, system that allows adults, including extends administrative Privacy Act 2013. medical patients, who have been protections to all individuals when ADDRESSES: You may submit comments, displaced by a disaster or emergency to systems of records maintain information identified by docket number DHS– voluntarily enter personal information on U.S. citizens, lawful permanent 2013 0077 by one of the following into a database to assist with the residents, and visitors. methods: reunification process. Registrants can In accordance with 5 U.S.C. 552a(r), • Federal e-Rulemaking Portal: select who can view their personal DHS has provided a report of this http://www.regulations.gov. Follow the information. system of records to the Office of instructions for submitting comments. The DHS/FEMA NEFRLS System of Management and Budget and to • Fax: (202) 343–4010. Records also collects information from Congress. • law enforcement officials (LEO) who use Mail: Karen L. Neuman, Chief System of Records Privacy Officer, Privacy Office, the system when responding to a Department of Homeland Security, missing persons report. The information Department of Homeland Security Washington, DC 20528. FEMA collects from LEOs facilitates (DHS)/Federal Emergency Management Instructions: All submissions received identity verification and their status as Agency (FEMA)—001. must include the agency name and a member of law enforcement. SYSTEM NAME: docket number for this rulemaking. All As a result of the biennial review, comments received will be posted DHS/FEMA is updating records within DHS/FEMA—001 National Emergency without change to http:// the classification category to be Family Registry and Locator System www.regulations.gov, including any sensitive but unclassified, rather than (NEFRLS) System of Records. personal information provided. unclassified. While the system of records still remains unclassified, the SECURITY CLASSIFICATION: Docket: For access to the docket to Sensitive but unclassified. read background documents or update accurately reflects the sensitivity comments received go to http:// of the records as it involves the location SYSTEM LOCATION: www.regulations.gov. data of displaced individuals. This updated notice clarifies three Records are maintained at FEMA FOR FURTHER INFORMATION CONTACT: For routine uses. This notice updates Headquarters in Washington, DC and general questions please contact: Eric M. routine use ‘‘A’’ to apply when DHS field offices. Leckey, (202) 212–5100, Privacy Officer, employees or former employees are CATEGORIES OF INDIVIDUALS COVERED BY THE Federal Emergency Management involved in litigation; routine use ‘‘C’’ to SYSTEM: Agency, 500 C Street SW., Washington, include disclosure to the General Categories of individuals covered by DC 20475. For privacy issues please Services Administration; and routine the system include: registrants (adult contact: Karen L. Neuman, (202) 343– use ‘‘E’’ to clarify the language. individual(s)) who have been displaced 1717, Acting Chief Privacy Officer, The DHS/FEMA—001 NEFRLS by a Presidentially-declared disaster or Privacy Office, Department of Homeland System of Records allows limited access emergency and who voluntarily register Security, Washington, DC 20528. to three groups of individuals. The in NEFRLS; family or household SUPPLEMENTARY INFORMATION: groups are: (1) Registrants: Displaced members who are traveling with the adults or children registered in the I. Background registrant or who lived in the pre- system; (2) searchers: Individuals who disaster residence immediately In accordance with the Privacy Act of are searching for family or household preceding the disaster; searchers who 1974, 5 U.S.C. 552a, the Department of members who registered in the system; are searching for missing family or Homeland Security (DHS) Federal and (3) FEMA NEFRLS Administrators: household members; and federal, state, Emergency Management Agency FEMA personnel who have limited local, tribal, territorial, international, or (FEMA) proposes to update and reissue access to records for the purpose of foreign law enforcement officials (LEO) a current DHS/FEMA system of records sharing registrants’ information with that are searching for missing persons titled, ‘‘DHS/FEMA—001 National LEOs pursuant to an official missing that may have been displaced by a Emergency Family Registry and Locator persons report. Presidentially-declared disaster or System (NEFRLS) System of Records.’’ This updated system will be included emergency pursuant to an official During Hurricane Katrina, displaced in DHS’s inventory of record systems. individuals experienced numerous missing persons report. II. Privacy Act difficulties in reuniting with family CATEGORIES OF RECORDS IN THE SYSTEM: members after the disaster. As a result, The Privacy Act embodies fair Information about registrant consists Congress mandated in Section 689c of information practice principles in a of: the Post-Katrina Emergency statutory framework governing the • Authenticated Individual’s Full Management Reform Act (PKEMRA) of means by which federal government Name; 2006, Pub. Law 109–295, that FEMA agencies collect, maintain, use, and • Date of Birth; establish NEFRLS. FEMA has the disseminate individuals’ records. The • Gender; discretionary authority to activate Privacy Act applies to information that • Current Phone; NEFRLS to help reunify families is maintained in a ‘‘system of records.’’ • Alternate Phone; separated after an emergency or disaster A ‘‘system of records’’ is a group of any • Current Address; declared by the President as defined in records under the control of an agency • Pre-Disaster Address; the Robert T. Stafford Disaster Relief from which information is retrieved by • Name and Type of Current and Emergency Assistance Act, 42 the name of an individual or by some Location; (i.e. shelter, hotel, or family/ U.S.C. 5121–5207. Though the primary identifying number, symbol, or other friend’s home); function of the NFERLS is to reunify identifying particular assigned to the • Traveling with Pets (Yes or No); families, anyone who may have trouble individual. In the Privacy Act, an • Identity Authentication Approval or locating a family member during a individual is defined to encompass U.S. Nonapproval (DHS/FEMA maintains the disaster is welcome to register. NEFRLS citizens and lawful permanent fact of the authentication, but the is a nationally accessible and web-based residents. As a matter of policy, DHS answers to the questions provided to the

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00046 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69860 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

third party organization are not 2006 (6 U.S.C. 775); and the Robert T. information in the system of records has maintained by DHS/FEMA); Stafford Disaster Relief and Emergency been compromised; • System-Specific Username and Assistance Act, as amended, 42 U.S.C. 2. DHS has determined that as a result Password; and 5121–5207. of the suspected or confirmed • Personal Message (may consist of compromise, there is a risk of identity PURPOSE(S): up to 300 characters intended for theft or fraud, harm to economic or designated family or household The purpose of this system is to property interests, harm to an members to read). reunify families and household individual, or harm to the security or Information about the family/ members following a Presidentially- integrity of this system or other systems household members traveling with the declared disaster or emergency. or programs (whether maintained by registrant in NEFRLS consists of: Families using NEFRLS, registrants, and DHS or another agency or entity) that • Family/Household Members’ Full searchers must acknowledge that rely upon the compromised Name; information in NEFRLS may be • information; and Gender; disclosed to searchers upon request. 3. The disclosure made to such • Current Phone; Information may also be disclosed to agencies, entities, and persons is • Alternate Phone; federal, state, local, tribal, territorial, • reasonably necessary to assist in Current Address; international, or foreign agencies, LEO, • connection with DHS’s efforts to Pre-Disaster address; and voluntary agencies. • Name and type of current location; respond to the suspected or confirmed (i.e., shelter, hotel, or family/friend’s ROUTINE USES OF RECORDS MAINTAINED IN THE compromise and prevent, minimize, or home); SYSTEM, INCLUDING CATEGORIES OF USERS AND remedy such harm. • Traveling with Pets (Yes or No); THE PURPOSES OF SUCH USES: F. To contractors and their agents, • Personal Message: (may consist of In addition to those disclosures grantees, experts, consultants, and up to 300 characters for listed, generally permitted under 5 U.S.C. others performing or working on a designated family, or household 552a(b) of the Privacy Act, all or a contract, service, grant, cooperative members to read.) portion of the records or information agreement, or other assignment for DHS, Information about the individual contained in this system may be when necessary to accomplish an searching NEFRLS for a registrant or disclosed outside DHS as a routine use agency function related to this system of family/household member (searcher) pursuant to 5 U.S.C. 552a(b)(3) as records. Individuals provided consists of: follows: information under this routine use are • Searching Individual’s Full Name; A. To the Department of Justice (DOJ), subject to the same Privacy Act • Permanent Address; including U.S. Attorney Offices, or other requirements and limitations on • Phone; federal agency conducting litigation or disclosure as are applicable to DHS • Alternate Phone; officers and employees. • in proceedings before any court, Email; adjudicative, or administrative body, G. To an appropriate federal, state, • Date of Birth; when it is relevant or necessary to the local, tribal, territorial, international, or • Identity Authentication Approval or litigation and one of the following is a foreign law enforcement agency or other Nonapproval (DHS/FEMA maintains the party to the litigation or has an interest appropriate authority charged with fact of the authentication, but the in such litigation: investigating or prosecuting a violation answers to the questions provided to the 1. DHS or any component thereof; or enforcing or implementing a law, third party organization are not 2. Any employee or former employee rule, regulation, or order, when a record, maintained by DHS/FEMA); and either on its face or in conjunction with • System-Specific Username and of DHS in his/her official capacity; 3. Any employee or former employee other information, indicates a violation Password. or potential violation of law, which Information about a LEO collected by of DHS in his/her individual capacity includes criminal, civil, or regulatory a FEMA NEFRLS Administrator for when DOJ or DHS has agreed to violations and such disclosure is proper verification and status: represent the employee; or and consistent with the official duties of • Law Enforcement Official’s Title; 4. The United States or any agency • First Name; thereof. the person making the disclosure. • Last Name; B. To a congressional office from the H. To appropriate authorized federal, • Gender; record of an individual in response to state, local, tribal, territorial, • Badge number/Law Enforcement an inquiry from that congressional office international, or foreign law License ID Number; made at the request of the individual to enforcement officers charged with • Agency Name; whom the record pertains. investigating the whereabouts or • City; C. To the National Archives and locating missing persons. • County/Parish; Records Administration (NARA) or I. To the National Center for Missing • State; General Services Administration and Exploited Children and voluntary • Zip Code; pursuant to records management organizations as defined in 44 CFR • Contact Phone; inspections being conducted under the 206.2(a)(27) that have an established • Contact Email; authority of 44 U.S.C. 2904 and 2906. disaster assistance program to address • Supervisor Name; • D. To an agency or organization for the disaster-related unmet needs of Supervisor Contact Number; the purpose of performing audit or disaster victims, are actively involved in • Supervisor Contact Email; oversight operations as authorized by the recovery efforts of the disaster, and • Agency City; • Agency County/Parish; law, but only such information as is either have a national membership, in • Agency State; and necessary and relevant to such audit or good standing, with the National • Verification Data. oversight function. Voluntary Organizations Active in E. To appropriate agencies, entities, Disaster, or are participating in the AUTHORITY FOR MAINTENANCE OF THE SYSTEM: and persons when: disaster’s Long-Term Recovery Section 689c of the Post-Katrina 1. DHS suspects or has confirmed that Committee for the express purpose of Emergency Management Reform Act of the security or confidentiality of reunifying families.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00047 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69861

J. To federal, state, local, tribal, may be any natural or manmade • Identify which component(s) of the territorial, international, or foreign incident, including terrorism, which Department you believe may have the agencies that coordinate with FEMA results in extraordinary levels of mass information about you; and under the National Response casualties, damage, or disruption • Specify when you believe the Framework (an integrated plan severely affecting the population, records were created. explaining how the federal government infrastructure, environment, economy, Provide any other information that will interact with and support state, national morale, and/or government will help the FOIA staff determine local, tribal, territorial, and non- functions. A catastrophic event could which DHS component agency may governmental entities during a result in sustained national impacts have responsive records. If your request Presidentially-declared disaster or over a prolonged period of time; almost is seeking records pertaining to another emergency) for the purpose of assisting immediately exceeds resources living individual, you must include a with the investigation on the normally available to state, local, tribal, statement from that individual whereabouts of or locating missing territorial and private-sector authorities certifying his/her agreement for you to persons. in the impacted area; and significantly access his/her records. interrupts governmental operations and Without this bulleted information the DISCLOSURE TO CONSUMER REPORTING emergency services to such an extent component(s) may not be able to AGENCIES: that national security could be conduct an effective search, and your None. threatened. request may be denied due to lack of POLICIES AND PRACTICES FOR STORING, specificity or lack of compliance with RETRIEVING, ACCESSING, RETAINING, AND SYSTEM MANAGER AND ADDRESS: applicable regulations. DISPOSING OF RECORDS IN THE SYSTEM: Deputy Director, Individual RECORD ACCESS PROCEDURES: STORAGE: Assistance, Disaster Assistance See ‘‘Notification procedure’’ above. Records in this system are stored Directorate, Federal Emergency electronically or on paper in secure Management Agency, 500 C Street SW., CONTESTING RECORD PROCEDURES: facilities in a locked drawer behind a Washington, DC 20472. See ‘‘Notification procedure’’ above. locked door. The records are stored on magnetic disc, tape, and digital media. NOTIFICATION PROCEDURE: RECORD SOURCE CATEGORIES:

RETRIEVABILITY: Individuals seeking notification of Records are obtained from registrants of NEFRLS and individuals searching Records may be retrieved by name, and access to any record contained in the NEFRLS, LEOs, and the third party address, and phone number of the this system of records, or seeking to authentication service indicating an individual registering or searching in contest its content, may submit a individual has been approved or not the National Emergency Family Registry request in writing to FEMA’s FOIA approved. and Locator System. Officer whose contact information can be found at http://www.dhs.gov/foia EXEMPTIONS CLAIMED FOR THE SYSTEM: SAFEGUARDS: under ‘‘Contacts.’’ If an individual None. Records in this system are believes more than one component safeguarded in accordance with maintains Privacy Act records Dated: November 6, 2013. applicable rules and policies, including concerning him or her, the individual Karen L. Neuman, all applicable DHS automated systems may submit the request to the Chief Chief Privacy Officer, Department of security and access policies. Strict Privacy Officer and Chief Freedom of Homeland Security. controls have been imposed to minimize Information Act Officer, Department of [FR Doc. 2013–27897 Filed 11–20–13; 8:45 am] the risk of compromising the Homeland Security, 245 Murray Drive BILLING CODE 9110–17–P information that is being stored. Access SW., Building 410, STOP–0655, to the computer system containing the Washington, DC 20528. records in this system is limited to those When seeking records about yourself DEPARTMENT OF HOMELAND individuals who have a need to know from this system of records or any other SECURITY the information for the performance of Departmental system of records your Office of the Secretary their official duties and who have request must conform with the Privacy appropriate clearances or permissions. Act regulations set forth in 6 CFR Part [DHS–2013–0073] RETENTION AND DISPOSAL: 5. You must first verify your identity, meaning that you must provide your full Privacy Act of 1974; Department of In accordance with the FEMA Records Homeland Security, Federal Schedule (FRS) and NARA Disposition name, current address and date and place of birth. You must sign your Emergency Management Agency, Authority number N1–311–09–1, Federal Government—001 National records and reports related to and request, and your signature must either be notarized or submitted under 28 Defense Executive Reserve System of regarding registrations and searchers in Records NEFRLS performed by a displaced U.S.C. 1746, a law that permits person, Call Center Operator on behalf statements to be made under penalty of AGENCY: Department of Homeland of a displaced person, or family and perjury as a substitute for notarization. Security, Privacy Office. While no specific form is required, you friends will be cut off 60 days after the ACTION: Notice of Privacy Act System of may obtain forms for this purpose from last edit to the record and destroyed/ Records. deleted three years after the cutoff. the Chief Privacy Officer and Chief Additionally, in compliance with FRS Freedom of Information Act Officer, SUMMARY: In accordance with the and NARA Disposition Authority http://www.dhs.gov or 1–866–431–0486. Privacy Act of 1974, the Department of number N1–311–04–5, Item 3, records In addition you should: Homeland Security proposes to update in this system associated with a • Explain of why you believe the and reissue a current Department of domestic catastrophic event will have Department would have information on Homeland Security system of records permanent value. A catastrophic event you; titled, ‘‘Department of Homeland

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00048 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69862 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

Security/Federal Emergency Emergency Management Agency II. Privacy Act Management Agency/Federal (FEMA) proposes to update and reissue The Privacy Act embodies fair Government—001 National Defense a current DHS system of records titled, information principles in a statutory Executive Reserve System of Records.’’ ‘‘DHS/FEMA/GOVT—001 National framework governing the means by This system allows the Department of Defense Executive Reserve System of which federal government agencies Homeland Security/Federal Emergency Records.’’ collect, maintain, use, and disseminate The National Defense Executive Management Agency to collect and individuals’ records. The Privacy Act maintain records pertaining to Reserve program is a government-wide applies to information that is applicants for and members of the program administered by DHS/FEMA maintained in a ‘‘system of records.’’ A National Defense Executive Reserve. As that recruits and trains individuals to ‘‘system of records’’ is a group of any a result of the biennial review of this serve the government in key executive records under the control of an agency system, this system of records notice has positions during national emergencies. from which information is retrieved by been updated within the (1) categories Individuals in the National Defense the name of an individual or by some of records to include the collection of Executive Reserve voluntarily apply for identifying number, symbol, or other employer and/or supervisor name and assignments. Some individuals are identifying particular assigned to the title; and (2) routine uses ‘‘A,’’ ‘‘C,’’ and federal government employees, and individual. In the Privacy Act, an ‘‘E’’, which have been revised for others are private sector or state individual is defined to encompass U.S. clarity. Additionally, this notice government employees who would not citizens and lawful permanent includes other non-substantive changes be considered federal government residents. As a matter of policy, DHS to simplify the formatting and text of the employees unless asked to perform extends administrative Privacy Act previously published notice. This emergency duties after the President of protections to all individuals when updated system will be included in the the United States declares a systems of records maintain information Department of Homeland Security’s mobilization. Assignments are made in on U.S. citizens, lawful permanent inventory of record systems. three year increments and may either be redesignated or terminated. Individuals residents, and visitors. DATES: Submit comments on or before Below is the description of the DHS/ December 23, 2013. This updated may voluntarily terminate at any time. This system of records allows DHS/ FEMA/GOVT—001 National Defense system will be effective December 23, Executive Reserve System of Records. 2013. FEMA to collect and maintain records regarding applicants for and members of In accordance with 5 U.S.C. 552a(r), ADDRESSES: You may submit comments, the National Defense Executive Reserve. DHS has provided a report of this identified by docket number DHS– The collection and maintenance of this updated system of records to the Office 2013–0073 by one of the following information assists DHS/FEMA in of Management and Budget and to methods: coordinating and administering the Congress. • Federal e-Rulemaking Portal: National Defense Executive Reserve. System of Records http://www.regulations.gov. Follow the The update reflects the addition of instructions for submitting comments. employer and/or supervisor name and Department of Homeland Security • Fax: (202) 343–4010. (DHS)/Federal Emergency Management • title as a category of records. Limited Mail: Karen L. Neuman, Chief employer or supervisor information is Agency (FEMA)/Federal Government Privacy Officer, Privacy Office, included on National Defense Executive (GOVT)—001. Department of Homeland Security, Reserve applications to supplement SYSTEM NAME: Washington, DC 20528. applicant information and provide Instructions: All submissions received information on the applicant’s DHS/FEMA/GOVT—001 National must include the agency name and employment history. Defense Executive Reserve System. docket number for this rulemaking. All This updated notice clarifies three SECURITY CLASSIFICATION: comments received will be posted routine uses. The notice updates routine without change and may be read at use ‘‘A’’ to apply when DHS employees Unclassified. http://www.regulations.gov, including or former employees are involved in SYSTEM LOCATION: any personal information provided. litigation; routine Use ‘‘C’’ to include Docket: For access to the docket to Records are maintained at the FEMA disclosure to the General Services Headquarters in Washington, DC, field read background documents or Administration; and routine use ‘‘E’’ to comments received, please visit http:// offices, or other designated offices clarify the language. located at the local installation of the www.regulations.gov. Consistent with DHS’s information- FOR FURTHER INFORMATION CONTACT: For department or agency that currently sharing mission, information stored in employs the individual. general questions, please contact: Eric the DHS/FEMA/GOVT—001 National Leckey, (202) 212–5100, Privacy Officer, Defense Executive Reserve System of CATEGORIES OF INDIVIDUALS COVERED BY THE Federal Emergency Management Records may be shared with other DHS SYSTEM: Agency, Department of Homeland components that have a need to know Categories of individuals include Security, Washington, DC 20478. For the information to carry out their applicants for and members of the privacy issues, please contact: Karen L. national security, law enforcement, National Defense Executive Reserve Neuman, (202) 343–1717, Chief Privacy immigration, intelligence, or other assignments, and the applicants’ Officer, Privacy Office, Department of homeland security functions. In supervisors. Homeland Security, Washington, DC addition, information may be shared 20528. with appropriate federal, state, local, CATEGORIES OF RECORDS IN THE SYSTEM: SUPPLEMENTARY INFORMATION: tribal, territorial, foreign, or Categories of records in this system international government agencies include: I. Background consistent with the routine uses set • Individual’s name; In accordance with the Privacy Act of forth in this system of records notice. • Social Security number; 1974, 5 U.S.C. 552a, the Department of This updated system will be included • Home mailing address; Homeland Security (DHS) Federal in DHS’s inventory of record systems. • Home telephone number;

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00049 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69863

• Home email address; inspections being conducted under the and necessary to a requesting agency’s • Date of birth; authority of 44 U.S.C. §§ 2904 and 2906. decision concerning the hiring or • Birthplace; D. To an agency or organization for retention of an individual, or issuance • Employment experience; the purpose of performing audit or of a security clearance, license, contract, • Employer/supervisor name and oversight operations as authorized by grant, or other benefit. title; law, but only such information as is J. To an appropriate federal, state, • Professional memberships; and necessary and relevant to such audit or local, tribal, foreign, or international • Other personnel and administrative oversight function. agency, if the information is relevant records, skills inventory, training data, E. To appropriate agencies, entities, and necessary to a DHS decision and other related records necessary to and persons when: concerning the hiring or retention of a coordinate and administer the program. 1. DHS suspects or has confirmed that National Defense Executive Reserve the security or confidentiality of applicant or executive. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: information in the system of records has K. To a court, magistrate, or Defense Production Act of 1950, Exec. been compromised; administrative tribunal in the course of Order 11179, September 22, 1964, as 2. DHS has determined that as a result presenting evidence, including amended by Exec. Order 12148, July 20, of the suspected or confirmed disclosure to opposing counsel or 1979; and Exec. Order 9397, November compromise, there is a risk of identity witnesses in the course of civil 22, 1943, as amended by Exec. Order theft or fraud, harm to economic or discovery, litigation, or settlement 13478, November 18th, 2008. property interests, harm to an negotiations or in connection with individual, or harm to the security or criminal law proceedings or in response PURPOSE(S): integrity of this system or other systems to a subpoena from a court of competent The purpose of this system is to or programs (whether maintained by jurisdiction. collect and preserve records regarding DHS or another agency or entity) that L. To the news media and the public, applicants for and members of the rely upon the compromised with the approval of the Chief Privacy National Defense Executive Reserve. information; and Office in consultation with counsel, The collection and maintenance of this 3. The disclosure made to such when there exists a legitimate public information assists the federal agencies, entities, and persons is interest in the disclosure of the government and DHS/FEMA in reasonably necessary to assist in information or when disclosure is coordinating and administering the connection with DHS’s efforts to necessary to preserve confidence in the National Defense Executive Reserve. respond to the suspected or confirmed integrity of DHS or is necessary to compromise and prevent, minimize, or ROUTINE USES OF RECORDS MAINTAINED IN THE demonstrate the accountability of DHS’s remedy such harm. officers, employees, or individuals SYSTEM, INCLUDING CATEGORIES OF USERS AND F. To contractors and their agents, THE PURPOSES OF SUCH USES: covered by the system, except to the grantees, experts, consultants, and extent it is determined that release of In addition to those disclosures others performing or working on a the specific information in the context generally permitted under 5 U.S.C. contract, service, grant, cooperative of a particular case would constitute an 552a(b) of the Privacy Act, all or a agreement, or other assignment for DHS, unwarranted invasion of personal portion of the records of information when necessary to accomplish an privacy. contained in this system may be agency function related to this system of disclosed outside DHS as a routine use records. Individuals provided DISCLOSURE TO CONSUMER REPORTING pursuant to 5 U.S.C. 552a(b)(3) as information under this routine use are AGENCIES: follows: subject to the same Privacy Act None. A. To the Department of Justice (DOJ), requirements and limitations on including U.S. Attorney Offices, or other disclosure as are applicable to DHS POLICIES AND PRACTICES FOR STORING, federal agency conducting litigation or officers and employees. RETRIEVING, ACCESSING, RETAINING, AND in proceedings before any court, G. To an appropriate federal, state, DISPOSING OF RECORDS IN THE SYSTEM: adjudicative, or administrative body, tribal, local, international, or foreign law STORAGE: when it is relevant or necessary to the enforcement agency or other appropriate Records in this system are stored litigation and one of the following is a authority charged with investigating or electronically or on paper in secure party to the litigation or has an interest prosecuting a violation or enforcing or facilities in a locked drawer behind a in such litigation: implementing a law, rule, regulation, or locked door. The records are stored on 1. DHS or any component thereof; order, when a record, either on its face magnetic disc, tape, or digital media. 2. Any employee or former employee or in conjunction with other of DHS in his/her official capacity; information, indicates a violation or RETRIEVABILITY: 3. Any employee or former employee potential violation of law, which Records may be retrieved by of DHS in his/her individual capacity includes criminal, civil, or regulatory individual’s name, Social Security when DOJ or DHS has agreed to violations and such disclosure is proper number, specific skill area of the represent the employee; or and consistent with the official duties of applicant, or agency. 4. The United States or any agency the person making the disclosure. thereof. H. To the Association of the National SAFEGUARDS: B. To a congressional office from the Defense Executive Reserve and the DHS/FEMA safeguards records in this record of an individual in response to National Defense Executive Reserve system according to applicable rules an inquiry from that congressional office Conference Association to facilitate and policies, including all applicable made at the request of the individual training and relevant information DHS automated systems security and about whom the record pertains. dissemination efforts for reservists in access policies. Strict controls have C. To the National Archives and the National Defense Executive Reserve. been imposed to minimize the risk of Records Administration (NARA) or I. To an appropriate federal, state, compromising the information that is General Services Administration local, tribal, foreign, or international being stored. Access to the computer pursuant to records management agency, if the information is relevant system containing the records in this

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00050 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69864 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

system is limited to those individuals statements to be made under penalty of DEPARTMENT OF HOMELAND who have a need to know the perjury as a substitute for notarization. SECURITY information for the performance of their While no specific form is required, you official duties and who have appropriate may obtain forms for this purpose from Office of the Secretary clearances or permissions. the Chief Privacy Officer and Chief [Docket No. DHS–2013–0069] RETENTION AND DISPOSAL: Freedom of Information Act Officer, http://www.dhs.gov/foia or 1–866–431– Privacy Act of 1974; Department of Case files on reservists are maintained 0486. In addition, you should: Homeland Security U.S. Citizenship in accordance with Item 29a, GRS 18, • and Immigration Services, U.S. Security and Protective Services Explain why you believe the Immigration and Customs Records, and destroyed five years after Department would have information on Enforcement, U.S. Customs and termination from the National Defense you; Border Protection—001 Alien File, Executive Reserve (NDER) program. • Identify which component(s) of the Index, and National File Tracking Case files on individuals whose Department you believe may have the System of Records applications were rejected or withdrawn information about you; and AGENCY: Department of Homeland are destroyed when five years old in • accordance with Item 29b, GRS 18. Specify when you believe the Security, Privacy Office. records would have been created. ACTION: Notice of update and reissuance SYSTEM MANAGER AND ADDRESS: Provide any other information that will of privacy act system of records. Associate Director, National help the FOIA staff determine which Preparedness Directorate, Federal DHS component agency may have SUMMARY: In accordance with the Emergency Management Agency, responsive records. If your request is Privacy Act of 1974, the Department of Washington, DC 20472, will maintain a seeking records pertaining to another Homeland Security proposes to update computerized record of all applications living individual, you must include a and reissue a current Department of Homeland Security system of records and assignments of National Defense statement from that individual Executive Reserve reservists for the notice titled, ‘‘Department of Homeland certifying his/her agreement for you to Security U.S. Citizenship and Federal Government as well as the access his/her records. personnel files for all individuals Immigration Services, U.S. Immigration assigned to the Federal Emergency Without the above information, the and Customs Enforcement, U.S. Management Agency. The departments component(s) may not be able to Customs and Border Protection—001 and agencies will maintain their own conduct an effective search and your Alien File, Index, and National File personnel records on those individuals request may be denied due to lack of Tracking System of Records,’’ 76 FR assigned to their respective department specificity or lack of compliance with 34233 (June 13, 2011). This system of or agency. applicable regulations. records contains information regarding transactions involving an individual as NOTIFICATION PROCEDURE: RECORD ACCESS PROCEDURES: he/she passes through the U.S. Individuals wishing to inquire immigration and inspection process, See ‘‘Notification procedure’’ above. whether this system of records contains some of which may also be covered by separate systems of records notices. This information about themselves should CONTESTING RECORD PROCEDURES: submit their inquiries to: system of records contains personally (a) NDER applicants/assignees to See ‘‘Notification procedure’’ above. identifiable information such as the DHS/FEMA—Federal Emergency individual’s name, Alien Registration Management Agency, Associate RECORD SOURCE CATEGORIES: Number, receipt file number, date and Director, National Preparedness Records are obtained from the place of birth, date and port of entry, as well as the location of each official Directorate, Washington, DC 20472; or individuals to whom the record (b) FEMA FOIA Office whose contact Alien File. It may also contain other pertains. Prior to being designated as an information can be found at http:// personal identifiers such as an National Defense Executive Reserve www.dhs.gov/foia under ‘‘Contacts.’’ individual’s Social Security Number. If a NDER applicant believes more reservist, the applicant must The Department of Homeland Security than one component maintains Privacy successfully complete a background is updating the Department of Act records concerning him or her, the investigation conducted by the Office of Homeland Security U.S. Citizenship and individual may submit the request to Personnel Management, which may Immigration Services, U.S. Immigration the Chief Privacy Officer and Chief include reference checks of prior and Customs Enforcement, U.S. Freedom of Information Act Officer, employers, educational institutions Customs and Border Protection—001 Department of Homeland Security, 245 attended, police records, Alien File, Index, and National File Murray Drive SW., Building 410, STOP– neighborhoods, and present and past Tracking System of Records with the 0655, Washington, DC 20528. friends and acquaintances. following substantive changes: (1) The When seeking records about yourself addition of five routine uses and the from this system of records or any other EXEMPTIONS CLAIMED FOR THE SYSTEM: modification of eight routine uses to Departmental system of records, your None. allow the Department of Homeland request must conform with the Privacy Security to share information from this Act regulations set forth in 6 CFR Part Dated: November 6, 2013. system; (2) Updated notification and 5. You must first verify your identity, Karen L. Neuman, access procedures; and (3) Language meaning that you must provide your full Chief Privacy Officer, Department of acknowledging the concurrent name, current address, and date and Homeland Security. publication of a Final Rule exempting place of birth. You must sign your [FR Doc. 2013–27894 Filed 11–20–13; 8:45 am] this system from certain provisions of request, and your signature must either BILLING CODE 4410–10–P the Privacy Act, including an exemption be notarized or submitted under 28 for records that are classified. This U.S.C. § 1746, a law that permits updated system will be included in the

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00051 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69865

Department of Homeland Security’s is also implemented through ICE’s law agencies are investigating or prosecuting inventory of record systems. enforcement activities and CBP’s violations of statute rules, regulations, DATES: Submit comments on or before inspection and border security orders, and/or licenses. December 23, 2013. This updated processes. (I) Allows DHS to share information system will be effective December 23, The Alien File (A-File), Index, and with third parties during the course of 2013. National File Tracking System of a law enforcement investigation in order Records is the official record system that to obtain pertinent information. ADDRESSES: You may submit comments, contains information regarding the (J) Allows DHS to share information identified by docket number DHS– transactions of an individual as he/she with organizations or persons when 2013–0069 by one of the following passes through the U.S. immigration there is reason to believe that the methods: and inspection process. The DHS/ recipient is or could be the target of a • Federal e-Rulemaking Portal: USCIS–ICE–CBP–001 Alien File, Index, particular terrorist activity. http://www.regulations.gov. Follow the and National File Tracking System of (LL) Allows DHS to share information instructions for submitting comments. Records contains personally identifiable with family members when, under 8 • Fax: 202–343–4010. information (PII) such as the • Mail: Jonathan R. Cantor, Deputy CFR § 103.8, DHS or an Executive Office individual’s name, Alien Registration Chief Privacy Officer, Privacy Office, for Immigration Review immigration Number, receipt file number, date and Department of Homeland Security, judge makes a decision that an alien is place of birth, date and port of entry, as Washington, DC 20528. mentally incompetent. well as the location of each official A- Instructions: All submissions received (OO) Allows DHS to share File. It may also contain other personal must include the agency name and information with domestic government identifiers such as an individual’s docket number for this rulemaking. All agencies when those agencies are Social Security Number (SSN), if the comments received will be posted seeking to determine the immigration individual has one and it is in the A- without change to http:// status of individuals who have applied File. Some records contained in the www.regulations.gov, including any to purchase or obtain a firearm in the DHS/USCIS–ICE–CBP–001 A-Files are personal information provided. United States. derived from separate systems of record, Docket: For access to the docket to Below is a summary of the eight in which case the system of records read background documents or routine use modifications with the letter notice (SORN) pertaining to the comments received, please visit http:// in parentheses corresponding to the originating system would govern the www.regulations.gov. routine use updated: treatment of those records. Previously, (A) Updated to clarify that records FOR FURTHER INFORMATION CONTACT: For the legacy agency Immigration and will be provided to ‘‘the United States general questions regarding this system Naturalization Services (INS) collected or any agency thereof,’’ without any of records please contact: Donald K. and maintained information concerning further modifiers to the section. Hawkins (202) 272–8000, Privacy all of these immigration and inspection (C) Updated to note that records will Officer, U.S. Citizenship and interactions. Since the formation of be provided specifically to General Immigration Services, 20 Massachusetts DHS, however, immigration Services Administration rather than Avenue NW., Washington, DC 20529. responsibilities have been divided other federal government agencies. For privacy questions please contact: among USCIS, ICE, and CBP. While (D) Updated to clarify language that Jonathan R. Cantor (202) 343–1717, USCIS is the custodian of the A-File, all records will not be given to individuals, Deputy Chief Privacy Officer, Privacy three components create, contribute but to agencies or organizations Office, Department of Homeland information to, and use A-Files, hence performing the audit. Security, Washington, DC 20528. this joint System of Records Notice. (E) Updated to clarify language SUPPLEMENTARY INFORMATION: A notice detailing this system of regarding a suspected or confirmed records was last published in the compromise of personally identifiable I. Background Federal Register on June 13, 2011, as information in the system. In accordance with the Privacy Act of the DHS/USCIS–ICE–CBP–001 Alien (F) Updated to clarify language that 1974, 5 U.S.C. 552a, the Department of File, Index, and National File Tracking the contractors are subject to the Homeland Security (DHS) U.S. System of Records, 76 FR 34233. requirements laid out in this system of Citizenship and Immigration Services DHS is updating the DHS/USCIS– records notice and the Privacy Act. (USCIS), U.S. Immigration and Customs ICE–CBP–001 Alien File, Index, and (K) Updated to clarify the language to Enforcement (ICE), U.S. Customs and National File Tracking System of reflect the practice associated with Border Protection (CBP) proposes to Records to include the following naturalization process. update and reissue a current DHS substantive changes: (1) The addition of (L) Updated to clarify that records system of records titled, ‘‘DHS/USCIS– three routine uses and the modification will be provided to ‘‘the United States ICE–CBP–001 Alien File, Index, and of eight routine uses to clarify DHS’s or any agency thereof,’’ without any National File Tracking System of sharing of information from this system; further modifiers to the section. Records.’’ (2) Updated notification and access (M) Update language to refer to DHS implements U.S. immigration procedures; and (3) Language correct Code of Federal Regulations law and policy through USCIS’s acknowledging the concurrent citation for the definition of an attorney processing and adjudication of publication of a Final Rule exempting or representative, and clarified that it is applications and petitions submitted for this system from certain provisions of at the Department’s discretion to use citizenship, asylum, and other the Privacy Act, including an exemption this routine use, as with any routine use immigration benefits. USCIS also for records that are classified. published in this system of records. supports national security by preventing DHS added five routine uses with the Consistent with DHS’s information individuals from fraudulently obtaining letter in parentheses corresponding to sharing mission, information stored in immigration benefits and by denying the new routine use: the DHS/USCIS–ICE–CBP–001 may be applications from individuals who pose (H) Allows DHS to share information shared with other DHS components that national security or public safety with other federal, state, tribal, local or have a need to know the information to threats. U.S. immigration policy and law government agencies when these other carry out their national security, law

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00052 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69866 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

enforcement, immigration, intelligence, Management and Budget and to Customs Enforcement (ICE) and U.S. or other homeland security functions. In Congress. Customs and Border Protection (CBP). addition, DHS may share with appropriate federal, state, local, tribal, SYSTEM OF RECORDS CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: territorial, foreign, or international DHS/USCIS–ICE–CBP–001 • government agencies after DHS Lawful permanent residents; • Naturalized U.S. citizens; determines that the receiving SYSTEM NAME: • U.S. citizens when petitioning for component or agency has a need to Department of Homeland Security know the information to carry out benefits under the Immigration and U.S. Citizenship and Immigration Nationality Act (INA) on behalf of national security, law enforcement, Services, U.S. Immigration and Customs immigration, intelligence, or other another individual; Enforcement, U.S. Customs and Border • Individuals who receive or petition functions consistent with the routine Protection—001 Alien File, Index, and uses set forth in the A-File SORN, or for benefits under the INA, and; National File Tracking System of • Individuals who are subject to the other applicable exemptions under the Records. Privacy Act. enforcement provisions of the INA; • Individuals who are subject to the Additionally, DHS is issuing a Final SECURITY CLASSIFICATION: Rule elsewhere in the Federal Register, INA and: Unclassified, sensitive, for official use Æ Are under investigation by DHS for to exempt this system of records from only, and classified. possible national security threats or certain provisions of the Privacy Act. threats to the public safety, This updated system will be included in SYSTEM LOCATION: Æ were investigated by DHS in the DHS’s inventory of record systems. Alien Files (A-Files) are maintained past, II. Privacy Act in electronic and paper format Æ are suspected of violating throughout DHS. Digitized A-Files are immigration-related criminal or civil The Privacy Act embodies fair located in the Enterprise Document provisions of treaties, statutes, information practice principles in a Management System (EDMS). The regulations, Executive Orders, and statutory framework governing the Central Index System (CIS) maintains an Presidential proclamations administered means by which federal government index of the key personally identifiable by DHS, or agencies collect, maintain, use, and information (PII) in the A-File, which Æ are witnesses and informants disseminate individuals’ records. The can be used to retrieve additional having knowledge of such violations; Privacy Act applies to information that information through such applications • Relatives and associates of any of is maintained in a ‘‘system of records.’’ as Enterprise Citizenship and the individuals listed above who are A ‘‘system of records’’ is a group of any Immigrations Services Centralized subject to the INA; records under the control of an agency Operational Repository (eCISCOR), the • Individuals who have renounced from which information is retrieved by Person Centric Query Service (PCQS) their U.S. Citizenship; or the name of an individual or by some and the Microfilm Digitization • Preparers, attorneys, and identifying number, symbol, or other Application System (MiDAS). The representatives who assist individuals identifying particular assigned to the National File Tracking System (NFTS) during benefit and enforcement individual. In the Privacy Act, an provides a tracking system of where the proceedings under the INA. individual is defined to encompass U.S. A-Files are physically located, including Note: Individuals may fall within one citizens and lawful permanent whether the file has been digitized. or more of these categories. residents. As a matter of policy (Privacy The databases maintaining the above Policy Guidance Memorandum 2007– information are located within the DHS CATEGORIES OF RECORDS IN THIS SYSTEM 01, most recently updated January 7, data center in the Washington, DC INCLUDE: 2009), DHS extends administrative metropolitan area as well as throughout A. The hardcopy paper A-File, which Privacy Act protections to all the country. Computer terminals contains the official record material individuals, regardless of citizenship, providing electronic access are located about each individual for whom DHS when systems of records maintain at U.S. Citizenship and Immigration has created a record under the INA such information on U.S. citizens, lawful Services (USCIS) sites at Headquarters as: naturalization certificates; various permanent residents, and visitors. and in the Field throughout the United documents and attachments (e.g., birth The Privacy Act requires each agency States and at appropriate facilities under and marriage certificates); applications to publish in the Federal Register a the jurisdiction of the U.S. Department and petitions for benefits under the description denoting the type and of Homeland Security (DHS) and other immigration and nationality laws; character of each system of records that locations at which officers of DHS reports of arrests and investigations; the agency maintains, and the routine component agencies may be posted or statements; other reports; records of uses that are contained in each system operate to facilitate DHS’s mission of proceedings before or filings made with in order to make agency record keeping homeland security. Hard copies of the the U.S. immigration courts and any practices transparent, to notify A-Files are primarily located at the administrative or federal district court individuals regarding the uses to which records centers in Lee Summit, or court of appeal; correspondence; and their records are put, and to assist Missouri; Suitland, Maryland; San memoranda. Specific data elements may individuals with more easily finding Bruno, California; Seattle, Washington; include: such files within the agency. Below is and Dayton, Ohio. Hard copies may also • Alien Registration Number(s) (A- the description of the DHS/USCIS–ICE– be located at Headquarters, Regional, Numbers); CBP–001 Alien File, Index, and District, and other USCIS file control • Receipt file number(s); National File Tracking System of offices in the United States and foreign • Full name and any aliases used; Records. countries as detailed on the agency’s • Physical and mailing addresses; In accordance with 5 U.S.C. 552a(r), Web site, http://www.USCIS.gov. Hard • Phone numbers and email DHS has provided a report of this copies may also be located at the offices addresses; system of records to the Office of and facilities of U.S. Immigration and • Social Security Number (SSN);

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00053 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69867

• Date of birth; • A-Number(s); to support the location and transfer of • Place of birth (city, state, and • Full name and any aliases used; A-Files among DHS personnel and country); • SSN; offices as needed in support of • Countries of citizenship; • Date of birth; immigration benefits and enforcement • Gender; • Place of birth (city, state, and actions. • Physical characteristics (height, country); The purpose of NFTS is to accurately weight, race, eye and hair color, • Country of citizenship; account for the specific physical photographs, fingerprints); • Gender; location of A-Files and Receipt Files • Government-issued identification • Government issued identification within a DHS File Control Office, and to information (i.e., passport, driver’s information (i.e., passport, driver’s track the request and transfer of all A- license): license): Æ Files and Receipt Files. Document type, Æ Document type, Æ These records assist DHS with issuing organization, Æ issuing organization, processing applications for benefits Æ document number, and Æ Æ document number, and under applicable immigration laws; expiration date; Æ expiration date; • Military membership; detecting violations of these laws; • Arrival/Departure information • Arrival/Departure information supporting the referral of such (record number, expiration date, class of (record number, expiration date, class of violations for prosecution or other admission etc.); admission, etc.); appropriate enforcement action; • • Immigration status; supporting law enforcement efforts and Federal Bureau of Investigation • (FBI) Identification Number; Father and Mother’s first name; the inspection process; and supporting • • FBI Identification Number; protection of the United States borders. Fingerprint Identification Number; • • Immigration enforcement history, Fingerprint Identification Number; • ROUTINE USES OF RECORDS MAINTAINED IN THE including arrests and charges, Immigration enforcement history, including arrests and charges, SYSTEM, INCLUDING CATEGORIES OF USERS AND immigration proceedings and appeals, THE PURPOSES OF SUCH USES: and dispositions including removals or immigration proceedings and appeals, and dispositions including removals or Note: Even when a valid routine use voluntary departures; permits disclosure of information from • Immigration status; voluntary departures; and • • File Control Office location of the this system of records to a third party, Family history; in some cases such disclosure may not • Travel history; paper or electronic A-File. • Education history; D. NFTS contains the location of the be permissible because of • Employment history; A-File to a more detailed level within confidentiality laws and policies that • Criminal history; the DHS File Control Office. Specific limit the sharing of information about • Professional accreditation data elements include: the application for, or award of certain information; • A-Number(s); immigration benefits. For example, • Medical information relevant to an • Receipt File Number; and information in this system of records individual’s application for benefits • Location of the paper or electronic contained in or pertaining to under the INA before DHS or the A-File and Receipt File at and within applications for asylum or refugee immigration court, an individual’s the DHS File Control Office, as well as protection, information relating to removability from and/or admissibility the history of who has maintained the persons who have pending or approved to the United States, or an individual’s A-File, including the component, petitions for protection under the competency before the immigration section, and employee. Violence Against Women Act (VAWA), court; Seasonal Agricultural Worker or • Specific benefit eligibility AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Legalization claims, the Temporary information as required by the benefit Authority for maintaining this system Protected Status of an individual, and being sought; and is in Sections 103 and 290 of the INA, information relating to S, T, or U visas • Video or transcript of immigration as amended (8 U.S.C. 1103 and 1360), should not be disclosed pursuant to a interview. and the regulations issued pursuant routine use unless disclosure is B. EDMS maintains the electronic thereto; and Section 451 of the otherwise permissible under the copy of the A-File (same information as Homeland Security Act of 2002 (Pub. L. confidentiality statutes, regulations, or above with the exception of material 107–296), codified at 6 U.S.C. 271. policies applicable to that information. that cannot be scanned such as cassette However, these confidentiality tapes, CDs, or DVDs) if it was scanned PURPOSE(S): provisions do not prevent DHS from from the paper file. The purpose of the A-File is to disclosing information to the U.S. C. CIS contains information on those facilitate the enforcement and provision Department of Justice and Offices of the individuals who during their of benefits under the INA and related United States Attorneys as part of an interactions with DHS have been statutes. A-Files, EDMS, CIS, and NFTS ongoing criminal or civil investigation. assigned an A-Number. The system are used primarily by DHS employees In addition to those disclosures contains biographic information on for immigration benefits processing, generally permitted under 5 U.S.C. those individuals, allowing DHS protection of national security, and 552a(b) of the Privacy Act, all or a employees to quickly review the administering and enforcing portion of the records or information individual’s immigration status. The immigration and nationality laws and contained in this system may be information in the system can then be related statutes. disclosed outside DHS as a routine use used to retrieve additional information The purpose of the A-File is to pursuant to 5 U.S.C. 552a(b)(3) as on the individual from other systems. document an individual’s benefits and follows: The information in the system can be enforcement transactions as he/she A. To the Department of Justice (DOJ), used to request the hard copy A-File passes through the U.S. immigration including U. S. Attorneys’ Offices, or from the DHS File Control Office that and inspection process. other federal agency conducting has custody of the file. Specific data The purpose of CIS is to provide a litigation or in proceedings before any elements may include: searchable central index of A-Files and court, adjudicative or administrative

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00054 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69868 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

body, when it is necessary or relevant to appropriate authority charged with proceedings before any court, the litigation and one of the following investigating or prosecuting a violation adjudicative, or administrative body, is a party to the litigation or has an or enforcing or implementing a law, when necessary to assist in the interest in such litigation: rule, regulation, or order, when a record, development of such agency’s legal and/ 1. DHS or any component thereof; either on its face or in conjunction with or policy position. 2. Any employee of DHS in his/her other information, indicates a violation O. To the Department of State in the official capacity; or potential violation of law, which processing of petitions or applications 3. Any employee of DHS in his/her includes criminal, civil, or regulatory for benefits under the INA, and all other individual capacity when DOJ or DHS violations. immigration and nationality laws has agreed to represent the employee; or H. To appropriate federal, state, tribal, including treaties and reciprocal 4. The United States or any agency local, or foreign governmental agencies agreements; or when the Department of thereof. or multilateral governmental State requires information to consider B. To a congressional office from the organizations responsible for and/or provide an informed response to record of an individual in response to investigating or prosecuting the a request for information from a foreign, an inquiry from that congressional office violations of, or for enforcing or international, or intergovernmental made at the request of the individual to implementing, a statute, rule, agency, authority, or organization about whom the record pertains. regulation, order, or license, when DHS an alien or an enforcement operation C. To the National Archives and believes the information would assist in with transnational implications. Records Administration or General enforcing applicable civil or criminal P. To appropriate federal, state, local, Services Administration pursuant to laws. tribal, territorial, or foreign records management inspections being I. To third parties during the course governments, as well as to other conducted under the authority of 44 of a law enforcement investigation to individuals and organizations during U.S.C. 2904 and 2906. the extent necessary to obtain the course of an investigation by DHS or D. To an agency or organization, for information pertinent to the the processing of a matter under DHS’s the purpose of performing audit or investigation. jurisdiction, or during a proceeding oversight operations as authorized by J. To an organization or person in within the purview of the immigration law, but only such information as is either the public or private sector, either and nationality laws, when DHS deems necessary and relevant to such audit or foreign or domestic, when there is a that such disclosure is necessary to oversight function. reason to believe that the recipient is or carry out its functions and statutory E. To appropriate agencies, entities, could become the target of a particular mandates. and persons when: terrorist activity or conspiracy, or when Q. To an appropriate federal, state, 1. DHS suspects or has confirmed that the information is relevant to the tribal, territorial, local, or foreign the security or confidentiality of protection of life, property, or other vital government agency or organization, or information in the system of records has interests of a person. international organization, lawfully been compromised; K. To clerks and judges of courts engaged in collecting law enforcement 2. DHS has determined that as a result exercising naturalization jurisdiction for intelligence, whether civil or criminal, of the suspected or confirmed the purpose of granting or revoking or charged with investigating, compromise, there is a risk of identity naturalization. prosecuting, enforcing, or implementing theft or fraud, harm to economic or L. To courts, magistrates, civil or criminal laws, related rules, property interests, harm to the security administrative tribunals, opposing regulations, or orders, to enable these or integrity of this system or other counsel, parties, and witnesses, in the entities to carry out their law systems or programs (whether course of immigration, civil, or criminal enforcement responsibilities, including maintained by DHS or another agency or proceedings before a court or the collection of law enforcement entity) or harm to the individuals that adjudicative body when it is necessary intelligence and the disclosure is rely upon the compromised or relevant to the litigation or appropriate to the proper performance information; and proceeding and the following is a party of the official duties of the person 3. The disclosure made to such to the proceeding or has an interest in receiving the information. agencies, entities, and persons is the proceeding: R. To an appropriate federal, state, reasonably necessary to assist in 1. DHS or any component thereof; or local, tribal, territorial, foreign, or connection with DHS’s efforts to 2. Any employee of DHS in his or her international agency, if the information respond to the suspected or confirmed official capacity; or is relevant to a requesting agency’s compromise and prevent, minimize, or 3. Any employee of DHS in his or her decision concerning the hiring or remedy such harm. individual capacity when the DOJ or retention of an individual, or issuance F. To contractors and their agents, DHS has agreed to represent the of a security clearance, license, contract, grantees, experts, consultants, and employee; or grant, or other benefit, or if the others performing or working on a 4. The United States or any agency information is relevant to a DHS contract, service, grant, cooperative thereof. decision concerning the hiring or agreement, or other assignment for DHS, M. To an attorney or representative retention of an employee, the issuance when necessary to accomplish an (as defined in 8 CFR 1.2) who is acting of a security clearance, the reporting of agency function related to this system of on behalf of an individual covered by an investigation of an employee, the records. Individuals provided this system of records in connection letting of a contract, or the issuance of information under this routine use are with any proceeding before USCIS, ICE, a license, grant, or other benefit. subject to the same Privacy Act or CBP or the Executive Office for S. To an appropriate federal, state, requirements and limitations on Immigration Review, as required by law local, tribal, territorial, foreign, or disclosure as are applicable to DHS or as deemed necessary in the discretion international agency, if DHS determines: officers and employees. of the Department. (1) The information is relevant and G. To an appropriate federal, state, N. To DOJ (including Offices of the necessary to that agency’s decision tribal, territorial, local, international, or United States Attorneys) or other federal concerning the hiring or retention of an foreign law enforcement agency or other agency conducting litigation or in individual, or issuance of a security

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00055 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69869

clearance, license, contract, grant, or bond for an alien, to aid the individual such as mental illness, may pose a other benefit; and (2) Failure to disclose or entity in (1) identifying the location health or safety risk to himself/herself or the information is likely to create a of the alien; (2) posting the bond; (3) to the community. DHS will only substantial risk to government facilities, obtaining payments related to the bond; disclose information about the equipment, or personnel; sensitive or (4) conducting other administrative individual that is relevant to the health information; critical infrastructure; or or financial management activities or safety risk they may pose and/or the public safety. related to the bond. means to mitigate that risk (e.g., the T. To appropriate federal, state, local, AA. To a coroner for purposes of individual’s need to remain on certain tribal, or foreign governmental agencies affirmatively identifying a deceased medication for a serious mental health or multilateral governmental individual (whether or not such condition). organizations for the purpose of individual is deceased as a result of a HH. To foreign governments for the protecting the vital interests of a data crime). purpose of coordinating and conducting subject or other persons, including to BB. Consistent with the requirements the removal of individuals to other assist such agencies or organizations in of the INA, to the Department of Health nations under the INA; and to preventing exposure to, or transmission and Human Services (HHS), the Centers international, foreign, and of a communicable or quarantinable for Disease Control and Prevention intergovernmental agencies, authorities, disease or to combat other significant (CDC), or to any state or local health and organizations in accordance with public health threats; appropriate notice authorities, to: law and formal or informal international will be provided of any identified health 1. Provide proper medical oversight of arrangements. threat or risk. DHS-designated civil surgeons who II. To a federal, state, local, territorial, U. To an individual’s current perform medical examinations of both tribal, international, or foreign criminal, employer to the extent necessary to arriving aliens and of those requesting civil, or regulatory law enforcement determine employment eligibility or to status as lawful permanent residents; authority when the information is a prospective employer or government and necessary for collaboration, agency to verify whether an individual 2. Ensure that all health issues coordination, and de-confliction of is eligible for a government-issued potentially affecting public health and investigative matters, prosecutions, and/ credential that is a condition of safety in the United States are being or or other law enforcement actions to employment. have been, adequately addressed. avoid duplicative or disruptive efforts V. To a former employee of DHS, in CC. To a federal, state, local, tribal, or and to ensure the safety of law accordance with applicable regulations, territorial government agency seeking to enforcement officers who may be for purposes of: responding to an official verify or ascertain the citizenship or working on related law enforcement inquiry by a federal, state, or local immigration status of any individual matters. government entity or professional within the jurisdiction of the agency for JJ. To the DOJ Federal Bureau of licensing authority; or facilitating any purpose authorized by law. Prisons and other federal, state, local, communications with a former DD. To the Social Security territorial, tribal, and foreign law employee that may be necessary for Administration (SSA) for the purpose of enforcement or custodial agencies for personnel-related or other official issuing a SSN and card to an alien who the purpose of placing an immigration purposes when DHS requires has made a request for a SSN as part of detainer on an individual in that information or consultation assistance the immigration process and in agency’s custody, or to facilitate the from the former employee regarding a accordance with any related agreements transfer of custody of an individual from matter within that person’s former area in effect between the SSA, DHS, and the DHS to the other agency. This will of responsibility. Department of State entered into include the transfer of information W. To the Office of Management and pursuant to 20 CFR 422.103(b)(3), about unaccompanied minor children to Budget in connection with the review of 422.103(c)(3), and 422.106(a), or other HHS to facilitate the custodial transfer private relief legislation as set forth in relevant laws and regulations. of such children from DHS to HHS. OMB Circular No. A–19 at any stage of EE. To federal and foreign government KK. To federal, state, local, tribal, the legislative coordination and intelligence or counterterrorism territorial, or foreign governmental or clearance process as set forth in the agencies or components when DHS quasi-governmental agencies or courts Circular. becomes aware of an indication of a to confirm the location, custodial status, X. To the U.S. Senate Committee on threat or potential threat to national or removal, or voluntary departure of an the Judiciary or the U.S. House of international security, or when such use alien from the United States, in order to Representatives Committee on the is to conduct national intelligence and facilitate the recipients’ exercise of Judiciary when necessary to inform security investigations or assist in anti- responsibilities pertaining to the members of Congress about an alien terrorism efforts. custody, care, or legal rights (including who is being considered for private FF. To third parties to facilitate issuance of a U.S. passport) of the immigration relief. placement or release of an individual removed individual’s minor children, or Y. To a federal, state, tribal, or local (e.g., at a group home, homeless shelter) the adjudication or collection of child government agency and/or to domestic who has been or is about to be released support payments or other debts owed courts to assist such agencies in from DHS custody, but only such by the removed individual. collecting the repayment of loans, or information that is relevant and LL. To a federal, state, tribal, fraudulently or erroneously secured necessary to arrange housing or territorial, local, international, or foreign benefits, grants, or other debts owed to continuing medical care for the government agency or multilateral them or to the United States individual. governmental organization for the Government, or to obtain information GG. To an appropriate domestic purpose of consulting with that agency that may assist DHS in collecting debts government agency or other appropriate or entity: (1) To assist in making a owed to the United States Government. authority for the purpose of providing determination regarding redress for an Z. To an individual or entity seeking information about an individual who individual in connection with the to post or arrange, or who has already has been or is about to be released from operations of a DHS component or posted or arranged, an immigration DHS custody who, due to a condition program; (2) for the purpose of verifying

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00056 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69870 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

the identity of an individual seeking • First name; whether it has been transferred to the redress in connection with the • Middle name; National Archives. operations of a DHS component or • Aliases; NFTS records are temporary and program; or (3) for the purpose of • Date of birth; deleted when they are no longer needed verifying the accuracy of information • Country of birth; for agency business. The records exist submitted by an individual who has • Gender; and only as a reference to a physical or requested such redress on behalf of • Through a full text-based search of digital file, and exist for as long as the another individual. records contained in the digitized A-File referenced file exists. NFTS records MM. To family members, guardians, (based on optical character recognition associated with an A-File will be committees, friends, or other agents of the scanned images). retained on a permanent basis even after identified by law or regulation to The location of the paper record from the A-File has been retired to NARA to receive notification, decisions, and which the digitized A-File was retain accurate recordkeeping. Receipt other papers as provided in 8 CFR 103.8 produced can be searched in CIS using Files with a shorter retention period from the Department of Homeland the following data: will have the associated NFTS record Security or Executive Office for • A-Number; destroyed or deleted once the file has Immigration Review following • Full name; been destroyed. verification of a familial or agency • Alias; SYSTEM MANAGER AND ADDRESS: relationship with an alien when DHS is • Sounds-like name with or without aware of indicia of incompetency or date of birth; The DHS system manager is the Chief, when an immigration judge determines • Certificate of Citizenship or Records Division, U.S. Citizenship and an alien is mentally incompetent. Naturalization Certificate number; Immigration Services, Department of NN. To the news media and the • Driver’s License Number; Homeland Security, 20 Massachusetts public, with the approval of the Chief • FBI Identification Number; Avenue NW., Washington, DC 20529. • Privacy Officer in consultation with Fingerprint Identification Number; NOTIFICATION PROCEDURE: counsel, when there exists a legitimate • I–94 admission number; • Passport number; The Secretary of Homeland Security public interest in the disclosure of the has exempted this system from the information or when disclosure is • SSN; or • Travel document number. notification, access, and amendment necessary to preserve confidence in the procedures of the Privacy Act because it The location of the paper or digitized integrity of DHS or is necessary to contains classified and sensitive record A-Files and Receipt Files can be demonstrate the accountability of DHS’s unclassified information related to searched in NFTS using the following officers, employees, or individuals intelligence, counterterrorism, data: covered by the system, except to the homeland security, and law • A-Number; or extent it is determined that release of enforcement programs. These • Receipt File Number. the specific information in the context exemptions apply only to the extent that of a particular case would constitute an SAFEGUARDS: records in the system are subject to unwarranted invasion of personal exemption. However, USCIS will privacy. Records in this system are safeguarded in accordance with consider individual requests to OO. To domestic governmental determine whether or not information agencies seeking to determine the applicable rules and policies, including all applicable DHS automated systems may be released. Individuals seeking immigration status of persons who have notification of and access to any record applied to purchase/obtain a firearm in security and access policies. Strict controls have been imposed to minimize contained in this system of records, or the United States, pursuant to checks seeking to contest its content, may conducted on such persons under the the risk of compromising the information that is being stored. Access submit a request in writing to the USCIS Brady Handgun Violence Prevention FOIA Officer, whose contact Act or other applicable laws. to the computer system containing the records in this system is limited to those information can be found at http:// DISCLOSURE TO CONSUMER REPORTING individuals who have a need to know www.dhs.gov/foia under ‘‘Contacts.’’ AGENCIES: the information for the performance of When seeking records about yourself None. their official duties and who have from this system of records or any other appropriate clearances or permissions. DHS system of records your request POLICIES AND PRACTICES FOR STORING, must conform with the Privacy Act RETRIEVING, ACCESSING, RETAINING, AND RETENTION AND DISPOSAL: regulations set forth in 6 CFR Part 5. DISPOSING OF RECORDS IN THE SYSTEM: The A-File records are permanent You must first verify your identity, whether hard copy or electronic. A-Files meaning that you must provide your full STORAGE: are transferred to the custody of the name, current address, and date and Records in this system are stored National Archives 100 years after the place of birth. You must sign your electronically or on paper in secure individual’s date of birth. Newly- request, and your signature must either facilities in a locked drawer behind a eligible files are transferred to the be notarized or submitted under 28 locked door. The records may be stored National Archives every five years. U.S.C. § 1746, a law that permits on magnetic disc, tape, digital media, When a paper A-File is digitized, the statements to be made under penalty of and CD–ROM. digitized A-File maintained in EDMS perjury as a substitute for notarization. becomes the official record and While no specific form is required, you RETRIEVABILITY: maintains the same retention schedule may obtain forms for this purpose from Digitized A-Files maintained in EDMS as the original paper A-File. The hard the Chief Privacy Officer and Chief can be searched and retrieved by any of copy files are sent to the records center Freedom of Information Act Officer, the following fields alone or in any once the records have been digitized. http://www.dhs.gov/foia or 1–866–431– combination: CIS records are permanently retained 0486. In addition, you should: • A-Number; on-site because they are the index of • Explain why you believe DHS • Last name; where the physical A-File is and would have information on you;

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00057 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69871

• Identify which component(s) of DEPARTMENT OF HOMELAND DHS may withhold information DHS you believe may have the SECURITY provided in comments from public information about you; viewing that it determines may impact • Specify when you believe the U.S. Citizenship and Immigration the privacy of an individual or is records would have been created; and Services offensive. For additional information, • Provide any other information that [OMB Control Number 1615–0117] please read the Privacy Act notice that will help the FOIA staff determine is available via the link in the footer of which DHS component agency may Agency Information Collection http://www.regulations.gov. have responsive records. Activities: myE-Verify, Revision of a Note: The address listed in this notice If your request is seeking records Currently Approved Collection should only be used to submit comments pertaining to another living individual, concerning this information collection. ACTION: 60-Day Notice. Please do not submit requests for individual you must include a statement from that case status inquiries to this address. If you individual certifying his/her agreement SUMMARY: The Department of Homeland are seeking information about the status of for you to access his/her records. Security (DHS), U.S. Citizenship and your individual case, please check ‘‘My Case Without the above information, the Immigration Services (USCIS) invites Status’’ online at: https://egov.uscis.gov/cris/ component(s) may not be able to the general public and other Federal Dashboard.do, or call the USCIS National conduct an effective search, and your agencies to comment upon this Customer Service Center at 1–800–375–5283. request may be denied due to lack of proposed revision of a currently Written comments and suggestions specificity or lack of compliance with approved collection of information. In from the public and affected agencies applicable regulations. accordance with the Paperwork should address one or more of the Reduction Act (PRA) of 1995, the following four points: RECORD ACCESS PROCEDURES: information collection notice is (1) Evaluate whether the proposed See ‘‘Notification procedure’’ above. published in the Federal Register to collection of information is necessary obtain comments regarding the nature of for the proper performance of the CONTESTING RECORD PROCEDURES: the information collection, the functions of the agency, including See ‘‘Notification procedure’’ above. categories of respondents, the estimated whether the information will have burden (i.e., the time, effort, and practical utility; RECORD SOURCE CATEGORIES: resources used by the respondents to (2) Evaluate the accuracy of the Basic information contained in DHS respond), the estimated cost to the agency’s estimate of the burden of the records is supplied by individuals on respondent, and the actual information proposed collection of information, Department of State and DHS collection instruments. including the validity of the applications and forms. Other DATES: Comments are encouraged and methodology and assumptions used; information comes from inquiries or will be accepted for 60 days until (3) Enhance the quality, utility, and complaints from members of the general January 21, 2014. clarity of the information to be public and members of Congress; collected; and ADDRESSES: All submissions received referrals of inquiries or complaints (4) Minimize the burden of the must include the OMB Control Number directed to the President or Secretary of collection of information on those who 1615–0117 in the subject box, the Homeland Security; reports of are to respond, including through the agency name and Docket ID USCIS– investigations, sworn statements, use of appropriate automated, 2010–0014. To avoid duplicate correspondence, official reports, electronic, mechanical, or other submissions, please use only one of the memoranda, and written referrals from technological collection techniques or following methods to submit comments: other entities, including federal, state, other forms of information technology, (1) Online. Submit comments via the and local governments, various courts e.g., permitting electronic submission of Federal eRulemaking Portal Web site at and regulatory agencies, foreign responses. www.regulations.gov under e-Docket ID government agencies, and international number USCIS–2010–0014; Overview of This Information organizations. (2) Email. Submit comments to Collection EXEMPTIONS CLAIMED FOR THE SYSTEM: [email protected]; (1) Type of Information Collection: (3) Mail. Submit written comments to The Secretary of Homeland Security Revision of a Currently Approved DHS, USCIS, Office of Policy and has exempted this system from the Collection. Strategy, Chief, Regulatory Coordination following provisions of the Privacy Act (2) Title of the Form/Collection: myE- Division, 20 Massachusetts Avenue pursuant to 5 U.S.C. 552a(j)(2): 5 U.S.C. Verify (previously, E-Verify Self Check NW., Washington, DC 20529–2140. 552a(c)(3), (c)(4), (d), (e)(1), (e)(2), (e)(3), Program). (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8), SUPPLEMENTARY INFORMATION: (3) Agency form number, if any, and the applicable component of the DHS (e)(12), (f), (g)(1), and (h). Additionally, Comments the Secretary of Homeland Security has sponsoring the collection: USCIS (No exempted this system from the Regardless of the method used for form number). following provisions of the Privacy Act submitting comments or material, all (4) Affected public who will be asked pursuant to 5 U.S.C. 552a(k)(1) and submissions will be posted, without or required to respond, as well as a brief (k)(2); 5 U.S.C. 552a(c)(3), (d), (e)(1), change, to the Federal eRulemaking abstract: Primary: Individuals or (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f). Portal at http://www.regulations.gov, households. myE-Verify will allow and will include any personal workers in the United States to enter Dated: October 28, 2013. information you provide. Therefore, data into the E-Verify system to ensure Jonathan R. Cantor, submitting this information makes it that the information relating to their Deputy Chief Privacy Officer, Department of public. You may wish to consider eligibility to work is correct and Homeland Security. limiting the amount of personal accurate. The additional features of [FR Doc. 2013–27895 Filed 11–20–13; 8:45 am] information that you provide in any myE-Verify will allow employees to BILLING CODE 9111–97–P voluntary submission you make to DHS. proactively engage with E-Verify

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00058 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69872 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

through a suite of web-based services. development, production, and requests comments on the following The features of myE-Verify are free and utilization of geothermal resources on subjects: will provide individuals with a secure BLM-managed public lands, and on 1. Whether the collection of account that facilitates an ongoing lands managed by other Federal information is necessary for the proper relationship between the user and agencies. The Office of Management and functioning of the BLM, including USCIS. Budget (OMB) previously approved this whether the information will have (5) An estimate of the total number of information collection activity, and practical utility; respondents and the amount of time assigned it control number 1004–0132. 2. The accuracy of the BLM’s estimate estimated for an average respondent to DATES: The OMB is required to respond of the burden of collecting the respond: to this information collection request information, including the validity of • E-Verify Self Check—Identity within 60 days but may respond after 30 the methodology and assumptions used; Authentication 2,900,000 responses at days. For maximum consideration, 3. The quality, utility and clarity of 0.0833 hours (5 minutes) per response; written comments should be received the information to be collected; and • E-Verify Self Check—Query on or before December 23, 2013. 4. How to minimize the information 2,175,000 responses at 0.0833 hours (5 collection burden on those who are to ADDRESSES: Please submit comments respond, including the use of minutes) per response; directly to the Desk Officer for the • E-Verify Self Check—Further appropriate automated, electronic, Department of the Interior (OMB #1004– mechanical, or other forms of Action Pursued 5,582 responses at 1.183 0132), Office of Management and hours (1 hour and 11 minutes) per information technology. Budget, Office of Information and Please send comments as directed response; and Regulatory Affairs, fax 202–395–5806, • myE-Verify Account Creation _ under ADDRESSES and DATES. Please or by electronic mail at OIRA refer to OMB control number 1004–0132 14,846 responses at 0.25 hours (15 [email protected]. Please minutes) per response. in your correspondence. Before provide a copy of your comments to the including your address, phone number, (6) An estimate of the total public BLM. You may do so via mail, fax, or burden (in hours) associated with the email address, or other personal electronic mail. identifying information in your collection: 433,063 annual burden Mail: U.S. Department of the Interior, hours. comment, you should be aware that Bureau of Land Management, 1849 C your entire comment—including your If you need a copy of the information Street NW., Room 2134LM, Attention: collection instrument with instructions, personal identifying information—may Jean Sonneman, Washington, DC 20240. be made publicly available at any time. or additional information, please visit Fax: to Jean Sonneman at 202–245– the Federal eRulemaking Portal site at: While you can ask us in your comment 0050. to withhold your personal identifying http://www.regulations.gov. We may Electronic mail: Jean_Sonneman@ also be contacted at: USCIS, Office of information from public review, we blm.gov. cannot guarantee that we will be able to Policy and Strategy, Regulatory Please indicate ‘‘Attn: 1004–0132’’ Coordination Division, 20 do so. regardless of the form of your Title: Geothermal Resource Leasing Massachusetts Avenue NW., comments. Washington, DC 20529–2140, and Geothermal Resource Unit Telephone number 202–272–8377. FOR FURTHER INFORMATION CONTACT: Agreements (43 CFR Parts 3200 and Allen McKee, at 801–539–4045. Persons 3280). Dated: November 18, 2013. who use a telecommunication device for OMB Control Number: 1004–0132. Laura Dawkins, the deaf may call the Federal Summary: The BLM collects the Chief, Regulatory Coordination Division, Information Relay Service at 1–800– information in order to decide whether Office of Policy and Strategy, U.S. Citizenship 877–8339, to leave a message for Mr. or not to approve geothermal resource and Immigration Services, Department of leases and unit agreements, process Homeland Security. McKee. You may also review the information collection request online at nominations for geothermal lease sales, [FR Doc. 2013–27945 Filed 11–20–13; 8:45 am] http://www.reginfo.gov/public/do/ and monitor compliance with granted BILLING CODE 9111–97–P PRAMain. approvals. Frequency of Collection: On occasion, SUPPLEMENTARY INFORMATION: The except for Monthly Report of DEPARTMENT OF THE INTERIOR Paperwork Reduction Act (44 U.S.C. Geothermal Operations (Form 3260–5), 3501–3521) and OMB regulations at 5 which is required monthly. Bureau of Land Management CFR part 1320 provide that an agency Forms: may not conduct or sponsor a collection • [WO300 L91310000 PP0000] Form 3200–9, Notice of Intent to of information unless it displays a Conduct Geothermal Resource Renewal of Approved Information currently valid OMB control number. Exploration Operations; • Collection Until OMB approves a collection of Form 3203–1, Nomination of Lands information, you are not obligated to for Competitive Geothermal Leasing; AGENCY: Bureau of Land Management, respond. In order to obtain and renew • Form 3260–2, Geothermal Drilling Interior. an OMB control number, Federal Permit; ACTION: 30-day notice and request for agencies are required to seek public • Form 3260–3, Geothermal Sundry comments. comment on information collection and Notice; recordkeeping activities (see 5 CFR • Form 3260–4, Geothermal Well SUMMARY: The Bureau of Land 1320.8(d) and 1320.12(a)). Completion Report; and Management (BLM) has submitted an As required at 5 CFR 1320.8(d), the • Form 3260–5, Monthly Report of information collection request to the BLM published a 60-day notice in the Geothermal Operations. Office of Management and Budget Federal Register on August 29, 2013 (78 Description of Respondents: Those (OMB) to continue the collection of FR 53474), and the comment period who wish to participate in the information from those who wish to ended October 28, 2013. The BLM exploration, development, production, participate in the exploration, received no comments. The BLM now and utilization of geothermal resources

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00059 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69873

on BLM-managed public lands, and on Estimated Annual Burden Hours: The estimated annual burdens to lands managed by other Federal 5,409. respondents are itemized in the agencies. Estimated Annual Non-Hour Costs: following table: Estimated Annual Responses: 913. $77,735.

B. C. D. A. Number of Hours per Total Type of response responses response hours

43 CFR subpart 3202 Lessee Qualifications ...... 75 1 75 43 CFR subpart 3203 Nomination of Lands for Competitive Leasing Form 3203–1 ...... 80 1 80 43 CFR subpart 3204 Noncompetitive Leasing Other Than Direct Use Leases ...... 50 4 200 43 CFR subpart 3205 Direct Use Leasing ...... 10 10 100 43 CFR subpart 3206 Lease Issuance ...... 155 1 155 43 CFR subpart 3207 Lease Terms and Extensions ...... 50 1 50 43 CFR subpart 3210 Lease Consolidation ...... 50 1 50 43 CFR subpart 3212 Lease Suspensions and Royalty Rate Reductions ...... 10 40 400 43 CFR subpart 3213 Lease Relinquishment, Termination, Cancellation, and Reinstatement 10 40 400 43 CFR subpart 3213 Lease Reinstatement ...... 5 1 5 43 CFR subpart 3217 Cooperative Agreements ...... 10 40 400 43 CFR subpart 3251 Notice of Intent to Conduct Geothermal Exploration Activities Form 3200–9 ...... 12 8 96 43 CFR subpart 3252 Geothermal Sundry Notice Form 3260–3 ...... 100 8 800 43 CFR subpart 3253 Reports: Exploration Operations ...... 12 8 96 43 CFR subpart 3256 Exploration Operations Relief and Appeals ...... 10 8 80 43 CFR subpart 3261 Geothermal Drilling Permit Form 3260–2 ...... 60 8 480 43 CFR subpart 3264 Geothermal Well Completion Report Form 3260–4 ...... 12 10 120 43 CFR subpart 3272 Utilization Plans and Facility Construction Permits ...... 10 10 100 43 CFR subpart 3273 Site License Application ...... 10 10 100 43 CFR subpart 3273 Relinquishment, Assignment, or Transfer of a Site License ...... 22 1 22 43 CFR subpart 3274 Commercial Use Permit ...... 10 10 100 43 CFR subpart 3276 Monthly Report of Geothermal Operations Form 3260–5 ...... 120 10 1200 43 CFR subpart 3281 Unit Agreements ...... 10 10 100 43 CFR subpart 3282 Participating Area ...... 10 10 100 43 CFR subpart 3283 Unit Agreement Modifications ...... 10 10 100

Totals ...... 913 ...... 5,409

Jean Sonneman, Pipeline Project (Project) and by this July 12, 2010, ROD and subsequent Bureau of Land Management, Information notice is announcing their availability. decisions remain in full force and effect, Collection Clearance Officer. ADDRESSES: A list of locations where including all stipulations, monitoring, [FR Doc. 2013–27931 Filed 11–20–13; 8:45 am] copies of the ROD and Final and mitigation measures. The ROD is BILLING CODE 4310–84–P Supplemental EIS are available can be based on the analyses contained in the found under SUPPLEMENTARY Final EIS, the Draft Supplemental EIS, INFORMATION. and the Final Supplemental EIS for the DEPARTMENT OF THE INTERIOR FOR FURTHER INFORMATION CONTACT: Project. It also relies on the U.S. Fish and Wildlife Service’s (FWS) Revision Bureau of Land Management Mark Mackiewicz, PMP, Project Manager at 435–636–3616, BLM Price to the June 8, 2010, Ruby Pipeline Field Office, 125 South 600 West, Price, Biological Opinion (BiOp). The Revised [LLNV930000 L51010000.ER0000 241A; BiOp was published on July 5, 2013, 14–08807; MO# 4500058789] UT 84501; email [email protected]. Persons who use a and is posted on the Federal Energy Regulatory Commission’s (FERC) Web Notice of Availability of the Record of telecommunications device for the deaf site (www.ferc.gov). The ROD, Final Decision and Final Supplemental (TDD) may call the Federal Information Supplemental EIS, and Revised BiOp Environmental Impact Statement for Relay Service (FIRS) at 1–800–877–8339 were developed in response to an order the Ruby Pipeline Project in Oregon, to contact the above individual during from the 9th U.S. Circuit Court of Nevada, Utah, and Wyoming normal business hours. The FIRS is available 24 hours a day, 7 days a week, Appeals. AGENCY: Bureau of Land Management, to leave a message or question with the The project has been constructed and Interior. above individual. You will receive a is currently in operation. In 2011, the ACTION: Notice of availability. reply during normal business hours. Center for Biological Diversity, SUPPLEMENTARY INFORMATION: The BLM Defenders of Wildlife, and the Summit SUMMARY: In accordance with the has issued the ROD concurrent with the Lake Paiute Tribe, among other entities, National Environmental Policy Act of Final Supplemental EIS, as allowed filed petitions for review of the 2010 1969 (NEPA), as amended, and the under 40 CFR 1506.10(b). BiOp and the BLM’s ROD in the 9th Federal Land Policy and Management The ROD documents the BLM’s U.S. Circuit Court of Appeals, Case Nos. Act of 1976 (FLPMA), as amended, the decision to reissue the right-of-way 10–72356, 10–72552, 10–72762, 10– Bureau of Land Management (BLM) has granted for the Project. The BLM will 72768, and 10–72775 (consolidated). In prepared a Record of Decision (ROD) not require additional post-construction October 2012, the court denied most of and Final Supplemental Environmental mitigation or changes to the grant issued the petitioners’ claims, including all Impact Statement (EIS) for the Ruby on July 12, 2010. All elements of the claims brought under the National

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00060 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69874 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

Historic Preservation Act, FLPMA, and acreage sagebrush steppe used to Supplemental EIS can be viewed can the Clean Water Act, but found the 2010 occupy, and what percentage has been be found on the Project Web site BiOp and BLM ROD to be inadequate. lost. The Ruby Pipeline Project’s direct (http://www.blm.gov/nv/st/en/info/ In a published opinion, the court and indirect impacts remain the same as nepa/ruby_pipeline_project.html) or vacated the 2010 BiOp and remanded those discussed in the Final EIS. The by contacting the project manager. the matter to the FWS. The court held Final Supplemental EIS thoroughly Authority: 40 CFR 1502.9, 43 CFR 2880. that the FWS’ consideration of Ruby’s discusses the cumulative impacts to Endangered Species Act (ESA) sagebrush steppe habitat within the Marci L. Todd, Conservation Action Plan (CAP) as cumulative impact area and summarizes Associate State Director, Nevada. cumulative effects in the 2010 BiOp was the substantial mitigation required by [FR Doc. 2013–28030 Filed 11–20–13; 8:45 am] arbitrary and capricious. The court also the BLM’s July 12, 2010, ROD BILLING CODE 4310–HC–P found that the 2010 BiOp did not (and FERC’s Certificate). The mitigation adequately consider whether measures required by the July 12, 2010, groundwater withdrawals associated ROD are intended to address the DEPARTMENT OF THE INTERIOR with hydrostatic testing and dust significant long-term impacts to abatement would impact listed fish that sagebrush steppe habitat related to the Bureau of Land Management occur in surface waters. The court Project. All elements of the July 12, [LLNMA00000.L12200000.DF0000] vacated the BLM’s ROD because it relied 2010, ROD and subsequent BLM on the 2010 BiOp and remanded the decisions remain in full force and effect, Notice of Public Meeting, Albuquerque matter to the BLM. including all stipulations, monitoring, District Resource Advisory Council In an unpublished opinion, the court and mitigation measures. Those same Meeting, New Mexico found that the Final EIS for the Project stipulations, monitoring, and mitigation did not provide sufficient quantified or measures are required by this ROD. The AGENCY: Bureau of Land Management, detailed data about the cumulative loss BLM concludes that those mitigation Interior. of sagebrush steppe vegetation and measures are adequate and additional ACTION: Notice of Public Meeting. habitat and did not provide information mitigation measures are not required. SUMMARY: on how much acreage sagebrush steppe The BLM published a Notice of In accordance with the used to occupy, or what percentage has Availability of the Draft Supplemental Federal Land Policy and Management been destroyed. Thus, the court Environmental Impact Statement for the Act and the Federal Advisory remanded the ROD to the BLM for Ruby Pipeline Project on July 5, 2013 Committee Act of 1972, the U.S. further analysis of cumulative impacts (78 FR 40496). The release of the Draft Department of the Interior, Bureau of to sagebrush steppe vegetation and Supplemental EIS initiated a formal 45- Land Management (BLM), Albuquerque habitat. The court subsequently stayed day public comment period that ended District Resource Advisory Council vacature of the 2010 BiOp until the FWS on August 19, 2013. (RAC), will meet as indicated below. issued the Revised BiOp and stayed The BLM received 31 comment DATES: The meeting date is on December vacature of the ROD until the BLM submissions on the Draft Supplemental 17, 2013, from 9 a.m.–4 p.m. issues a new ROD. EIS from the public, agencies, tribes, ADDRESSES: The meeting will be at the The 2010 BiOp found that the organizations, and businesses during the BLM Albuquerque District Office, 435 proposed action was not likely to comment period. Substantive comments Montano Rd., Albuquerque, NM. The jeopardize the continuing existence of were considered during preparation of public may send written comments to any of the listed species or result in this Final Supplemental EIS. Comments the RAC, 435 Montano Rd., destruction or adverse modification of resulted in the addition of clarifying Albuquerque, NM 87107. designated critical habitats. The text, but did not significantly change the findings of the Revised BiOp are FOR FURTHER INFORMATION CONTACT: analysis or the proposed decisions. Chip Kimball, BLM Albuquerque consistent with those reached in the Filing an Appeal: Instructions for 2010 BiOp. District Office, 435 Montano Rd., filing an appeal of this Decision are Albuquerque, NM 87107, 505–761– The FWS also affirmed the accuracy described in the ROD. of the incidental take statement found in 8734. Persons who use a Copies of the ROD and Final telecommunications device for the deaf the 2010 BiOp and incorporated it by Supplemental EIS for the Ruby Pipeline reference. Those conclusions were (TDD) may call the Federal Information Project are available for public Relay Service (FIRS) at 1–800–877–8229 drawn without consideration of or inspection at the following BLM offices: reliance on the ESA CAP. The to contact the above individual during • Kemmerer Field Office, 312 Highway conservation recommendations normal business hours. The FIRS is 189 North, Kemmerer, WY described in the 2010 BiOp were • available 24 hours a day, 7 days a week, Salt Lake Field Office, 2370 South to leave a message or question with the reviewed by the FWS, were determined 2300 West, Salt Lake City, UT to stand as written, and were • above individual. You will receive a Elko District Office, 3900 East Idaho reply during normal business hours. incorporated by reference. The court did Street, Elko, NV not rule that the discussion of the • Winnemucca District Office, 5100 SUPPLEMENTARY INFORMATION: The 10- conservation agreement or groundwater East Winnemucca Boulevard, member RAC advises the Secretary of extraction in the Final EIS was deficient Winnemucca, NV the Interior, through the BLM, on a or in violation of NEPA, so these topics • Lakeview District Office, 1301 South variety of planning and management are not analyzed in the Supplemental G Street, Lakeview, OR issues associated with public land EIS. • Klamath Falls Resource Area Office, management in New Mexico. In the Final EIS, Draft Supplemental 2795 Anderson Avenue, Suite 25, Planned agenda items include new EIS, and Final Supplemental EIS, the Klamath Falls, OR member introductions and orientation, BLM provided quantified and detailed • Surprise Field Office, 602 Cressler election of new officers, discussions on data regarding the cumulative loss of Street, Cedarville, CA and development of subcommittees, sagebrush steppe vegetation and habitat, • Additional locations where printed Kasha-Katuwe Tent Rocks fee including information on how much copies of the ROD/Final discussions, updates by the Socorro and

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00061 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69875

Rio Puerco Field Office Managers on a partial payment of $123,000 that for review and approval in accordance planned pipeline and transmission line Suncor has already made. with the Paperwork Reduction Act of projects. The publication of this notice opens 1995. The proposed information A half-hour comment period during a period for public comment on the collected is published to obtain which the public may address the RAC consent decree. Comments should be comments from the public and affected will begin at 11:00 a.m. All RAC addressed to the Assistant Attorney agencies. Comments are encouraged and meetings are open to the public. General, Environment and Natural will be accepted for ‘‘sixty days’’ until Depending on the number of Resources Division, and should refer to January 21, 2014. This process is individuals wishing to comment and United States et al. v. Suncor (U.S.A.) conducted in accordance with 5 CFR time available, the time for individual Inc., D.J. Ref. No. 90–5–1–1–10821. All 1320.10. oral comments may be limited. comments must be submitted no later If you have comments especially the than thirty (30) days after the estimated public burden or associated Edwin Singleton, publication date of this notice. response time, suggestions, or need a District Manager. Comments may be submitted either by copy of the proposed information [FR Doc. 2013–27922 Filed 11–20–13; 8:45 am] email or by mail in the following collection instrument with instructions BILLING CODE 4310–FB–P manner: or additional information, please contact Allina D. Lee, Justice Statistics To submit Send them to: Policy Analyst, Bureau of Justice DEPARTMENT OF JUSTICE comments: Statistics, Office of Justice Programs, By email ...... pubcomment-ees.enrd@ U.S. Department of Justice, 810 Seventh Agency Information Collection usdoj.gov. Street NW., Washington, DC 20531 Activities; Revision of a Previously By mail ...... Assistant Attorney General, (phone: 202–307–0765). Approved Collection, With Change; U.S. DOJ–ENRD, P.O. Box Written comments and suggestions Comments Requested: COPS Progress 7611, Washington, DC from the public and affected agencies Report 20044–7611. concerning the proposed collection of information are encouraged. Your Correction During the public comment period, comments should address one or more In notice document 2013–25701, the consent decree may be examined of the following four points: appearing on page 64979 in the issue of and downloaded at this Justice —Evaluate whether the proposed Wednesday, October 30, 2013, make the Department Web site: http:// _ collection of information is necessary following correction: www.usdoj.gov/enrd/Consent for the proper performance of the On page 64979, in the second column, Decrees.html. We will provide a paper functions of the agency, including beginning on the first line, ‘‘[insert the copy of the consent decree upon written whether the information will have date 60 days from the date this notice request and payment of reproduction practical utility; is published in the Federal Register]’’ costs. Please mail your request and —Evaluate the accuracy of the agency’s should read ‘‘December 30, 2013’’. payment to: Consent Decree Library, estimate of the burden of the [FR Doc. C1–2013–25701 Filed 11–20–13; 8:45 am] U.S. DOJ–ENRD, P.O. Box 7611, proposed collection of information, Washington, DC 20044–7611. BILLING CODE 1505–01–D including the validity of the Please enclose a check or money order methodology and assumptions used; for $7.00 (25 cents per page —Enhance the quality, utility and DEPARTMENT OF JUSTICE reproduction cost) payable to the United clarity of the information to be States Treasury. collected; and Notice of Lodging of Proposed Robert Brook, —Minimize the burden of the collection Consent Decree Under the Oil Assistant Chief, Environmental Enforcement of information on those who are to Pollution Act Section, Environment and Natural Resources respond, including through the use of Division. appropriate automated, electronic, On November 15, 2013, the mechanical, or other technological Department of Justice lodged a proposed [FR Doc. 2013–27929 Filed 11–20–13; 8:45 am] BILLING CODE 4410–15–P collection techniques or other forms consent decree with the United States of information technology, e.g. District Court for the District of permitting electronic submission of Colorado in the lawsuit entitled United responses. States et al. v. Suncor (U.S.A.) Inc., Civil DEPARTMENT OF JUSTICE Action No. 1:13–cv–03109. Office of Justice Programs Overview of This Information The United States and the State of Collection Colorado filed this lawsuit against [OMB Number 1121–0314] (1) Type of information collection: Suncor (U.S.A.) Inc. (‘‘Suncor’’) Agency Information Collection Revision of a previously approved pursuant to the Oil Pollution Act, 33 collection. U.S.C. 2701–2762. The United States’ Activities: Proposed Collection; Comments Requested Revision of a (2) The title of the Form/Collection: and Colorado’s complaint seeks to Firearm Inquiry Statistics (FIST) recover damages for injury to, Previous Approved Collection: Firearm Inquiry Statistics Program Program destruction of, loss of, or loss of use of (3) Agency form number, if any, and natural resources resulting from the ACTION: 60-day notice of information the applicable component of the release of oil at or from the refinery collection under review. Department of Justice sponsoring the Suncor owns and operates in Commerce collection: Not applicable. City, Colorado. The proposed consent The Department of Justice, Office of (4) Affected public who will be asked decree requires Suncor to pay Justice Programs, Bureau of Justice to respond, as well as a brief abstract: $1,764,000 to resolve the United States’ Statistics, will be submitting the Primary: State and local agencies. State and the State of Colorado’s claim for following information collection request and local agencies responsible for natural resource damages, in addition to to the Office of Management and Budget maintaining records on the number of

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00062 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69876 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

background checks for firearm transfers Square, 145 N Street NE., Washington, introductions; (b) remarks from OJJDP or permits that were issued, processed, DC 20530. senior leadership; (c) presentation on tracked, or conducted during the Dated: November 18, 2013. subcommittee reports, including draft calendar year are asked to provide Jerri Murray, recommendations; (d) final information about: The number of consideration by full Committee of draft Department Clearance Officer, PRA, U.S. applications and denials for firearm Department of Justice. FACJJ subcommittee recommendations; transfers received or tracked by the (e) vote on recommendations by FACJJ; agency; reasons why an application was [FR Doc. 2013–27963 Filed 11–20–13; 8:45 am] (f) presentations on OJJDP initiatives of denied; information on arrests that BILLING CODE 4410–18–P interest to FACJJ members; (g) other occurred when a denied person who business; and (f) adjournment. submitted a false application or had an DEPARTMENT OF JUSTICE To observe this meeting, members of outstanding warrant was arrested by the the public must pre-register online. checking agency or another agency that Office of Justice Programs Interested persons must link to the was notified (state agency responders registration portal through only); appeals to an agency and court for [OJP (OJJDP) Docket No. 1639] www.facjj.org, no later than Wednesday, reconsideration of a denial (state agency Meeting of the Federal Advisory December 4, 2013. Note: Members of the responders only); and reversals of a Committee on Juvenile Justice public will be able to observe portions denial decision (state agency responders of the FACJJ meeting open to the public, only). Through its Firearm Inquiry AGENCY: Office of Juvenile Justice and but will not be able to actively Statistics Program, the Bureau of Justice Delinquency Prevention, Office of participate. Subcommittee breakout Statistics collects information on Justice Programs, U.S. Department of sessions (which most likely will be held firearm background checks conducted Justice. in the first hour of the meeting) to by state and local agencies and ACTION: Notice of meeting. conduct internal FACJJ business will be combines this information with the closed to the general public. Federal Bureau of Investigation’s SUMMARY: The Office of Juvenile Justice Written Comments: Interested parties National Instant Criminal Background and Delinquency Prevention (OJJDP) may submit written comments in Check System transaction data to announces a meeting of the Federal advance to Kathi Grasso, Designated produce a national estimate of the Advisory Committee on Juvenile Justice Federal Official, by email to number of applications received and (FACJJ). [email protected], no later than denied and of the reasons for denial. DATES: Dates and Location: The meeting Wednesday, December 4, 2013. You can The information is also combined with will take place on Monday, December 9, also call Joyce Mosso Stokes at 202– data obtained from the Bureau of 2013 from 8:30 to 5:30 (ET), and 305–4445 to ensure that they are Alcohol, Tobacco, Firearms, and Tuesday, December 10, 2013 from 8:30 received. [This is a not a toll-free Explosives on appeals of denied to 1:30 p.m. (ET). The meeting will take number.] applications and arrests for falsified place in the third floor main conference Robert L. Listenbee, documents. The Bureau of Justice room at the U.S. Department of Justice, Statistics uses this information in Office of Justice Programs, 810 7th St. Administrator, Office of Juvenile Justice and Delinquency Prevention. published reports and in responding to NW., Washington, DC 20531. [FR Doc. 2013–27948 Filed 11–20–13; 8:45 am] queries from the U.S. Congress, FOR FURTHER INFORMATION CONTACT: Executive Office of the President, state Kathi Grasso, Designated Federal BILLING CODE 4410–18–P officials, researchers, students, the Official, OJJDP, [email protected], media, the general public, and others or (202) 616–7567. [This is not a toll- DEPARTMENT OF JUSTICE interested in criminal justices statistics. free number.] (5) An estimate of the total number of SUPPLEMENTARY INFORMATION: The Office of Justice Programs respondents and the amount of time Federal Advisory Committee on estimated for an average respondent to Juvenile Justice (FACJJ), established [OJP (OJJDP) Docket No. 1635] respond: 761 responses at 25 minutes pursuant to Section 3(2)A of the Federal each. Respondents have the option to Hearing of the Advisory Committee of Advisory Committee Act (5 U.S.C. App. the Attorney General’s Task Force on provide responses using either paper or 2), will meet to carry out its advisory web-based questionnaires. The burden American Indian/Alaska Native functions under Section 223(f)(2)(C–E) Children Exposed to Violence estimate is based on the results of the of the Juvenile Justice and Delinquency field test of the 2012 Firearm Inquiry Prevention Act of 2002. The FACJJ is AGENCY: Office of Juvenile Justice and Statistics Program survey instrument composed of representatives from the Delinquency Prevention (OJJDP), and feedback received from the 2012 states and territories. FACJJ member Justice. data collection, as well as the Bureau of duties include: Reviewing Federal ACTION: Notice of hearing. Justice Statistics’ extensive history policies regarding juvenile justice and conducting the FIST data collection. delinquency prevention; advising the SUMMARY: This is an announcement of (6) An estimate of the total public OJJDP Administrator with respect to the first hearing of the Advisory burden (in hours) associated with the particular functions and aspects of Committee of the Attorney General’s collection: There are an estimated 317 OJJDP; and advising the President and Task Force on American Indian/Alaska annual total burden hours associated Congress with regard to State Native Children Exposed to Violence with the collection. perspectives on the operation of OJJDP (hereafter referred to as the AIAN If additional information is required and Federal legislation pertaining to Advisory Committee). The AIAN contact: Jerri Murray, Department juvenile justice and delinquency Advisory Committee is chartered to Clearance Officer, United States prevention. More information on the provide the Attorney General with Department of Justice, Justice FACJJ may be found at www.facjj.org. valuable advice in the areas of American Management Division, Policy and Meeting Agenda: The proposed Indian/Alaska Native children’s Planning Staff, Two Constitution agenda will include: (a) Welcome and exposure to violence for the purpose of

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00063 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69877

addressing the epidemic levels of hearing facility. Those wishing to telephone at 202–693–4129 (this is not exposure to violence faced by tribal provide public testimony during the a toll-free number) or sending an email youth. Based on the testimony at four hearings should register through the to [email protected]. public hearings, on comprehensive registration link at www.justice.gov/ Submit comments about this request research, and on extensive input from defendingchildhood at least seven (7) by mail or courier to the Office of experts, advocates, and impacted days in advance of the meeting. Information and Regulatory Affairs, families and tribal communities Registrations will be accepted on a Attn: OMB Desk Officer for DOL– nationwide, the AIAN Advisory space available basis. Testimony will MSHA, Office of Management and Committee will issue a final report to not be allowed without prior Budget, Room 10235, 725 17th Street the Attorney General presenting its registration. Please bring photo NW., Washington, DC 20503; by Fax: findings and comprehensive policy identification and allow extra time prior 202–395–6881 (this is not a toll-free recommendations in the fall of 2014. to the meeting for your arrival. Persons number); or by email: OIRA_ DATES: This first hearing will take place interested in providing written [email protected]. Commenters on Monday, December 9, 2013, at 8:30 testimony to the AIAN Advisory are encouraged, but not required, to a.m., (full-day session) and Tuesday, Committee should submit their written send a courtesy copy of any comments December 10, 2013, at 8:30 a.m. comments to the DFO at least seven (7) by mail or courier to the U.S. (morning session only). days prior to the hearing at Department of Labor—OASAM, Office ADDRESSES: The hearing will take place [email protected]. of the Chief Information Officer, Attn: at the Best Western Ramkota Hotel, 800 Anyone requiring special Information Policy and Assessment South 3rd Street, Bismarck, ND 58504. accommodations should notify Mr. Program, Room N1301, 200 Constitution Antal at least seven (7) days in advance FOR FURTHER INFORMATION CONTACT: Jim Avenue NW., Washington, DC 20210; or Antal, AIAN Advisory Committee of the meeting. by email: [email protected]. Designated Federal Officer (DFO) and Jim Antal, FOR FURTHER INFORMATION CONTACT: Deputy Associate Administrator, Youth Deputy Associate Administrator, Youth Michel Smyth by telephone at 202–693– Development, Prevention and Safety Development, Prevention and Safety Division 4129 (this is not a toll-free number) or Division, Office of Juvenile Justice & and AI/AN Advisory Committee Designated by email at [email protected]. Delinquency Prevention, Office of Federal Officer, Office of Juvenile Justice and Justice Programs, 810 7th Street NW., Delinquency Prevention, Office of Justice Authority: 44 U.S.C. 3507(a)(1)(D). Washington, DC 20531. Phone: (202) Programs. SUPPLEMENTARY INFORMATION: The ICR 514–1289 [note: this is not a toll-free [FR Doc. 2013–27875 Filed 11–20–13; 8:45 am] seeks to maintain PRA authorization for number]; email: [email protected]. BILLING CODE 4410–18–P the MSHA hazardous conditions SUPPLEMENTARY INFORMATION: This complaint information collection. hearing is being convened to provide Federal Mine Safety and Health Act of information to the AIAN Advisory DEPARTMENT OF LABOR 1977, as amended (Mine Act) section Committee about the issue of American 103(g)—30 U.S.C. 813(g)—provides that Indian/Alaska Native children’s Office of the Secretary a representative of miners, or any exposure to violence in the home. The Agency Information Collection individual miner where there is no focus for this first hearing will be on Activities; Submission for OMB representative of miners, may submit to issues of domestic violence, and child Review; Comment Request; Hazardous the MSHA a written or oral notification physical and sexual abuse. The final Conditions Complaints of an alleged Mine Act or mandatory agenda is subject to adjustment, but it is health or safety standard violation or of anticipated that on December 9, 2013, ACTION: Notice. an imminent danger. The person making there will be a morning and afternoon the notification also has the right to session, with a break for lunch. The SUMMARY: The Department of Labor obtain an immediate MSHA inspection. morning session will likely include (DOL) is submitting the Mine Safety and A copy of the notice must be provided welcoming remarks and introductions, Health Administration (MSHA) to the operator, with individual miner and panel presentations from invited sponsored information collection names redacted. Regulations 30 CFR guests on the impact of American request (ICR) titled, ‘‘Hazardous part 43 implements Mine Act section Indian/Alaska Native children’s Conditions Complaints,’’ to the Office of 103(g). These regulations provide the exposure to violence in the home. The Management and Budget (OMB) for procedures for submitting a complaint afternoon session will likely include review and approval for continued use, and the actions the MSHA must take presentations from experts invited to without change, in accordance with the after receiving the notice. brief the AIAN Advisory Committee on Paperwork Reduction Act of 1995 This information collection is subject measuring and describing American (PRA), 44 U.S.C. 3501 et seq. to the PRA. A Federal agency generally Indian/Alaska Native children’s DATES: Submit comments on or before cannot conduct or sponsor a collection exposure to violence, and existing December 23, 2013. of information, and the public is programs that attempt to address this ADDRESSES: A copy of this ICR with generally not required to respond to an issue. There will also be opportunities applicable supporting documentation; information collection, unless it is for public comment to occur in the including a description of the likely approved by the OMB under the PRA afternoon on December 9th. On respondents, proposed frequency of and displays a currently valid OMB December 10th, there will be a morning response, and estimated total burden Control Number. In addition, session that will include a review of may be obtained free of charge from the notwithstanding any other provisions of material presented during the previous RegInfo.gov Web site at http:// law, no person shall generally be subject day and planning for subsequent www.reginfo.gov/public/do/ to penalty for failing to comply with a hearings. This meeting is open to the PRAViewICR?ref_nbr=201309-1219-001 collection of information that does not public. Members of the public who wish (this link will only become active on the display a valid Control Number. See 5 to attend this meeting must provide day following publication of this notice) CFR 1320.5(a) and 1320.6. The DOL photo identification upon entering the or by contacting Michel Smyth by obtains OMB approval for this

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00064 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69878 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

information collection under Control Dated: November 14, 2013. separated from employment on or after Number 1219–0014. Michel Smyth, February 11, 2012 through May 9, 2015, and all workers in the group threatened with total OMB authorization for an ICR cannot Departmental Clearance Officer. be for more than three (3) years without or partial separation from employment on the [FR Doc. 2013–27940 Filed 11–20–13; 8:45 am] date of certification through May 9, 2015 are renewal, and the current approval for BILLING CODE 4510–43–P eligible to apply for adjustment assistance this collection is scheduled to expire on under Chapter 2 of Title II of the Trade Act January 31, 2014. The DOL seeks to of 1974, as amended. extend PRA authorization for this DEPARTMENT OF LABOR Signed in Washington, DC, this 5th day of information collection for three (3) more November 2013. years, without any change to existing Employment and Training Michael W. Jaffe, requirements. The DOL also notes that Administration existing information collection Certifying Officer, Office of Trade Adjustment [TA–W–82,455; TA–W–82,455A; TA–W– Assistance. requirements submitted to the OMB 82,455B; TA–W–82,455C; TA–W–82,455D] receive a month-to-month extension [FR Doc. 2013–27935 Filed 11–20–13; 8:45 am] while they undergo review. For First Advantage Corporation, Including BILLING CODE 4510–FN–P additional substantive information On-Site Leased Workers From Tapfin, about this ICR, see the related notice Staffworks, Aerotek Professional DEPARTMENT OF LABOR published in the Federal Register on Services, Randstad, Insight Global, August 21, 2013 (78 FR 51748). LLC and RemX Specialty Staffing, St. Employment and Training Interested parties are encouraged to Petersburg, Florida; First Advantage Administration send comments to the OMB, Office of Corporation, Charlotte, North Carolina, Information and Regulatory Affairs at First Advantage Corporation, [TA–W–82,697] the address shown in the ADDRESSES Bolingbrook, Illinois; First Advantage AT&T Corporation, a Subsidiary of section within 30 days of publication of Corporation, Dallas, Texas; First AT&T Inc., Business Billing Customer this notice in the Federal Register. In Advantage Corporation, Alpharetta, Care, Pittsburgh, Pennsylvania; Notice order to help ensure appropriate Georgia; Amended Certification of Affirmative Determination Regarding consideration, comments should Regarding Eligibility To Apply for Application for Reconsideration mention OMB Control Number 1219– Worker Adjustment Assistance 0014. The OMB is particularly By application dated July 8, 2013, the interested in comments that: In accordance with Section 223 of the Communication Workers of America • Evaluate whether the proposed Trade Act of 1974, as amended (‘‘Act’’), Union, Local 13550, requested collection of information is necessary 19 U.S.C. 2273, the Department of Labor administrative reconsideration of the for the proper performance of the issued a Certification of Eligibility to negative determination regarding functions of the agency, including Apply for Worker Adjustment workers’ eligibility to apply for Trade whether the information will have Assistance on May 9, 2013, applicable Adjustment Assistance (TAA) practical utility; to workers of First Advantage applicable to workers and former • Evaluate the accuracy of the Corporation, St. Petersburg, Florida. The workers of AT&T Corporation, a agency’s estimate of the burden of the Department’s notice of determination subsidiary of AT&T Inc., Business proposed collection of information, was published in the Federal Register Billing Customer Care, Pittsburgh, including the validity of the on May 30, 2013 (78 FR 32464). Pennsylvania (subject firm). The methodology and assumptions used; At the request of a company official, determination was issued on June 6, • Enhance the quality, utility, and the Department reviewed the 2013. The Department’s Notice of clarity of the information to be certification for workers of the subject determination was published in the collected; and firm. The workers are engaged in talent Federal Register on July 2, 2013 (78 FR • Minimize the burden of the acquisition services. 39776). Workers at the subject firm were collection of information on those who The company official reports that engaged in activities related to the are to respond, including through the workers in Charlotte, North Carolina; supply of billing inquiry and billing use of appropriate automated, Bolingbrook, Illinois; Dallas, Texas; and dispute resolution services. electronic, mechanical, or other Alpharetta, Georgia have been separated The negative determination was based technological collection techniques or or are threatened with separation due to on the Department’s findings, with other forms of information technology, the same shift of services to a foreign respect to Section 222(a)(2)(A)(ii) of the e.g., permitting electronic submission of country that has contributed Trade Act of 1974, as amended (the responses. importantly to separations in St. Act), of no increased imports, during the Agency: DOL–MSHA. Petersburg, Florida. The worker group relevant period, of services like or Title of Collection: Hazardous includes workers tele-working from directly competitive with those Conditions Complaints. their homes reporting to these locations. supplied by the subject workers. OMB Control Number: 1219–0014. The amended notice applicable to With respect to Section 222(a)(2)(B) of Affected Public: Individuals or TA–W–82,455 is hereby issued as the Act, the initial investigation households and private sector—not-for- follows: revealed that the subject firm has not profit institutions. All workers of First Advantage shifted the supply of services like or Total Estimated Number of Corporation, including on-site leased workers directly competitive with the billing Respondents: 2,431. from Tapfin, Staffworks, Aerotek Professional inquiry and billing dispute resolution Total Estimated Number of Services, Randstad, Insight Global, LLC, and services supplied by the workers to a Responses: 2,431. RemX Specialty Staffing, St. Petersburg, Florida (TA–W–82,455), Charlotte, North foreign country or acquired the supply Total Estimated Annual Burden Carolina (TA–W–82,455A), Bolingbrook, of like or directly competitive services Hours: 486. Illinois (TA–W–82,455B), Dallas, Texas (TA– from a foreign country. Total Estimated Annual Other Costs W–82,455C), and Alpharetta, Georgia (TA– Rather, the initial investigation Burden: $0. W–82,455D), who became totally or partially confirmed that the worker separations

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00065 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69879

are attributable to a shift of the services Funding Opportunity Number: SGA/ review and selection procedures, and supplied by Business Billing Customer DFA PY–13–01. other program requirements governing Care to other locations within the SUMMARY: The Employment and this solicitation. United States. Training Administration (ETA), U.S. DATES: The closing date for receipt of With respect to Section 222(b)(2) of Department of Labor (DOL), announces applications under this announcement the Act, the initial investigation the availability of approximately is January 27, 2014. Applications must revealed that the subject firm is not a $100 million in grant funds, authorized be received no later than 4:00:00 p.m. Supplier to, or act as a Downstream under Section 414(c) of the American Eastern Time. Producer to, a firm that employed a Competitiveness and Workforce FOR FURTHER INFORMATION CONTACT: group of workers who received a Improvement Act of 1998 (ACWIA), as Ariam Ferro, 200 Constitution Avenue certification of eligibility under Section amended (codified at 29 U.S.C. 2916a), NW., Room N–4716, Washington, DC 222(a) of the Act, 19 U.S.C. 2272(a). for the Youth CareerConnect grant 20210; Telephone: 202–693–3968. Finally, the initial investigation program. The program is designed to revealed that the group eligibility Signed November 18, 2013 in Washington, provide high school students with requirements under Section 222(e) of DC by education and training that combines the Act have not been satisfied because Eric D. Luetkenhaus, rigorous academic and technical the workers’ firm has not been publicly Grant Officer, Employment and Training curricula focused on specific in-demand identified by name by the International Administration. occupations and industries for which Trade Commission as a member of a [FR Doc. 2013–28044 Filed 11–20–13; 8:45 am] employers are using H–1B visas to hire domestic industry in an investigation BILLING CODE 4510–FN–P foreign workers as well as the related resulting in an affirmative finding of activities necessary to support such serious injury, market disruption, or material injury, or threat thereof. training to increase participants’ DEPARTMENT OF LABOR The request for reconsideration employability in H–1B in-demand Employment and Training alleges that the subject firm has shifted industries and occupations. Administration billing services, ordering services, and/ Furthermore, given the large number of H–1B visas in science, technology, or customer support services to Workforce Investment Act: Native Slovakia, Mexico, India, and/or the engineering and math (STEM) industries, pending high quality American Employment and Training Philippines. The petitioner also Council supplied additional information in proposals, DOL expects a large share of regard to employment figures at the the grants to support education and AGENCY: Employment and Training aforementioned locations. training in STEM industries. The Administration, U.S. Department of The Department has carefully ultimate goals for the program are to Labor. reviewed the request for reconsideration ensure that participants gain academic ACTION: Notice of Meeting. and the existing record, and will and occupational skills by completing conduct further investigation to the program and graduating from high SUMMARY: Pursuant to Section 10(a)(2) of determine if the workers meet the school; move into a positive placement the Federal Advisory Committee Act eligibility requirements of the Trade Act following high school that includes (FACA) (Pub. L. 92–463), as amended, of 1974, as amended. unsubsidized employment, post- and Section 166(h)(4) of the Workforce secondary education, long-term Investment Act (WIA) [29 U.S.C. Conclusion occupational skills training, or 2911(h)(4)], notice is hereby given of the After careful review of the Registered Apprenticeship; obtain an next meeting of the Native American application, I conclude that the claim is industry-recognized credential in an Employment and Training Council of sufficient weight to justify H–1B industry or occupation for those (Council), as constituted under WIA. reconsideration of the U.S. Department industries where credential attainment DATES: The meeting will begin at 9:00 of Labor’s prior decision. The is feasible by program completion, in a.m. (Eastern Time) on Tuesday, application is, therefore, granted. addition to a high school diploma; and December 10, 2013, and continue until Signed at Washington, DC, this 23rd day of earn post-secondary credit towards a 5:00 p.m. that day. The meeting will October, 2013. degree or credit-bearing certificate reconvene at 8:30 a.m. on Wednesday, Del Min Amy Chen, issued by an institution of higher December 11, 2013, and adjourn at 4:30 p.m. that day. The period from 2:00 p.m. Certifying Officer, Office of Trade Adjustment education. Assistance. As stated under Section 414(c) of to 4:00 p.m. on December 11, 2013, will ACWIA, grants under this SGA will be be reserved for participation and [FR Doc. 2013–27934 Filed 11–20–13; 8:45 am] awarded to partnerships of public and presentations by members of the public. BILLING CODE 4510–FN–P private sector entities. Approximately The meeting will reconvene at 9:00 a.m. $100 million is expected to be available on Thursday, December 12, 2013, and DEPARTMENT OF LABOR to fund approximately 25 to 40 grants. adjourn at 12:00 p.m. that day. DOL intends to fund grants ranging from ADDRESSES: The meeting will be held at Employment and Training $2 million to $7 million. Grants can be the U.S. Department of Labor, Francis Administration used to fund programs in a single site Perkins Building, 200 Constitution or to fund multi-site programs. Avenue, Northwest, Room 5515, Room Notice of Availability of Funds and The complete SGA and any 1, Washington, DC 20210. Solicitation for Grant Applications for subsequent SGA amendments in SUPPLEMENTARY INFORMATION: The the Youth CareerConnect Program connection with this solicitation are meeting is open to the public. Members AGENCY: Employment and Training described in further detail on ETA’s of the public interested in providing Administration, Labor. Web site at http://www.doleta.gov/ comment can also call 888–396–9185, grants/ or on http://www.grants.gov. The participant passcode: 8137947 on ACTION: Notice of solicitation for grant Web sites provide application December 11, 2013 from 2:00 p.m. applications. information, eligibility requirements, through 4:00 p.m. (Eastern Time).

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00066 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69880 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

Members of the public not present (1) A significant number or proportion (1) A significant number or proportion may submit a written statement on or of the workers in such workers’ firm of the workers in the public agency have before December 6, 2013, to be included have become totally or partially become totally or partially separated, or in the record of the meeting. Submit separated, or are threatened to become are threatened to become totally or written statements to Mrs. Evangeline totally or partially separated; partially separated; M. Campbell, Designated Federal (2) the sales or production, or both, of (2) the public agency has acquired Official (DFO), U.S. Department of such firm have decreased absolutely; from a foreign country services like or Labor, 200 Constitution Avenue, and directly competitive with services Northwest, Room S–4209, Washington, (3) One of the following must be which are supplied by such agency; and DC 20210. Persons who need special satisfied: (3) the acquisition of services accommodations should contact Mr. (A) Imports of articles or services like contributed importantly to such Craig Lewis at (202) 693–3384, at least or directly competitive with articles workers’ separation or threat of two business days before the meeting. produced or services supplied by such separation. The formal agenda will focus on the firm have increased; In order for an affirmative following topics: (1) Program Year 2013 (B) imports of articles like or directly determination to be made for adversely and 2014 Strategic Plan; (2) U.S. competitive with articles into which one affected secondary workers of a firm and Department of Labor (DOL), or more component parts produced by a certification issued regarding Employment and Training such firm are directly incorporated, eligibility to apply for worker Administration Update; (3) Training and have increased; adjustment assistance, each of the group Technical Assistance; (4) Statement of (C) imports of articles directly eligibility requirements of Section Urgency White Paper on Our Story incorporating one or more component 222(c) of the Act must be met. Projects; and (5) Council Update and parts produced outside the United (1) a significant number or proportion Recommendations. States that are like or directly of the workers in the workers’ firm have FOR FURTHER INFORMATION CONTACT: Mrs. competitive with imports of articles become totally or partially separated, or Evangeline M. Campbell, DFO, Division incorporating one or more component are threatened to become totally or of Indian and Native American parts produced by such firm have partially separated; Programs, Employment and Training increased; (2) the workers’ firm is a Supplier or Administration, U.S. Department of (D) imports of articles like or directly Downstream Producer to a firm that Labor, Room S–4209, 200 Constitution competitive with articles which are employed a group of workers who Avenue, Northwest, Washington, DC produced directly using services received a certification of eligibility 20210. Telephone number (202) 693– supplied by such firm, have increased; under Section 222(a) of the Act, and 3737 (VOICE) (this is not a toll-free and such supply or production is related to (4) the increase in imports contributed number). the article or service that was the basis importantly to such workers’ separation for such certification; and Signed at Washington, DC, this 8th day of or threat of separation and to the decline (3) either— November 2013. in the sales or production of such firm; (A) the workers’ firm is a supplier and Eric M. Seleznow, or the component parts it supplied to the Acting Assistant Secretary, Employment and II. Section 222(a)(2)(B) all of the firm described in paragraph (2) Training Administration. following must be satisfied: accounted for at least 20 percent of the [FR Doc. 2013–27943 Filed 11–20–13; 8:45 am] (1) A Significant number or production or sales of the workers’ firm; BILLING CODE 4501–FR–P proportion of the workers in such or workers’ firm have become totally or (B) a loss of business by the workers’ partially separated, or are threatened to firm with the firm described in DEPARTMENT OF LABOR become totally or partially separated; paragraph (2) contributed importantly to (2) One of the following must be the workers’ separation or threat of Employment and Training satisfied: separation. Administration (A) There has been a shift by the In order for an affirmative workers’ firm to a foreign country in the Notice of Determinations Regarding determination to be made for adversely production of articles or supply of Eligibility To Apply for Worker affected workers in firms identified by services like or directly competitive Adjustment Assistance the International Trade Commission and with those produced/supplied by the a certification issued regarding In accordance with Section 223 of the workers’ firm; eligibility to apply for worker Trade Act of 1974, as amended (19 (B) there has been an acquisition from adjustment assistance, each of the group U.S.C. 2273) the Department of Labor a foreign country by the workers’ firm eligibility requirements of Section 222(f) herein presents summaries of of articles/services that are like or of the Act must be met. determinations regarding eligibility to directly competitive with those (1) the workers’ firm is publicly apply for trade adjustment assistance for produced/supplied by the workers’ firm; identified by name by the International workers by (TA–W) number issued and Trade Commission as a member of a during the period of October 21, 2013 (3) The shift/acquisition contributed domestic industry in an investigation through November 1, 2013. importantly to the workers’ separation resulting in— In order for an affirmative or threat of separation. (A) an affirmative determination of determination to be made for workers of In order for an affirmative serious injury or threat thereof under a primary firm and a certification issued determination to be made for adversely section 202(b)(1); regarding eligibility to apply for worker affected workers in public agencies and (B) an affirmative determination of adjustment assistance, each of the group a certification issued regarding market disruption or threat thereof eligibility requirements of Section eligibility to apply for worker under section 421(b)(1); or 222(a) of the Act must be met. adjustment assistance, each of the group (C) an affirmative final determination I. Under Section 222(a)(2)(A), the eligibility requirements of Section of material injury or threat thereof under following must be satisfied: 222(b) of the Act must be met. section 705(b)(1)(A) or 735(b)(1)(A) of

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00067 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69881

the Tariff Act of 1930 (19 U.S.C. (B) notice of an affirmative Affirmative Determinations for Worker 1671d(b)(1)(A) and 1673d(b)(1)(A)); determination described in Adjustment Assistance (2) the petition is filed during the 1- subparagraph (1) is published in the The following certifications have been year period beginning on the date on Federal Register; and issued. The date following the company which— (3) the workers have become totally or name and location of each (A) a summary of the report submitted partially separated from the workers’ determination references the impact to the President by the International firm within— date for all workers of such Trade Commission under section (A) the 1-year period described in determination. 202(f)(1) with respect to the affirmative paragraph (2); or The following certifications have been determination described in paragraph (B) notwithstanding section 223(b)(1), issued. The requirements of Section (1)(A) is published in the Federal the 1-year period preceding the 1-year 222(a)(2)(A) (increased imports) of the Register under section 202(f)(3); or period described in paragraph (2). Trade Act have been met.

TA–W No. Subject firm Location Impact date

82,729 ...... Panduit Corporation, Aerotek ...... Lockport, IL ...... May 13, 2012. 82,880 ...... DAK Americas LLC, Mundy Maintenance, Services and Operations, Leland, NC ...... July 5, 2012. LLC, Clearwater Loaders, etc. 82,994 ...... Liberty Tire Services of Ohio, LLC, Liberty Tire Recycling Holdco, LLC ... Braddock, PA ...... August 14, 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

82,689 ...... Emcore Corporation, Emcore Photovoltaic Division ...... Albuquerque, NM ...... April 23, 2012. 82,824 ...... OneWest Bank, OneWest Resources, LLC, Cognizant, Legal People, etc Austin, TX ...... June 18, 2012. 82,883 ...... NCR ...... Duluth, GA ...... July 8, 2012. 82,900 ...... Honeywell International, Inc., Aerospace Order Management Division, Phoenix, AZ ...... July 11, 2012. Tapfin-Manpower Group Solutions. 82,900A ...... Honeywell International, Inc., Aerospace Order Management Division, Tempe, AZ ...... July 11, 2012. Tapfin-Manpower Group Solutions. 82,900B ...... Honeywell International, Inc., Aerospace Order Management Division, Tulsa, OK ...... July 11, 2012. Tapfin-Manpower Group Solutions. 82,967 ...... Johnson Controls, Inc., Building Efficiency Div., Staffmark and Express Erlanger, KY ...... July 21, 2012. Employment Professionals. 82,993 ...... Welch Allyn, Kelly Services ...... Beaverton, OR ...... August 14, 2012. 82,993A ...... Welch Allyn, Manufacturing Division, Kelly Services ...... Skaneateles, NY ...... August 14, 2012. 83,008 ...... Quest Diagnostics, IT Infrastructure and IT Applications Support, TATA Addison, TX ...... August 20, 2012. America Int’l, etc. 83,008A ...... Quest Diagnostics, IT Infrastructure ...... Alameda, CA ...... August 20, 2012. 83,008AA ..... Quest Diagnostics, IT Infrastructure and IT Applications Support, HCL Las Vegas, NV ...... August 20, 2012. Technologies and Judge. 83,008B ...... Quest Diagnostics, IT Infrastructure and IT Applications Support, Judge Cypress, CA ...... August 20, 2012. Technical Services. 83,008BB ..... Quest Diagnostics, IT Infrastructure and IT Applications Support, HCL Lyndhurst, NJ ...... August 20, 2012. America, etc. 83,008C ...... Quest Diagnostics, IT Applications Support, Henry Elliott & Com- Northridge, CA ...... August 20, 2012. pany, Inc. 83,008CC ..... Quest Diagnostics, IT Infrastructure ...... Teterboro, NJ ...... August 20, 2012. 83,008D ...... Quest Diagnostics, IT Applications Support ...... Sacramento, CA ...... August 20, 2012. 83,008DD ..... Quest Diagnostics, IT Infrastructure ...... Cincinnati, OH ...... August 20, 2012. 83,008E ...... Quest Diagnostics, IT Applications Support, HCL America, Iconma LLC, San Clemente, CA ...... August 20, 2012. Idea Solutions, etc. 83,008EE ..... Quest Diagnostics, IT Infrastructure ...... Mason, OH ...... August 20, 2012. 83,008F ...... Quest Diagnostics, IT Infrastructure and IT Applications Support, Iconma San Juan Capistrano, CA .... August 20, 2012. LLC, Judge Technical. 83,008FF ..... Quest Diagnostics, IT Applications Support ...... Portland, OR ...... August 20, 2012. 83,008G ...... Quest Diagnostics, IT Applications Support, Iconma LLC ...... South San Francisco, CA .... August 20, 2012. 83,008GG .... Quest Diagnostics, IT Applications Support, Judge Technical Services ... Chesterbrook, PA ...... August 20, 2012. 83,008H ...... Quest Diagnostics, IT Infrastructure and IT Applications Support, HCL Valencia, CA ...... August 20, 2012. America, etc. 83,008HH ..... Quest Diagnostics, IT Applications Support, TATA America Int’l Corpora- Collegeville, PA ...... August 20, 2012. tion. 83,008I ...... Quest Diagnostics, IT Infrastructure and IT Applications Support ...... West Hills, CA ...... August 20, 2012. 83,008II ...... Quest Diagnostics, IT Infrastructure and IT Applications Support, HCL Norristown, PA ...... August 20, 2012. America, etc. 83,008J ...... Quest Diagnostics, IT Applications Support, TATA America Int’l Corpora- Wallingford, CT ...... August 20, 2012. tion. 83,008JJ ...... Quest Diagnostics, IT Infrastructure and IT Applications Support, Henry Pittsburgh, PA ...... August 20, 2012. Elliott & Company, etc.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00068 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69882 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

TA–W No. Subject firm Location Impact date

83,008K ...... Quest Diagnostics, IT Applications Support, Judge Technical Services ... Denver, CO ...... August 20, 2012. 83,008KK ..... Quest Diagnostics, IT Infrastructure and IT Applications Support ...... West Norriton, PA ...... August 20, 2012. 83,008L ...... Quest Diagnostics, IT Infrastructure ...... Deerfield Beach, FL ...... August 20, 2012. 83,008LL ...... Quest Diagnostics, IT Applications Support, TATA America Int’l Corpora- Cranston, RI ...... August 20, 2012. tion. 83,008M ...... Quest Diagnostics, IT Infrastructure ...... Orlando, FL ...... August 20, 2012. 83,008MM .... Quest Diagnostics, IT Applications Support ...... Columbia, SC ...... August 20, 2012. 83,008N ...... Quest Diagnostics, IT Infrastructure ...... Tampa, FL ...... August 20, 2012. 83,008NN ..... Quest Diagnostics, IT Infrastructure ...... Lebanon, TN ...... August 20, 2012. 83,008O ...... Quest Diagnostics, IT Infrastructure ...... Tampa, FL ...... August 20, 2012. 83,008OO .... Quest Diagnostics, IT Infrastructure and IT Applications Support, Judge Dallas, TX ...... August 20, 2012. Technical Services. 83,008P ...... Quest Diagnostics, IT Infrastructure ...... Tampa, FL ...... August 20, 2012. 83,008PP ..... Quest Diagnostics, IT Infrastructure ...... Chantilly, VA ...... August 20, 2012. 83,008Q ...... Quest Diagnostics, IT Infrastructure, CGI Technologies and Solutions, Venice, FL ...... August 20, 2012. Inc. 83,008QQ .... Quest Diagnostics, IT Applications Support ...... Vancouver, WA ...... August 20, 2012. 83,008R ...... Quest Diagnostics, IT Infrastructure ...... Tucker, GA ...... August 20, 2012. 83,008S ...... Quest Diagnostics, IT Infrastructure ...... Schaumburg, IL ...... August 20, 2012. 83,008T ...... Quest Diagnostics, IT Infrastructure and IT Applications Support, Insight Lenexa, KS ...... August 20, 2012. Global, Inc. 83,008U ...... Quest Diagnostics, IT Infrastructure ...... Baltimore, MD ...... August 20, 2012. 83,008V ...... Quest Diagnostics, IT Infrastructure ...... Cambridge, MA ...... August 20, 2012. 83,008W ...... Quest Diagnostics, IT Applications Support, Compass Systems & Pro- Worcester, MA ...... August 20, 2012. gramming, etc. 83,008X ...... Quest Diagnostics, IT Applications Support, TATA America Int’l Corpora- Auburn Hills, MI ...... August 20, 2012. tion. 83,008Y ...... Quest Diagnostics, IT Infrastructure and IT Applications Support ...... St. Louis, MO ...... August 20, 2012. 83,008Z ...... Quest Diagnostics, IT Applications Support ...... Lincoln, NE ...... August 20, 2012. 83,023 ...... Lumenis, Inc., Lumenis, Ltd ...... Salt Lake City, UT ...... August 21, 2012. 83,029 ...... Psion Corporation, Motorola Solutions, Inc., Repair and Refurbishment, Hebron, KY ...... August 12, 2012. Finance Dept.. 83,032 ...... Hireright, Inc., International Background Checks Division, Altegrity ...... Irvine, CA ...... August 27, 2012. 83,060 ...... Lonza Biologics, Inc., Lonza Group, Ltd., Aerotek and Suburban Group Hopkinton, MA ...... September 1, 2012. 83,063 ...... Henkel Corporation, Henkel of America, Inc., Customer Service Group, Rocky Hill, CT ...... September 6, 2012. Agile1. 83,065 ...... Imation Corporation ...... Oakdale, MN ...... September 6, 2012. 83,065A ...... Imation Corporation ...... Campbell, CA ...... September 6, 2012. 83,065B ...... Imation Corporation ...... Thousand Oaks, CA ...... September 6, 2012. 83,065C ...... Imation Corporation ...... Escondido, CA ...... September 6, 2012. 83,066 ...... PCC Airfoils, LLC, Precision Castparts Corporation, Randstad ...... Minerva, OH ...... September 5, 2012. 83,066A ...... PCC Airfoils, LLC, Precision Castparts Corporation, Randstad ...... Crooksville, OH ...... September 5, 2012. 83,068 ...... FLSmidth Salt Lake City, Inc., Finance Services Division ...... Midvale, UT ...... September 5, 2012. 83,069 ...... FLSmidth Spokane, Inc., Financial Services Division, Volt Management Spokane, WA ...... September 5, 2012. Corporation. 83,077 ...... Mitel Delaware, Inc., Technical Support Department, Mitel Networks Cor- Mesa, AZ ...... September 12, 2012. poration. 83,079 ...... TTelectronics/BiTechnologies, Ghro, Kelly Services, Pathway Fullerton, CA ...... September 12, 2012. (Presviously "MJO") and Spherion. 83,086 ...... PI. U.S. Holding Inc., Workers Reporting Wages under Rheem Sales Fort Smith, AR ...... August 5, 2013. Company and Rheem, etc. 83,087 ...... Schweitzer-Mauduit International, Gallman Personnel Services of the Newberry, SC ...... September 16, 2012. Midlands and J&J Services. 83,091 ...... Gits Manufacturing Company, LLC, Creston Plant Division, Actuant Creston, IA ...... September 16, 2012. Corp., Advance Services, etc. 83,094 ...... Caterpillar Reman Powertrain Services, Inc., Caterplillar, Inc., Summerville, SC ...... September 17, 2012. Accountemps, Aerotek, Phillips Staffing, etc. 83,101 ...... InterMetro Industries Corporation, Fostoria, Ohio Facility Division, Emer- Fostoria, OH ...... December 16, 2013. son. 83,110 ...... TK Holding, Inc., Finance Department ...... San Antonio, TX ...... August 30, 2012. 83,110A ...... TK Holding, Inc., Finance Department ...... Greensboro, NC ...... August 30, 2012. 83,119 ...... Times Fiber Communications, Amphenol ...... Chatham, VA ...... April 26, 2013. 83,126 ...... Abbott Laboratories, Abbott Vascular Division, TapFin ...... Temecula, CA ...... September 27, 2012. 83,127 ...... Robert Bosch Tool Corporation, Measuring Tools, Power Tools North Watseka, IL ...... September 27, 2012. America Division, Manpower. 83,134 ...... Hoover Universal, Inc., Johnson Controls, Inc., Automotive Experience El Paso, TX ...... October 10, 2012. Div., Finished Goods, Elwood. 83,138 ...... Cummins Filtration, Cummins Inc., Manpower ...... Lake Mills, IA ...... October 20, 2013. 83,138A ...... Leased Workers from Whelan Security, Cummins Filtration ...... Lake Mills, IA ...... September 30, 2012. 83,147 ...... Warren Corporation, Loro Piana S.P.A., Textile Division ...... Stafford Springs, CT ...... December 15, 2013

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00069 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69883

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 No. Subject firm Location Impact date

82,870 ...... Keystone Printed Specialties ...... Old Forge, PA ...... July 1, 2012.

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 No. Subject firm Location Impact date

82,943 ...... Pepperidge Farms, Aiken Staffing ...... Aiken, SC. 82,996 ...... Pratt & Whitney, United Technologies Corp., Global Supply Chain, East Hartford, CT. Quest Global Staffing, etc. 82,996A ...... Pratt & Whitney, United Technologies Corp., Global Supply Chain, Middletown, CT. Quest Global Staffing, etc. 83,061 ...... Bank of America, Internal Call Center ...... Fresno, CA. 83,067 ...... Infiniti Plastic Technologies Inc., Infiniti Media Inc ...... Paducah, KY. 83,092 ...... Green Mountain Power Corporation, Northern New England Energy Colchester, VT. Corp., Meter Services Div., Meter Operations. 83,097 ...... SBE, Inc., D/B/A SB Electronics, Inc., Orange Drop Product Line ...... Barre, VT. 83,098 ...... Palomar Health, Medical Transcription Department ...... Escondido, CA.

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

83,003 ...... Daikin McQuay ...... Auburn, NY 83,142 ...... JCS 5 Star Outlet, SB Capital Acquisitions ...... Columbus, OH

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

83,046 ...... Fairchild Semiconductor, Product Development Group ...... West Jordan, UT

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

83,141 ...... Pitney Bowes, Inc., Customer Support Services Group ...... Neenah, WI

I hereby certify that the Signed at Washington, DC this 7th day of DEPARTMENT OF LABOR aforementioned determinations were November 2013. issued during the period of October 21, Michael W. Jaffe, Employment and Training 2013 through November 1, 2013. These Certifying Officer, Office of Trade Adjustment Administration determinations are available on the Assistance. Investigations Regarding Eligibility To Department’s Web site tradeact/taa/taa_ [FR Doc. 2013–27938 Filed 11–20–13; 8:45 am] _ Apply for Worker Adjustment search form.cfm under the searchable BILLING CODE 4510–FN–P Assistance listing of determinations or by calling the Office of Trade Adjustment Petitions have been filed with the Assistance toll free at 888–365–6822. Secretary of Labor under Section 221(a)

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00070 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69884 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

of the Trade Act of 1974 (‘‘the Act’’) and or partial separations began or Assistance, at the address shown below, are identified in the Appendix to this threatened to begin and the subdivision not later than December 2, 2013. notice. Upon receipt of these petitions, of the firm involved. The petitions filed in this case are the Director of the Office of Trade The petitioners or any other persons available for inspection at the Office of Adjustment Assistance, Employment showing a substantial interest in the the Director, Office of Trade Adjustment and Training Administration, has subject matter of the investigations may Assistance, Employment and Training instituted investigations pursuant to request a public hearing, provided such Administration, U.S. Department of Section 221(a) of the Act. request is filed in writing with the Labor, Room N–5428, 200 Constitution The purpose of each of the Director, Office of Trade Adjustment Avenue NW., Washington, DC 20210. investigations is to determine whether Assistance, at the address shown below, the workers are eligible to apply for not later than December 2, 2013. Signed at Washington, DC, this 5th day of adjustment assistance under Title II, Interested persons are invited to November, 2013. Chapter 2, of the Act. The investigations submit written comments regarding the Michael W. Jaffe, will further relate, as appropriate, to the subject matter of the investigations to Certifying Officer, Office of Trade Adjustment determination of the date on which total the Director, Office of Trade Adjustment Assistance.

APPENDIX [20 TAA petitions instituted between 10/21/13 and 10/25/13]

Subject firm Date of Date of TA–W (petitioners) Location institution petition

83154 ...... PolyOne Corporation (Union) ...... Donora, PA ...... 10/21/13 10/18/13 83155 ...... Veolia Water Facility (State/One-Stop) ...... Jackson, MI ...... 10/21/13 10/04/13 83156 ...... Travelers Insurance (Workers) ...... Syracuse, NY ...... 10/21/13 10/17/13 83157 ...... Eaton (Company) ...... Goldsboro, NC ...... 10/21/13 10/20/13 83158 ...... NCR (State/One-Stop) ...... Bentonville, AR ...... 10/21/13 10/07/13 83159 ...... Native Accents LLC (Company) ...... Big Sky, MT ...... 10/22/13 10/21/13 83160 ...... AMP–A Fletcher Co. (Company) ...... Pontotoc, MS ...... 10/22/13 10/21/13 83161 ...... American Express TRS (State/One-Stop) ...... Salt Lake City, UT ...... 10/22/13 10/21/13 83162 ...... Siemens Industry Inc. (Company) ...... Elgin, IL ...... 10/22/13 10/21/13 83163 ...... Osram Sylvania (State/One-Stop) ...... Luquillo, PR ...... 10/22/13 10/21/13 83164 ...... Philips Lumileds Lighting Co. LLC (Company) ...... San Jose, CA ...... 10/22/13 10/18/13 83165 ...... York Newspaper Company, Lebanon Daily News (Com- York, PA ...... 10/23/13 10/22/13 pany). 83166 ...... Ryder Systems, Inc. (Workers) ...... Grove City, PA ...... 10/24/13 10/23/13 83167 ...... Flotation Technologies LLC (State/One-Stop) ...... Biddeford, ME ...... 10/24/13 10/23/13 83168 ...... Jabil Circuit Inc (State/One-Stop) ...... Tempe, AZ ...... 10/24/13 10/22/13 83169 ...... AlberCorp (Company) ...... Pompano Beach, FL ...... 10/24/13 10/23/13 83170 ...... Ball Metal Container Corp. (State/One-Stop) ...... Gainesville, FL ...... 10/25/13 10/24/13 83171 ...... Cigna Health and Life Insurance Company (State/One- St. Louis, MO ...... 10/25/13 10/24/13 Stop). 83172 ...... Decanter Machine, Inc. (Company) ...... Roebuck, SC ...... 10/25/13 10/24/13 83173 ...... Masco Cabinetry LLC (Company) ...... Jackson, OH ...... 10/25/13 10/21/13

[FR Doc. 2013–27936 Filed 11–20–13; 8:45 am] instituted investigations pursuant to Interested persons are invited to BILLING CODE 4510–FN–P Section 221(a) of the Act. submit written comments regarding the The purpose of each of the subject matter of the investigations to investigations is to determine whether the Director, Office of Trade Adjustment DEPARTMENT OF LABOR the workers are eligible to apply for Assistance, at the address shown below, adjustment assistance under Title II, not later than December 2, 2013. Employment and Training Chapter 2, of the Act. The investigations Administration will further relate, as appropriate, to the The petitions filed in this case are determination of the date on which total available for inspection at the Office of Investigations Regarding Eligibility To or partial separations began or the Director, Office of Trade Adjustment Apply for Worker Adjustment threatened to begin and the subdivision Assistance, Employment and Training Assistance of the firm involved. Administration, U.S. Department of Petitions have been filed with the The petitioners or any other persons Labor, Room N–5428, 200 Constitution Secretary of Labor under Section 221(a) showing a substantial interest in the Avenue NW., Washington, DC 20210. of the Trade Act of 1974 (‘‘the Act’’) and subject matter of the investigations may Signed at Washington, DC, this 7th day of are identified in the Appendix to this request a public hearing, provided such November 2013. request is filed in writing with the notice. Upon receipt of these petitions, Michael W. Jaffe, the Director of the Office of Trade Director, Office of Trade Adjustment Adjustment Assistance, Employment Assistance, at the address shown below, Certifying Officer, Office of Trade Adjustment and Training Administration, has not later than December 2, 2013. Assistance.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00071 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69885

APPENDIX [18 TAA petitions instituted between 10/28/13 and 11/1/13]

Subject firm Date of Date of TA–W (petitioners) Location institution petition

83174 ...... Atmel Corporation (State/One-Stop) ...... Colorado Springs, CO ...... 10/28/13 10/24/13 83175 ...... John Wiley and Sons, Inc. (Workers) ...... Indianapolis, IN ...... 10/28/13 10/25/13 83176 ...... Circor-Spence Engineering Co., Inc. (Union) ...... Walden, NY ...... 10/29/13 10/22/13 83177 ...... JP Morgan Chase. Portfolio & Product Management/Solici- Florence, SC ...... 10/29/13 10/28/13 tations (Workers). 83178 ...... The Berry Company, LLC (Workers) ...... Erie, PA ...... 10/30/13 10/10/13 83179 ...... Gamesa Technology Corporation (Union) ...... Trevose & Fairless Hills, PA 10/30/13 10/29/13 83180 ...... Huber + Suhner, Inc. (State/One-Stop) ...... Essex Junction, VT ...... 10/30/13 10/29/13 83181 ...... Kloeckner Metals (Company) ...... Bensalem, PA ...... 10/30/13 10/29/13 83182 ...... Metlife (State/One-Stop) ...... Johnstown, PA ...... 10/30/13 10/29/13 83183 ...... Page 1 Solutions (State/One-Stop) ...... Golden, CO ...... 10/30/13 10/28/13 83184 ...... Redflex Traffic Systems, Inc. (Workers) ...... Phoenix, AZ ...... 10/30/13 10/29/13 83185 ...... Honeywell International (Workers) ...... Melbourne, FL ...... 10/31/13 10/30/13 83186 ...... Ruskin Company (Union) ...... Fairmont, WV ...... 10/31/13 10/30/13 83187 ...... SPX-Clydeunion Pumps (Workers) ...... Battle Creek, MI ...... 10/31/13 10/22/13 83188 ...... John Wiley & Sons (Workers) ...... Hoboken, NJ ...... 10/31/13 10/30/13 83189 ...... Capgemini (Workers) ...... Irving, TX ...... 10/31/13 10/30/13 83190 ...... Rockwell Collins Dallas Service Center (Workers) ...... Irving, TX ...... 11/01/13 10/31/13 83191 ...... Victor Innovative Textiles, LLC (Company) ...... Fall River, MA ...... 11/01/13 10/30/13

[FR Doc. 2013–27937 Filed 11–20–13; 8:45 am] interested in participating in the SUMMARY: Summary of Application: BILLING CODE 4510–FN–P meeting by WebEx and telephone Applicants request an order that would should contact Ms. Susan L. Minor at permit them to enter into and materially (202) 358–0566 for the web link, toll- amend subadvisory agreements with NATIONAL AERONAUTICS AND free number and passcode. The agenda Wholly-Owned Sub-Advisors (as SPACE ADMINISTRATION for the meeting includes the following defined below) and non-affiliated sub- topics: advisers without shareholder approval [Notice: 13–133] • Langley Research Center Overview and would grant relief from certain • NASA Advisory Council; Aeronautics National Research Council Autonomy disclosure requirements. Committee; Meeting Study Update APPLICANTS: AIM Growth Series (Invesco • Rotary Wing Project Discussion • Growth Series) and AIM Investment AGENCY: National Aeronautics and Advanced Composites Project Funds (Invesco Investment Funds) Space Administration. Planning Update (each, a ‘‘Trust’’), and Invesco Advisers, ACTION: Notice of meeting. It is imperative that these meetings be Inc. (the ‘‘Advisor’’). held on this date to accommodate the DATES: Filing Dates: The application was SUMMARY: In accordance with the scheduling priorities of the key filed on August 27, 2013, and amended Federal Advisory Committee Act, Public participants. Law 92–463, as amended, the National on November 1, 2013. Aeronautics and Space Administration Patricia D. Rausch, HEARING OR NOTIFICATION OF HEARING: An announces a meeting of the Aeronautics Advisory Committee Management Officer, order granting the application will be Committee of the NASA Advisory National Aeronautics and Space issued unless the Commission orders a Administration. Council. This Committee reports to the hearing. Interested persons may request NAC. The meeting will be held for the [FR Doc. 2013–27855 Filed 11–20–13; 8:45 am] a hearing by writing to the purpose of soliciting, from the BILLING CODE 7510–13–P Commission’s Secretary and serving aeronautics community and other applicants with a copy of the request, persons, research and technical personally or by mail. Hearing requests information relevant to program SECURITIES AND EXCHANGE should be received by the Commission planning. COMMISSION by 5:30 p.m. on December 9, 2013, and should be accompanied by proof of DATES: Tuesday, December 3, 2013, 9:00 [Investment Company Act Release No. service on applicants, in the form of an a.m. to 3:45 p.m.; Local Time. 30785; File No. 812–14204] affidavit or, for lawyers, a certificate of ADDRESSES: National Institute of AIM Growth Series (Invesco Growth service. Hearing requests should state Aerospace Headquarters, Room 101, 100 Series), et al.; Notice of Application the nature of the writer’s interest, the Exploration Way, Hampton, VA 23666. reason for the request, and the issues FOR FURTHER INFORMATION CONTACT: Ms. November 15, 2013. contested. Persons who wish to be Susan L. Minor, Executive Secretary for AGENCY: Securities and Exchange notified of a hearing may request the Aeronautics Committee, NASA Commission (‘‘Commission’’). notification by writing to the Headquarters, Washington, DC 20546, ACTION: Notice of an application under Commission’s Secretary. section 6(c) of the Investment Company (202) 358–0566, or susan.l.minor@ ADDRESSES: Elizabeth M. Murphy, Act of 1940 (‘‘Act’’) for an exemption nasa.gov. Secretary, U.S. Securities and Exchange from section 15(a) of the Act and rule SUPPLEMENTARY INFORMATION: The Commission, 100 F Street NE., 18f–2 under the Act, as well as from meeting will be open to the public up Washington, DC 20549–1090. certain disclosure requirements. to the capacity of the room. Any person Applicants: Invesco Advisers, Inc., 11

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00072 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69886 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

Greenway Plaza, Suite 2500, Houston, (‘‘Investment Management Agreement’). and (ii) materially amend Sub-Advisory TX 77046. Each Investment Management Agreements with the Sub-Advisors.5 FOR FURTHER INFORMATION CONTACT: Agreement has been or will be approved The requested relief will not extend to Laura J. Riegel, Senior Counsel, at (202) by the board of trustees of the relevant any sub-adviser, other than a Wholly- 551–6873, or Mary Kay Frech, Assistant Trust (‘‘Board’’),3 including a majority Owned Sub-Advisor, who is an Director (Acting), at (202) 551–6821 of the members of the Board who are not affiliated person, as defined in section (Division of Investment Management, ‘‘interested persons,’’ as defined in 2(a)(3) of the Act, of the Subadvised Exemptive Applications Office). section 2(a)(19) of the Act, of the Series Series, the applicable Trust, or of the SUPPLEMENTARY INFORMATION: The or the Advisor (‘‘Independent Board Advisor, other than by reason of serving following is a summary of the Members’’) and by the shareholders of as a sub-adviser to one or more of the application. The complete application the relevant Series as required by Subadvised Series (‘‘Affiliated Sub- may be obtained via the Commission’s sections 15(a) and 15(c) of the Act and Advisor’’). Web site by searching for the file rule 18f–2 thereunder. The terms of 5. Pursuant to each Investment number or an applicant using the these Investment Management Management Agreement, the Advisor Company name box, at http:// Agreements comply or will comply with has overall responsibility for the www.sec.gov/search/search.htm or by section 15(a) of the Act. management and investment of the assets of each Subadvised Series. These calling (202) 551–8090. 3. Under the terms of each Investment Management Agreement, the Advisor, responsibilities include recommending Applicants’ Representations subject to the supervision of the Board, the removal or replacement of Sub- 1. Each Trust is organized as a will provide continuous investment Advisors, determining the portion of Delaware statutory trust and is management of the assets of each Series. that Subadvised Series’ assets to be registered under the Act as an open-end The Advisor will periodically review a managed by any given Sub-Advisor and management investment company. Each Series’ investment policies and reallocating those assets as necessary Trust currently intends to introduce at strategies, and based on the need of a from time to time. least one series of shares (each, a particular Series may recommend 6. The Advisor may enter into sub- ‘‘Series’’) with its own distinct changes to the investment policies and advisory agreements with various Sub- investment objective, policies and strategies of the Series for consideration Advisors (‘‘Sub-Advisory Agreements’’) restrictions that would operate under a by the Board. For its services to each to provide investment management multi-manager structure. The Advisor is Series under the applicable Investment services to the Subadvised Series. The terms of each Sub-Advisory Agreement a Delaware corporation and is registered Management Agreement, the Advisor comply or will comply fully with the as an investment adviser under the will receive an investment management requirements of section 15(a) of the Act Investment Advisers Act of 1940 fee from that Series. Each Investment and have been or will be approved by (‘‘Advisers Act’’).1 The Advisor is a Management Agreement provides that the Board, including a majority of the wholly-owned subsidiary of Invesco Ltd the Advisor may, subject to the approval Independent Board Members and the (‘‘Invesco’’). Invesco maintains an asset of the Board, including a majority of the initial shareholder of the applicable management presence through wholly- Independent Board Members, and the Subadvised Series, in accordance with owned subsidiaries, including the shareholders of the applicable sections 15(a) and 15(c) of the Act and Advisor. Subadvised Series (if required), delegate rule 18f–2 thereunder. The Sub- 2. Each Series has or will have, as its portfolio management responsibilities of Advisors, subject to the supervision of investment adviser, the Advisor, or an all or a portion of the assets of a the Advisor and oversight of the Board, entity controlling, controlled by or Subadvised Series to one or more Sub- will determine the securities and other under common control with the Advisor Advisors.4 investments to be purchased or sold by or its successors (included in the term, 4. Applicants request an order to a Subadvised Series and place orders the ‘‘Advisor’’).2 The Advisor will serve permit the Advisor, subject to the with brokers or dealers that they select. as the investment adviser to each Series approval of the Board of the relevant Trust, including a majority of the The Advisor will compensate each Sub- pursuant to an investment advisory Advisor out of the fee paid to the agreement with the relevant Trust Independent Board Members, to, without obtaining shareholder approval: Advisor under the applicable Investment Management Agreement. 1 (i) Select Sub-Advisors to manage all or Applicants request that the relief apply to 7. Subadvised Series will inform applicants, as well as to any future Series and any a portion of the assets of a Series and shareholders of the hiring of a new Sub- other existing or future registered open-end enter into Sub-Advisory Agreements (as management investment company or series thereof Advisor pursuant to the following defined below) with the Sub-Advisors, that is advised by the Advisor, uses the multi- procedures (‘‘Modified Notice and manager structure described in the application, and Access Procedures’’): (a) Within 90 days complies with the terms and conditions of the 3 The term ‘‘Board’’ also includes the board of application (‘‘Subadvised Series’’). All registered trustees or directors of a future Subadvised Series. after a new Sub-Advisor is hired for any open-end investment companies that currently 4 A ‘‘Sub-Advisor’’ is (a) an indirect or direct Subadvised Series, that Subadvised intend to rely on the requested order are named as ‘‘wholly-owned subsidiary’’ (as such term is Series will send its shareholders either applicants. Any entity that relies on the requested defined in the Act) of the Advisor for that Series; a Multi-manager Notice or a Multi- order will do so only in accordance with the terms (b) a sister company of the Advisor for that Series and conditions contained in the application. If the that is an indirect or direct ‘‘wholly-owned manager Notice and Multi-manager 6 name of any Subadvised Series contains the name subsidiary’’ (as such term is defined in the Act) of Information Statement; and (b) the of a Sub-Advisor (as defined below), the name of the same company that, indirectly or directly, the Advisor that serves as the primary adviser to the wholly owns the Advisor (each of (a) and (b), a 5 Shareholder approval will continue to be Subadvised Series, or a trademark or trade name ‘‘Wholly-Owned Sub-Advisor’’ and collectively, the required for any other sub-adviser change (not that is owned by or publicly used to identify that ‘‘Wholly-Owned Sub-Advisors’’), or (c) an otherwise permitted by rule or other action of the Advisor, will precede the name of the Sub-Advisor. investment sub-adviser for that Series that is not an Commission or staff) and material amendments to 2 Each Advisor is, or will be, registered with the ‘‘affiliated person’’ (as such term is defined in an existing Sub-Advisory Agreement with any sub- Commission as an investment adviser under the section 2(a)(3) of the Act) of the Series or the adviser other than a Non-Affiliated Sub-Advisor or Advisers Act. For purposes of the requested order, Advisor, except to the extent that an affiliation a Wholly-Owned Sub-Advisor (all such changes ‘‘successor’’ is limited to an entity that results from arises solely because the sub-adviser serves as a referred to as ‘‘Ineligible Sub-Advisor Changes’’). a reorganization into another jurisdiction or a sub-adviser to one or more Series (each, a ‘‘Non- 6 A ‘‘Multi-manager Notice’’ will be modeled on change in the type of business organization. Affiliated Sub-Advisor’’). a Notice of Internet Availability as defined in rule

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00073 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69887

Subadvised Series will make the Multi- registered company.’’ Rule 18f–2 under to the review and approval of the Board, manager Information Statement the Act provides that each series or class to select the Sub-Advisors who are in available on the Web site identified in of stock in a series investment company the best position to achieve the the Multi-manager Notice no later than affected by a matter must approve that Subadvised Series’ investment when the Multi-manager Notice (or matter if the Act requires shareholder objective. Applicants assert that, from Multi-manager Notice and Multi- approval. the perspective of the shareholder, the manager Information Statement) is first 2. Form N–1A is the registration role of the Sub-Advisors is substantially sent to shareholders, and will maintain statement used by open-end investment equivalent to the role of the individual it on that Web site for at least 90 days. companies. Item 19(a)(3) of Form N–1A portfolio managers employed by an In the circumstances described in the requires a registered investment investment adviser to a traditional application, a proxy solicitation to company to disclose in its statement of investment company. Applicants approve the appointment of new Sub- additional information the method of believe that permitting the Advisor to Advisors provides no more meaningful computing the ‘‘advisory fee payable’’ perform the duties for which the information to shareholders than the by the investment company, including shareholders of the Subadvised Series proposed Multi-manager Information the total dollar amounts that the are paying the Advisor—the selection, Statement. Applicants state that each investment company ‘‘paid to the supervision and evaluation of the Sub- Board would comply with the adviser (aggregated with amounts paid Advisors—without incurring requirements of sections 15(a) and 15(c) to affiliated advisers, if any), and any unnecessary delays or expenses is of the Act before entering into or advisers who are not affiliated persons appropriate in the interest of the amending Sub-Advisory Agreements. of the adviser, under the investment Subadvised Series’ shareholders and 8. Applicants also request an order advisory contract for the last three fiscal will allow such Subadvised Series to exempting the Subadvised Series from years.’’ operate more efficiently. Applicants certain disclosure obligations that may 3. Rule 20a–1 under the Act requires state that each Investment Management require each Subadvised Series to proxies solicited with respect to a Agreement will continue to be fully disclose fees paid by the Advisor to registered investment company to subject to section 15(a) of the Act and each Sub-Advisor. Applicants seek comply with Schedule 14A under the rule 18f–2 under the Act and approved relief to permit each Subadvised Series Exchange Act. Items 22(c)(1)(ii), by the Board, including a majority of the to disclose (as a dollar amount and a 22(c)(1)(iii), 22(c)(8) and 22(c)(9) of Independent Board Members, in the percentage of the Subadvised Series’ net Schedule 14A, taken together, require a manner required by sections 15(a) and assets): (a) The aggregate fees paid to the proxy statement for a shareholder 15(c) of the Act. Applicants are not Advisor and any Wholly-Owned Sub- meeting at which the advisory contract seeking an exemption with respect to Advisors; (b) the aggregate fees paid to will be voted upon to include the ‘‘rate the Investment Management of compensation of the investment Non-Affiliated Sub-Advisors; and (c) the Agreements. fee paid to each Affiliated Sub-Advisor adviser,’’ the ‘‘aggregate amount of the (collectively, the ‘‘Aggregate Fee investment adviser’s fee,’’ a description 7. Applicants assert that disclosure of Disclosure’’). of the ‘‘terms of the contract to be acted the individual fees that the Advisor upon,’’ and, if a change in the advisory would pay to the Sub-Advisors of Applicants’ Legal Analysis fee is proposed, the existing and Subadvised Series that operate under 1. Section 15(a) of the Act states, in proposed fees and the difference the multi-manager structure described part, that it is unlawful for any person between the two fees. in the application would not serve any to act as an investment adviser to a 4. Regulation S–X sets forth the meaningful purpose. Applicants registered investment company ‘‘except requirements for financial statements contend that the primary reasons for pursuant to a written contract, which required to be included as part of a requiring disclosure of individual fees contract, whether with such registered registered investment company’s paid to Sub-Advisors are to inform company or with an investment adviser registration statement and shareholder shareholders of expenses to be charged of such registered company, has been reports filed with the Commission. by a particular Subadvised Series and to approved by the vote of a majority of the Sections 6–07(2)(a), (b), and (c) of enable shareholders to compare the fees outstanding voting securities of such Regulation S–X require a registered to those of other comparable investment investment company to include in its companies. Applicants believe that the 14a–16 under the Securities Exchange Act of 1934 financial statement information about requested relief satisfies these objectives (‘‘Exchange Act’’), and specifically will, among the investment advisory fees. because the advisory fee paid to the other things: (a) Summarize the relevant information regarding the new Sub-Advisor (except 5. Section 6(c) of the Act provides that Advisor will be fully disclosed and, as modified to permit Aggregate Fee Disclosure (as the Commission by order upon therefore, shareholders will know what defined below); (b) inform shareholders that the application may conditionally or the Subadvised Series’ fees and Multi-manager Information Statement is available unconditionally exempt any person, expenses are and will be able to on a Web site; (c) provide the Web site address; (d) state the time period during which the Multi- security, or transaction or any class or compare the advisory fees a Subadvised manager Information Statement will remain classes of persons, securities, or Series is charged to those of other available on that Web site; (e) provide instructions transactions from any provisions of the investment companies. Applicants for accessing and printing the Multi-manager assert that the requested disclosure Information Statement; and (f) instruct the Act, or from any rule thereunder, if such shareholder that a paper or email copy of the Multi- exemption is necessary or appropriate relief would benefit shareholders of the manager Information Statement may be obtained, in the public interest and consistent Subadvised Series because it would without charge, by contacting the Subadvised with the protection of investors and the improve the Advisor’s ability to Series. negotiate the fees paid to Sub-Advisors. A ‘‘Multi-manager Information Statement’’ will purposes fairly intended by the policy meet the requirements of Regulation 14C, Schedule and provisions of the Act. Applicants Applicants state that the Advisor may 14C and Item 22 of Schedule 14A under the state that their requested relief meets be able to negotiate rates that are below Exchange Act for an information statement, except this standard for the reasons discussed a Sub-Advisor’s ‘‘posted’’ amounts if the as modified by the order to permit Aggregate Fee Advisor is not required to disclose the Disclosure. Multi-manager Information Statements below. will be filed with the Commission via the EDGAR 6. Applicants assert that the Sub-Advisors’ fees to the public. system. shareholders expect the Advisor, subject Applicants submit that the relief

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00074 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69888 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

requested to use Aggregate Fee employing the multi-manager structure 10. Whenever a sub-adviser change is Disclosure will encourage Sub-Advisors described in the application. Each proposed for a Subadvised Series with to negotiate lower subadvisory fees with prospectus will prominently disclose an Affiliated Sub-Advisor or a Wholly- the Advisor if the lower fees are not that the Advisor has the ultimate Owned Sub-Advisor, the Board, required to be made public. responsibility, subject to oversight by including a majority of the Independent 8. For the reasons discussed above, the Board, to oversee the Sub-Advisors Board Members, will make a separate applicants submit that the requested and recommend their hiring, finding, reflected in the Board minutes, relief meets the standards for relief termination and replacement. that such change is in the best interests under section 6(c) of the Act. Applicants 3. The Advisor will provide general of the Subadvised Series and its state that the operation of the management services to a Subadvised shareholders, and does not involve a Subadvised Series in the manner Series, including overall supervisory conflict of interest from which the described in the application must be responsibility for the general Advisor or the Affiliated Sub-Advisor or approved by shareholders of a management and investment of the Wholly-Owned Sub-Advisor derives an Subadvised Series before that Subadvised Series’ assets. Subject to inappropriate advantage. Subadvised Series may rely on the review and approval of the Board, the 11. No Board member or officer of a requested relief. In addition, applicants Advisor will (a) set a Subadvised Series’ Subadvised Series, or director or officer state that the proposed conditions to the overall investment strategies, (b) of the Advisor, will own directly or requested relief are designed to address evaluate, select, and recommend Sub- indirectly (other than through a pooled any potential conflicts of interest, Advisors to manage all or a portion of investment vehicle that is not controlled including any posed by the use of a Subadvised Series’ assets, and (c) by such person), any interest in a Sub- Wholly-Owned Sub-Advisors, and implement procedures reasonably Advisor, except for (a) ownership of provide that shareholders are informed designed to ensure that Sub-Advisors interests in the Advisor or any entity, when new Sub-Advisors are hired. comply with a Subadvised Series’ other than a Wholly-Owned Sub- Applicants assert that conditions 6, 10 investment objective, policies and Advisor, that controls, is controlled by, and 11 are designed to provide the restrictions. Subject to review by the or is under common control with the Board with sufficient independence and Board, the Advisor will (a) when Advisor, or (b) ownership of less than the resources and information it needs appropriate, allocate and reallocate a 1% of the outstanding securities of any to monitor and address any conflicts of Subadvised Series’ assets among class of equity or debt of a publicly interest with affiliated persons of the multiple Sub-Advisors; and (b) monitor traded company that is either a Sub- Advisor, including Wholly-Owned Sub- and evaluate the performance of Sub- Advisor or an entity that controls, is Advisors. Applicants state that, Advisors. controlled by, or is under common accordingly, they believe the requested 4. A Subadvised Series will not make control with a Sub-Advisor. relief is necessary or appropriate in the any Ineligible Sub-Advisor Changes 12. Each Subadvised Series will public interest and consistent with the without the approval of the disclose the Aggregate Fee Disclosure in protection of investors and the purposes shareholders of the applicable its registration statement. fairly intended by the policy and Subadvised Series. 13. In the event the Commission provisions of the Act. 5. Subadvised Series will inform adopts a rule under the Act providing substantially similar relief to that Applicants’ Conditions shareholders of the hiring of a new Sub- Advisor within 90 days after the hiring requested in the application, the Applicants agree that any order of the new Sub-Advisor pursuant to the requested order will expire on the granting the requested relief will be Modified Notice and Access Procedures. effective date of that rule. 7 subject to the following conditions: 6. At all times, at least a majority of For the Commission, by the Division of 1. Before a Subadvised Series may the Board will be Independent Board Investment Management, under delegated rely on the order requested in the Members, and the selection and authority. application, the operation of the nomination of new or additional Kevin M. O’Neill, Subadvised Series in the manner Independent Board Members will be Deputy Secretary. described in the application, including placed within the discretion of the then- the hiring of Wholly-Owned Sub- [FR Doc. 2013–27907 Filed 11–20–13; 8:45 am] existing Independent Board Members. BILLING CODE 8011–01–P Advisors, will be, or has been, approved 7. Independent Legal Counsel, as by a majority of the Subadvised Series’ defined in rule 0–1(a)(6) under the Act, outstanding voting securities as defined will be engaged to represent the SECURITIES AND EXCHANGE in the Act, or, in the case of a new Independent Board Members. The COMMISSION Subadvised Series whose public selection of such counsel will be within shareholders purchase shares on the [Investment Company Act Release No. the discretion of the then-existing 30786; File No. 812–14212] basis of a prospectus containing the Independent Board Members. disclosure contemplated by condition 2 8. The Advisor will provide the below, by the sole initial shareholder ETFis Series Trust I, et al.; Notice of Board, no less frequently than quarterly, before offering the Subadvised Series’ Application with information about the profitability shares to the public. of the Advisor on a per Subadvised November 15, 2013. 2. The prospectus for each Series basis. The information will reflect AGENCY: Securities and Exchange Subadvised Series will disclose the the impact on profitability of the hiring Commission (‘‘Commission’’). existence, substance, and effect of any or termination of any sub-adviser during ACTION: order granted pursuant to the Notice of an application for an the applicable quarter. application. Each Subadvised Series order under section 6(c) of the 9. Whenever a sub-adviser is hired or will hold itself out to the public as Investment Company Act of 1940 (the terminated, the Advisor will provide the ‘‘Act’’) for an exemption from sections Board with information showing the 7 Applicants will only comply with conditions 7, 2(a)(32), 5(a)(1), 22(d), and 22(e) of the 8, 9 and 12 if they rely on the relief that would expected impact on the profitability of Act and rule 22c–1 under the Act, under allow them to provide Aggregate Fee Disclosure. the Advisor. sections 6(c) and 17(b) of the Act for an

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00075 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69889

exemption from sections 17(a)(1) and SUPPLEMENTARY INFORMATION: The conditions of the application. The Initial 17(a)(2) of the Act, and under section following is a summary of the Fund and Future Funds, together, are 12(d)(1)(J) for an exemption from application. The complete application the ‘‘Funds.’’ 1 sections 12(d)(1)(A) and 12(d)(1)(B) of may be obtained via the Commission’s 5. Each Fund will hold certain the Act. Web site by searching for the file securities (‘‘Portfolio Securities’’) number, or for an applicant using the selected to correspond generally to the SUMMARY: Summary of Application: Company name box, at http:// performance of its Underlying Index. Applicants request an order that would www.sec.gov/search/search.htm or by Certain of the Funds will be based on permit (a) series of certain open-end calling (202) 551–8090. Underlying Indexes that will be management investment companies to comprised solely of equity and/or fixed issue shares (‘‘Shares’’) redeemable in Applicants’ Representations income securities issued by one or more large aggregations only (‘‘Creation 1. The Trust is a statutory trust of the following categories of issuers: (i) Units’’); (b) secondary market organized under the laws of Delaware. Domestic issuers and (ii) non-domestic transactions in Shares to occur at The Trust is registered under the Act as issuers meeting the requirements for negotiated market prices rather than at an open-end management investment trading in U.S. markets. Other Funds net asset value (‘‘NAV’’); (c) certain company with multiple series. The will be based on Underlying Indexes series to pay redemption proceeds, initial series of the Trust (‘‘Initial that will be comprised solely of foreign under certain circumstances, more than Fund’’) will be a Self-Indexing Fund (as and domestic, or solely foreign, equity seven days after the tender of Shares for defined below). and/or fixed income securities (‘‘Foreign redemption; (d) certain affiliated 2. The Initial Adviser will be Funds’’). persons of the series to deposit registered as an investment adviser 6. Applicants represent that each securities into, and receive securities under the Investment Advisers Act of Fund will invest at least 80% of its from, the series in connection with the 1940 (the ‘‘Advisers Act’’) and will be assets (excluding securities lending purchase and redemption of Creation the investment adviser to the Funds. collateral) in the component securities Units; and (e) certain registered Any other Adviser (defined below) also of its respective Underlying Index management investment companies and will be registered as an investment (‘‘Component Securities’’) and TBA unit investment trusts outside of the adviser under the Advisers Act. The Transactions,2 and in the case of same group of investment companies as Adviser may enter into sub-advisory Foreign Funds, Component Securities the series to acquire Shares. agreements with one or more and Depositary Receipts 3 representing investment advisers to act as sub- Component Securities. Each Fund may APPLICANTS: ETFis Series Trust I advisers to particular Funds (each, a also invest up to 20% of its assets in (‘‘Trust’’), Etfis Capital LLC (‘‘Initial ‘‘Sub-Adviser’’). Any Sub-Adviser will certain index futures, options, options Adviser’’), and ETF Distributors LLC either be registered under the Advisers on index futures, swap contracts or (‘‘Affiliated Index Provider’’). Act or will not be required to register other derivatives, as related to its DATES: Filing Dates: The application was thereunder. respective Underlying Index and its filed on September 19, 2013. 3. The Trust will enter into a Component Securities, cash and cash HEARING OR NOTIFICATION OF HEARING: An distribution agreement with one or more equivalents, other investment order granting the requested relief will distributors (each, a ‘‘Distributor’’). Each companies, as well as in securities and be issued unless the Commission orders Distributor will be a broker-dealer other instruments not included in its a hearing. Interested persons may (‘‘Broker’’) registered under the Underlying Index but which the Adviser request a hearing by writing to the Securities Exchange Act of 1934 (the believes will help the Fund track its Commission’s Secretary and serving ‘‘Exchange Act’’) and will act as Underlying Index. A Fund may also applicants with a copy of the request, distributor and principal underwriter of personally or by mail. Hearing requests one or more of the Funds. The 1 All existing entities that intend to rely on the should be received by the Commission Distributor of any Fund may be an requested order have been named as applicants. affiliated person, as defined in section Any other existing or future entity that by 5:30 p.m. on December 10, 2013, and subsequently relies on the order will comply with should be accompanied by proof of 2(a)(3) of the Act (‘‘Affiliated Person’’), the terms and conditions of the order. A Fund of service on applicants, in the form of an or an affiliated person of an Affiliated Funds (as defined below) may rely on the order only to invest in Funds and not in any other affidavit, or for lawyers, a certificate of Person (‘‘Second-Tier Affiliate’’), of that Fund’s Adviser and/or Sub-Advisers. registered investment company. service. Hearing requests should state 2 A ‘‘to-be-announced transaction’’ or ‘‘TBA the nature of the writer’s interest, the No Distributor will be affiliated with Transaction’’ is a method of trading mortgage- reason for the request, and the issues any Exchange (defined below). backed securities. In a TBA Transaction, the buyer 4. Applicants request that the order and seller agree upon general trade parameters such contested. Persons who wish to be apply to the Initial Fund, as well as any as agency, settlement date, par amount, and price. notified of a hearing may request additional series of the Trust and other The actual pools delivered generally are determined notification by writing to the two days prior to settlement date. open-end management investment 3 Commission’s Secretary. Depositary receipts representing foreign companies, or series thereof, that may securities (‘‘Depositary Receipts’’) include ADDRESSES: Elizabeth M. Murphy, be created in the future (‘‘Future American Depositary Receipts and Global Secretary, Securities and Exchange Funds’’), each of which will operate as Depositary Receipts. The Funds may invest in Commission, 100 F Street NE., Depositary Receipts representing foreign securities an exchanged-traded fund (‘‘ETF’’) and in which they seek to invest. Depositary Receipts Washington, DC 20549–1090; will track a specified index comprised are typically issued by a financial institution (a Applicants, 317 Madison Avenue, Suite of domestic or foreign equity and/or ‘‘depositary bank’’) and evidence ownership 920, New York, NY 10017. interests in a security or a pool of securities that fixed income securities (each, an have been deposited with the depositary bank. A FOR FURTHER INFORMATION CONTACT: ‘‘Underlying Index’’). Any Future Fund Fund will not invest in any Depositary Receipts that Courtney S. Thornton, Senior Counsel, will (a) be advised by the Initial Adviser the Adviser or any Sub-Adviser deems to be illiquid at (202) 551–6812, or David P. Bartels, or an entity controlling, controlled by, or for which pricing information is not readily available. No affiliated person of a Fund, the Branch Chief, at (202) 551–6821 or under common control with the Adviser or any Sub-Adviser will serve as the (Division of Investment Management, Initial Adviser (each, an ‘‘Adviser’’) and depositary bank for any Depositary Receipts held by Exemptive Applications Office). (b) comply with the terms and a Fund.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00076 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69890 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

engage in short sales in accordance with a licensing agreement with the entity Transparency of the Underlying its investment objective. that compiles, creates, sponsors or Indexes; (ii) the adoption of policies and 7. The Trust may issue Funds that maintains the Underlying Index (each, procedures not otherwise required by seek to track Underlying Indexes an ‘‘Index Provider’’) or a sub-licensing the Act designed to mitigate such constructed using 130/30 investment arrangement with the Adviser, which conflicts of interest; (iii) limitations on strategies (‘‘130/30 Funds’’) or other will have a licensing agreement with the ability to change the rules for index long/short investment strategies (‘‘Long/ such Index Provider.6 A ‘‘Self-Indexing compilation and the component Short Funds’’). Each Long/Short Fund Fund’’ is a Fund for which an Affiliated securities of the index; (iv) that the will establish (i) exposures equal to Person, or a Second-Tier Affiliate, of the index provider enter into an agreement approximately 100% of the long Trust or a Fund, of the Adviser, of any with an unaffiliated third party to act as positions specified by the Long/Short Sub-Adviser to or promoter of a Fund, ‘‘Calculation Agent’’; and (v) certain Index 4 and (ii) exposures equal to or of the Distributor (each, an limitations designed to separate approximately 100% of the short ‘‘Affiliated Index Provider’’) 7 will serve employees of the index provider, positions specified by the Long/Short as the Index Provider. In the case of adviser and Calculation Agent (clauses Index. Each 130/30 Fund will include Self-Indexing Funds, an Affiliated Index (ii) through (v) are hereinafter referred strategies that: (i) Establish long Provider will create a proprietary, rules- to as ‘‘Policies and Procedures’’).9 positions in securities so that total long based methodology to create Underlying 11. Instead of adopting the same or exposure represents approximately Indexes (each an ‘‘Affiliated Index’’).8 similar Policies and Procedures, 130% of a Fund’s net assets; and (ii) Except with respect to the Self-Indexing Applicants propose that each day that a simultaneously establish short positions Funds, no Index Provider is or will be Fund, the NYSE and the national in other securities so that total short an Affiliated Person, or a Second-Tier securities exchange (as defined in exposure represents approximately 30% Affiliate, of the Trust or a Fund, of the section 2(a)(26) of the Act) (an of such Fund’s net assets. Each Business Adviser, of any Sub-Adviser to or ‘‘Exchange’’) on which the Fund’s Day, for each Long/Short Fund and 130/ promoter of a Fund, or of the Shares are primarily listed (‘‘Listing 30 Fund, the Adviser will provide full Distributor. Exchange’’) are open for business, portfolio transparency on the Fund’s 10. Applicants recognize that Self- including any day that a Fund is publicly available Web site (‘‘Web site’’) Indexing Funds could raise concerns required to be open under section 22(e) by making available the Fund’s Portfolio regarding the ability of the Affiliated of the Act (a ‘‘Business Day’’), each Self- Holdings (defined below) before the Index Provider to manipulate the Indexing Fund will post on its Web site, commencement of trading of Shares on Underlying Index to the benefit or before commencement of trading of the Listing Exchange (defined below).5 detriment of the Self-Indexing Fund. Shares on the Listing Exchange, the The information provided on the Web Applicants further recognize the identities and quantities of the portfolio site will be formatted to be reader- potential for conflicts that may arise securities, assets, and other positions friendly. with respect to the personal trading held by the Fund that will form the 8. A Fund will utilize either a activity of personnel of the Affiliated basis for the Fund’s calculation of its replication or representative sampling Index Provider who have knowledge of NAV at the end of the Business Day strategy to track its Underlying Index. A changes to an Underlying Index prior to (‘‘Portfolio Holdings’’). Applicants Fund using a replication strategy will the time that information is publicly believe that requiring Self-Indexing invest in the Component Securities of disseminated. Prior orders granted to Funds to maintain full portfolio its Underlying Index in the same self-indexing ETFs (‘‘Prior Self-Indexing transparency will provide an effective approximate proportions as in such Orders’’) addressed these concerns by alternative mechanism for addressing Underlying Index. A Fund using a creating a framework that required: (i) any such potential conflicts of interest. representative sampling strategy will 12. Applicants represent that each hold some, but not necessarily all of the 6 The licenses for the Self-Indexing Funds will Self-Indexing Fund’s Portfolio Holdings Component Securities of its Underlying specifically state that the Affiliated Index Provider will be as transparent as the portfolio Index. Applicants state that a Fund (or in case of a sub-licensing agreement, the holdings of existing actively managed Adviser) must provide the use of the Underlying using a representative sampling strategy Indexes and related intellectual property at no cost ETFs. Applicants observe that the will not be expected to track the to the Trust and the Self-Indexing Funds. framework set forth in the Prior Self- performance of its Underlying Index 7 Currently ETF Distributors LLC is the only Indexing Orders was established before with the same degree of accuracy as entity that will serve as Affiliated Index Provider. the Commission began issuing Any future entity that acts as Affiliated Index would an investment vehicle that Provider will comply with the terms and conditions exemptive relief to allow the offering of invested in every Component Security of the application. actively-managed ETFs. Unlike of the Underlying Index with the same 8 The Affiliated Indexes may be made available to passively-managed ETFs, actively- weighting as the Underlying Index. registered investment companies, as well as managed ETFs do not seek to replicate Applicants expect that each Fund will separately managed accounts of institutional the performance of a specified index but investors and privately offered funds that are not have an annual tracking error relative to deemed to be ‘‘investment companies’’ in reliance rather seek to achieve their investment the performance of its Underlying Index on section 3(c)(1) or 3(c)(7) of the Act for which the objectives by using an ‘‘active’’ of less than 5%. Adviser acts as adviser or subadviser (‘‘Affiliated management strategy. Applicants 9. Each Fund will be entitled to use Accounts’’) as well as other such registered investment companies, separately managed contend that the structure of actively its Underlying Index pursuant to either accounts and privately offered funds for which it managed ETFs presents potential does not act either as adviser or subadviser 4 Underlying Indexes that include both long and (‘‘Unaffiliated Accounts’’). The Affiliated Accounts 9 See, e.g., In the Matter of WisdomTree short positions in securities are referred to as and the Unaffiliated Accounts, like the Funds, Investments Inc., et al., Investment Company Act ‘‘Long/Short Indexes.’’ would seek to track the performance of one or more Release Nos. 27324 (May 18, 2006) (notice) and 5 Under accounting procedures followed by each Underlying Index(es) by investing in the 27391 (June 12, 2006) (order); In the Matter of Fund, trades made on the prior Business Day (‘‘T’’) constituents of such Underlying Indexes or a IndexIQ ETF Trust, et al., Investment Company Act will be booked and reflected in NAV on the current representative sample of such constituents of the Release Nos. 28638 (Feb. 27, 2009) (notice) and Business Day (T+1). Accordingly, the Funds will be Underlying Index. Consistent with the relief 28653 (March 20, 2009) (order); and Van Eck able to disclose at the beginning of the Business Day requested from section 17(a), the Affiliated Associates Corporation, et al., et al., Investment the portfolio that will form the basis for the NAV Accounts will not engage in Creation Unit Company Act Release Nos. 29455 (Oct. 1, 2010) calculation at the end of the Business Day. transactions with a Fund. (notice) and 29490 (Oct. 26, 2010) (order).

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00077 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69891

conflicts of interest that are the same as Information Policy of the Adviser and limited circumstances specified below, those presented by Self-Indexing Funds Sub-Advisers, personnel of those purchasers will be required to purchase because the portfolio managers of an entities with knowledge about the Creation Units by making an in-kind actively managed ETF by definition composition of the Portfolio Deposit 12 deposit of specified instruments have advance knowledge of pending will be prohibited from disclosing such (‘‘Deposit Instruments’’), and portfolio changes. However, rather than information to any other person, except shareholders redeeming their Shares requiring Policies and Procedures as authorized in the course of their will receive an in-kind transfer of similar to those required under the Prior employment, until such information is specified instruments (‘‘Redemption Self-Indexing Orders, Applicants made public. In addition, an Index Instruments’’).13 On any given Business believe that actively managed ETFs Provider will not provide any Day, the names and quantities of the address these potential conflicts of information relating to changes to an instruments that constitute the Deposit interest appropriately through full Underlying Index’s methodology for the Instruments and the names and portfolio transparency, as the conditions inclusion of component securities, the quantities of the instruments that to their relevant exemptive relief inclusion or exclusion of specific constitute the Redemption Instruments require. component securities, or methodology will be identical, unless the Fund is 13. In addition, Applicants do not for the calculation or the return of Rebalancing (as defined below). In component securities, in advance of a addition, the Deposit Instruments and believe the potential for conflicts of public announcement of such changes the Redemption Instruments will each interest raised by the Adviser’s use of by the Index Provider. The Adviser will correspond pro rata to the positions in the Underlying Indexes in connection also include under Item 10.C. of Part 2 the Fund’s portfolio (including cash with the management of the Self of its Form ADV a discussion of its positions) 14 except: (a) In the case of Indexing Funds and the Affiliated relationship to any Affiliated Index bonds, for minor differences when it is Accounts will be substantially different Provider and any material conflicts of impossible to break up bonds beyond from the potential conflicts presented by interest resulting therefrom, regardless certain minimum sizes needed for an adviser managing two or more of whether the Affiliated Index Provider transfer and settlement; (b) for minor registered funds. Both the Act and the is a type of affiliate specified in Item 10. differences when rounding is necessary Advisers Act contain various 15. To the extent the Self-Indexing to eliminate fractional shares or lots that protections to address conflicts of Funds transact with an Affiliated Person are not tradeable round lots; 15 (c) TBA interest where an adviser is managing of the Adviser or Sub-Adviser, such Transactions, short positions, two or more registered funds and these transactions will comply with the Act, derivatives and other positions that protections will also help address these the rules thereunder and the terms and cannot be transferred in kind 16 will be conflicts with respect to the Self- conditions of the requested order. In excluded from the Deposit Instruments 10 Indexing Funds. this regard, each Self-Indexing Fund’s and the Redemption Instruments; 17(d) 14. The Adviser and any Sub-Adviser board of directors or trustees (‘‘Board’’) to the extent the Fund determines, on a has adopted or will adopt, pursuant to will periodically review the Self- given Business Day, to use a Rule 206(4)–7 under the Advisers Act, Indexing Fund’s use of an Affiliated representative sampling of the Fund’s written policies and procedures Index Provider. Subject to the approval portfolio; 18 or (e) for temporary periods, designed to prevent violations of the of the Self-Indexing Fund’s Board, the to effect changes in the Fund’s portfolio Advisers Act and the rules thereunder. Adviser, Affiliated Persons of the as a result of the rebalancing of its These include policies and procedures Adviser (‘‘Adviser Affiliates’’) and Underlying Index (any such change, a designed to minimize potential conflicts Affiliated Persons of any Sub-Adviser of interest among the Self-Indexing (‘‘Sub-Adviser Affiliates’’) may be 13 The Funds must comply with the federal Funds and the Affiliated Accounts, such authorized to provide custody, fund securities laws in accepting Deposit Instruments accounting and administration and and satisfying redemptions with Redemption as cross trading policies, as well as Instruments, including that the Deposit Instruments those designed to ensure the equitable transfer agency services to the Self- and Redemption Instruments are sold in allocation of portfolio transactions and Indexing Funds. Any services provided transactions that would be exempt from registration brokerage commissions. In addition, the by the Adviser, Adviser Affiliates, Sub- under the Securities Act of 1933 (‘‘Securities Act’’). Adviser and Sub-Adviser Affiliates will In accepting Deposit Instruments and satisfying Adviser has adopted policies and redemptions with Redemption Instruments that are procedures as required under section be performed in accordance with the restricted securities eligible for resale pursuant to 204A of the Advisers Act, which are provisions of the Act, the rules under rule 144A under the Securities Act, the Funds will reasonably designed in light of the the Act and any relevant guidelines comply with the conditions of rule 144A. from the staff of the Commission. 14 The portfolio used for this purpose will be the nature of its business to prevent the same portfolio used to calculate the Fund’s NAV for misuse, in violation of the Advisers Act 16. In light of the foregoing, the Business Day. or the Exchange Act or the rules Applicants believe it is appropriate to 15 A tradeable round lot for a security will be the thereunder, of material non-public allow the Self-Indexing Funds to be standard unit of trading in that particular type of information by the Adviser or an fully transparent in lieu of Policies and security in its primary market. Procedures from the Prior Self-Indexing 16 This includes instruments that can be associated person (‘‘Inside Information transferred in kind only with the consent of the Policy’’). Any Sub-Adviser will be Orders discussed above. original counterparty to the extent the Fund does required to adopt and maintain a similar 17. The Shares of each Fund will be not intend to seek such consents. Inside Information Policy. In accordance purchased and redeemed in Creation 17 Because these instruments will be excluded with the Code of Ethics 11 and Inside Units and generally on an in-kind basis. from the Deposit Instruments and the Redemption Except where the purchase or Instruments, their value will be reflected in the determination of the Cash Amount (as defined 10 See, e.g., Rule 17j–1 under the Act and Section redemption will include cash under the below). 204A under the Advisers Act and Rules 204A–1 18 A Fund may only use sampling for this purpose and 206(4)–7 under the Advisers Act. engaging in any conduct prohibited in Rule 17j–1 if the sample: (i) Is designed to generate 11 The Adviser has also adopted or will adopt a (‘‘Code of Ethics’’). performance that is highly correlated to the code of ethics pursuant to Rule 17j–1 under the Act 12 The instruments and cash that the purchaser is performance of the Fund’s portfolio; (ii) consists and Rule 204A–1 under the Advisers Act, which required to deliver in exchange for the Creation entirely of instruments that are already included in contains provisions reasonably necessary to prevent Units it is purchasing is referred to as the ‘‘Portfolio the Fund’s portfolio; and (iii) is the same for all Access Persons (as defined in Rule 17j–1) from Deposit.’’ Authorized Participants on a given Business Day.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00078 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69892 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

‘‘Rebalancing’’). If there is a difference Authorized Participant is acting; or (iii) effecting such purchases or redemptions between the NAV attributable to a a holder of Shares of a Foreign Fund of Creation Units. In all cases, such Creation Unit and the aggregate market holding non-U.S. investments would be Transaction Fees will be limited in value of the Deposit Instruments or subject to unfavorable income tax accordance with requirements of the Redemption Instruments exchanged for treatment if the holder receives Commission applicable to management the Creation Unit, the party conveying redemption proceeds in kind.20 investment companies offering instruments with the lower value will 19. Creation Units will consist of redeemable securities. Since the also pay to the other an amount in cash specified large aggregations of Shares, Transaction Fees are intended to defray equal to that difference (the ‘‘Cash e.g., at least 25,000 Shares. Applicants the transaction expenses as well as to Amount’’). expect that the initial price of a Creation prevent possible shareholder dilution 18. Purchases and redemptions of Unit will range from $750,000 to $10 resulting from the purchase or Creation Units may be made in whole or million. All orders to purchase Creation redemption of Creation Units, the in part on a cash basis, rather than in Units must be placed with the Transaction Fees will be borne only by kind, solely under the following Distributor by or through an such purchasers or redeemers.21 The circumstances: (a) To the extent there is ‘‘Authorized Participant’’ which is Distributor will be responsible for a Cash Amount; (b) if, on a given either (1) a ‘‘Participating Party,’’ i.e., a delivering the Fund’s prospectus to Business Day, the Fund announces broker-dealer or other participant in the those persons acquiring Shares in before the open of trading that all Continuous Net Settlement System of Creation Units and for maintaining purchases, all redemptions or all the NSCC, a clearing agency registered records of both the orders placed with purchases and redemptions on that day with the Commission, or (2) a it and the confirmations of acceptance will be made entirely in cash; (c) if, participant in The Depository Trust furnished by it. In addition, the upon receiving a purchase or Company (‘‘DTC’’) (‘‘DTC Participant’’), Distributor will maintain a record of the redemption order from an Authorized which, in either case, has signed a instructions given to the applicable Participant, the Fund determines to participant agreement with the Fund to implement the delivery of its require the purchase or redemption, as Distributor. The Distributor will be Shares. applicable, to be made entirely in responsible for transmitting the orders 22. Shares of each Fund will be listed 19 cash; (d) if, on a given Business Day, to the Funds and will furnish to those and traded individually on an the Fund requires all Authorized placing such orders confirmation that Exchange. It is expected that one or Participants purchasing or redeeming the orders have been accepted, but more member firms of an Exchange will Shares on that day to deposit or receive applicants state that the Distributor may be designated to act as a market maker (as applicable) cash in lieu of some or reject any order which is not submitted (each, a ‘‘Market Maker’’) and maintain all of the Deposit Instruments or in proper form. a market for Shares trading on the Redemption Instruments, respectively, 20. Each Business Day, before the Exchange. Prices of Shares trading on an solely because: (i) Such instruments are open of trading on the Listing Exchange, Exchange will be based on the current not eligible for transfer through either each Fund will cause to be published bid/offer market. Transactions involving the NSCC or DTC (defined below); or (ii) through the NSCC the names and the sale of Shares on an Exchange will in the case of Foreign Funds holding quantities of the instruments comprising be subject to customary brokerage non-U.S. investments, such instruments the Deposit Instruments and the commissions and charges. are not eligible for trading due to local Redemption Instruments, as well as the 23. Applicants expect that purchasers trading restrictions, local restrictions on estimated Cash Amount (if any), for that of Creation Units will include securities transfers or other similar day. The list of Deposit Instruments and institutional investors and arbitrageurs. circumstances; or (e) if the Fund permits Redemption Instruments will apply Market Makers, acting in their roles to an Authorized Participant to deposit or until a new list is announced on the provide a fair and orderly secondary receive (as applicable) cash in lieu of following Business Day, and there will market for the Shares, may from time to some or all of the Deposit Instruments be no intra-day changes to the list time find it appropriate to purchase or or Redemption Instruments, except to correct errors in the published redeem Creation Units. Applicants respectively, solely because: (i) Such list. Each Listing Exchange will expect that secondary market instruments are, in the case of the disseminate, every 15 seconds during purchasers of Shares will include both purchase of a Creation Unit, not regular Exchange trading hours, through institutional and retail investors.22 The available in sufficient quantity; (ii) such the facilities of the Consolidated Tape price at which Shares trade will be instruments are not eligible for trading Association, an amount for each Fund disciplined by arbitrage opportunities by an Authorized Participant or the stated on a per individual Share basis created by the option continually to investor on whose behalf the representing the sum of (i) the estimated purchase or redeem Shares in Creation Cash Amount and (ii) the current value Units, which should help prevent 19 In determining whether a particular Fund will of the Deposit Instruments. Shares from trading at a material sell or redeem Creation Units entirely on a cash or 21. Transaction expenses, including in-kind basis (whether for a given day or a given discount or premium in relation to their order), the key consideration will be the benefit that operational processing and brokerage NAV. would accrue to the Fund and its investors. For costs, will be incurred by a Fund when 24. Shares will not be individually instance, in bond transactions, the Adviser may be investors purchase or redeem Creation redeemable, and owners of Shares may able to obtain better execution than Share Units in-kind and such costs have the purchasers because of the Adviser’s size, experience and potentially stronger relationships in the fixed potential to dilute the interests of the 21 Where a Fund permits an in-kind purchaser to income markets. Purchases of Creation Units either Fund’s existing shareholders. Each substitute cash-in-lieu of depositing one or more of on an all cash basis or in-kind are expected to be Fund will impose purchase or the requisite Deposit Instruments, the purchaser neutral to the Funds from a tax perspective. In redemption transaction fees may be assessed a higher Transaction Fee to cover contrast, cash redemptions typically require selling the cost of purchasing such Deposit Instruments. portfolio holdings, which may result in adverse tax (‘‘Transaction Fees’’) in connection with 22 Shares will be registered in book-entry form consequences for the remaining Fund shareholders only. DTC or its nominee will be the record or that would not occur with an in-kind redemption. 20 A ‘‘custom order’’ is any purchase or registered owner of all outstanding Shares. As a result, tax consideration may warrant in-kind redemption of Shares made in whole or in part on Beneficial ownership of Shares will be shown on redemptions. a cash basis in reliance on clause (e)(i) or (e)(ii). the records of DTC or the DTC Participants.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00079 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69893

acquire those Shares from the Fund, or provides that the Commission may have been designed to (a) prevent tender such Shares for redemption to exempt any person, security, or dilution caused by certain riskless- the Fund, in Creation Units only. To transaction, or any class or classes of trading schemes by principal redeem, an investor must accumulate persons, securities or transactions, from underwriters and contract dealers, (b) enough Shares to constitute a Creation any provisions of section 12(d)(1) if the prevent unjust discrimination or Unit. Redemption requests must be exemption is consistent with the public preferential treatment among buyers, placed through an Authorized interest and the protection of investors. and (c) ensure an orderly distribution of Participant. A redeeming investor may investment company shares by Sections 5(a)(1) and 2(a)(32) of the Act pay a Transaction Fee, calculated in the eliminating price competition from same manner as a Transaction Fee 3. Section 5(a)(1) of the Act defines an dealers offering shares at less than the payable in connection with purchases of ‘‘open-end company’’ as a management published sales price and repurchasing Creation Units. investment company that is offering for shares at more than the published 25. Neither the Trust nor any Fund sale or has outstanding any redeemable redemption price. will be advertised or marketed or security of which it is the issuer. 6. Applicants believe that none of otherwise held out as a traditional open- Section 2(a)(32) of the Act defines a these purposes will be thwarted by end investment company or a ‘‘mutual redeemable security as any security, permitting Shares to trade in the fund.’’ Instead, each such Fund will be other than short-term paper, under the secondary market at negotiated prices. marketed as an ‘‘ETF.’’ All marketing terms of which the owner, upon its Applicants state that (a) secondary materials that describe the features or presentation to the issuer, is entitled to market trading in Shares does not method of obtaining, buying or selling receive approximately a proportionate involve a Fund as a party and will not Creation Units, or Shares traded on an share of the issuer’s current net assets, result in dilution of an investment in Exchange, or refer to redeemability, will or the cash equivalent. Because Shares Shares, and (b) to the extent different prominently disclose that Shares are not will not be individually redeemable, prices exist during a given trading day, individually redeemable and will applicants request an order that would or from day to day, such variances occur disclose that the owners of Shares may permit the Funds to register as open-end as a result of third-party market forces, acquire those Shares from the Fund or management investment companies and such as supply and demand. Therefore, tender such Shares for redemption to issue Shares that are redeemable in applicants assert that secondary market the Fund in Creation Units only. The Creation Units only. Applicants state transactions in Shares will not lead to Funds will provide copies of their that investors may purchase Shares in discrimination or preferential treatment annual and semi-annual shareholder Creation Units and redeem Creation among purchasers. Finally, applicants reports to DTC Participants for Units from each Fund. Applicants contend that the price at which Shares distribution to beneficial owners of further state that because Creation Units trade will be disciplined by arbitrage Shares. may always be purchased and redeemed opportunities created by the option at NAV, the price of Shares on the Applicants’ Legal Analysis continually to purchase or redeem secondary market should not vary Shares in Creation Units, which should 1. Applicants request an order under materially from NAV. help prevent Shares from trading at a section 6(c) of the Act for an exemption material discount or premium in from sections 2(a)(32), 5(a)(1), 22(d), and Section 22(d) of the Act and Rule 22c– relation to their NAV. 22(e) of the Act and rule 22c–1 under 1 Under the Act the Act, under section 12(d)(1)(J) of the 4. Section 22(d) of the Act, among Section 22(e) Act for an exemption from sections other things, prohibits a dealer from 7. Section 22(e) of the Act generally 12(d)(1)(A) and (B) of the Act, and selling a redeemable security that is prohibits a registered investment under sections 6(c) and 17(b) of the Act currently being offered to the public by company from suspending the right of for an exemption from sections 17(a)(1) or through an underwriter, except at a redemption or postponing the date of and 17(a)(2) of the Act. current public offering price described payment of redemption proceeds for 2. Section 6(c) of the Act provides that in the prospectus. Rule 22c–1 under the more than seven days after the tender of the Commission may exempt any Act generally requires that a dealer a security for redemption. Applicants person, security or transaction, or any selling, redeeming or repurchasing a state that settlement of redemptions for class of persons, securities or redeemable security do so only at a Foreign Funds will be contingent not transactions, from any provision of the price based on its NAV. Applicants state only on the settlement cycle of the Act, if and to the extent that such that secondary market trading in Shares United States market, but also on exemption is necessary or appropriate will take place at negotiated prices, not current delivery cycles in local markets in the public interest and consistent at a current offering price described in for underlying foreign Portfolio with the protection of investors and the a Fund’s prospectus, and not at a price Securities held by a Foreign Fund. purposes fairly intended by the policy based on NAV. Thus, purchases and Applicants state that the delivery cycles and provisions of the Act. Section 17(b) sales of Shares in the secondary market currently practicable for transferring of the Act authorizes the Commission to will not comply with section 22(d) of Redemption Instruments to redeeming exempt a proposed transaction from the Act and rule 22c–1 under the Act. investors, coupled with local market section 17(a) of the Act if evidence Applicants request an exemption under holiday schedules, may require a establishes that the terms of the section 6(c) from these provisions. delivery process of up to fifteen (15) transaction, including the consideration 5. Applicants assert that the concerns calendar days.23 Accordingly, with to be paid or received, are reasonable sought to be addressed by section 22(d) respect to Foreign Funds only, and fair and do not involve of the Act and rule 22c–1 under the Act Applicants hereby request relief under overreaching on the part of any person with respect to pricing are equally section 6(c) from the requirement concerned, and the proposed satisfied by the proposed method of imposed by section 22(e) to allow transaction is consistent with the pricing Shares. Applicants maintain that policies of the registered investment while there is little legislative history 23 Certain countries in which a Fund may invest company and the general provisions of regarding section 22(d), its provisions, have historically had settlement periods of up to the Act. Section 12(d)(1)(J) of the Act as well as those of rule 22c–1, appear to fifteen (15) calendar days.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00080 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69894 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

Foreign Funds to pay redemption and Investing Trusts are collectively common control with the Fund of proceeds within fifteen (15) calendar referred to as ‘‘Funds of Funds’’), to Funds Sub-Adviser, and any investment days following the tender of Creation acquire Shares beyond the limits of company or issuer that would be an Units for redemption.24 section 12(d)(1)(A) of the Act; and the investment company but for sections 8. Applicants believe that Congress Funds, and any principal underwriter 3(c)(1) or 3(c)(7) of the Act (or portion adopted section 22(e) to prevent for the Funds, and/or any Broker of such investment company or issuer) unreasonable, undisclosed or registered Exchange Act, to sell Shares advised or sponsored by the Fund of unforeseen delays in the actual payment to Funds of Funds beyond the limits of Funds Sub-Adviser or any person of redemption proceeds. Applicants section 12(d)(1)(B) of the Act. controlling, controlled by or under propose that allowing redemption 12. Each Investing Management common control with the Fund of payments for Creation Units of a Foreign Company will be advised by an Funds Sub-Adviser (‘‘Fund of Funds Fund to be made within fifteen calendar investment adviser within the meaning Sub-Advisory Group’’). days would not be inconsistent with the of section 2(a)(20)(A) of the Act (the 15. Applicants propose other spirit and intent of section 22(e). ‘‘Fund of Funds Adviser’’) and may be conditions to limit the potential for Applicants suggest that a redemption sub-advised by investment advisers undue influence over the Funds, payment occurring within fifteen within the meaning of section including that no Fund of Funds or calendar days following a redemption 2(a)(20)(B) of the Act (each a ‘‘Fund of Fund of Funds Affiliate (except to the request would adequately afford Funds Sub-Adviser’’). Any investment extent it is acting in its capacity as an investor protection. adviser to an Investing Management investment adviser to a Fund) will cause 9. Applicants are not seeking relief Company will be registered under the a Fund to purchase a security in an from section 22(e) with respect to Advisers Act. Each Investing Trust will offering of securities during the Foreign Funds that do not effect be sponsored by a sponsor (‘‘Sponsor’’). existence of an underwriting or selling creations and redemptions of Creation 13. Applicants submit that the syndicate of which a principal Units in-kind. proposed conditions to the requested underwriter is an Underwriting Affiliate Section 12(d)(1) relief adequately address the concerns (‘‘Affiliated Underwriting’’). An underlying the limits in sections ‘‘Underwriting Affiliate’’ is a principal 10. Section 12(d)(1)(A) of the Act 12(d)(1)(A) and (B), which include underwriter in any underwriting or prohibits a registered investment concerns about undue influence by a selling syndicate that is an officer, company from acquiring securities of an fund of funds over underlying funds, director, member of an advisory board, investment company if such securities excessive layering of fees and overly Fund of Funds Adviser, Fund of Funds represent more than 3% of the total complex fund structures. Applicants Sub-Adviser, employee or Sponsor of outstanding voting stock of the acquired believe that the requested exemption is the Fund of Funds, or a person of which company, more than 5% of the total consistent with the public interest and any such officer, director, member of an assets of the acquiring company, or, the protection of investors. advisory board, Fund of Funds Adviser together with the securities of any other 14. Applicants believe that neither a or Fund of Funds Sub-Adviser, investment companies, more than 10% Fund of Funds nor a Fund of Funds employee or Sponsor is an affiliated of the total assets of the acquiring Affiliate would be able to exert undue person (except that any person whose company. Section 12(d)(1)(B) of the Act influence over a Fund.25 To limit the relationship to the Fund is covered by prohibits a registered open-end control that a Fund of Funds may have section 10(f) of the Act is not an investment company, its principal over a Fund, applicants propose a Underwriting Affiliate). underwriter and any other broker-dealer condition prohibiting a Fund of Funds 16. Applicants do not believe that the from knowingly selling the investment Adviser or Sponsor, any person proposed arrangement will involve company’s shares to another investment controlling, controlled by, or under excessive layering of fees. The board of company if the sale will cause the common control with a Fund of Funds directors or trustees of any Investing acquiring company to own more than Adviser or Sponsor, and any investment Management Company, including a 3% of the acquired company’s voting company and any issuer that would be majority of the directors or trustees who stock, or if the sale will cause more than are not ‘‘interested persons’’ within the an investment company but for sections 10% of the acquired company’s voting meaning of section 2(a)(19) of the Act 3(c)(1) or 3(c)(7) of the Act that is stock to be owned by investment (‘‘disinterested directors or trustees’’), advised or sponsored by a Fund of companies generally. will find that the advisory fees charged Funds Adviser or Sponsor, or any 11. Applicants request an exemption under the contract are based on services person controlling, controlled by, or to permit registered management provided that will be in addition to, under common control with a Fund of investment companies and unit rather than duplicative of, services Funds Adviser or Sponsor (‘‘Fund of investment trusts (‘‘UITs’’) that are not provided under the advisory contract of Funds Advisory Group’’) from advised or sponsored by the Adviser, any Fund in which the Investing controlling (individually or in the and not part of the same ‘‘group of Management Company may invest. In investment companies,’’ as defined in aggregate) a Fund within the meaning of addition, under condition B.5., a Fund section 12(d)(1)(G)(ii) of the Act as the section 2(a)(9) of the Act. The same of Funds Adviser, or a Fund of Funds’ Funds (such management investment prohibition would apply to any Fund of trustee or Sponsor, as applicable, will companies are referred to as ‘‘Investing Funds Sub-Adviser, any person waive fees otherwise payable to it by the Management Companies,’’ such UITs controlling, controlled by or under Fund of Funds in an amount at least are referred to as ‘‘Investing Trusts,’’ equal to any compensation (including 25 A ‘‘Fund of Funds Affiliate’’ is a Fund of Funds and Investing Management Companies Adviser, Fund of Funds Sub-Adviser, Sponsor, fees received pursuant to any plan promoter, and principal underwriter of a Fund of adopted by a Fund under rule 12b-1 24 Applicants acknowledge that no relief obtained Funds, and any person controlling, controlled by, under the Act) received from a Fund by from the requirements of section 22(e) will affect or under common control with any of those entities. the Fund of Funds Adviser, trustee or any obligations Applicants may otherwise have A ‘‘Fund Affiliate’’ is an investment adviser, under rule 15c6–1 under the Exchange Act promoter, or principal underwriter of a Fund and Sponsor or an affiliated person of the requiring that most securities transactions be settled any person controlling, controlled by or under Fund of Funds Adviser, trustee or within three business days of the trade date. common control with any of these entities. Sponsor, other than any advisory fees

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00081 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69895

paid to the Fund of Funds Adviser, person directly or indirectly controlling, identity of the purchaser or redeemer. trustee or Sponsor or its affiliated controlled by or under common control Applicants do not believe that ‘‘in-kind’’ person by a Fund, in connection with with the other person. Section 2(a)(9) of purchases and redemptions will result the investment by the Fund of Funds in the Act defines ‘‘control’’ as the power in abusive self-dealing or overreaching, the Fund. Applicants state that any sales to exercise a controlling influence over but rather assert that such procedures charges and/or service fees charged with the management or policies of a will be implemented consistently with respect to shares of a Fund of Funds company, and provides that a control each Fund’s objectives and with the will not exceed the limits applicable to relationship will be presumed where general purposes of the Act. Applicants a fund of funds as set forth in NASD one person owns more than 25% of a believe that ‘‘in-kind’’ purchases and Conduct Rule 2830.26 company’s voting securities. The Funds redemptions will be made on terms 17. Applicants submit that the may be deemed to be controlled by the reasonable to Applicants and any proposed arrangement will not create an Adviser or an entity controlling, affiliated persons because they will be overly complex fund structure. controlled by or under common control valued pursuant to verifiable objective Applicants note that no Fund will with the Adviser and hence affiliated standards. The method of valuing acquire securities of any investment persons of each other. In addition, the Portfolio Securities held by a Fund is company or company relying on section Funds may be deemed to be under identical to that used for calculating 3(c)(1) or 3(c)(7) of the Act in excess of common control with any other ‘‘in-kind’’ purchase or redemption the limits contained in section registered investment company (or values and therefore creates no 12(d)(1)(A) of the Act, except to the series thereof) advised by an Adviser or opportunity for affiliated persons or extent permitted by exemptive relief an entity controlling, controlled by or Second-Tier Affiliates of Applicants to from the Commission permitting the under common control with an Adviser effect a transaction detrimental to the Fund to purchase shares of other (an ‘‘Affiliated Fund’’). Any investor, other holders of Shares of that Fund. investment companies for short-term including Market Makers, owning 5% or Similarly, Applicants submit that, by cash management purposes. To ensure a holding in excess of 25% of the Trust or using the same standards for valuing Fund of Funds is aware of the terms and such Funds, may be deemed affiliated Portfolio Securities held by a Fund as conditions of the requested order, the persons of the Trust or such Funds. In are used for calculating ‘‘in-kind’’ Fund of Funds will enter into an addition, an investor could own 5% or redemptions or purchases, the Fund agreement with the Fund (‘‘FOF more, or in excess of 25% of the will ensure that its NAV will not be Participation Agreement’’). The FOF outstanding shares of one or more adversely affected by such securities Participation Agreement will include an Affiliated Funds making that investor a transactions. Applicants also note that acknowledgement from the Fund of Second-Tier Affiliate of the Funds. the ability to take deposits and make Funds that it may rely on the order only 20. Applicants request an exemption redemptions ‘‘in-kind’’ will help each to invest in the Funds and not in any from sections 17(a)(1) and 17(a)(2) of the Fund to track closely its Underlying other investment company. Act pursuant to sections 6(c) and 17(b) Index and therefore aid in achieving the 18. Applicants also note that a Fund of the Act to permit persons that are Fund’s objectives. may choose to reject a direct purchase Affiliated Persons of the Funds, or 22. Applicants also seek relief under of Shares in Creation Units by a Fund Second-Tier Affiliates of the Funds, sections 6(c) and 17(b) from section of Funds. To the extent that a Fund of solely by virtue of one or more of the 17(a) to permit a Fund that is an Funds purchases Shares in the following: (a) holding 5% or more, or in affiliated person, or an affiliated person secondary market, a Fund would still excess of 25%, of the outstanding of an affiliated person, of a Fund of retain its ability to reject any initial Shares of one or more Funds; (b) an Funds to sell its Shares to and redeem investment by a Fund of Funds in affiliation with a person with an its Shares from a Fund of Funds, and to excess of the limits of section ownership interest described in (a); or engage in the accompanying in-kind 27 12(d)(1)(A) by declining to enter into a (c) holding 5% or more, or more than transactions with the Fund of Funds. FOF Participation Agreement with the 25%, of the shares of one or more Applicants state that the terms of the Fund of Funds. Affiliated Funds, to effectuate purchases transactions are fair and reasonable and and redemptions ‘‘in-kind.’’ do not involve overreaching. Applicants Sections 17(a)(1) and (2) of the Act 21. Applicants assert that no useful note that any consideration paid by a 19. Sections 17(a)(1) and (2) of the Act purpose would be served by prohibiting Fund of Funds for the purchase or generally prohibit an affiliated person of such affiliated persons from making ‘‘in- redemption of Shares directly from a a registered investment company, or an kind’’ purchases or ‘‘in-kind’’ Fund will be based on the NAV of the affiliated person of such a person, from redemptions of Shares of a Fund in selling any security to or purchasing any Creation Units. Both the deposit 27 Although applicants believe that most Funds of security from the company. Section procedures for ‘‘in-kind’’ purchases of Funds will purchase Shares in the secondary Creation Units and the redemption market and will not purchase Creation Units 2(a)(3) of the Act defines ‘‘affiliated directly from a Fund, a Fund of Funds might seek person’’ of another person to include (a) procedures for ‘‘in-kind’’ redemptions of to transact in Creation Units directly with a Fund any person directly or indirectly Creation Units will be effected in that is an affiliated person of a Fund of Funds. To the extent that purchases and sales of Shares occur owning, controlling or holding with exactly the same manner for all purchases and redemptions, regardless in the secondary market and not through principal power to vote 5% or more of the transactions directly between a Fund of Funds and outstanding voting securities of the of size or number. There will be no a Fund, relief from Section 17(a) would not be other person, (b) any person 5% or more discrimination between purchasers or necessary. However, the requested relief would apply to direct sales of Shares in Creation Units by of whose outstanding voting securities redeemers. Deposit Instruments and Redemption Instruments for each Fund a Fund to a Fund of Funds and redemptions of are directly or indirectly owned, those Shares. Applicants are not seeking relief from controlled or held with the power to will be valued in the identical manner Section 17(a) for, and the requested relief will not vote by the other person, and (c) any as those Portfolio Securities currently apply to, transactions where a Fund could be held by such Fund and the valuation of deemed an affiliated person, or an affiliated person of an affiliated person of a Fund of Funds because 26 Any references to NASD Conduct Rule 2830 the Deposit Instruments and an Adviser or an entity controlling, controlled by include any successor or replacement FINRA rule Redemption Instruments will be made or under common control with an Adviser provides to NASD Conduct Rule 2830. in an identical manner regardless of the investment advisory services to that Fund of Funds.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00082 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69896 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

Fund.28 Applicants believe that any Shares on the Exchange, the Fund’s ‘‘interested persons’’ within the proposed transactions directly between Portfolio Holdings. meaning of Section 2(a)(19) of the Act the Funds and Funds of Funds will be 6. No Adviser or any Sub-Adviser, (‘‘non-interested Board members’’), will consistent with the policies of each directly or indirectly, will cause any determine that any consideration paid Fund of Funds. The purchase of Authorized Participant (or any investor by the Fund to the Fund of Funds or a Creation Units by a Fund of Funds on whose behalf an Authorized Fund of Funds Affiliate in connection directly from a Fund will be Participant may transact with the Fund) with any services or transactions: (i) Is accomplished in accordance with the to acquire any Deposit Instrument for a fair and reasonable in relation to the investment restrictions of any such Fund through a transaction in which the nature and quality of the services and Fund of Funds and will be consistent Fund could not engage directly. benefits received by the Fund; (ii) is with the investment policies set forth in B. Section 12(d)(1) Relief within the range of consideration that the Fund of Funds’ registration the Fund would be required to pay to statement. Applicants also state that the 1. The members of a Fund of Funds’ another unaffiliated entity in connection proposed transactions are consistent Advisory Group will not control with the same services or transactions; with the general purposes of the Act and (individually or in the aggregate) a Fund and (iii) does not involve overreaching are appropriate in the public interest. within the meaning of section 2(a)(9) of on the part of any person concerned. the Act. The members of a Fund of This condition does not apply with Applicants’ Conditions Funds’ Sub-Advisory Group will not respect to any services or transactions Applicants agree that any order of the control (individually or in the aggregate) between a Fund and its investment Commission granting the requested a Fund within the meaning of section adviser(s), or any person controlling, relief will be subject to the following 2(a)(9) of the Act. If, as a result of a controlled by or under common control conditions: decrease in the outstanding voting with such investment adviser(s). securities of a Fund, the Fund of Funds’ A. ETF Relief 5. The Fund of Funds Adviser, or Advisory Group or the Fund of Funds’ trustee or Sponsor of an Investing Trust, 1. The requested relief to permit ETF Sub-Advisory Group, each in the as applicable, will waive fees otherwise operations will expire on the effective aggregate, becomes a holder of more payable to it by the Fund of Funds in date of any Commission rule under the than 25 percent of the outstanding an amount at least equal to any Act that provides relief permitting the voting securities of a Fund, it will vote compensation (including fees received operation of index-based ETFs. its Shares of the Fund in the same pursuant to any plan adopted by a Fund 2. As long as a Fund operates in proportion as the vote of all other under rule 12b-l under the Act) received reliance on the requested order, Shares holders of the Fund’s Shares. This from a Fund by the Fund of Funds of such Fund will be listed on an condition does not apply to the Fund of Adviser, or trustee or Sponsor of the Exchange. Funds’ Sub-Advisory Group with Investing Trust, or an affiliated person 3. Neither the Trust nor any Fund will respect to a Fund for which the Fund of of the Fund of Funds Adviser, or trustee be advertised or marketed as an open- Funds’ Sub-Adviser or a person or Sponsor of the Investing Trust, other end investment company or a mutual controlling, controlled by or under than any advisory fees paid to the Fund fund. Any advertising material that common control with the Fund of of Funds Adviser, trustee or Sponsor of describes the purchase or sale of Funds’ Sub-Adviser acts as the an Investing Trust, or its affiliated Creation Units or refers to redeemability investment adviser within the meaning person by the Fund, in connection with will prominently disclose that Shares of section 2(a)(20)(A) of the Act. the investment by the Fund of Funds in are not individually redeemable and 2. No Fund of Funds or Fund of the Fund. Any Fund of Funds Sub- that owners of Shares may acquire those Funds Affiliate will cause any existing Adviser will waive fees otherwise Shares from the Fund and tender those or potential investment by the Fund of payable to the Fund of Funds Sub- Shares for redemption to a Fund in Funds in a Fund to influence the terms Adviser, directly or indirectly, by the Creation Units only. of any services or transactions between Investing Management Company in an 4. The Web site, which is and will be the Fund of Funds or Fund of Funds amount at least equal to any publicly accessible at no charge, will Affiliate and the Fund or a Fund compensation received from a Fund by contain, on a per Share basis for each Affiliate. the Fund of Funds Sub-Adviser, or an Fund, the prior Business Day’s NAV and 3. The board of directors or trustees of affiliated person of the Fund of Funds the market closing price or the midpoint an Investing Management Company, Sub-Adviser, other than any advisory of the bid/ask spread at the time of the including a majority of the disinterested fees paid to the Fund of Funds Sub- calculation of such NAV (‘‘Bid/Ask directors or trustees, will adopt Adviser or its affiliated person by the Price’’), and a calculation of the procedures reasonably designed to Fund, in connection with the premium or discount of the market ensure that the Fund of Funds Adviser investment by the Investing closing price or Bid/Ask Price against and Fund of Funds Sub-Adviser are Management Company in the Fund such NAV. conducting the investment program of made at the direction of the Fund of 5. Each Self-Indexing Fund, Long/ the Investing Management Company Funds Sub-Adviser. In the event that the Short Fund and 130/30 Fund will post without taking into account any Fund of Funds Sub-Adviser waives fees, on the Web site on each Business Day, consideration received by the Investing the benefit of the waiver will be passed before commencement of trading of Management Company or a Fund of through to the Investing Management Funds Affiliate from a Fund or Fund Company. 28 Applicants acknowledge that the receipt of Affiliate in connection with any services 6. No Fund of Funds or Fund of compensation by (a) an affiliated person of a Fund of Funds, or an affiliated person of such person, for or transactions. Funds Affiliate (except to the extent it the purchase by the Fund of Funds of Shares of a 4. Once an investment by a Fund of is acting in its capacity as an investment Fund or (b) an affiliated person of a Fund, or an Funds in the securities of a Fund adviser to a Fund) will cause a Fund to affiliated person of such person, for the sale by the exceeds the limits in section purchase a security in any Affiliated Fund of its Shares to a Fund of Funds, may be prohibited by Section 17(e)(1) of the Act. The FOF 12(d)(1)(A)(i) of the Act, the Board of Underwriting. Participation Agreement also will include this the Fund, including a majority of the 7. The Board of a Fund, including a acknowledgment. directors or trustees who are not majority of the non-interested Board

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00083 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69897

members, will adopt procedures applicable, understand the terms and SECURITIES AND EXCHANGE reasonably designed to monitor any conditions of the order, and agree to COMMISSION purchases of securities by the Fund in fulfill their responsibilities under the an Affiliated Underwriting, once an order. At the time of its investment in [Release No. 34–70887; File No. SR– investment by a Fund of Funds in the Shares of a Fund in excess of the limit NYSEArca–2013–123] securities of the Fund exceeds the limit in section 12(d)(1)(A)(i), a Fund of of section 12(d)(1)(A)(i) of the Act, Funds will notify the Fund of the Self-Regulatory Organizations; NYSE including any purchases made directly investment. At such time, the Fund of Arca, Inc.; Notice of Filing and from an Underwriting Affiliate. The Funds will also transmit to the Fund a Immediate Effectiveness of Proposed Board will review these purchases list of the names of each Fund of Funds Rule Change Expanding Co-Location periodically, but no less frequently than Affiliate and Underwriting Affiliate. The Services To Provide for a Lower- annually, to determine whether the Latency 10 Gigabit Liquidity Center purchases were influenced by the Fund of Funds will notify the Fund of any changes to the list of the names as Network Connection in the Exchange’s investment by the Fund of Funds in the Data Center Fund. The Board will consider, among soon as reasonably practicable after a other things: (i) Whether the purchases change occurs. The Fund and the Fund November 15, 2013. were consistent with the investment of Funds will maintain and preserve a Pursuant to Section 19(b)(1) 1 of the objectives and policies of the Fund; (ii) copy of the order, the FOF Participation Agreement, and the list with any Securities Exchange Act of 1934 (the how the performance of securities 2 3 purchased in an Affiliated Underwriting updated information for the duration of ‘‘Act’’) and Rule 19b–4 thereunder, compares to the performance of the investment and for a period of not notice is hereby given that, on comparable securities purchased during less than six years thereafter, the first November 7, 2013, NYSE Arca, Inc. (the a comparable period of time in two years in an easily accessible place. ‘‘Exchange’’ or ‘‘NYSE Arca’’) filed with underwritings other than Affiliated the Securities and Exchange 10. Before approving any advisory Commission (the ‘‘Commission’’) the Underwritings or to a benchmark such contract under section 15 of the Act, the as a comparable market index; and (iii) proposed rule change as described in board of directors or trustees of each whether the amount of securities Items I and II below, which Items have purchased by the Fund in Affiliated Investing Management Company been prepared by the self-regulatory Underwritings and the amount including a majority of the disinterested organization. The Commission is purchased directly from an directors or trustees, will find that the publishing this notice to solicit Underwriting Affiliate have changed advisory fees charged under such comments on the proposed rule change significantly from prior years. The contract are based on services provided from interested persons. Board will take any appropriate actions that will be in addition to, rather than duplicative of, the services provided I. Self-Regulatory Organization’s based on its review, including, if Statement of the Terms of Substance of appropriate, the institution of under the advisory contract(s) of any the Proposed Rule Change procedures designed to ensure that Fund in which the Investing purchases of securities in Affiliated Management Company may invest. The Exchange proposes to expand its Underwritings are in the best interest of These findings and their basis will be co-location services to provide for a shareholders of the Fund. fully recorded in the minute books of lower-latency 10 gigabit (‘‘Gb’’) 8. Each Fund will maintain and the appropriate Investing Management Liquidity Center Network (‘‘LCN’’) preserve permanently in an easily Company. connection in the Exchange’s data accessible place a written copy of the center. The text of the proposed rule procedures described in the preceding 11. Any sales charges and/or service fees charged with respect to shares of a change is available on the Exchange’s condition, and any modifications to Web site at www.nyse.com, at the such procedures, and will maintain and Fund of Funds will not exceed the limits applicable to a fund of funds as principal office of the Exchange, and at preserve for a period of not less than six the Commission’s Public Reference years from the end of the fiscal year in set forth in NASD Conduct Rule 2830. Room. which any purchase in an Affiliated 12. No Fund will acquire securities of Underwriting occurred, the first two an investment company or company II. Self-Regulatory Organization’s years in an easily accessible place, a relying on section 3(c)(1) or 3(c)(7) of Statement of the Purpose of, and written record of each purchase of the Act in excess of the limits contained Statutory Basis for, the Proposed Rule securities in Affiliated Underwritings in section 12(d)(1)(A) of the Act, except Change once an investment by a Fund of Funds to the extent the Fund acquires in the securities of the Fund exceeds the In its filing with the Commission, the securities of another investment limit of section 12(d)(1)(A)(i) of the Act, self-regulatory organization included company pursuant to exemptive relief setting forth from whom the securities statements concerning the purpose of, were acquired, the identity of the from the Commission permitting the and basis for, the proposed rule change underwriting syndicate’s members, the Fund to acquire securities of one or and discussed any comments it received terms of the purchase, and the more investment companies for short- on the proposed rule change. The text information or materials upon which term cash management purposes. of those statements may be examined at the Board’s determinations were made. For the Commission, by the Division of the places specified in Item IV below. 9. Before investing in a Fund in Investment Management, under delegated The Exchange has prepared summaries, excess of the limit in section authority. set forth in sections A, B, and C below, 12(d)(1)(A), a Fund of Funds and the Kevin M. O’Neill, of the most significant parts of such Trust will execute a FOF Participation statements. Agreement stating without limitation Deputy Secretary. [FR Doc. 2013–27908 Filed 11–20–13; 8:45 am] that their respective boards of directors 1 15 U.S.C. 78s(b)(1). or trustees and their investment BILLING CODE 8011–01–P 2 15 U.S.C. 78a. advisers, or trustee and Sponsor, as 3 17 CFR 240.19b–4.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00084 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69898 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

A. Self-Regulatory Organization’s and thereby satisfy demand for more The proposed change is not otherwise Statement of the Purpose of, and the efficient, lower latency connections. By intended to address any other issues Statutory Basis for, the Proposed Rule utilizing ultra low-latency switches, the relating to co-location services and/or Change LCN 10 Gb LX connection would related fees, and the Exchange is not provide faster processing of messages aware of any problems that Users would 1. Purpose sent to it in comparison to the existing, have in complying with the proposed The Exchange proposes to expand its standard 10 Gb LCN connection. A change. co-location services to provide for a new switch is a type of network hardware lower-latency 10 Gb LCN connection, that acts as the ‘‘gatekeeper’’ for a User’s 2. Statutory Basis referred to as the ‘‘LCN 10 Gb LX,’’ in messaging (e.g., orders and quotes) sent 4 The Exchange believes that the the Exchange’s data center. The to the Exchange’s trading and execution proposed rule change is consistent with Exchange will propose applicable fees system from the data center. As a Section 6(b) of the Act,10 in general, and for the proposed LCN 10 Gb LX consequence, Users needing only 10 Gb furthers the objectives of Sections connection via a separate proposed rule of bandwidth, but seeking faster 6(b)(5) of the Act,11 in particular, change. processing of those messages, would because it is designed to prevent The LCN is a local area network that have the option of utilizing the faster is available in the data center and that fraudulent and manipulative acts and and more efficient LCN 10 Gb LX practices, to promote just and equitable provides Users with access to the 7 connection. Both the proposed LCN 10 principles of trade, to foster cooperation Exchange’s trading and execution Gb LX connection and the 40 Gb LCN systems and to the Exchange’s and coordination with persons engaged connection would represent the lowest in regulating, clearing, settling, proprietary market data products.5 LCN latency currently available to Users. access is currently available in one, 10 processing information with respect to, As is the case with all Exchange co- and facilitating transactions in and 40 Gb bandwidth capacities.6 The location arrangements, (i) neither a User securities, to remove impediments to, Exchange proposes to make a second 10 nor any of the User’s customers would and perfect the mechanisms of, a free Gb LCN connection available in the be permitted to submit orders directly to and open market and a national market Exchange’s data center, the LCN 10 Gb the Exchange unless such User or system and, in general, to protect LX, which would have a lower latency customer is an ETP Holder, an OTP investors and the public interest and than the existing 10 Gb LCN connection. Holder or OTP Firm, a Sponsored because it is not designed to permit The LCN 10 Gb LX is expected to have Participant or an agent thereof (e.g., a unfair discrimination between latency levels similar to those of the service bureau providing order entry customers, issuers, brokers, or dealers. existing 40 Gb LCN connection. services); (ii) use of the co-location The Exchange is proposing this services proposed herein would be The proposed LCN 10 Gb LX change in order to make an additional completely voluntary and available to connection would assist Users in service available to its co-location Users all Users on a non-discriminatory making their network connectivity more basis; 8 and (iii) a User would only incur efficient by reducing the time that 4 The Securities and Exchange Commission one charge for the particular co-location messaging (e.g., orders and quotes) takes (‘‘Commission’’) initially approved the Exchange’s to reach the Exchange’s trading and co-location services in Securities Exchange Act service described herein, regardless of Release No. 63275 (November 8, 2010), 75 FR 70048 whether the User connects only to the execution system once sent from their (November 16, 2010) (SR–NYSEArca–2010–100) Exchange or to the Exchange and one or co-located servers and also the time that (the ‘‘Original Co-location Approval’’). The both of its affiliates.9 market data takes to reach their co- Exchange operates a data center in Mahwah, New Jersey (the ‘‘data center’’) from which it provides located servers. Speed and efficiency are co-location services to Users. The Exchange’s co- 7 The existing one Gb and 10 Gb LCN connections important drivers of the U.S. securities location services allow Users to rent space in the use the same type of switch and the existing 40 Gb markets. The Exchange is proposing to data center so they may locate their electronic LCN connection uses a second type of switch, but offer a co-location connectivity solution servers in close physical proximity to the the switches are of uniform type within each Exchange’s trading and execution system. See id. at offering. The proposed new LCN 10 Gb LX would that would promote these drivers by 70049. use the same type of switch as the existing 40 Gb providing state of the art technology that 5 For purposes of the Exchange’s co-location LCN. As a consequence, all co-located Users of a would be available to all Users. The particular connectivity option receive the same services, the term ‘‘User’’ includes (i) ETP Holders latency in terms of the capabilities of their switches. Exchange believes that the LCN 10 Gb and Sponsored Participants that are authorized to At this time, the Exchange is not proposing to make LX connection would remove obtain access to the NYSE Arca Marketplace low-latency switches available for 10 Gb CSP pursuant to NYSE Arca Equities Rule 7.29 (see impediments to and perfect the connections because, at least initially, User demand NYSE Arca Equities Rule 1.1(yy)); (ii) OTP Holders, is not anticipated to exist. For a 10 Gb LX mechanism of a free and open market OTP Firms and Sponsored Participants that are ‘‘Bundle,’’ SFTI and optic connections would be at and a national market system by authorized to obtain access to the NYSE Arca standard 10 Gb latencies and only the LCN providing for improved speed and System pursuant to NYSE Arca Options Rule 6.2A connections would be lower latency. The Exchange efficiency of message processing (e.g., (see NYSE Arca Options Rule 6.1A(a)(19)); and (iii) will include language in the NYSE Arca Equities non-ETP Holder, non-OTP Holder and non-OTP and Options Fee Schedules in the related fee orders and quotes) from Users’ co- Firm broker-dealers and vendors that request to change to reflect this fact. located servers. receive co-location services directly from the 8 As is currently the case, Users that receive co- The Exchange also believes that the Exchange. See, e.g., Securities Exchange Act location services from the Exchange will not receive Release Nos. 65970 (December 15, 2011), 76 FR any means of access to the Exchange’s trading and reduction in latencies attributed to the 79242 (December 21, 2011) (SR–NYSEArca–2011– execution systems that is separate from, or superior LCN 10 Gb LX connection would serve 74) and 65971 (December 15, 2011), 76 FR 79267 to, that of other Users. In this regard, all orders sent to protect investors and the public (December 21, 2011) (SR–NYSEArca–2011–75). As to the Exchange enter the Exchange’s trading and specified in the NYSE Arca Equities and Options execution systems through the same order gateway, interest by providing Users with the Fee Schedules, a User that incurs co-location fees regardless of whether the sender is co-located in the most efficient means of processing their for a particular co-location service pursuant thereto data center or not. In addition, co-located Users do messages sent to the Exchange’s trading would not be subject to co-location fees for the not receive any market data or data service product same co-location service charged by the Exchange’s that is not available to all Users, although Users that affiliates NYSE MKT LLC and New York Stock receive co-location services normally would expect submitted the same proposed rule change to Exchange LLC. See Securities Exchange Act Release reduced latencies in sending orders to, and provide for LCN 10 Gb LX connections. See SR– No. 70173 (August 13, 2013), 78 FR 50459 (August receiving market data from, the Exchange. NYSEMKT–2013–92 and SR–NYSE–2013–73. 19, 2013) (SR–NYSEArca–2013–80). 9 See SR–NYSEArca–2013–80, supra note 5 at 10 15 U.S.C. 78f(b). 6 See id. 50459. The Exchange’s affiliates have also 11 15 U.S.C. 78f(b)(5).

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00085 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69899

and execution system from the data conditions established from time to time III. Date of Effectiveness of the center. by the Exchange could have access to Proposed Rule Change and Timing for The Exchange also believes that the the co-location services provided in the Commission Action proposed LCN 10 Gb LX connection is data center. This is also true because, in The Exchange has filed the proposed not designed to permit unfair addition to the services being rule change pursuant to Section discrimination between customers, completely voluntary, they are available 19(b)(3)(A)(iii) of the Act 14 and Rule issuers, brokers, or dealers because it to all Users on an equal basis (i.e., the 19b–4(f)(6) thereunder.15 Because the would make a service available to Users same range of products and services are foregoing proposed rule change does that require the low-latency connection, available to all Users). but Users that do not require the lower The Exchange also believes that the not: (1) Significantly affect the latency could continue to request an proposed LCN 10 Gb LX connection will protection of investors or the public existing 10 Gb LCN connection. The not impose any burden on competition interest; (2) impose any significant Exchange anticipates that the latency for that is not necessary or appropriate in burden on competition; and (3) by its the proposed LCN 10 Gb LX connection furtherance of the purposes of the Act terms does not become operative for 30 would be comparable to that of the because it will satisfy User demand for days after the date of this filing, or such existing 40 Gb LCN connection. Both more efficient, lower-latency shorter time as the Commission may the proposed LCN 10 Gb LX connection connections, but Users that do not designate if consistent with the and the 40 Gb LCN connection would require the lower latency could protection of investors and the public represent the lowest latency currently continue to request an existing LCN interest, the proposed rule change has available to Users. The 40 Gb LCN connection. Similarly, it will provide an become effective pursuant to Section 16 provides the greatest bandwidth option for a User whose system is not 19(b)(3)(A) of the Act and Rule 19b– 17 available on the Exchange, which is compatible with a 40 Gb LCN 4(f)(6) thereunder. important for Users that have high order connection, or does not have bandwidth A proposed rule change filed under 18 flow and ingest large amounts of market demands that would require a 40 Gb Rule 19b–4(f)(6) normally does not data and demand the greatest LCN connection, but that puts a become operative prior to 30 days after bandwidth possible to handle such premium on reducing latency. the date of the filing. However, pursuant message flow. Some Users, however, Additionally, the Exchange believes that to Rule 19b4(f)(6)(iii),19 the Commission have systems that are not compatible the proposed change will enhance may designate a shorter time if such with a 40 Gb LCN connection, or do not competition between competing action is consistent with the protection have bandwidth demands that would marketplaces by enabling the Exchange of investors and the public interest. The require a 40 Gb LCN connection, but to provide a low-latency connectivity Exchange has asked the Commission to still put a premium on reducing latency. option to Users that is similar to a waive the 30-day operative delay so that The LCN 10 Gb LX is designed to meet service available on other markets. For the proposal may become operative this demand. Ultimately, a User will be example, The NASDAQ Stock Market immediately upon filing. The Exchange able to choose between the proposed LLC (‘‘NASDAQ’’) also makes a low- requested waiver of the 30-day operative new LCN 10 Gb LX connection or the latency 10 Gb fiber connection option delay in order to immediately existing one, 10 and 40 Gb LCN available to users of its co-location implement the proposed rule change so connections to suit its needs. The facilities.13 that Users may experience the benefits Exchange believes that this would Finally, the Exchange notes that it of such proposed change as soon as remove impediments to, and perfect the operates in a highly competitive market possible. The Exchange represented that mechanisms of, a free and open market in which market participants can a waiver of the operative delay would be and a national market system and, in readily favor competing venues if, for in the public interest and would general, protect investors and the public example, they deem fee levels at a contribute to the protection of investors interest because it would provide Users particular venue to be excessive or if because it would permit additional with additional choices with respect to they determine that another venue’s Users to have access to lower-latency the optimal bandwidth and latency for products and services are more LCN connections, including those Users their connections. competitive than on the Exchange. In whose systems are not compatible with Finally, the Exchange believes that it such an environment, the Exchange the existing 40 Gb LCN connection or is subject to significant competitive must continually review, and consider who do not have bandwidth demands forces, as described below in the adjusting, the services it offers as well that would require a 40 Gb LCN Exchange’s statement regarding the as any corresponding fees and credits to connection. The Exchange further stated burden on competition. remain competitive with other that the benefit of such lower latency For these reasons, the Exchange exchanges. For the reasons described would indirectly benefit customers of believes that the proposal is consistent above, the Exchange believes that the such Users and would serve to protect with the Act. proposed rule change reflects this investors and the public interest, in that competitive environment. the LCN 10 Gb LX connection would B. Self-Regulatory Organization’s

Statement on Burden on Competition C. Self-Regulatory Organization’s 14 Statement on Comments on the 15 U.S.C. 78s(b)(3)(A)(iii). In accordance with Section 6(b)(8) of 15 17 CFR 240.19b–4(f)(6). Proposed Rule Change Received From the Act,12 the Exchange believes that the 16 15 U.S.C. 78s(b)(3)(A). Members, Participants, or Others 17 proposed rule change will not impose 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– No written comments were solicited 4(f)(6)(iii) requires a self-regulatory organization to any burden on competition that is not provide the Commission with written notice of its necessary or appropriate in furtherance or received with respect to the proposed intent to file the proposed rule change, along with of the purposes of the Act because any rule change. a brief description and text of the proposed rule market participants that are otherwise change, at least five business days prior to the date capable of satisfying any applicable co- 13 See NASDAQ Rule 7034. NASDAQ refers to of filing of the proposed rule change, or such this connectivity option as the ‘‘10 Gb Ultra’’ shorter time as designated by the Commission. The location fees, requirements, terms and connection. See also Securities Exchange Act Exchange has met this requirement. Release No. 70129 (August 7, 2013), 78 FR 49308 18 17 CFR 240.19b–4(f)(6). 12 15 U.S.C. 78f(b)(8). (August 13, 2013) (SR–NASDAQ–2013–099). 19 17 CFR 240.19b–4(f)(6)(iii).

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00086 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69900 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

provide Users with the most efficient comments more efficiently, please use change, as described in Items I, II, and means of processing customer orders only one method. The Commission will III below, which Items have been that are sent to the Exchange’s trading post all comments on the Commission’s prepared by the Exchange. The and execution system from the data Internet Web site (http://www.sec.gov/ Commission is publishing this notice to center. The Exchange stated its belief rules/sro.shtml). Copies of the solicit comment on the proposed rule that the proposed LCN 10 Gb LX submission, all subsequent change from interested persons. connection does not raise any novel or amendments, all written statements unique issues or concerns. The with respect to the proposed rule I. Self-Regulatory Organization’s Exchange further stated that it does not change that are filed with the Statement of the Terms of Substance of anticipate any negative consequence, Commission, and all written the Proposed Rule Change whether for Users, the investing public communications relating to the or otherwise, as a result of granting a proposed rule change between the The Exchange is proposing to amend waiver of the operative delay. For the Commission and any person, other than its Fee and Rebate Schedule (the ‘‘Fee above reasons, the Commission believes those that may be withheld from the Schedule’’) issued pursuant to Exchange waiver of the operative delay is public in accordance with the Rule 16.1(a) in order to: change certain appropriate and hereby grants the provisions of 5 U.S.C. 552, will be fees and rebates applicable to Exchange’s request and designates the available for Web site viewing and executions occurring through the ‘‘Auto proposal operative upon filing.20 printing in the Commission’s Public Ex’’ mode of interaction (‘‘Auto Ex At any time within 60 days of the Reference Room, 100 F Street NE., Mode’’) 3 with the NSX’s trading system filing of such proposed rule change, the Washington, DC 20549, on official (the ‘‘System’’); 4 and discontinue Commission summarily may business days between the hours of charging certain fees to Exchange Equity temporarily suspend such rule change if 10:00 a.m. and 3:00 p.m. Copies of the Trading Permit (‘‘ETP’’) 5 Holders that it appears to the Commission that such filing also will be available for are approved to use the Order Delivery action is necessary or appropriate in the inspection and copying at the principal mode of interaction with the System public interest, for the protection of office of the Exchange. All comments (‘‘Order Delivery Mode’’).6 The investors, or otherwise in furtherance of received will be posted without change; Exchange is also proposing to eliminate the purposes of the Act. If the the Commission does not edit personal the rebate of $0.0045 per executed share Commission takes such action, the identifying information from for Double Play Orders 7 in five select Commission shall institute proceedings submissions. You should submit only securities (the ‘‘Select Securities’’) under Section 19(b)(2)(B) 21 of the Act to information that you wish to make determine whether the proposed rule available publicly. All submissions directed to the CBOE Stock Exchange, change should be approved or should refer to File Number SR– Inc. (‘‘CBSX’’) and pay the standard disapproved. NYSEArca–2013–123 and should be rebate of $0.0015 per executed share submitted on or before December 12, applicable to Double Play Orders in all IV. Solicitation of Comments 2013. other securities priced at $1.00 and Interested persons are invited to above. The Exchange also proposes to For the Commission, by the Division of submit written data, views, and Trading and Markets, pursuant to delegated make certain non-material changes to arguments concerning the foregoing, authority.22 the relevant text of the Fee Schedule to including whether the proposed rule Kevin M. O’Neill, make certain terms used therein change is consistent with the Act. Deputy Secretary. consistent with terms used in the Comments may be submitted by any of [FR Doc. 2013–27902 Filed 11–20–13; 8:45 am] Exchange’s rules. the following methods: BILLING CODE 8011–01–P The text of the proposed rule change Electronic Comments is available on the Exchange’s Web site • Use the Commission’s Internet at www.nsx.com, at the Exchange’s SECURITIES AND EXCHANGE comment form (http://www.sec.gov/ principal office, and at the COMMISSION rules/sro.shtml); or Commission’s Public Reference Room. • Send an email to rule-comments@ [Release No. 34–70890; File No. SR–NSX– sec.gov. Please include File Number SR– 2013–21] 3 See Exchange Rule 11.13 (Proprietary and NYSEArca–2013–123 on the subject Agency Orders; Modes of Order Interaction), line. Self-Regulatory Organizations; paragraph(b)(1). National Stock Exchange, Inc.; Notice 4 Under NSX Rule 1.5, the term ‘‘System’’ is Paper Comments of Filing and Immediate Effectiveness defined as the ‘‘the electronic securities • Send paper comments in triplicate of Proposed Rule Change To Amend communications and trading facility . . .through to Elizabeth M. Murphy, Secretary, Its Fee and Rebate Schedule which orders of Users are consolidated for ranking Securities and Exchange Commission, and execution.’’ November 15, 2013. 5 100 F Street NE., Washington, DC NSX Rule defines the term ‘‘ETP’’ as an Equity Pursuant to Section 19(b)(1) of the Trading Permit issued by the Exchange for effecting 20549–1090. Securities Exchange Act of 1934 (the approved securities transactions on the Exchange’s All submissions should refer to File ‘‘Act ’’ or ‘‘Exchange Act’’) 1 and Rule Trading Facilities. Number SR–NYSEArca–2013–123. This 19b–4 thereunder,2 notice is hereby 6 See Exchange Rule 11.13(b)(2). file number should be included on the given that on November 1, 2013, 7 NSX Rule 11.11(c)(10) defines a ‘‘Double Play subject line if email is used. To help the National Stock Exchange, Inc. (‘‘NSX®’’ Order’’ as a market or limit order for which an ETP Commission process and review your or ‘‘Exchange’’) filed with the Securities Holder instructs the System to route to designated away Trading Centers which are approved by the and Exchange Commission (‘‘SEC’’ or Exchange from time to time without first exposing 20 For purposes only of waiving the 30-day ‘‘Commission’’) the proposed rule operative delay, the Commission has also the order to the NSX Book. A Double Play Order considered the proposed rule’s impact on that is not executed in full after routing away efficiency, competition, and capital formation. See 22 17 CFR 200.30–3(a)(12). receives a new time stamp upon return to the 15 U.S.C. 78c(f). 1 15 U.S.C. 78s(b)(1). Exchange and is ranked and maintained in the NSX 21 15 U.S.C. 78s(b)(2)(B). 2 17 CFR 240.19b–4. Book in accordance with Rule 11.14(a).

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00087 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69901

II. Self-Regulatory Organization’s thresholds that must be met before an s only, each ETP Holder that executes Statement of the Purpose of, and ETP Holder can be eligible to pay the ADV of at least 25,000 shares of added Statutory Basis for, the Proposed Rule lowest fees for adding liquidity under liquidity in Auto Ex Mode during a Change the Fixed Fee Schedule. Currently, an calendar month will receive a rebate of In its filing with the Commission, the ETP Holder must execute average daily $0.0034 under the Fixed Fee Schedule Exchange included statements volume (‘‘ADV’’) of at least 50,000 per executed share, to apply across all concerning the purpose of, and statutory shares of added liquidity during a ADV tiers of the Fixed Fee schedule. basis for, the proposed rule change and calendar month to qualify for the lowest This amendment is intended to provide discussed any comments it received on fees under the Fixed Fee Schedule. The added incentive to ETP Holders to add the proposed rule change. The text of Exchange is proposing to change this liquidity in Tape B symbols on the these statements may be examined at volume threshold to ADV of at least Exchange, thereby increasing trading the places specified in Item IV below. 25,000 executed shares of added volumes and providing better execution liquidity during a calendar month. The Exchange has prepared summaries, opportunities for ETP Holders and their Along with this change to the set forth in sections A, B, and C below, customers while maximizing the rebates qualifying volume threshold, the of the most significant parts of such available to ETP Holders for posting Exchange is proposing to adjust certain statements. liquidity on the Exchange. fees and rebates under both the Variable A. Self-Regulatory Organization’s and Fixed Schedules. For ETP Holders The Exchange believes that the Statement of the Purpose of, and with ADV within Tier 1 (up to 500,000 proposed changes to certain fees and Statutory Basis for, the Proposed Rule executed shares), the Exchange will rebates applicable to Auto Ex Mode will Change reduce the fee for removing liquidity operate to incentivize ETP Holders to 1. Purpose under the Fixed Fee Schedule from post additional liquidity on the $0.0030 to $0.0029. In the Variable Fee Exchange, increase trading The Exchange proposes to amend Schedule, the Exchange proposes to opportunities for ETP Holders and their Section I. (Auto Ex Mode); Section II. increase the rebate to add liquidity in customers, and enhance the efficiency (Order Delivery); Section III.A. (Order Tier 4 (ADV greater than 10 [sic] 5 Routing All Tapes); and Section IV. and cost-effectiveness of trading on the million shares but less than 10 million Exchange. (Regulatory Fee) of its Fee Schedule to: shares) from $0.0028 under the current implement new fees and rebates schedule to $0.0029. For Tier 5, which Amended Rebate for Double Play Orders applicable to executions occurring the Exchange proposes to amend and in the Select Securities through Auto Ex Mode; change Section redefine as ADV of greater than [sic] 10 II, Pricing Option A for Order Delivery million shares executed, the Exchange The Exchange is proposing to amend Mode to discontinue a fee paid by ETP proposes to increase the rebate for the Fee Schedule to eliminate the Holders approved to use the Order adding liquidity under the Variable Fee enhanced rebate of $0.0045 per Delivery Mode (‘‘Order Delivery Schedule from $0.0029 to $0.0031. executed share that the Exchange 8 Users’’) for each Order Delivery The Exchange is further proposing to currently pays to ETP Holders that Notification in securities priced below eliminate Tier 6, defined in the current direct Double Play Orders in the Select $1.00; change Section III.A. to eliminate Fixed and Variable Fee Schedules as Securities to CBSX. Double Play Orders a rebate of $0.0045 per executed share ADV in excess of [sic] 20 million shares. routed to and executed on CBSX will be paid to ETP Holders that direct Double The Exchange believes that the subject to the rebate program applicable Play Orders in the Select Securities to to all other securities priced at $1.00 9 proposed amendment to increase the CBSX; and, change Section IV. to liquidity rebate under Tier 5 in the and above under Section III.A. of the discontinue a fee paid by Order Delivery Variable Fee Schedule provides an Fee Schedule, which provides for a Users for quotation updates in securities appropriate rebate for ETP Holders with rebate of $0.0015 per executed share. priced under $1.00. The Exchange also ADV in excess of 10 million shares, proposes to make certain non-material The Exchange implemented the eliminating the need for the additional enhanced rebate of $0.0045 for changes to the relevant text of the Fee Tier 6 pricing. In addition, the Tier 5 Schedule to make certain terms used executions of Double Play Orders in the ADV amounts are more reflective of the Select Securities directed to CBSX as of therein consistent with terms used in actual volume totals currently executed the Exchange’s rules. July 1, 2013.12 As of September 3, 2013, by ETP Holders. The Exchange submits the Exchange amended the Fee that eliminating Tier 6 for both the Amended Fees and Rebates Applicable Schedule to remove AMD and MU from to Auto Ex Mode Fixed and Variable Fee Schedules The Exchange is proposing several operates to simplify the Fee Schedule and provide a fee and rebate structure not include securities listed on the New York Stock changes to the fees and rebates Exchange, Inc. or the NASDAQ Stock Market LLC. applicable under both the Fixed Fee that better aligns with actual volume 12 The Exchange filed for immediate effectiveness Schedule and the Variable Fee Schedule totals. amendments to its Fee Schedule, effective July 1, 2013, that: Established the $0.0045 per share rebate applicable to executions occurring Additionally, the Exchange is 11 for executions of Double Play Orders in the Select through the use of the Exchange’s Auto proposing that, for Tape B securities Securities on CBSX; clarified that the unexecuted Ex Mode. Specifically, the Exchange is portion of a Double Play Order that is returned to 10 proposing to adjust the volume The Commission notes that the corresponding NSX after its initial route to CBSX and subsequently rule text refers to amounts greater than or equal to executed on the NSX or routed away in accordance for the 5, 10, and 20 million share thresholds with NSX Rule 11.15(a)(ii) is subject to the standard 8 A ‘‘User’’ is defined in Exchange Rule 1.5 as referenced herein, and that the rule text is Fee Schedule; and clarified that the $0.0030 per ‘‘. . . any ETP Holder or Sponsored Participant controlling. share routing fee applies only to orders routed by who is authorized to obtain access to the 11 The term ‘‘Tape B’’ securities refers to the the Exchange in accordance with NSX Rule System. . . .’’ designation assigned in the Consolidated Tape 11.15(a)(ii). The Select Securities initially identified 9 The Select Securities are Apple Inc. (‘‘AAPL’’); Association (‘‘CTA’’) Plan for reporting trades with included Advanced Micro Devices, Inc. (‘‘AMD’’) Google Inc. (‘‘GOOG’’); Bank of America Corp respect to securities in Network B, which are and Micron Technology, Inc. (‘‘MU’’) in addition to (‘‘BAC’’); Nokia Corporation (‘‘NOK’’); and Sirius securities listed on NYSE MKT, formerly NYSE BAC, NOK, and SIRI. See Exchange Act Release No. Radio, Inc. (‘‘SIRI’’). Amex, and other exchanges. Tape B securities do 34–69941; 78 FR 41966; SR–NSX–2013–14.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00088 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69902 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

the list of Select Securities and add Currently, under Section II. Pricing securities priced below $1.00, and AAPL and GOOG.13 Option A of the Fee Schedule, the provide for a simpler and more cost- In its previous filings with respect to Exchange does not pay a transaction efficient fee and rebate structure. the enhanced rebates for Double Play rebate or a market data rebate for Finally, the Exchange is also Orders directed to and executed on securities priced under $1.00, but proposing to change the Fee Schedule to CBSX, the Exchange noted that CBSX assesses a fee of $0.35 for each Order substitute references to an ‘‘ETP had determined the list of Select Delivery Notification, up to 1.5 million Holder’’ with the term ‘‘Order Delivery Securities and, because the Exchange Order Delivery Notifications per month, User’’ and describing such User as an intended to pass through the rebates to that the System delivers to Order ETP Holder approved for Order Delivery ETP Holders that directed Double Play Delivery Users for potential execution Mode. This non-material change will Orders in the Select Securities to CBSX, against a posted displayed or operate to provide clarity in the Fee it made conforming changes to the NSX undisplayed order. The Exchange states Schedule and tracks language currently Fee Schedule. CBSX has determined that, by proposing to eliminate from this used in the Exchange’s rules. volume threshold securities priced that, at present, it will not pay the 2. Statutory Basis enhanced rebate of $0.0045 per below $1.00 the and charge no fee per executed share for any of the symbols Order Delivery Notification for such The Exchange believes that the that comprise the list of Select securities, it is seeking to balance its Fee proposed changes to the Fee Schedule Securities. The enhanced per share Schedule to better align the fees and are consistent with the provisions of rebate for executed Double Play Orders rebates applicable to Order Delivery Section 6(b) of the Act in general,16 and in the Select Securities was an attempt Notifications in sub-dollar securities. Sections 6(b)(4) 17 and 6(b)(5) 18 of the to increase liquidity provision in these The Exchange states that it is proposing Act in particular. With respect to the symbols, but such increased liquidity the change to enhance the incentives for requirements of Section 6(b)(4) of the was not attained. The Exchange is an Order Delivery User to post bids and Act, the Exchange submits that all of the offers in securities priced below $1.00 therefore making conforming changes to 14 proposed changes, both for Auto Ex the Fee Schedule to remove all of the on the NSX Book since the Order Mode and Order Delivery Mode, symbols that currently comprise the list Delivery User will not be charged the provide for the equitable allocation of Order Delivery Notification fee when of Select Securities and will pay the reasonable dues, fees and other charges notified by the Exchange that its posted rebate of $0.0015 per executed share among ETP Holders, issuers and persons orders has been matched by the System applicable to all other routed orders in using the Exchange’s facilities. for execution against a customer order. securities priced at $1.00 and above The Exchange makes it clear in the Fee Specifically, the Exchange believes under Section III.A. of the Fee Schedule. Schedule that Order Delivery that the proposed fee and rebate changes If in the future the Exchange seeks to Notifications delivered to the Order for executions in Auto Ex Mode under identify securities for the Select Delivery User in securities priced below the proposed revisions Section I. of the Securities list and apply a different fee $1.00 shall not count toward the 1.5 Fee Schedule are consistent with the and rebate program, it would do so million Order Delivery Notification fee provisions of Section 6(b)(4) of the Act upon a filing with the Commission cap applicable to securities priced at in that they constitute an equitable pursuant to section 19(b) of the Act. $1.00 and above. allocation of reasonable dues and fees Amended Fees Applicable to Order The Exchange is also proposing to among ETP Holders and their customers Delivery Mode amend Section IV. of the Fee Schedule and market participants seeking pools of to eliminate the quotation update fee in liquidity. All ETP Holders are eligible to The Exchange is further proposing to securities priced below $1.00, select the proposed pricing model and amend the Fee Schedule with respect to applicable to both new and existing may do so at their discretion. The Order Delivery Mode by, first, Order Delivery Users.15 This proposed Exchange believes that its proposal to eliminating securities priced below change is also directed at incentivizing change the ADV threshold in the Fixed $1.00 from the monthly volume Order Delivery Users to increase their Fee Schedule from 50,000 shares to threshold of 1.5 million delivered Order use of Order Delivery Mode for quoting 25,000 shares of added liquidity during Delivery Notifications that must be met in securities priced below $1.00 by a calendar month and to adjust the fees before an Order Delivery User is no eliminating the fees that they would for removing liquidity and the rebates longer subject to the $0.35 fee per Order otherwise pay for quotation updates. for adding liquidity in the Fixed and Delivery Notification fee. As a result, all The Exchange believes that by providing Variable Fee Schedules, with the Order Delivery Notifications in these incentives to Order Delivery amounts varying depending on the securities priced below $1.00 will not be Users, it will encourage more liquidity volume tiers into which the ETP subject to the Order Delivery in securities priced below $1.00 on the Holder’s executed volume falls, are Notification fee. Second, the Exchange Exchange, provide new opportunities consistent with Section 6(b)(5) of the is proposing to eliminate the quotation for ETP Holders to interact with Order Act in that it is intended to remove update fee in securities priced below Delivery Users’ quoted interest in impediments to and perfect the $1.00, applicable to both new and mechanism of a free and open market existing Order Delivery Users. The 14 Exchange Rule 1.5 defines the term ‘‘NSX and a national market system and, in Exchange states that it is proposing Book’’ as ‘‘. . . the System’s electronic file of general, protect investors and the public these changes to better align the fees orders.’’ interest, by encouraging greater liquidity and rebates applicable to Order Delivery 15 For securities priced at $1.00 and above, the on the Exchange, potentially improving Exchange will continue to apply a quotation update Mode; to provide a more cost-effective fee of $0.000467 to an Order Delivery User’s first execution quality and price-discovery, structure; and to encourage greater 150 million quotation updates each calendar and promoting an efficient and cost- activity in securities priced below $1.00 month, with no fee applied after this threshold is effective means of trading. through the Order Delivery Mode. met. New Order Delivery Users will be charged a reduced fee of $0.000667 per quotation update in securities priced at $1.00 and above for the first 16 15 U.S.C. 78f(b). 13 See Exchange Act Release No. 34–70525; 78 FR three months of operation as an Order Delivery 17 15 U.S.C. 78f(b)(4). 60954; SR–NSX–2013–18. User. 18 15 U.S.C. 78f(b)(5).

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00089 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69903

Similarly, the Exchange submits that Act to eliminate the enhanced rebates Act in that it does not permit unfair its proposal to provide a rebate of for executions in Double Play Orders in discrimination between ETP Holders, $0.0034 per executed share to ETP the five symbols that comprised the issuers and customers. The Exchange is Holders that execute ADV of at least Select Securities list when the desired proposing the amendments with the 25,000 shares adding liquidity in Tape liquidity that the enhanced rebate was goals of providing a balanced fee and B securities, with such rebate to apply intended to incentivize in those symbols rebate structure for order Delivery Users across all volume tiers, is intended to is not attained. and incentivizing Order Delivery Users attract more volume in those securities The Exchange next submits that, with to post more liquidity in securities to the Exchange, provide additional respect to the proposed elimination of priced under $1.00 on the Exchange. execution opportunities for ETP Holders the fees for Order Delivery Notifications There are other markets and execution seeking to remove that liquidity, and to in securities priced below $1.00, its venues with different pricing proposal is consistent with Section 6 of promote narrower spreads and better mechanisms offered to attract liquidity the Act in that it applies equally to all execution quality. The Exchange to those venues. The Exchange submits Order Delivery Users with posted believes that these goals are consistent that in this highly competitive with Section 6(b)(5) of the Act in that interest in such securities on the NSX environment, its proposal to eliminate they promote the maintenance of fair Book. The Exchange further submits the Order Delivery Notification and and orderly markets, operate to perfect that its proposed elimination of the quotation update fees in securities the mechanism of a free and open Order Delivery Notification fee in market and national market system, and securities priced below $1.00 is priced under $1.00, applicable to Order are consistent with the protection of consistent with Section 6(b)(4) in that it Delivery Users, provides alternatives to investors and the public interest. is reasonable to differentiate securities ETP Holders and their customers, while The Exchange states that its proposed priced under $1.00 in determining a striving to increase liquidity in amendment to Section I. of the Fee reasonable fee and rebate structure. In securities priced under $1.00 on the Schedule to eliminate volume Tier 6 is this instance, the Exchange is proposing Exchange. consistent with the Section 6(b) of the an amendment that would eliminate the B. Self-Regulatory Organization’s Act and Sections 6(b)(4) and 6(b)(5) in fee that the Exchange currently charges Statement on Burden on Competition that it better aligns the Fee Schedule Order Delivery Users for each Order with the trading volume of the Delivery Notification in a sub-dollar The Exchange does not believe that Exchange, thereby enhancing security, up to 1.5 million notifications the proposed rule change will impose transparency and clarity, while per month. Under the current Fee any burden on competition that is not providing incentives through the Schedule, this is the same fee that the necessary or appropriate in furtherance proposed amendments to Section I. to Exchange charges Order Delivery Users of the purposes of the Act. The promote additional liquidity and for each order Delivery Notification in a Exchange submits that its proposals to increase trading volumes. This change is security priced at $1.00 and above, up enhance the rebates available to ETP consistent with both the provisions of to 1.5 million notifications per month. Holders using Auto Ex Mode; and Section 6(b)(4) requiring an equitable Currently, Order Delivery Users receive eliminate fees paid by Order Delivery allocation of reasonable dues and fees transaction and market data rebates for Users for Order Delivery Notifications among ETP Holders, issuers and other securities priced at $1.00 above while and quotation updates in securities persons using the Exchange’s facilities, no such rebates are available for priced below $1.00, are reasonable and the provisions of section 6(b)(5) securities priced below $1.00. approaches to incentivize additional requiring that the rules of the Exchange The Exchange believes that by order flow in a highly competitive promote just and equitable principles of eliminating the Order Delivery trade. Notification fee for securities priced environment and therefore does not The Exchange submits that its below $1.00 it will incentivize Order present a burden on competition. proposal amend Section III.A. of the Fee Delivery Users to post more interest in The proposed rule change to remove Schedule to remove the five symbols such securities on the NSX Book, the five securities from the list of Select that currently comprise the list of Select thereby potentially increasing liquidity Securities will not impose any burden Securities, and not presently offer an in such securities and providing more on competition that is not necessary or enhanced rebate for any Double Play execution opportunities on the appropriate in furtherance of the Orders in Select Securities directed to Exchange. It will also provide a purposes of the Act because the and executed on CBSX, is consistent potentially more advantageous fee and proposed changes will subject the five with Section 6(b)(4) of the Act in that it rebate structure for Order Delivery symbols on the list to the same fee and is an equitable allocation of reasonable Users, who under the current Fee rebate structure that is now applied to dues and fees among ETP Holders, Schedule are subject to the same fees all other securities in which orders are issuers, and persons using the facilities and volume thresholds for securities routed. of the Exchange. The Exchange’s priced at or above $1.00 and those proposed amendment will remove the priced under $1.00, but without the Moreover, the Exchange is seeking to enhanced rebates applicable to executed ability to receive the rebates offered by provide a fee and rebate structure that Double Play Orders in the Select the Exchange for securities priced at appropriately addresses the balance Securities directed to CBSX. Any such $1.00 and above. For securities priced at between fees and rebates and provides executions in the symbols that formerly $1.00 and above, the 1.5 million Order an economical and cost-effective means comprised the list of Select Securities Delivery Notification fee cap will for executing transactions in the will now be subject to the fee and rebate remain in place. Exchange’s market. To this extent, the schedule applicable to all securities The Exchange submits that the Exchange submits that the proposed priced at $1.00 and above, which will be proposed fee structure for Order amendments to the Fee Schedule assessed equally to all ETP Holders and Delivery Notifications and quotation operate to enhance competition among persons using the facilities of the updates by Order Delivery Users in competing trading venues and provide Exchange. The Exchange believes that it securities priced below $1.00 is more choices for ETP Holders and their is not inconsistent with Section 6 of the consistent with Section 6(b)(5) of the customers.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00090 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69904 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

C. Self-Regulatory Organization’s those that may be withheld from the I. Self-Regulatory Organization’s Statement on Comments on the public in accordance with the Statement of the Terms of Substance of Proposed Rule Change Received From provisions of 5 U.S.C. 552, will be the Proposed Rule Change Members, Participants, or Others available for Web site viewing and The Exchange proposes to expand its The Exchange has neither solicited printing in the Commission’s Public co-location services to provide for a nor received written comments on the Reference Room, 100 F Street NE., lower-latency 10 gigabit (‘‘Gb’’) proposed rule change. Washington DC 20549, on official Liquidity Center Network (‘‘LCN’’) business days between the hours of III. Date of Effectiveness of the connection in the Exchange’s data 10:00 a.m. and 3:00 p.m. Copies of such Proposed Rule Change and Timing for center. The text of the proposed rule filing also will be available for Commission Action change is available on the Exchange’s inspection and copying at the principal Web site at www.nyse.com, at the The proposed rule change has taken office of the Exchange. All comments principal office of the Exchange, and at effect upon filing pursuant to Section received will be posted without change; the Commission’s Public Reference 19 19(b)(3)(A)(ii) of the Exchange Act the Commission does not edit personal Room. and subparagraph (f)(2) of Rule 19b–4.20 identifying information from II. Self-Regulatory Organization’s At any time within 60 days of the filing submissions. You should submit only of such proposed rule change, the Statement of the Purpose of, and information that you wish to make Statutory Basis for, the Proposed Rule Commission summarily may available publicly. All submissions temporarily suspend such rule change if Change should refer to File Number SR–NSX– it appears to the Commission that such 2013–21, and should be submitted on or In its filing with the Commission, the action is necessary or appropriate in the before December 12, 2013. self-regulatory organization included public interest, for the protection of statements concerning the purpose of, investors, or otherwise in furtherance of For the Commission, by the Division of and basis for, the proposed rule change the purposes of the Act. Trading and Markets, pursuant to delegated and discussed any comments it received authority.21 IV. Solicitation of Comments on the proposed rule change. The text Kevin M. O’Neill, of those statements may be examined at Interested persons are invited to Deputy Secretary. the places specified in Item IV below. submit written data, views, and The Exchange has prepared summaries, arguments concerning the foregoing, [FR Doc. 2013–27905 Filed 11–20–13; 8:45 am] BILLING CODE 8011–01–P set forth in sections A, B, and C below, including whether the proposed rule of the most significant parts of such change is consistent with the Act. statements. Comments may be submitted by any of the following methods: SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s COMMISSION Statement of the Purpose of, and the Electronic Comments Statutory Basis for, the Proposed Rule • Use the Commission’s Internet [Release No. 34–70886; File No. SR– Change comment form (http://www.sec.gov/ NYSEMKT–2013–92] 1. Purpose rules/sro.shtml); or • Send an email to rule-comments@ Self-Regulatory Organizations; NYSE The Exchange proposes to expand its sec.gov. Please include File Number SR– MKT LLC; Notice of Filing and co-location services to provide for a new NSX–2013–21 on the subject line. Immediate Effectiveness of Proposed lower-latency 10 Gb LCN connection, referred to as the ‘‘LCN 10 Gb LX,’’ in Paper Comments Rule Change Expanding Co-location Services to Provide for a Lower- the Exchange’s data center.4 The • Send paper comments in triplicate Latency 10 Gigabit Liquidity Center Exchange will propose applicable fees to Elizabeth M. Murphy, Secretary, Network Connection in the Exchange’s for the proposed LCN 10 Gb LX Securities and Exchange Commission, Data Center connection via a separate proposed rule 100 F Street NE., Washington, DC change. 20549–1090. November 15, 2013. The LCN is a local area network that All submissions should refer to File Pursuant to Section 19(b)(1) 1 of the is available in the data center and that Number SR–NSX–2013–21. This file provides Users with access to the number should be included on the Securities Exchange Act of 1934 (the ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 Exchange’s trading and execution subject line if email is used. To help the systems and to the Exchange’s notice is hereby given that, on Commission process and review your proprietary market data products.5 LCN comments more efficiently, please use November 7, 2013, NYSE MKT LLC (the only one method. The Commission will ‘‘Exchange’’ or ‘‘NYSE MKT’’) filed with 4 The Securities and Exchange Commission post all comments on the Commission’s the Securities and Exchange (‘‘Commission’’) initially approved the Exchange’s Internet Web site (http://www.sec.gov/ Commission (the ‘‘Commission’’) the co-location services in Securities Exchange Act proposed rule change as described in Release No. 62961 (September 21, 2010), 75 FR rules/sro.shtml). Copies of the 59299 (September 27, 2010) (SR–NYSEAmex–2010– submission, all subsequent Items I and II below, which Items have 80) (the ‘‘Original Co-location Approval’’). The amendments, all written statements been prepared by the self-regulatory Exchange operates a data center in Mahwah, New with respect to the proposed rule organization. The Commission is Jersey (the ‘‘data center’’) from which it provides co-location services to Users. The Exchange’s co- change that are filed with the publishing this notice to solicit location services allow Users to rent space in the Commission, and all written comments on the proposed rule change data center so they may locate their electronic communications relating to the from interested persons. servers in close physical proximity to the proposed rule change between the Exchange’s trading and execution system. See id. at 59299. Commission and any person, other than 21 17 CFR 200.30–3(a)(12). 5 For purposes of the Exchange’s co-location 1 15 U.S.C.78s(b)(1). services, the term ‘‘User’’ includes (i) member 19 15 U.S.C. 78s(b)(3)(A)(ii). 2 15 U.S.C. 78a. organizations, as that term is defined in the 20 17 CFR 240.19b–4. 3 17 CFR 240.19b–4. definitions section of the General and Floor Rules

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00091 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69905

access is currently available in one, 10 connection would represent the lowest unfair discrimination between and 40 Gb bandwidth capacities.6 The latency currently available to Users. customers, issuers, brokers, or dealers. Exchange proposes to make a second 10 As is the case with all Exchange co- The proposed LCN 10 Gb LX Gb LCN connection available in the location arrangements, (i) neither a User connection would assist Users in Exchange’s data center, the LCN 10 Gb nor any of the User’s customers would making their network connectivity more LX, which would have a lower latency be permitted to submit orders directly to efficient by reducing the time that than the existing 10 Gb LCN connection. the Exchange unless such User or messaging (e.g., orders and quotes) takes The LCN 10 Gb LX is expected to have customer is a member organization, an to reach the Exchange’s trading and execution system once sent from their latency levels similar to those of the ATP Holder, a Sponsored Participant or co-located servers and also the time that existing 40 Gb LCN connection. an agent thereof (e.g., a service bureau market data takes to reach their co- The Exchange is proposing this providing order entry services); (ii) use located servers. Speed and efficiency are change in order to make an additional of the co-location services proposed important drivers of the U.S. securities service available to its co-location Users herein would be completely voluntary markets. The Exchange is proposing to and thereby satisfy demand for more and available to all Users on a non- offer a co-location connectivity solution efficient, lower latency connections. By discriminatory basis; 8 and (iii) a User that would promote these drivers by utilizing ultra low-latency switches, the would only incur one charge for the providing state of the art technology that LCN 10 Gb LX connection would particular co-location service described would be available to all Users. The provide faster processing of messages herein, regardless of whether the User Exchange believes that the LCN 10 Gb sent to it in comparison to the existing, connects only to the Exchange or to the LX connection would remove standard 10 Gb LCN connection. A Exchange and one or both of its 9 impediments to and perfect the switch is a type of network hardware affiliates. mechanism of a free and open market that acts as the ‘‘gatekeeper’’ for a User’s The proposed change is not otherwise and a national market system by messaging (e.g., orders and quotes) sent intended to address any other issues providing for improved speed and to the Exchange’s trading and execution relating to co-location services and/or efficiency of message processing (e.g., system from the data center. As a related fees, and the Exchange is not orders and quotes) from Users’ co- consequence, Users needing only 10 Gb aware of any problems that Users would located servers. of bandwidth, but seeking faster have in complying with the proposed The Exchange also believes that the processing of those messages, would change. reduction in latencies attributed to the have the option of utilizing the faster LCN 10 Gb LX connection would serve 2. Statutory Basis and more efficient LCN 10 Gb LX to protect investors and the public connection.7 Both the proposed LCN 10 The Exchange believes that the interest by providing Users with the Gb LX connection and the 40 Gb LCN proposed rule change is consistent with most efficient means of processing their Section 6(b) of the Act,10 in general, and messages sent to the Exchange’s trading of the NYSE MKT Equities Rules, and ATP Holders, and execution system from the data as that term is defined in NYSE Amex Options Rule furthers the objectives of Sections 11 center. 900.2NY(5); (ii) Sponsored Participants, as that term 6(b)(5) of the Act, in particular, is defined in Rule 123B.30(a)(ii)(B)—Equities and because it is designed to prevent The Exchange also believes that the NYSE Amex Options Rule 900.2NY(77); and (iii) fraudulent and manipulative acts and proposed LCN 10 Gb LX connection is non-member organization and non-ATP Holder not designed to permit unfair broker-dealers and vendors that request to receive practices, to promote just and equitable principles of trade, to foster cooperation discrimination between customers, co-location services directly from the Exchange. issuers, brokers, or dealers because it See, e.g., Securities Exchange Act Release Nos. and coordination with persons engaged 65974 (December 15, 2011), 76 FR 79249 (December in regulating, clearing, settling, would make a service available to Users 21, 2011) (SR–NYSEAmex–2011–81) and 65975 that require the low-latency connection, (December 15, 2011), 76 FR 79233 (December 21, processing information with respect to, and facilitating transactions in but Users that do not require the lower 2011) (SR–NYSEAmex–2011–82). As specified in latency could continue to request an the NYSE MKT Equities Price List and the NYSE securities, to remove impediments to, existing 10 Gb LCN connection. The Amex Options Fee Schedule, a User that incurs co- and perfect the mechanisms of, a free Exchange anticipates that the latency for location fees for a particular co-location service and open market and a national market pursuant thereto would not be subject to co-location the proposed LCN 10 Gb LX connection system and, in general, to protect fees for the same co-location service charged by the would be comparable to that of the Exchange’s affiliates New York Stock Exchange LLC investors and the public interest and existing 40 Gb LCN connection. Both and NYSE Arca, Inc. See Securities Exchange Act because it is not designed to permit Release No. 70176 (August 13, 2013), 78 FR 50471 the proposed LCN 10 Gb LX connection (August 19, 2013) (SR–NYSEMKT–2013–67). and the 40 Gb LCN connection would 6 See id. 8 As is currently the case, Users that receive co- represent the lowest latency currently location services from the Exchange will not receive 7 The existing one Gb and 10 Gb LCN connections available to Users. The 40 Gb LCN use the same type of switch and the existing 40 Gb any means of access to the Exchange’s trading and LCN connection uses a second type of switch, but execution systems that is separate from, or superior provides the greatest bandwidth the switches are of uniform type within each to, that of other Users. In this regard, all orders sent available on the Exchange, which is offering. The proposed new LCN 10 Gb LX would to the Exchange enter the Exchange’s trading and important for Users that have high order execution systems through the same order gateway, use the same type of switch as the existing 40 Gb flow and ingest large amounts of market LCN. As a consequence, all co-located Users of a regardless of whether the sender is co-located in the particular connectivity option receive the same data center or not. In addition, co-located Users do data and demand the greatest latency in terms of the capabilities of their switches. not receive any market data or data service product bandwidth possible to handle such At this time, the Exchange is not proposing to make that is not available to all Users, although Users that message flow. Some Users, however, receive co-location services normally would expect low-latency switches available for 10 Gb CSP have systems that are not compatible connections because, at least initially, User demand reduced latencies in sending orders to, and is not anticipated to exist. For a 10 Gb LX receiving market data from, the Exchange. with a 40 Gb LCN connection, or do not ‘‘Bundle,’’ SFTI and optic connections would be at 9 See SR–NYSEMKT–2013–67, supra note 5 at have bandwidth demands that would standard 10 Gb latencies and only the LCN 50471. The Exchange’s affiliates have also require a 40 Gb LCN connection, but connections would be lower latency. The Exchange submitted the same proposed rule change to still put a premium on reducing latency. will include language in the NYSE MKT Equities provide for LCN 10 Gb LX connections. See Price List and the NYSE Amex Options Fee SR–NYSE–2013–73 and SR–NYSEArca-2013–123. The LCN 10 Gb LX is designed to meet Schedule in the related fee change to reflect this 10 15 U.S.C. 78f(b). this demand. Ultimately, a User will be fact. 11 15 U.S.C. 78f(b)(5). able to choose between the proposed

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00092 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69906 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

new LCN 10 Gb LX connection or the latency 10 Gb fiber connection option become operative prior to 30 days after existing one, 10 and 40 Gb LCN available to users of its co-location the date of the filing. However, pursuant connections to suit its needs. The facilities.13 to Rule 19b4(f)(6)(iii),19 the Commission Exchange believes that this would Finally, the Exchange notes that it may designate a shorter time if such remove impediments to, and perfect the operates in a highly competitive market action is consistent with the protection mechanisms of, a free and open market in which market participants can of investors and the public interest. The and a national market system and, in readily favor competing venues if, for Exchange has asked the Commission to general, protect investors and the public example, they deem fee levels at a waive the 30-day operative delay so that interest because it would provide Users particular venue to be excessive or if the proposal may become operative with additional choices with respect to they determine that another venue’s immediately upon filing. The Exchange the optimal bandwidth and latency for products and services are more requested waiver of the 30-day operative their connections. competitive than on the Exchange. In delay in order to immediately Finally, the Exchange believes that it such an environment, the Exchange implement the proposed rule change so is subject to significant competitive must continually review, and consider that Users may experience the benefits forces, as described below in the adjusting, the services it offers as well of such proposed change as soon as Exchange’s statement regarding the as any corresponding fees and credits to possible. The Exchange represented that burden on competition. remain competitive with other a waiver of the operative delay would be For these reasons, the Exchange exchanges. For the reasons described in the public interest and would believes that the proposal is consistent above, the Exchange believes that the contribute to the protection of investors with the Act. proposed rule change reflects this because it would permit additional B. Self-Regulatory Organization’s competitive environment. Users to have access to lower-latency Statement on Burden on Competition C. Self-Regulatory Organization’s LCN connections, including those Users Statement on Comments on the whose systems are not compatible with In accordance with Section 6(b)(8) of the existing 40 Gb LCN connection or the Act,12 the Exchange believes that the Proposed Rule Change Received From Members, Participants, or Others who do not have bandwidth demands proposed rule change will not impose that would require a 40 Gb LCN any burden on competition that is not No written comments were solicited connection. The Exchange further stated necessary or appropriate in furtherance or received with respect to the proposed that the benefit of such lower latency of the purposes of the Act because any rule change. would indirectly benefit customers of market participants that are otherwise III. Date of Effectiveness of the such Users and would serve to protect capable of satisfying any applicable co- investors and the public interest, in that location fees, requirements, terms and Proposed Rule Change and Timing for Commission Action the LCN 10 Gb LX connection would conditions established from time to time provide Users with the most efficient by the Exchange could have access to The Exchange has filed the proposed means of processing customer orders the co-location services provided in the rule change pursuant to Section that are sent to the Exchange’s trading data center. This is also true because, in 19(b)(3)(A)(iii) of the Act 14 and Rule 15 and execution system from the data addition to the services being 19b–4(f)(6) thereunder. Because the center. The Exchange stated its belief completely voluntary, they are available foregoing proposed rule change does that the proposed LCN 10 Gb LX to all Users on an equal basis (i.e., the not: (1) Significantly affect the connection does not raise any novel or same range of products and services are protection of investors or the public unique issues or concerns. The available to all Users). interest; (2) impose any significant Exchange further stated that it does not The Exchange also believes that the burden on competition; and (3) by its anticipate any negative consequence, proposed LCN 10 Gb LX connection will terms does not become operative for 30 whether for Users, the investing public not impose any burden on competition days after the date of this filing, or such or otherwise, as a result of granting a that is not necessary or appropriate in shorter time as the Commission may waiver of the operative delay. For the furtherance of the purposes of the Act designate if consistent with the above reasons, the Commission believes because it will satisfy User demand for protection of investors and the public waiver of the operative delay is more efficient, lower-latency interest, the proposed rule change has appropriate and hereby grants the connections, but Users that do not become effective pursuant to Section Exchange’s request and designates the require the lower latency could 19(b)(3)(A) of the Act 16 and Rule 19b– proposal operative upon filing.20 continue to request an existing LCN 4(f)(6) thereunder.17 At any time within 60 days of the connection. Similarly, it will provide an A proposed rule change filed under filing of such proposed rule change, the option for a User whose system is not Rule 19b–4(f)(6) 18 normally does not Commission summarily may compatible with a 40 Gb LCN temporarily suspend such rule change if connection, or does not have bandwidth 13 See NASDAQ Rule 7034. NASDAQ refers to it appears to the Commission that such demands that would require a 40 Gb this connectivity option as the ‘‘10 Gb Ultra’’ connection. See also Securities Exchange Act action is necessary or appropriate in the LCN connection, but that puts a Release No. 70129 (August 7, 2013), 78 FR 49308 public interest, for the protection of premium on reducing latency. (August 13, 2013) (SR–NASDAQ–2013–099). investors, or otherwise in furtherance of Additionally, the Exchange believes that 14 15 U.S.C. 78s(b)(3)(A)(iii). the purposes of the Act. If the the proposed change will enhance 15 17 CFR 240.19b–4(f)(6). Commission takes such action, the competition between competing 16 15 U.S.C. 78s(b)(3)(A). Commission shall institute proceedings 17 marketplaces by enabling the Exchange 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 21 4(f)(6)(iii) requires a self-regulatory organization to under Section 19(b)(2)(B) of the Act to to provide a low-latency connectivity provide the Commission with written notice of its option to Users that is similar to a intent to file the proposed rule change, along with 19 17 CFR 240.19b–4(f)(6)(iii). service available on other markets. For a brief description and text of the proposed rule 20 For purposes only of waiving the 30-day example, The NASDAQ Stock Market change, at least five business days prior to the date operative delay, the Commission has also of filing of the proposed rule change, or such considered the proposed rule’s impact on LLC (‘‘NASDAQ’’) also makes a low- shorter time as designated by the Commission. The efficiency, competition, and capital formation. See Exchange has met this requirement. 15 U.S.C. 78c(f). 12 15 U.S.C. 78f(b)(8). 18 17 CFR 240.19b–4(f)(6). 21 15 U.S.C. 78s(b)(2)(B).

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00093 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69907

determine whether the proposed rule For the Commission, by the Division of on the proposed rule change. The text change should be approved or Trading and Markets, pursuant to delegated of those statements may be examined at disapproved. authority.22 the places specified in Item IV below. Kevin M. O’Neill, The Exchange has prepared summaries, IV. Solicitation of Comments Deputy Secretary. set forth in sections A, B, and C below, Interested persons are invited to [FR Doc. 2013–27901 Filed 11–20–13; 8:45 am] of the most significant parts of such submit written data, views, and BILLING CODE 8011–01–P statements. arguments concerning the foregoing, A. Self-Regulatory Organization’s including whether the proposed rule Statement of the Purpose of, and the SECURITIES AND EXCHANGE change is consistent with the Act. Statutory Basis for, the Proposed Rule COMMISSION Comments may be submitted by any of Change the following methods: [Release No. 34–70888; File No. SR–NYSE– 1. Purpose Electronic Comments 2013–73] The Exchange proposes to expand its • Use the Commission’s Internet Self-Regulatory Organizations; New co-location services to provide for a new comment form (http://www.sec.gov/ York Stock Exchange LLC; Notice of lower-latency 10 Gb LCN connection, rules/sro.shtml); or Filing and Immediate Effectiveness of referred to as the ‘‘LCN 10 Gb LX,’’ in 4 • Send an email to rule-comments@ Proposed Rule Change Expanding Co- the Exchange’s data center. The sec.gov. Please include File Number SR– location Services To Provide for a Exchange will propose applicable fees NYSEMKT–2013–92 on the subject line. Lower-Latency 10 Gigabit Liquidity for the proposed LCN 10 Gb LX Center Network Connection in the connection via a separate proposed rule Paper Comments Exchange’s Data Center change. • The LCN is a local area network that Send paper comments in triplicate November 15, 2013. is available in the data center and that to Elizabeth M. Murphy, Secretary, Pursuant to Section 19(b)(1) 1 of the provides Users with access to the Securities and Exchange Commission, Securities Exchange Act of 1934 (the Exchange’s trading and execution 100 F Street NE., Washington, DC ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 systems and to the Exchange’s 20549–1090. notice is hereby given that, on proprietary market data products.5 LCN All submissions should refer to File November 7, 2013, New York Stock access is currently available in one, 10 Number SR–NYSEMKT–2013–92. This Exchange LLC (‘‘NYSE’’ or the and 40 Gb bandwidth capacities.6 The file number should be included on the ‘‘Exchange’’) filed with the Securities Exchange proposes to make a second 10 subject line if email is used. To help the and Exchange Commission (the Gb LCN connection available in the Commission process and review your ‘‘Commission’’) the proposed rule Exchange’s data center, the LCN 10 Gb comments more efficiently, please use change as described in Items I and II LX, which would have a lower latency only one method. The Commission will below, which Items have been prepared than the existing 10 Gb LCN connection. post all comments on the Commission’s by the self-regulatory organization. The The LCN 10 Gb LX is expected to have Internet Web site (http://www.sec.gov/ Commission is publishing this notice to latency levels similar to those of the rules/sro.shtml). Copies of the solicit comments on the proposed rule existing 40 Gb LCN connection. submission, all subsequent change from interested persons. The Exchange is proposing this change in order to make an additional amendments, all written statements I. Self-Regulatory Organization’s with respect to the proposed rule Statement of the Terms of Substance of 4 The Securities and Exchange Commission change that are filed with the the Proposed Rule Change Commission, and all written (‘‘Commission’’) initially approved the Exchange’s The Exchange proposes to expand its co-location services in Securities Exchange Act communications relating to the Release No. 62960 (September 21, 2010), 75 FR proposed rule change between the co-location services to provide for a 59310 (September 27, 2010) (SR–NYSE–2010–56) Commission and any person, other than lower-latency 10 gigabit (‘‘Gb’’) (the ‘‘Original Co-location Approval’’). The Exchange operates a data center in Mahwah, New those that may be withheld from the Liquidity Center Network (‘‘LCN’’) connection in the Exchange’s data Jersey (the ‘‘data center’’) from which it provides public in accordance with the co-location services to Users. The Exchange’s co- provisions of 5 U.S.C. 552, will be center. The text of the proposed rule location services allow Users to rent space in the available for Web site viewing and change is available on the Exchange’s data center so they may locate their electronic Web site at www.nyse.com, at the servers in close physical proximity to the printing in the Commission’s Public Exchange’s trading and execution system. See id. at Reference Room, 100 F Street NE., principal office of the Exchange, and at 59310. Washington, DC 20549, on official the Commission’s Public Reference 5 For purposes of the Exchange’s co-location business days between the hours of Room. services, the term ‘‘User’’ includes (i) member organizations, as that term is defined in NYSE Rule 10:00 a.m. and 3:00 p.m. Copies of the II. Self-Regulatory Organization’s 2(b); (ii) Sponsored Participants, as that term is filing also will be available for Statement of the Purpose of, and defined in NYSE Rule 123B.30(a)(ii)(B); and (iii) inspection and copying at the principal Statutory Basis for, the Proposed Rule non-member organization broker-dealers and office of the Exchange. All comments vendors that request to receive co-location services Change directly from the Exchange. See, e.g., Securities received will be posted without change; Exchange Act Release No. 65973 (December 15, the Commission does not edit personal In its filing with the Commission, the self-regulatory organization included 2011), 76 FR 79232 (December 21, 2011) (SR– identifying information from NYSE–2011–53). As specified in the Exchange’s submissions. You should submit only statements concerning the purpose of, Price List, a User that incurs co-location fees for a particular co-location service pursuant thereto information that you wish to make and basis for, the proposed rule change and discussed any comments it received would not be subject to co-location fees for the available publicly. All submissions same co-location service charged by the Exchange’s should refer to File Number SR– affiliates NYSE MKT LLC and NYSE Arca, Inc. See 22 17 CFR 200.30–3(a)(12). NYSEMKT–2013–92 and should be Securities Exchange Act Release No. 70206 (August 1 15 U.S.C. 78s(b)(1). 15, 2013), 78 FR 51765 (August 21, 2013) (SR– submitted on or before December 12, 2 15 U.S.C. 78a. NYSE–2013–59). 2013. 3 17 CFR 240.19b–4. 6 See id.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00094 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69908 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

service available to its co-location Users The proposed change is not otherwise and execution system from the data and thereby satisfy demand for more intended to address any other issues center. efficient, lower latency connections. By relating to co-location services and/or The Exchange also believes that the utilizing ultra low-latency switches, the related fees, and the Exchange is not proposed LCN 10 Gb LX connection is LCN 10 Gb LX connection would aware of any problems that Users would not designed to permit unfair provide faster processing of messages have in complying with the proposed discrimination between customers, sent to it in comparison to the existing, change. issuers, brokers, or dealers because it standard 10 Gb LCN connection. A would make a service available to Users switch is a type of network hardware 2. Statutory Basis that require the low-latency connection, that acts as the ‘‘gatekeeper’’ for a User’s The Exchange believes that the but Users that do not require the lower messaging (e.g., orders and quotes) sent proposed rule change is consistent with latency could continue to request an to the Exchange’s trading and execution Section 6(b) of the Act,10 in general, and existing 10 Gb LCN connection. The system from the data center. As a furthers the objectives of Sections Exchange anticipates that the latency for consequence, Users needing only 10 Gb 6(b)(5) of the Act,11 in particular, the proposed LCN 10 Gb LX connection of bandwidth, but seeking faster because it is designed to prevent would be comparable to that of the processing of those messages, would fraudulent and manipulative acts and existing 40 Gb LCN connection. Both have the option of utilizing the faster practices, to promote just and equitable the proposed LCN 10 Gb LX connection and more efficient LCN 10 Gb LX principles of trade, to foster cooperation and the 40 Gb LCN connection would 7 connection. Both the proposed LCN 10 and coordination with persons engaged represent the lowest latency currently Gb LX connection and the 40 Gb LCN in regulating, clearing, settling, available to Users. The 40 Gb LCN connection would represent the lowest processing information with respect to, provides the greatest bandwidth available on the Exchange, which is latency currently available to Users. and facilitating transactions in As is the case with all Exchange co- important for Users that have high order securities, to remove impediments to, location arrangements, (i) neither a User flow and ingest large amounts of market and perfect the mechanisms of, a free nor any of the User’s customers would data and demand the greatest and open market and a national market be permitted to submit orders directly to bandwidth possible to handle such system and, in general, to protect the Exchange unless such User or message flow. Some Users, however, investors and the public interest and customer is a member organization, a have systems that are not compatible because it is not designed to permit Sponsored Participant or an agent with a 40 Gb LCN connection, or do not unfair discrimination between thereof (e.g., a service bureau providing have bandwidth demands that would customers, issuers, brokers, or dealers. order entry services); (ii) use of the co- require a 40 Gb LCN connection, but location services proposed herein would The proposed LCN 10 Gb LX still put a premium on reducing latency. be completely voluntary and available connection would assist Users in The LCN 10 Gb LX is designed to meet to all Users on a non-discriminatory making their network connectivity more this demand. Ultimately, a User will be basis; 8 and (iii) a User would only incur efficient by reducing the time that able to choose between the proposed one charge for the particular co-location messaging (e.g., orders and quotes) takes new LCN 10 Gb LX connection or the service described herein, regardless of to reach the Exchange’s trading and existing one, 10 and 40 Gb LCN whether the User connects only to the execution system once sent from their connections to suit its needs. The Exchange or to the Exchange and one or co-located servers and also the time that Exchange believes that this would both of its affiliates.9 market data takes to reach their co- remove impediments to, and perfect the located servers. Speed and efficiency are mechanisms of, a free and open market 7 The existing one Gb and 10 Gb LCN connections important drivers of the U.S. securities and a national market system and, in use the same type of switch and the existing 40 Gb markets. The Exchange is proposing to general, protect investors and the public LCN connection uses a second type of switch, but offer a co-location connectivity solution the switches are of uniform type within each interest because it would provide Users offering. The proposed new LCN 10 Gb LX would that would promote these drivers by with additional choices with respect to use the same type of switch as the existing 40 Gb providing state of the art technology that the optimal bandwidth and latency for LCN. As a consequence, all co-located Users of a would be available to all Users. The their connections. particular connectivity option receive the same Exchange believes that the LCN 10 Gb Finally, the Exchange believes that it latency in terms of the capabilities of their switches. At this time, the Exchange is not proposing to make LX connection would remove is subject to significant competitive low-latency switches available for 10 Gb CSP impediments to and perfect the forces, as described below in the connections because, at least initially, User demand mechanism of a free and open market Exchange’s statement regarding the is not anticipated to exist. For a 10 Gb LX and a national market system by burden on competition. ‘‘Bundle,’’ SFTI and optic connections would be at standard 10 Gb latencies and only the LCN providing for improved speed and For these reasons, the Exchange connections would be lower latency. The Exchange efficiency of message processing (e.g., believes that the proposal is consistent will include language in its Price List in the related orders and quotes) from Users’ co- with the Act. fee change to reflect this fact. located servers. 8 As is currently the case, Users that receive co- B. Self-Regulatory Organization’s location services from the Exchange will not receive The Exchange also believes that the Statement on Burden on Competition any means of access to the Exchange’s trading and reduction in latencies attributed to the In accordance with Section 6(b)(8) of execution systems that is separate from, or superior LCN 10 Gb LX connection would serve to, that of other Users. In this regard, all orders sent the Act,12 the Exchange believes that the to the Exchange enter the Exchange’s trading and to protect investors and the public interest by providing Users with the proposed rule change will not impose execution systems through the same order gateway, any burden on competition that is not regardless of whether the sender is co-located in the most efficient means of processing their data center or not. In addition, co-located Users do messages sent to the Exchange’s trading necessary or appropriate in furtherance not receive any market data or data service product of the purposes of the Act because any that is not available to all Users, although Users that market participants that are otherwise receive co-location services normally would expect same proposed rule change to provide for LCN 10 capable of satisfying any applicable co- reduced latencies in sending orders to, and Gb LX connections. See SR–NYSEMKT–2013–92 receiving market data from, the Exchange. and SR–NYSEArca–2013–123. location fees, requirements, terms and 9 See SR–NYSE–2013–59, supra note 5 at 51766. 10 15 U.S.C. 78f(b). The Exchange’s affiliates have also submitted the 11 15 U.S.C. 78f(b)(5). 12 15 U.S.C. 78f(b)(8).

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00095 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69909

conditions established from time to time III. Date of Effectiveness of the the LCN 10 Gb LX connection would by the Exchange could have access to Proposed Rule Change and Timing for provide Users with the most efficient the co-location services provided in the Commission Action means of processing customer orders data center. This is also true because, in The Exchange has filed the proposed that are sent to the Exchange’s trading addition to the services being rule change pursuant to Section and execution system from the data completely voluntary, they are available center. The Exchange stated its belief 19(b)(3)(A)(iii) of the Act 14 and Rule to all Users on an equal basis (i.e., the that the proposed LCN 10 Gb LX 19b–4(f)(6) thereunder.15 Because the same range of products and services are connection does not raise any novel or foregoing proposed rule change does available to all Users). unique issues or concerns. The not: (1) Significantly affect the The Exchange also believes that the Exchange further stated that it does not protection of investors or the public proposed LCN 10 Gb LX connection will anticipate any negative consequence, interest; (2) impose any significant not impose any burden on competition whether for Users, the investing public burden on competition; and (3) by its that is not necessary or appropriate in or otherwise, as a result of granting a terms does not become operative for 30 furtherance of the purposes of the Act waiver of the operative delay. For the days after the date of this filing, or such because it will satisfy User demand for above reasons, the Commission believes more efficient, lower-latency shorter time as the Commission may waiver of the operative delay is connections, but Users that do not designate if consistent with the appropriate and hereby grants the require the lower latency could protection of investors and the public Exchange’s request and designates the continue to request an existing LCN interest, the proposed rule change has proposal operative upon filing.20 connection. Similarly, it will provide an become effective pursuant to Section At any time within 60 days of the 16 option for a User whose system is not 19(b)(3)(A) of the Act and Rule 19b– filing of such proposed rule change, the 17 compatible with a 40 Gb LCN 4(f)(6) thereunder. Commission summarily may connection, or does not have bandwidth A proposed rule change filed under temporarily suspend such rule change if 18 demands that would require a 40 Gb Rule 19b–4(f)(6) normally does not it appears to the Commission that such LCN connection, but that puts a become operative prior to 30 days after action is necessary or appropriate in the premium on reducing latency. the date of the filing. However, pursuant public interest, for the protection of 19 Additionally, the Exchange believes that to Rule 19b–4(f)(6)(iii), the investors, or otherwise in furtherance of the proposed change will enhance Commission may designate a shorter the purposes of the Act. If the competition between competing time if such action is consistent with the Commission takes such action, the marketplaces by enabling the Exchange protection of investors and the public Commission shall institute proceedings to provide a low-latency connectivity interest. The Exchange has asked the under Section 19(b)(2)(B) 21 of the Act to option to Users that is similar to a Commission to waive the 30-day determine whether the proposed rule service available on other markets. For operative delay so that the proposal may change should be approved or example, The NASDAQ Stock Market become operative immediately upon disapproved. LLC (‘‘NASDAQ’’) also makes a low- filing. The Exchange requested waiver latency 10 Gb fiber connection option of the 30-day operative delay in order to IV. Solicitation of Comments available to users of its co-location immediately implement the proposed Interested persons are invited to facilities.13 rule change so that Users may submit written data, views, and Finally, the Exchange notes that it experience the benefits of such arguments concerning the foregoing, operates in a highly competitive market proposed change as soon as possible. including whether the proposed rule in which market participants can The Exchange represented that a waiver change is consistent with the Act. readily favor competing venues if, for of the operative delay would be in the Comments may be submitted by any of example, they deem fee levels at a public interest and would contribute to the following methods: particular venue to be excessive or if the protection of investors because it they determine that another venue’s would permit additional Users to have Electronic Comments products and services are more access to lower-latency LCN • Use the Commission’s Internet competitive than on the Exchange. In connections, including those Users comment form (http://www.sec.gov/ such an environment, the Exchange whose systems are not compatible with rules/sro.shtml); or must continually review, and consider the existing 40 Gb LCN connection or • Send an email to rule-comments@ adjusting, the services it offers as well who do not have bandwidth demands sec.gov. Please include File Number SR– as any corresponding fees and credits to that would require a 40 Gb LCN NYSE–2013–73 on the subject line. remain competitive with other connection. The Exchange further stated Paper Comments exchanges. For the reasons described that the benefit of such lower latency • above, the Exchange believes that the would indirectly benefit customers of Send paper comments in triplicate proposed rule change reflects this such Users and would serve to protect to Elizabeth M. Murphy, Secretary, competitive environment. investors and the public interest, in that Securities and Exchange Commission, 100 F Street NE., Washington, DC

C. Self-Regulatory Organization’s 14 20549–1090. Statement on Comments on the 15 U.S.C. 78s(b)(3)(A)(iii). 15 17 CFR 240.19b–4(f)(6). All submissions should refer to File Proposed Rule Change Received From 16 15 U.S.C. 78s(b)(3)(A). Number SR–NYSE–2013–73. This file Members, Participants, or Others 17 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– number should be included on the No written comments were solicited 4(f)(6)(iii) requires a self-regulatory organization to subject line if email is used. To help the provide the Commission with written notice of its or received with respect to the proposed intent to file the proposed rule change, along with Commission process and review your rule change. a brief description and text of the proposed rule change, at least five business days prior to the date 20 For purposes only of waiving the 30-day 13 See NASDAQ Rule 7034. NASDAQ refers to of filing of the proposed rule change, or such operative delay, the Commission has also this connectivity option as the ‘‘10 Gb Ultra’’ shorter time as designated by the Commission. The considered the proposed rule’s impact on connection. See also Securities Exchange Act Exchange has met this requirement. efficiency, competition, and capital formation. See Release No. 70129 (August 7, 2013), 78 FR 49308 18 17 CFR 240.19b–4(f)(6). 15 U.S.C. 78c(f). (August 13, 2013) (SR–NASDAQ–2013–099). 19 17 CFR 240.19b–4(f)(6)(iii). 21 15 U.S.C. 78s(b)(2)(B).

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00096 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69910 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

comments more efficiently, please use SECURITIES AND EXCHANGE Act 3 to require the SROs to jointly only one method. The Commission will COMMISSION submit an NMS plan (the ‘‘CAT NMS Plan’’) to create, implement, and post all comments on the Commission’s [Release No. 34–70892; File No. 4–668] Internet Web site (http://www.sec.gov/ maintain a consolidated order tracking rules/sro.shtml). Copies of the Joint Industry Plan; BATS Exchange, system, or consolidated audit trail, with submission, all subsequent Inc., BATS–Y Exchange, Inc., BOX respect to the trading of NMS securities, amendments, all written statements Options Exchange LLC, C2 Options that would capture customer and order with respect to the proposed rule Exchange, Incorporated, Chicago event information for orders in NMS change that are filed with the Board Options Exchange, securities, across all markets, from the time of order inception through routing, Commission, and all written Incorporated, Chicago Stock cancellation, modification, or communications relating to the Exchange, Inc., EDGA Exchange, Inc., execution.4 Rule 613 outlines a broad proposed rule change between the EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., framework for the creation, Commission and any person, other than implementation, and maintenance of the those that may be withheld from the International Securities Exchange, LLC, Miami International Securities consolidated audit trail, including the public in accordance with the minimum elements the Commission provisions of 5 U.S.C. 552, will be Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The believes are necessary for an effective available for Web site viewing and 5 NASDAQ Stock Market LLC, National consolidated audit trail. In instances printing in the Commission’s Public Stock Exchange, Inc., New York Stock where Rule 613 sets forth minimum Reference Room, 100 F Street NE., Exchange LLC, NYSE MKT LLC, NYSE requirements for the consolidated audit Washington, DC 20549, on official Arca, Inc. and Topaz Exchange, LLC; trail, the Rule provides flexibility to the business days between the hours of Notice of Filing of Proposed National SROs to draft the requirements of the 10:00 a.m. and 3:00 p.m. Copies of the Market System Plan Governing the CAT NMS Plan in a way that best 6 filing also will be available for Process of Selecting a Plan Processor achieves the objectives of the Rule. inspection and copying at the principal and Developing a Plan for the As described in more detail below, office of the Exchange. All comments Consolidated Audit Trail the SROs concluded that publication of received will be posted without change; a request for proposal was necessary to the Commission does not edit personal November 15, 2013. ensure that potential alternative solutions to creating the consolidated identifying information from I. Introduction audit trail can be presented and submissions. You should submit only Pursuant to Section 11A of the information that you wish to make considered by the SROs and that a Securities Exchange Act of 1934 detailed and meaningful cost/benefit available publicly. All submissions (‘‘Exchange Act’’ or ‘‘Act’’) 1 and Rule analysis can be performed, both of should refer to File Number SR–NYSE– 2 608 thereunder (‘‘Rule 608’’), notice is which are required considerations to be 2013–73 and should be submitted on or hereby given that on September 3, 2013, addressed in the CAT NMS Plan. The before December 12, 2013. BATS Exchange, Inc., BATS–Y SROs also decided, for the reasons set For the Commission, by the Division of Exchange, Inc., BOX Options Exchange forth below, to file the Plan to govern Trading and Markets, pursuant to delegated LLC, C2 Options Exchange, how the SROs will proceed with authority.22 Incorporated, Chicago Board Options formulating and submitting the CAT Kevin M. O’Neill, Exchange, Incorporated, Chicago Stock NMS Plan—and, as part of that process, Exchange, Inc., EDGA Exchange, Inc., Deputy Secretary. how to review, evaluate, and narrow EDGX Exchange, Inc., Financial [FR Doc. 2013–27903 Filed 11–20–13; 8:45 am] down the bids submitted in response to Industry Regulatory Authority, Inc., the request for proposal—and ultimately BILLING CODE 8011–01–P International Securities Exchange, LLC, choosing the plan processor that would Miami International Securities build, operate, and maintain the Exchange LLC, NASDAQ OMX BX, Inc., consolidated audit trail. NASDAQ OMX PHLX LLC, The NASDAQ Stock Market LLC, National III. Description of the Plan Stock Exchange, Inc., New York Stock Set forth in this Section III is the Exchange LLC, NYSE MKT LLC, NYSE statement of the purpose of the Plan, Arca, Inc., and Topaz Exchange, LLC along with the information required by (collectively, ‘‘SROs’’ or ‘‘Participants’’) Rule 608(a)(4) and (5) under the filed with the Securities and Exchange Exchange Act,7 prepared and submitted Commission (‘‘Commission’’) the by the SROs with the Plan to the proposed National Market System Commission.8 (‘‘NMS’’) Plan Governing the Process of A. Statement of Purpose Selecting a Plan Processor and Developing a Plan for the Consolidated Rule 613 requires the Participants to Audit Trail (‘‘Plan’’). A copy of the Plan ‘‘jointly file . . . a national market is attached as Exhibit A hereto. The system plan to govern the creation, Commission is publishing this notice to solicit comments on the Plan. 3 17 CFR 242.613. 4 Securities Exchange Act Release No. 67457 (July II. Background 18, 2012), 77 FR 45722 (August 1, 2012) (‘‘Adopting Release’’). On July 11, 2012, the Commission 5 Id. at 45742. adopted Rule 613 under the Exchange 6 Id. 7 See 17 CFR 242.608(a)(4) and (a)(5). 1 15 U.S.C. 78k–1. 8 See Letter from the SROs, to Elizabeth Murphy, 22 17 CFR 200.30–3(a)(12). 2 17 CFR 242.608. Secretary, Commission, dated August 23, 2013.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00097 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69911

implementation, and maintenance of a its consideration; (2) discuss the costs, exist for each Participant with respect to consolidated audit trail and central benefits, and rationale for the choices the creation and operation of the repository.’’ 9 The Plan being submitted made in developing the [CAT NMS consolidated audit trail, it is essential for approval by the Participants governs Plan] submitted; and (3) provide their that each Participant contribute to the the process of selecting a Plan Processor own analysis of the submitted [CAT development of the CAT NMS Plan. The for the consolidated audit trail and NMS Plan’s] potential impact on Participants recognize, however, that developing the CAT NMS Plan. competition, efficiency, and capital Participants or Affiliates of Participants As adopted, Rule 613 ‘‘expand[ed] the formation.13 may also be Bidders seeking to serve as set of solutions that could be considered The Commission stated that these the Plan Processor or may be included by the SROs for creating, implementing, detailed requirements are ‘‘intended to as part of a Bid. The Participants have and maintaining a consolidated audit ensure that the Commission and the sought to mitigate these potential trail and [provided] the SROs with public have sufficiently detailed conflicts of interest by including in the increased flexibility in how they choose information to carefully consider all Plan multiple provisions, which are to meet the requirements of the adopted aspects of the [CAT NMS Plan] described below, designed to balance Rule.’’ 10 As the Commission noted in ultimately submitted by the these competing factors. The the Adopting Release, because of this [Participants].’’ 14 Indeed, the Participants believe that the Plan expanded solution set, ‘‘the adopted Commission expressed its expectation achieves this balance by allowing all Rule now requires the [Participants] to that ‘‘the [Participants] will seriously Participants to participate meaningfully provide much more information and consider various options as they in the process of creating the CAT NMS analysis to the Commission as part of develop the [CAT NMS Plan] to be Plan and choosing the Plan Processor their [CAT NMS Plan] submission.’’ 11 submitted to the Commission for its while imposing strict requirements to Specifically, these requirements were consideration.’’ 15 ensure that the participation is incorporated into Rule 613 as a series of In light of the numerous specific independent and that the process is fair twelve ‘‘considerations’’ that the requirements of Rule 613, on March 7, and transparent. Participants must address in the CAT 2013, the Commission granted the Section III of the Plan establishes the NMS Plan, including: Participants an extension of the time in overall governance structure the • the specific details and features of which to file the CAT NMS Plan so that Participants have chosen.17 Specifically, the CAT NMS Plan; the Participants could ensure that all the Participants propose establishing an • the Participants’ analysis of the potential options for the consolidated Operating Committee responsible for CAT NMS Plan’s costs and impact on audit trail could be considered. As formulating, drafting, and filing with the competition, efficiency, and capital noted in the Exemptive Letter, the Commission the CAT NMS Plan and for formation; Participants concluded that publication ensuring the Participants’ joint • the process in developing the CAT of a request for proposal (‘‘RFP’’) was obligations under Rule 613 are met in a NMS Plan; necessary to ensure that potential timely and efficient manner. As set forth • information about the alternative solutions to creating the in Section III(B) of the Plan, each implementation of the CAT NMS Plan; consolidated audit trail can be Participant will select one individual and presented and considered by the • and one substitute to serve on the milestones for the creation of the Participants and that a detailed and Operating Committee; however, other consolidated audit trail. meaningful cost/benefit analysis can be representatives of each Participant are As part of the discussion of these performed, both of which are required permitted to attend Operating ‘‘considerations,’’ the Participants must considerations to be addressed in the Committee meetings. Section III of the include ‘‘cost estimates for the proposed CAT NMS Plan. Plan also establishes the procedures for solution, and a discussion of the costs The Participants published the RFP the Operating Committee, including and benefits of alternative [sic] solutions on February 26, 2013, and requested 12 provisions regarding meetings, considered but not proposed.’’ In that any potential bidders notify the Participants’ voting rights, and voting addition, the Commission noted that Participants of their intent to bid by requirements. Rule 613 requires that the [Participants]: March 5, 2013. Thirty-one firms Sections V and VI of the Plan 18 set (1) Provide an estimate of the costs submitted an intent to bid in response forth the process for the Participants’ associated with creating, implementing, to the publication of the RFP; four of the evaluation of Bids and the selection and maintaining the consolidated audit firms were Participants or Affiliates of process for narrowing down the Bids trail under the terms of the [CAT NMS Participants.16 and choosing the Plan Processor.19 Plan] submitted to the Commission for The Plan is intended to govern how the Participants will proceed with 17 Section I of the Plan sets forth the definitions 9 17 CFR 242.613(a)(1). Rule 613(a) requires that formulating and submitting the CAT used throughout the Plan. Section II of the Plan lists the Participants jointly file the CAT NMS Plan ‘‘on NMS Plan—and, as part of that process, the Participants, as well as establishing the or before 270 days from the date of publication of reviewing, evaluating, and narrowing requirements to admit new Participants or to the Adopting Release in the Federal Register.’’ The withdraw as a Participant. release adopting Rule 613 was published in the down the Bids submitted in response to 18 Section IV of the Plan governs amendments to Federal Register on August 1, 2012. See Adopting the RFP—and ultimately choosing the the Plan. In general, except with respect to the Release, supra note 4. On March 7, 2013, the Plan Processor. Because of the addition of new Participants, any change to the Plan Commission provided a temporary exemption to the important regulatory obligations that requires a written amendment that sets forth the Participants to permit them to file the CAT NMS change, is executed by over two-thirds of the Plan by December 6, 2013. See Exchange Act Participants, and is approved by the Commission Release No. 69060 (March 7, 2013), 78 FR 15771 13 Id. at 45726. pursuant to Rule 608 or otherwise becomes effective (March 12, 2013) (‘‘Exemptive Order’’); see also 14 Id. at 45725. under Rule 608. Letter from Robert L.D. Colby, Chief Legal Officer, 15 Id. at 45725 and 45789. 19 Initial steps in the evaluation and selection FINRA, to Elizabeth M. Murphy, Secretary, 16 Since that time, six firms—including one process will be performed pursuant to the Plan; the Securities and Exchange Commission, dated Participant and one Affiliate of a Participant—have final two rounds of evaluation and voting, as well February 7, 2013 (‘‘Exemptive Letter’’). formally notified the Participants that they will not as the final selection of the Plan Processor, will be 10 Adopting Release, supra note 4 at 45725. submit Bids as primary bidders. A list of firms that performed pursuant to the CAT NMS Plan. The 11 Id. See also id. at 45789. submitted an intent to bid is located on the sections of the CAT NMS Plan governing these final 12 Id. at 45789. Participants’ Web site at catnmsplan.com. Continued

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00098 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69912 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

Pursuant to these Sections, the improperly influence a Voting Senior ‘‘shortlist’’ of Bids that will move on in evaluation of Bids and selection of the Officer’s decisions.22 the process. The Plan provides that, if Plan Processor will be performed by a Because of the integral role played by there are six or fewer Qualified Bids Selection Committee composed of one the Selection Committee, any action submitted, all of those Bids will be senior officer from each Participant requiring a vote by the Selection selected as ‘‘Shortlisted Bids.’’ 25 If there (referred to as the ‘‘Voting Senior Committee under the Plan can only be are more than six but fewer than eleven Officer’’).20 Because of the potential taken in a meeting in which all Qualified Bids, the Selection Committee conflicts of interest noted above, the Participants entitled to vote are present. will choose five Shortlisted Bids, and if Plan includes multiple requirements to All votes taken by the Selection there are eleven or more Qualified Bids, increase the independence of the Voting Committee are confidential and non- the Selection Committee will choose public, and a Participant’s individual Senior Officer who participates on the 50% of the Qualified Bids as Shortlisted votes will not be disclosed to other 26 Selection Committee on behalf of a Bids. Participants or to the public. For this When voting to select the Shortlisted Bidding Participant.21 The criteria set reason, the Plan provides that votes of Bids from among the Qualified Bids, forth in Section V(D) of the Plan include the Selection Committee will be each Voting Senior Officer must rank requirements concerning the Voting tabulated by an independent third party his or her selections, and the points Senior Officer’s job responsibilities, approved by the Operating Committee. assigned to the rankings increase in decision-making authority, and Moreover, the Participants do not single-point increments. Thus, for reporting, and require that the Bidding anticipate that aggregate votes or example, if five Shortlisted Bids are to Participant establish functional anonymized voting distribution be chosen, each Participant will vote for separation between its Plan numbers will be provided to the its top five choices in rank order, with responsibilities and its business/ Participants following votes by the the first choice being given five points, commercial (including market Selection Committee. the second choice four points, the third operations) functions. In addition, the The Plan divides the review and choice three points, the fourth choice criteria prohibit any disclosure of evaluation of Bids and selection of the two points, and the fifth choice one information regarding the Bid to the Plan Processor into four separate stages. point. The Participants considered Voting Senior Officer and prohibit the After Bids are received,23 Section VI(A) numerous alternative voting procedures Voting Senior Officer from disclosing of the Plan provides that the Selection but determined that the proposed any non-public information gained in Committee will review all submitted process appropriately balances the need his or her role as such. These criteria are Bids to determine which Bids are to differentiate among Qualified Bids intended to insulate the Voting Senior Qualified Bids (i.e., Bids that contain while also ensuring that each Qualified Officer from any inside knowledge sufficient information to allow the Bid receives due consideration for regarding the Bid (while also preventing Voting Senior Officers to meaningfully inclusion as a Shortlisted Bid since each 24 any information about the evaluation assess and evaluate the Bid). At this Voting Senior Officer must select process from being shared with staff initial stage, if two-thirds or more of the multiple Qualified Bids for inclusion as Participants determine that a Bid does preparing the Bidding Participant’s Bid) a Shortlisted Bid. Further, while the not meet the threshold for a Qualified and to reduce any potential personal Participants believe that the Bid, the Bid will be eliminated from independence indicia sufficiently motivation that may exist that could further consideration. The Participants address any potential conflicts of believe this initial step will ensure that interest that may arise with respect to two voting rounds are set forth in Sections VI(D) only those Bids meeting a minimum and (E) of the Plan and will be incorporated into Bids with which a Participant is the CAT NMS Plan. The Participants believe it is level of detail and sufficiency will move affiliated, the proposed process will essential that the entire process be laid out in the forward in the process, and insufficient further mitigate potential conflicts Plan so that the Commission can consider and Bids can be eliminated. because each Voting Senior Officer must approve the entire evaluation and selection process, Following the elimination of Bids that even though the final two voting rounds, including select multiple unaffiliated Qualified the selection of the Plan Processor, will not be are not Qualified Bids, each Qualified Bids. The Participants believe this step conducted until after the approval of the CAT NMS Bidder will be provided the opportunity is appropriate both to ensure that Plan. to present its Bid to the Selection Bidders submit a complete and 20 In the case of Affiliated Participants, one Committee. After the Qualified Bidders thorough Bid initially and so that individual may be (but is not required to be) the have made their presentations, the Voting Senior Officer for more than one or all of the Qualified Bidders will know whether Affiliated Participants. Selection Committee will establish a they have a realistic opportunity to be 21 The Plan defines a ‘‘Bidding Participant’’ selected as the Plan Processor after the broadly to include any Participant that (1) submits 22 As described below, even with the CAT NMS Plan is approved. a Bid; (2) is an Affiliate of an entity that submits independence criteria in place, the Plan also To further reduce the impact of a Bid; or (3) is included, or is an Affiliate of an requires recusal from certain votes. entity that is included, as a Material Subcontractor 23 The Participants anticipate that Bids must be potential conflicts of interest in as part of a Bid. A ‘‘Material Subcontractor’’ is ‘‘any submitted four weeks after the Commission entity that is known to the Participant to be approves the Plan. 25 In the Letter submitted by the SROs describing included as part of a Bid as a vendor, subcontractor, 24 The Plan defines a Qualified Bid as ‘‘a Bid that the Plan, the SROs state that the Plan provides that, service provider, or in any other similar capacity is deemed by the Selection Committee to include if there are fewer than six Qualified Bids submitted, and, excluding products or services offered by the sufficient information regarding the Bidder’s ability all of those bids will be selected as Shortlisted Bids. Participant to one or more Bidders on terms subject to provide the necessary capabilities to create, See supra note 8. The Commission notes, however, to a fee filing approved by the SEC, (1) is implement, and maintain a consolidated audit trail that Section IV(B)(2) of the Plan states, ‘‘If there are anticipated to derive 5% or more of its annual so that such Bid can be effectively evaluated by the six or fewer Qualified Bids, all such Qualified Bids revenue in any given year from services provided Selection Committee.’’ The Plan provides that, shall be Shortlisted Bids.’’ (emphasis added) in such capacity; or (2) accounts for 5% or more of ‘‘[w]hen evaluating whether a Bid is a Qualified 26 The Plan provides that, if there is an odd the total estimated annual cost of the Bid for any Bid, each member of the Selection Committee shall number of Qualified Bids, the number of Shortlisted given year.’’ The Plan provides that ‘‘[a]n entity will consider whether the Bid adequately addresses the Bids to be chosen will be rounded up to the next not be considered a ‘Material Subcontractor’ solely evaluation factors set forth in the RFP, and apply whole number (e.g., if there are thirteen Qualified due to the entity providing services associated with such weighting and priority to the factors as such Bids, seven Shortlisted Bids will be selected). In the any of the entity’s regulatory functions as a self- member of the Selection Committee deems event of a tie to select the Shortlisted Bids, all such regulatory organization registered with the SEC.’’ appropriate in his or her professional judgment.’’ tied Qualified Bids will be Shortlisted Bids.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00099 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69913

choosing Shortlisted Bids, the Plan also areas for discussion, and revotes will be Act. As noted in Section A, the provides that at least two Non-SRO Bids taken until the tie is broken. Participants are aware that potential must be included as Shortlisted Bids, Once two Shortlisted Bids have been conflicts of interest are raised because a provided there are two Non-SRO Bids chosen, the Participants will vote for a Participant, or an affiliate of a that are Qualified Bids.27 If, following single Shortlisted Bid from the final two Participant, may be both submitting a the vote, no Non-SRO Bids have been to determine the Plan Processor. If one Bid (or participating in a Bid) and selected as Shortlisted Bids, the Plan or both of the final Bids is submitted by participating in the evaluation of Bids to requires that the two Non-SRO Bids or includes a Bidding Participant or an select the Plan Processor. As described receiving the highest cumulative votes Affiliate of a Bidding Participant, the in Section A, the Plan includes multiple be added as Shortlisted Bids. If, in this Bidding Participant must recuse itself provisions designed to mitigate the scenario, a single Non-SRO Bid was a from the final vote. In the event of a tie, potential impact of these conflicts by Qualified Bid, that Non-SRO Bid would a revote will be taken. If the tie persists, imposing restrictions on the Voting be added as a Shortlisted Bid. the Participants will identify areas for Senior Officer and by requiring the discussion and, following these Following the selection of Shortlisted recusal of Bidding Participants for discussions, revotes will be taken until certain votes taken by the Selection Bids, the Participants will identify the the tie is broken. As set forth in Section Committee. In addition, the Plan optimal proposed solution(s) for the VII of the Plan, following the selection requires that at least two Non-SRO Bids consolidated audit trail for inclusion in of the Plan Processor, the Participants be Shortlisted Bids to ensure Non-SRO the CAT NMS Plan for submission to will file with the Commission a Bids are given full and fair the Commission. Following approval of statement identifying the Plan Processor consideration. the CAT NMS Plan by the Commission, and including the information required the Selection Committee will determine, by Rule 608. F. Written Understanding or Agreements by majority vote, which Shortlisted Relating to Interpretation of, or Bidders will be provided the B. Governing or Constituent Documents Participation in, Plan opportunity to revise their Bids in light Not applicable. of the provisions in the final, approved The Participants have no written CAT NMS Plan. In making a decision C. Implementation of Plan understandings or agreements relating whether to permit a Shortlisted Bidder to interpretations of, or participation in, The terms of the Plan will be the Plan other than those set forth in the to revise its Bid, the Selection operative immediately upon approval of Committee will consider the provisions Plan itself. Section III(F)(2)(a) of the the Plan by the Commission. The Plan provides that interpretations of the in the CAT NMS Plan as well as the Participants have announced that Bids content of the Shortlisted Bidder’s Plan require approval by a majority of must be submitted four weeks after the Participants entitled to vote. Section initial Bid. To reduce potential conflicts Commission’s approval of the Plan. The of interest, the Plan also provides that II(B) of the Plan sets forth how any Participants will begin reviewing and entity registered as a national securities if a Bid submitted by or including a evaluating the Bids pursuant to Section Bidding Participant or an Affiliate of a exchange or national securities VI of the Plan upon receipt of the Bids. association under the Exchange Act may Bidding Participant is a Shortlisted The Participants anticipate that it will become a Participant. Bidder, that Bidding Participant will be take seven months to evaluate the Bids recused from all votes regarding and submit the CAT NMS Plan to the G. Approval of Amendment of the Plan whether a Shortlisted Bidder will be Commission pursuant to Sections VI(A) Not applicable. permitted to revise its Bid. and (B) of the Plan.29 As noted above, After any permitted revisions have upon approval of the CAT NMS Plan, H. Terms and Conditions of Access the Plan will automatically terminate. been received, the Selection Committee Each currently approved national will select the Plan Processor from the The review of revised Shortlisted Bids and the selection of the Plan Processor securities exchange and national Shortlisted Bids in two rounds of voting securities association subject to Rule where, subject to the recusal provision will be undertaken as set forth in Sections VI(D) and (E) of the Plan as 613(a)(1) is a Participant in the Plan. described below, each Participant has Section II(B) of the Plan provides that one vote. In the first round, each those sections are incorporated into the CAT NMS Plan. any entity approved by the Commission Participant will select a first and second as a national securities exchange or choice, with the first choice receiving D. Development and Implementation national securities association under the two points and the second choice Phases Exchange Act after the effectiveness of receiving one point. The two Shortlisted Not applicable. the Plan shall become a Participant by Bids receiving the highest cumulative satisfying each of the following scores in the first round will advance to E. Analysis of Impact on Competition requirements: (1) Effecting an the second round.28 In the event of a tie, The Plan does not impose any burden amendment to the Plan by executing a the tie will be broken by assigning one on competition that is not necessary or copy of the Plan as then in effect (with point per vote to the tied Shortlisted appropriate in furtherance of the the only change being the addition of Bids, and the Shortlisted Bid with the purposes of the Exchange Act. The the new Participant’s name in Section II most votes will advance. If this Participants do not believe that the Plan of the Plan) and submitting such procedure fails to break the tie, a revote introduces terms that are unreasonably amendment to the Commission for will be taken on the tied Bids with each discriminatory for the purposes of approval; and (2) providing each then- vote receiving one point. If the tie Section 11A(c)(1)(D) of the Exchange current Participant with a copy of such persists, the Participants will identify executed Plan. 29 The Participants recognize that a seven-month 27 The Plan defines a ‘‘Non-SRO Bid’’ as ‘‘a Bid timeframe is inconsistent with the current I. Method of Determination and that does not include a Bidding Participant.’’ See obligation to submit the CAT NMS Plan by Imposition, and Amount of, Fees and supra note 21. December 6, 2013. The Participants anticipate filing Charges 28 Each round of voting throughout the Plan is an exemptive request with the Commission to independent of other rounds. extend the date. Not applicable.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00100 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69914 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

J. Method and Frequency of Processor arguments concerning the foregoing, person, other than those that may be Evaluation including whether the Plan is consistent withheld from the public in accordance with the Act. with the provisions of 5 U.S.C. 552, will Not applicable. Comments may be submitted by any be available for Web site viewing and K. Dispute Resolution of the following methods: printing in the Commission’s Public Electronic Comments Reference Room, 100 F Street NE., The Plan does not include specific Washington, DC 20549, on official • provisions regarding resolution of Use the Commission’s Internet business days between the hours of disputes between or among Participants. comment form (http://www.sec.gov/ 10:00 a.m. and 3:00 p.m. Copies of such Section III(B) of the Plan provides for rules/sro.shtml); or • filing also will be available for each Participant to designate an Send an email to rule-comments@ inspection and copying at the individual to represent the Participant sec.gov. Please include File Number 4– Participants’ principal offices. All as a member of an Operating Committee. 668 on the subject line. comments received will be posted Section III(A) of the Plan provides that Paper Comments without change; the Commission does the Operating Committee is responsible not edit personal identifying • Send paper comments in triplicate for: (1) Formulating, drafting, and filing information from submissions. You to Elizabeth M. Murphy, Secretary, with the Commission the CAT NMS should submit only information that Securities and Exchange Commission, Plan; and (2) ensuring the Participants’ you wish to make available publicly. obligations under Rule 613 are met in a 100 F Street NE., Washington, DC All submissions should refer to File timely and efficient manner. Within the 20549–1090. Number 4–668 and should be submitted areas of its responsibilities and All submissions should refer to File on or before December 23, 2013. authority as set forth in the Plan, Number 4–668. This file number should decisions made or actions taken by the be included on the subject line if email By the Commission. Operating Committee, directly or by is used. To help the Commission Kevin O’Neill, duly delegated individuals or process and review your comments Deputy Secretary. Subcommittees, shall be binding upon more efficiently, please use only one EXHIBIT A each Participant, without prejudice to method. The Commission will post all the rights of any Participant to seek comments on the Commission’s Internet NATIONAL MARKET SYSTEM PLAN redress from the Commission pursuant Web site (http://www.sec.gov/rules/ GOVERNING THE PROCESS OF to Rule 608 or in any other appropriate sro.shtml)). Copies of the submission, SELECTING A PLAN PROCESSOR AND forum. DEVELOPING A PLAN FOR THE all subsequent amendments, all written CONSOLIDATED AUDIT TRAIL statements with respect to the Plan that IV. Solicitation of Comments SUBMITTED TO THE SECURITIES AND are filed with the Commission, and all EXCHANGE COMMISSION PURSUANT TO Interested persons are invited to written communications relating to the RULE 608 OF REGULATION NMS UNDER submit written data, views, and Plan between the Commission and any THE SECURITIES EXCHANGE ACT OF 1934

TABLE OF CONTENTS

Section Page

Preamble ...... 1 I. Definitions ...... 2 II. Participants ...... 4 III. Operating Committee ...... 7 IV. Plan Amendments ...... 11 V. Selection Committee ...... 12 VI. RFP Bid Evaluation and Plan Processor Selection ...... 16 VII. Implementation ...... 21 VIII. Applicability of the Exchange Act ...... 21 IX. Counterparts and Signatures ...... 22

Consolidated Audit Trail: Plan Processor I. Definitions (F) ‘‘CAT NMS Plan’’ means the NMS Plan Evaluation and Selection Plan (A) An ‘‘Affiliate’’ of an entity means any to be jointly submitted to the Commission by the Participants pursuant to paragraph (a)(1) Preamble entity controlling, controlled by, or under common control with such entity. of SEC Rule 613. This Plan governs the process of: (1) (G) ‘‘Commission’’ or ‘‘SEC’’ means the (B) ‘‘Affiliated Participant’’ means any Evaluating and selecting a Plan Processor for United States Securities and Exchange Participant controlling, controlled by, or the consolidated audit trail; and (2) Commission. under common control with another (H) ‘‘Exchange Act’’ means the Securities developing a national market system plan Participant. Exchange Act of 1934, as amended. pursuant to SEC Rule 613 to create, (C) ‘‘Bid’’ means a proposal submitted by implement, and maintain a consolidated (I) ‘‘Material Contract’’ means any contract a Bidder in response to the RFP. resulting in a total cost to all Participants of audit trail. This Plan will automatically (D) ‘‘Bidder’’ means any entity, or any terminate upon the SEC’s approval of the more than $1,000,000. combination of separate entities, submitting (J) ‘‘Material Subcontractor’’ means any CAT NMS Plan. The Participants developed a Bid. entity that is known to the Participant to be this Plan pursuant to Rule 608(a)(3) of (E) ‘‘Bidding Participant’’ means a included as part of a Bid as a vendor, Regulation NMS under the Exchange Act, Participant that: (1) Submits a Bid; (2) is an subcontractor, service provider, or in any which authorizes the Participants to act Affiliate of an entity that submits a Bid; or other similar capacity and, excluding jointly in preparing, filing, and implementing (3) is included, or is an Affiliate of an entity products or services offered by the national market system plans. that is included, as a Material Subcontractor Participant to one or more Bidders on terms as part of a Bid. subject to a fee filing approved by the SEC,

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00101 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69915

(1) is anticipated to derive 5% or more of its II. Participants under the Plan or to any of the other annual revenue in any given year from Participants with respect to the period (A) List of Participants services provided in such capacity; or (2) following the effectiveness of its withdrawal. accounts for 5% or more of the total The Participants are as follows: III. Operating Committee estimated annual cost of the Bid for any (1) BATS Exchange, Inc. given year. An entity will not be considered (2) BATS Y-Exchange, Inc. (A) Authority a ‘‘Material Subcontractor’’ solely due to the (3) BOX Options Exchange LLC The Operating Committee shall be entity providing services associated with any (4) C2 Options Exchange, Incorporated responsible for: (1) formulating, drafting, and of the entity’s regulatory functions as a self- (5) Chicago Board Options Exchange, filing with the SEC the CAT NMS Plan; and regulatory organization registered with the Incorporated (2) ensuring the Participants’ obligations SEC. (6) Chicago Stock Exchange, Inc. under SEC Rule 613 are met in a timely and (K) ‘‘NMS Plan’’ shall have the same (7) EDGA Exchange, Inc. efficient manner. Within the areas of its meaning as ‘‘[n]ational market system plan’’ (8) EDGX Exchange, Inc. responsibilities and authority as set forth in provided in Rule 600(b)(43) of Regulation (9) Financial Industry Regulatory Authority, the Plan, decisions made or actions taken by NMS under the Exchange Act. Inc. the Operating Committee, directly or by duly (L) ‘‘Non-SRO Bid’’ means a Bid that does (10) International Securities Exchange, LLC delegated individuals or Subcommittees, not include a Bidding Participant. (11) Miami International Securities Exchange shall be binding upon each Participant, (M) ‘‘Operating Committee’’ shall have the LLC without prejudice to the rights of any meaning provided in Section III of the Plan. (12) NASDAQ OMX BX, Inc. Participants to seek redress from the SEC (N) ‘‘Participant’’ means a party to the (13) NASDAQ OMX PHLX LLC pursuant to SEC Rule 608 or in any other Plan. (14) The Nasdaq Stock Market LLC appropriate forum. (O) ‘‘Plan’’ means the plan set forth in this (15) National Stock Exchange, Inc. (B) Composition instrument, as amended from time to time in (16) New York Stock Exchange LLC accordance with its provisions. (17) NYSE MKT LLC (1) Each Participant shall select from its (P) ‘‘Plan Processor’’ means the entity (18) NYSE Arca, Inc. staff one individual (the ‘‘primary jointly selected by the Participants pursuant (19) Topaz Exchange, LLC representative’’) to represent the Participant as a member of the Operating Committee, to SEC Rule 613, the Plan, and the CAT NMS (B) Admission of New Participants Plan to perform the consolidated audit trail together with a substitute(s) for such Any entity approved by the SEC as a processing functions required by SEC Rule individual. In the case of Affiliated national securities exchange or national 613 and set forth in the RFP. Participants, one individual may be the securities association under the Exchange (Q) ‘‘Qualified Bid’’ means a Bid that is primary representative for all or some of the Act after the effectiveness of the Plan shall deemed by the Selection Committee to Affiliated Participants, and another become a Participant by satisfying each of the include sufficient information regarding the individual may be the substitute for all or following requirements: (1) effecting an Bidder’s ability to provide the necessary some of the Affiliated Participants. amendment to the Plan by executing a copy capabilities to create, implement, and (2) Regular meetings of the Operating of the Plan as then in effect (with the only Committee may be attended by each maintain a consolidated audit trail so that change being the addition of the new Participant’s primary representative and its such Bid can be effectively evaluated by the Participant’s name in Section II of the Plan) substitute(s), and may be attended by other Selection Committee. When evaluating and submitting such amendment to the SEC representatives of the Participant. whether a Bid is a Qualified Bid, each for approval; and (2) providing each then- (3) Any organization that is not a member of the Selection Committee shall current Participant with a copy of such Participant but has an actively pending Form consider whether the Bid adequately executed Plan. The amendment shall be 1 Application on file with the Commission to addresses the evaluation factors set forth in effective when it is approved by the SEC in become a national securities exchange will be the RFP, and apply such weighting and accordance with SEC Rule 608 or otherwise permitted to appoint one primary priority to the factors as such member of the becomes effective pursuant to SEC Rule 608. representative and one alternate Selection Committee deems appropriate in representative to attend regularly scheduled his or her professional judgment. The (C) Withdrawal of Participants Operating Committee meetings in the determination of whether a Bid is a Qualified (1) A Participant may withdraw from the capacity of a non-voting observer/advisor. If Bid shall be determined pursuant to the Plan upon written notice to each of the other the organization’s Form 1 Application is process set forth in Section VI of the Plan. Participants of no less than 30 days. The withdrawn, returned, or otherwise not (R) ‘‘Qualified Bidder’’ means a Bidder that written notice must include the legal basis actively pending with the Commission for has submitted a Qualified Bid. for the Participant’s withdrawal from the any reason, then the organization will no (S) ‘‘RFP’’ means the ‘‘Consolidated Audit Plan, including, if applicable, any required longer be eligible to be represented in the Trail National Market System Plan Request approvals or orders issued by the SEC. Operating Committee meetings. The for Proposal’’ published by the Participants (2) Withdrawal of a Participant shall be Operating Committee shall have the on February 26, 2013, as amended from time effectuated by an amendment to the Plan, discretion, in limited instances, to deviate to time. including, if applicable, approval of any such from this policy if, as indicated by majority (T) ‘‘Selection Committee’’ means the amendment by the SEC. vote, the Operating Committee agrees that committee formed pursuant to Section V of (3) Notwithstanding a Participant’s circumstances so warrant. the Plan. withdrawal from the Plan, the Participant (4) Nothing in this section or elsewhere (U) ‘‘SEC Rule 608’’ means Rule 608 of shall remain liable for, and shall pay upon within the Plan shall authorize any person or Regulation NMS under the Exchange Act. demand: organization other than Participants and their (V) ‘‘SEC Rule 613’’ means Rule 613 of (a) its proportionate share of any costs, representatives to participate on the Regulation NMS under the Exchange Act. including those resulting from any Material Operating Committee in any manner. (W) ‘‘Shortlisted Bid’’ means a Bid Contracts, accrued or incurred before the (C) Meetings submitted by a Qualified Bidder and selected effectiveness of the Participant’s withdrawal; as a Shortlisted Bid by the Selection (b) its proportionate share of any liabilities (1) Quorum Committee pursuant to Section VI(B) of the arising while the organization was a (a) Any action requiring a vote can only be Plan. Participant that are based on actions jointly taken at a meeting in which a quorum of all (X) ‘‘Shortlisted Bidder’’ means a Qualified undertaken by the Participants pursuant to Participants is present. For actions requiring Bidder that has submitted a Bid selected as the Plan or in furtherance of the Participants’ a majority vote of all Participants, a quorum a Shortlisted Bid. obligations pursuant to SEC Rule 613; and of greater than 50% of all Participants (Y) ‘‘Voting Senior Officer’’ means the (c) any costs incurred as a result of the entitled to vote must be present at the senior officer of a Participant chosen to serve Participant’s withdrawal from the Plan. meeting before such a vote may be taken. For on the Selection Committee pursuant to (4) Except as aforesaid, a withdrawing actions requiring at least a two-thirds vote of Section V of the Plan. Participant shall have no further obligation all Participants, a quorum of at least two-

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00102 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69916 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

thirds of all Participants entitled to vote must Participant is automatically recused from (B) Voting be present at the meeting before such a vote voting on any matter. (1) Unless recused pursuant to Paragraph may be taken. (F) Voting Requirements (2) or (3) below, each Participant shall have (b) For purposes of establishing a quorum, one vote on all matters considered by the a Participant is considered present at a (1) Supermajority Voting Requirements Selection Committee. meeting only if a Participant’s primary The following actions require approval by (2) No Bidding Participant shall vote on representative or substitute is either in at least two-thirds of Participants entitled to whether a Shortlisted Bidder will be physical attendance at the meeting or is vote: permitted to revise its Bid pursuant to participating by conference telephone or (a) Amendments to the Plan, other than Section VI(D)(1) below if a Bid submitted by other acceptable electronic means. amendments to add a new Participant; and or including the Participant or an Affiliate of (c) Any Participant recused from voting on (b) Material Contracts. the Participant is a Shortlisted Bid. a particular action pursuant to Paragraph (E) (2) Majority Voting Requirements (3) No Bidding Participant shall vote in the below shall not be considered to be ‘‘entitled second round set forth in Section VI(E)(4) The following actions require approval by to vote’’ for purposes of establishing whether below if a Bid submitted by or including the a majority of Participants entitled to vote: a quorum is present for a vote to be taken on Participant or an Affiliate of the Participant that action. (a) Interpretations of the Plan; and (b) Any other matters not specified as is part of the second round. (2) Frequency requiring a supermajority vote. (4) All votes by the Selection Committee Meetings of the Operating Committee shall shall be confidential and non-public. All be held as needed at such times and locations (G) Interpretations of Regulations such votes will be tabulated by an as shall from time to time be determined by Interpretative questions arising during the independent third party approved by the the Operating Committee. Meetings may be time for which the Plan is operative will be Operating Committee, and a Participant’s held by conference telephone or other presented to the Operating Committee, which individual votes will not be disclosed to acceptable electronic means if all will determine whether to seek interpretive other Participants or to the public. Participants entitled to vote consent thereto guidance from the Commission or other (C) Quorum in writing or by other means the Operating regulatory body and, if so, in what form. (1) Any action requiring a vote by the Committee deems acceptable. (H) Delegated Authority Selection Committee can only be taken at a (3) Written Consent Within the areas of its responsibilities, the meeting in which all Participants entitled to Any action may be taken without a meeting Operating Committee may delegate an vote are present. Meetings of the Selection if a consent in writing, setting forth the individual or Subcommittee to make Committee shall be held as needed at such action so taken, is sent to, via physical or decisions or take action on behalf of the times and locations as shall from time to time electronic means, and agreed to by all Operating Committee. Any decision made or be determined by the Selection Committee. Participants entitled to vote with respect to action taken by such duly delegated Meetings may be held by conference the subject matter thereof. The action taken individual or Subcommittee within the scope telephone or other acceptable electronic shall be effective when the minimum number of such delegation shall be binding upon means if all Participants entitled to vote of Participants entitled to vote have approved each Participant. consent thereto in writing or by other means the action, unless the consent specifies a the Selection Committee deems acceptable. different effective date. IV. Plan Amendments (2) For purposes of establishing a quorum, (4) Minutes (A) General Amendments a Participant is considered present at a meeting only if the Participant’s Voting Minutes of each meeting of the Operating Except with respect to the addition of new Senior Officer is either in physical Committee shall be taken. Participants, any proposed change in, attendance at the meeting or is participating addition to, or deletion from the Plan shall (5) Subcommittees by conference telephone or other acceptable be effected by means of a written amendment electronic means. In addition to the Selection Committee to the Plan that: (1) sets forth the change, established pursuant to Section V of the Plan, (3) Any Participant recused from voting on addition, or deletion; (2) is executed by over a particular action pursuant to Paragraph (B) the Operating Committee may establish any two-thirds of the Participants; and (3) is above shall not be considered ‘‘entitled to Subcommittees it deems necessary in approved by the SEC pursuant to SEC Rule vote’’ for purposes of establishing whether a fulfilling its obligations under the Plan. 608, or otherwise becomes effective under quorum is present for a vote to be taken on Membership on any Subcommittee is open to SEC Rule 608. any Participant indicating a desire to that action. (B) New Participants participate. Minutes of each meeting of any (D) Qualifications for Voting Senior Officer of Subcommittee shall be taken. With respect to new Participants, an Bidding Participants amendment to the Plan may be effected by (D) Voting Rights The following criteria must be met before the new national securities exchange or a Voting Senior Officer is eligible to represent (1) Unless recused pursuant to Paragraph national securities association in accordance (E) below, each Participant shall have one with Section II of the Plan. a Bidding Participant and serve on the vote on all matters considered by the Selection Committee: Operating Committee. V. Selection Committee (1) the Voting Senior Officer is not (2) Where one individual represents more The Participants shall establish a Selection responsible for the Bidding Participant’s than one Affiliated Participant, either as the Committee in accordance with this Section V market operations, and is responsible primary representative or as a substitute, to: (1) evaluate and review Bids; and (2) primarily for the Bidding Participant’s legal such individual will have the right to vote on select the Plan Processor. and/or regulatory functions, including behalf of each such Affiliated Participant. functions related to the formulation and The substitute(s) may participate in (A) Composition implementation of the Bidding Participant’s deliberations of the Operating Committee and Each Participant shall select from its staff legal and/or regulatory program; shall be considered a voting member thereof one senior officer (‘‘Voting Senior Officer’’) to (2) the Bidding Participant has established only in the absence of the primary represent the Participant as a member of a functional separation of its legal and/or representative. Selection Committee. In the case of Affiliated regulatory functions from its market Participants, one individual may be (but is operations and other business or commercial (E) Conflicts and Recusals not required to be) the Voting Senior Officer objectives; A Participant may recuse itself from voting for more than one or all of the Affiliated (3) the Voting Senior Officer ultimately on any matter under consideration by the Participants. Where one individual serves as reports (including through the Bidding Operating Committee if the Participant the Voting Senior Officer for more than one Participant’s CEO or Chief Legal Officer/ determines that voting on such matter raises Affiliated Participant, such individual will General Counsel) to an independent a conflict of interest. Except as provided in have the right to vote on behalf of each such governing body that determines or oversees Sections V(B)(2) and V(B)(3) of the Plan, no Affiliated Participant. the Voting Senior Officer’s compensation,

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00103 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69917

and the Voting Senior Officer does not deemed a Qualified Bid and will be (b) The fifty percent of Qualified Bids (or, receive any compensation (other than what is eliminated individually from further if there is an odd number of Qualified Bids, determined or overseen by the independent consideration. the next whole number above fifty percent of governing body) that is based on achieving Qualified Bids) receiving the highest business or commercial objectives; (B) Selection of Shortlisted Bids cumulative scores will be Shortlisted Bids. (4) the Voting Senior Officer does not have (1) Each Qualified Bidder shall be given (c) In the event of a tie to select the responsibility for any non-regulatory the opportunity to present its Bid to the Shortlisted Bids, all such tied Qualified Bids functions of the Bidding Participant, other Selection Committee. Following the will be Shortlisted Bids. than the legal aspects of the organization presentations by Qualified Bidders, the (d) To the extent there are Non-SRO Bids performed by the Chief Legal Officer/General Selection Committee shall review and that are Qualified Bids, the Shortlisted Bids Counsel or the Office of the General Counsel; evaluate the Qualified Bids to select the selected pursuant to this Section VI(B)(4) (5) the ultimate decision making of the Shortlisted Bids in accordance with the must, if possible, include at least two Non- Voting Senior Officer position is tied to the process in this Paragraph (B). SRO Bids. If, following the vote set forth in regulatory effectiveness of the Bidding (2) If there are six or fewer Qualified Bids, this Section VI(B)(4), no Non-SRO Bid was Participant, as opposed to other business or all such Qualified Bids shall be Shortlisted selected as a Shortlisted Bid, the two Non- commercial objectives; Bids. SRO Bids receiving the highest cumulative (6) promotion or termination of the Voting (3) If there are more than six Qualified Bids votes (or one Non-SRO Bid if a single Non- Senior Officer is not based on achieving but fewer than eleven Qualified Bids, the SRO Bid is a Qualified Bid) shall be added business or commercial objectives; Selection Committee shall select five as Shortlisted Bids. If one Non-SRO Bid was (7) the Voting Senior Officer has no Qualified Bids as Shortlisted Bids, subject to selected as a Shortlisted Bid, the Non-SRO decision-making authority with respect to the the requirement in Paragraph (d) below. Each Bid receiving the next highest cumulative development or formulation of the Bid Voting Senior Officer shall select a first, vote shall be added as a Shortlisted Bid. submitted by or including the Participant or second, third, fourth, and fifth choice from (C) Formulation of the CAT NMS Plan an Affiliate of the Participant; however, the among the Qualified Bids. staff assigned to developing and formulating (a) A weighted score shall be assigned to (1) The Selection Committee shall review such Bid may consult with the Voting Senior each choice as follows: the Shortlisted Bids to identify optimal proposed solutions for the consolidated audit Officer, provided such staff members cannot • First—5 points share information concerning the Bid with • trail and provide descriptions of such Second—4 points proposed solutions for inclusion in the CAT the Voting Senior Officer; • Third—3 points (8) the Voting Senior Officer does not • NMS Plan. This process may, but is not Fourth—2 points required to, include iterative discussions report to any senior officers responsible for • Fifth—1 point the development or formulation of the Bid with Shortlisted Bidders to address any submitted by or including the Participant or (b) The five Qualified Bids receiving the aspects of an optimal proposed solution that by an Affiliate of the Participant; however, highest cumulative scores will be Shortlisted were not fully addressed in a particular Bid. joint reporting to the Bidding Participant’s Bids. (2) The Participants shall incorporate CEO or similar executive officer by the (c) In the event of a tie to select the five information on optimal proposed solutions in Voting Senior Officer and senior staff Shortlisted Bids, all such tied Qualified Bids the CAT NMS Plan, including cost-benefit developing and formulating such Bid is will be Shortlisted Bids. information as required by SEC Rule 613. permissible, but the Bidding Participant’s (d) To the extent there are Non-SRO Bids that are Qualified Bids, the Shortlisted Bids (D) Review of Shortlisted Bids Under the CAT CEO or similar executive officer cannot share NMS Plan information concerning such Bid with the selected pursuant to this Section VI(B)(3) Voting Senior Officer; must, if possible, include at least two Non- (1) Following approval of the CAT NMS (9) the compensation of the Voting Senior SRO Bids. If, following the vote set forth in Plan by the SEC, Shortlisted Bidders may be Officer is not separately tied to income this Section VI(B)(3), no Non-SRO Bid was permitted to revise their Bids based on the earned if the Bid submitted by or including selected as a Shortlisted Bid, the two Non- provisions in the approved CAT NMS Plan, the Participant or an Affiliate of the SRO Bids receiving the highest cumulative including further discussions if determined Participant is selected; and votes (or one Non-SRO Bid if a single Non- to be necessary by the Selection Committee. (10) the Voting Senior Officer, any staff SRO Bid is a Qualified Bid) shall be added A Shortlisted Bidder will be permitted to advising the Voting Senior Officer, and any as Shortlisted Bids. If one Non-SRO Bid was revise its Bid only upon approval by a similar executive officer or member of an selected as a Shortlisted Bid, the Non-SRO majority of the Selection Committee, subject independent governing body to which the Bid receiving the next highest cumulative to the recusal provision in Section V(B)(2) Voting Senior Officer reports may not vote shall be added as a Shortlisted Bid. above, that revisions are necessary or disclose to any person any non-public (4) If there are eleven or more Qualified appropriate in light of the content of the information gained during the review of Bids, Bids, the Selection Committee shall select Shortlisted Bidder’s initial Bid and the presentation by Qualified Bidders, and fifty percent of the Qualified Bids as provisions in the approved CAT NMS Plan. selection process. Staff advising the Voting Shortlisted Bids, subject to the requirement A Shortlisted Bidder may not revise its Bid Senior Officer during the Bid review, in Paragraph (d) below. If there is an odd unless approved to do so by the Selection presentation, and selection process may not number of Qualified Bids, the number of Committee pursuant to this paragraph. include the staff, contractors, or Shortlisted Bids chosen shall be rounded up (2) The Selection Committee shall review subcontractors that are developing or to the next whole number (e.g., if there are and evaluate all Shortlisted Bids, including formulating the Bid submitted by or thirteen Qualified Bids, then seven any permitted revisions thereto submitted by including a Participant or an Affiliate of the Shortlisted Bids will be selected). Each Shortlisted Bidders. In performing the review Participant. Voting Senior Officer shall select as many and evaluation, the Selection Committee may choices as Shortlisted Bids to be chosen. consult with the Advisory Committee VI. RFP Bid Evaluation and Plan Processor (a) A weighted score shall be assigned to established pursuant to paragraph (b)(7) of Selection each choice in single point increments as SEC Rule 613. (A) Initial Bid Review to Determine Qualified follows: (E) Selection of Plan Processor Under the Bids • Last—1 point CAT NMS Plan • (1) The Selection Committee shall review Next-to-Last—2 points (1) Under the CAT NMS Plan, there will be • all Bids in accordance with the process Second-from-Last—3 points two rounds of voting by the Selection • developed by the Selection Committee. Third-from-Last—4 points Committee to select the Plan Processor from • (2) After review, the Selection Committee Fourth-from-Last—5 points among the Shortlisted Bidders. Each round • shall vote on each Bid to determine whether Fifth-from-Last—6 points shall be scored independently of prior such Bid is a Qualified Bid. A Bid that is For each additional Shortlisted Bid that must rounds of voting, including the scoring to deemed unqualified by at least a two-thirds be chosen, the points assigned will increase determine the Shortlisted Bids under Section vote of the Selection Committee will not be in single point increments. VI(B) of the Plan.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00104 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69918 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

(2) Each Participant shall have one vote in IX. Counterparts and Signatures SECURITIES AND EXCHANGE each round, except that no Bidding The Plan may be executed in any number COMMISSION Participant shall be entitled to vote in the of counterparts, no one of which need second round if the Participant’s Bid, a Bid contain all signatures of all Participants, and submitted by an Affiliate of the Participant, [Release No. 34–70889; File No. SR–CBOE– or a Bid including the Participant or an as many of such counterparts as shall 2013–108] Affiliate of the Participant is considered in together contain all such signatures shall the second round. Until the second round, constitute one and the same instrument. Self-Regulatory Organizations; Bidding Participants may vote for any IN WITNESS WHEREOF, this Plan has Chicago Board Options Exchange, Shortlisted Bid. been executed as of the 23rd day of August Incorporated; Notice of Filing and (3) First Round Voting by the Selection 2013 by each of the parties hereto. Immediate Effectiveness of a Proposed Committee BATS EXCHANGE, INC. Rule Change Relating To Amend Rule (a) In the first round of voting, each Voting 53.23 Related to CBSX RMM Quoting BY: lllllllllllllllllll Senior Officer shall select a first and second Obligations choice from among the Shortlisted Bids. BATS Y–EXCHANGE, INC. (b) A weighted score shall be assigned to BY: lllllllllllllllllll November 15, 2013. each choice as follows: BOX OPTIONS EXCHANGE LLC Pursuant to Section 19(b)(1) of the • First—2 points Securities Exchange Act of 1934 (the BY: lllllllllllllllllll • Second—1 point ‘‘Act’’),1 and Rule 19b–4 thereunder,2 (c) The two Shortlisted Bids receiving the C2 OPTIONS EXCHANGE, INCORPORATED notice is hereby given that on November highest cumulative scores in the first round BY: lllllllllllllllllll 8, 2013, Chicago Board Options will advance to the second round. CHICAGO BOARD OPTIONS EXCHANGE, Exchange, Incorporated (the ‘‘Exchange’’ (d) In the event of a tie that would result INCORPORATED or ‘‘CBOE’’) filed with the Securities in more than two Shortlisted Bids advancing BY: lllllllllllllllllll and Exchange Commission (the to the second round, the tie will be broken ‘‘Commission’’) the proposed rule by assigning one point per vote, with the CHICAGO STOCK EXCHANGE, INC. change as described in Items I, II, and Shortlisted Bid(s) receiving the highest BY: lllllllllllllllllll number of votes advancing to the second III below, which Items have been EDGA EXCHANGE, INC. round. If, at this point, the Shortlisted Bids prepared by the Exchange. The remain tied, a revote will be taken with each BY: lllllllllllllllllll Commission is publishing this notice to vote receiving one point. If the revote results EDGX EXCHANGE, INC. solicit comments on the proposed rule in a tie, the Participants shall identify areas BY: lllllllllllllllllll change from interested persons. for further discussion and, following any such discussion, voting will continue until FINANCIAL INDUSTRY REGULATORY I. Self-Regulatory Organization’s two Shortlisted Bids are selected to advance AUTHORITY, INC. Statement of the Terms of Substance of to the second round. BY: lllllllllllllllllll the Proposed Rule Change (4) Second Round Voting by the Selection INTERNATIONAL SECURITIES EXCHANGE, The ‘‘Exchange’’ or ‘‘CBOE’’ proposes Committee LLC (a) In the second round of voting, each to amend Rule 53.23 related to CBOE Voting Senior Officer, subject to the recusal BY: lllllllllllllllllll Stock Exchange, LLC (‘‘CBSX’’) Remote provisions in Paragraph (E)(2) above, shall MIAMI INTERNATIONAL SECURITIES Market-Maker (‘‘RMM’’) quoting vote for one Shortlisted Bid. EXCHANGE, LLC obligations. The text of the proposed (b) The Shortlisted Bid receiving the most BY: lllllllllllllllllll rule change is provided below. votes in the second round shall be selected, NASDAQ OMX BX, INC. (additions are italicized; deletions are and the proposed entity included in the [bracketed]) Shortlisted Bid to serve as the Plan Processor BY: lllllllllllllllllll * * * * * shall be selected as the Plan Processor. NASDAQ OMX PHLX LLC (c) In the event of a tie, a revote will be BY: lllllllllllllllllll Chicago Board Options Exchange, taken. If the revote results in a tie, the Incorporated Rules Participants shall identify areas for further THE NASDAQ STOCK MARKET LLC * * * * * discussions with the two Shortlisted Bidders. BY: lllllllllllllllllll Following any such discussions, voting will NATIONAL STOCK EXCHANGE, INC. Rule 53.23 Obligations of CBSX Remote continue until one Shortlisted Bid is Market-Makers selected. BY: lllllllllllllllllll (a) No changes. VII. Implementation NEW YORK STOCK EXCHANGE LLC (b) Securities Other than those to which lllllllllllllllllll Within two months after effectiveness of BY: Appointed. With respect to securities in the CAT NMS Plan, the Participants will NYSE MKT LLC which it does not hold an Appointment, a CBSX Remote Market-Maker should not jointly select the winning Shortlisted Bid and BY: lllllllllllllllllll the Plan Processor pursuant to the process set engage in transactions for an account in NYSE ARCA, INC. forth in Section VI of the Plan and as which it has an interest which are incorporated into the CAT NMS Plan. BY: lllllllllllllllllll disproportionate in relation to, or in derogation of, the performance of its Following the selection of the Plan Processor, TOPAZ EXCHANGE, LLC obligations as specified in this Rule with the Participants will file with the BY: lllllllllllllllllll Commission a statement identifying the Plan respect to those securities to which it does Processor and including the information [FR Doc. 2013–27906 Filed 11–20–13; 8:45 am] hold an Appointment. [Whenever a CBSX Remote Market-Maker submits a two-sided required by SEC Rule 608. BILLING CODE 8011–01–P quote in a security to which it is not VIII. Applicability of the Exchange Act appointed, it must fulfill the obligations The rights and obligations of the established by this Rule for the rest of that Participants in respect of the matters covered trading session.] by the Plan shall at all times be subject to any ... Interpretations and Policies: applicable provisions of the Exchange Act, as amended, and any rules and regulations 1 15 U.S.C. 78s(b)(1). promulgated thereunder. 2 17 CFR 240.19b–4.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00105 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69919

.01 No changes. In a manner prescribed by CBSX, an believes it is an unnecessary burden to * * * * * RMM may select an appointment impose these obligations on RMMs with The text of the proposed rule change (having the obligations of Rule 53.23) in respect to securities in which they do is also available on the Exchange’s Web one or more non-option securities not hold appointments because they do site (http://www.cboe.com/AboutCBOE/ traded on CBSX.5 Under Rule 53.23, not receive any corresponding benefits. CBOELegalRegulatoryHome.aspx), at RMMs must, among other things: RMMs only qualify for defined benefits the Exchange’s Office of the Secretary, • Enter into transactions that in exchange for fulfillment of market- and at the Commission’s Public constitute a course of dealings making obligations in their Reference Room. reasonably calculated to contribute to appointments. The Exchange believes the elimination of an obligation with no II. Self-Regulatory Organization’s the maintenance of a fair and orderly benefit that accompanies quoting in Statement of the Purpose of, and market; • non-appointments will incentivize Statutory Basis for, the Proposed Rule not enter into transactions or make RMMs to submit quotes in non- Change bids or offers that are inconsistent with such a course of dealings; appointments, which will provide In its filing with the Commission, the • with respect to each security for additional liquidity and enhance Exchange included statements which it holds an appointment, competition in those non-appointments. concerning the purpose of and basis for continuously engage in, to a reasonable CBSX will retain the ability to appoint the proposed rule change and discussed degree under the existing RMMs in order to maintain a fair and any comments it received on the circumstances, dealings for its own orderly market.6 RMMs will continue to proposed rule change. The text of these account when there exists, or it is be subject to the same obligations set statements may be examined at the reasonably anticipated that there will forth in Rule 53.23, and receive the places specified in Item IV below. The exist, a lack of price continuity, or a same defined benefits, with respect to Exchange has prepared summaries, set temporary disparity between the supply their appointments, including the forth in sections A, B, and C below, of of and demand for a particular security; obligation to maintain continuous two- the most significant aspects of such • compete with other CBSX Market- sided quotes in their appointments and statements. Makers to improve markets; contribute to the maintenance of a fair A. Self-Regulatory Organization’s • make markets which, absent and orderly market. Statement of the Purpose of, and changed market conditions, will be The Exchange notes that other self- Statutory Basis for, the Proposed Rule honored for the number of shares regulatory organizations with Change entered into the CBSX electronic trading substantially similar market-maker system; quoting obligations do not require 1. Purpose • engage in trading activity of which market-makers to fulfill those quoting The Exchange proposes to amend at least 75% of its total dollar amount obligations in securities in which they Rule 53.23 related to CBSX RMM traded on CBSX is in securities to which submit quotes but do not hold quoting obligations. A ‘‘CBSX Remote it has an appointment; appointments.7 • Market-Maker’’ or ‘‘RMM’’ is a CBSX with respect to securities in which 2. Statutory Basis Trading Permit Holder that has agreed an RMM does not hold an appointment, to fulfill certain market-making not engage in transactions for an The Exchange believes the proposed obligations thus qualifying for defined account in which it has an interest that rule change is consistent with the Act benefits as set forth in the CBOE Rules.3 are disproportionate in relation to, or in and the rules and regulations An RMM is an individual (either a derogation of, the performance of its thereunder applicable to the Exchange Trading Permit Holder or nominee of a obligations with respect to those and, in particular, the requirements of 8 Trading Permit Holder organization) securities in which it does hold an Section 6(b) of the Act. Specifically, who is registered with CBSX for the appointment; the Exchange believes the proposed rule purpose of making transactions as a • satisfy RMM obligations in a change is consistent with the Section 9 dealer-specialist in the CBSX electronic security in which it does not hold an 6(b)(5) requirements that the rules of trading system in accordance with the appointment whenever an RMM an exchange be designed to prevent CBOE Rules. Registered RMMs are submits a two-sided quote in that fraudulent and manipulative acts and designated as specialists on CBSX for all security for the rest of the trading practices, to promote just and equitable purposes under the Act and the rules session; and principles of trade, to foster cooperation and regulations thereunder. RMMs may • comply with two-sided and and coordination with persons engaged only operate in a remote capacity.4 minimum size obligations and pricing in regulating, clearing, settling, obligations for bids and offers. processing information with respect to, 3 See Rule 50.3(2). The rules in Chapters 50 The proposed rule change amends and facilitating transactions in through 54 of the CBOE Rules are applicable only Rule 53.23 to eliminate the requirement securities, to remove impediments to to the trading of non-option securities on CBSX. and perfect the mechanism of a free and Trading of non-option securities on CBSX is also that a RMM fulfill the obligations subject to the rules in Chapters 1 through 29 of the established by Rule 53.23 when it open market and a national market CBOE Rules to the same extent those rules apply submits a two-sided quote in a security system, and, in general, to protect to the trading of the products to which those rules to which it is not appointed for the rest investors and the public interest. apply, in some cases supplemented by the rules in Additionally, the Exchange believes the Chapters 50 through 54, except for rules that have of the trading session. The Exchange been replaced by rules in Chapters 50 through 54 6 and except where the context otherwise requires. 5 See Rule 53.22. CBSX may also appoint a RMM CBSX also retains the authority under Rule Appendix A to Chapters 50 through 54 lists the in one or more non-option securities trading on 53.22(a) to suspend or terminate any RMM rules in Chapters 1 through 29 of the CBOE rules CBSX, giving attention to (1) the preference of appointment if it is in the interest of a fair and that are applicable to the trading of equity securities registrants; (2) the maintenance and enhancement orderly market. on CBSX. Where appropriate, Appendix A also of competition among RMMs in each security; and 7 See, e.g., BATS Exchange, Inc. Rule 11.8; indicates that a rule in Chapters 1 through 29 has (3) whether the financial resources available to an Chicago Stock Exchange, Inc. Article 16, Rule 8; been supplemented by a rule in Chapters 50 RMM enable it to satisfy the obligations set forth in and National Stock Exchange, Inc. Rule 11.8. through 54. Rule 53.23 with respect to each security in which 8 15 U.S.C. 78f(b). 4 See Rule 53.20. it holds an appointment. 9 15 U.S.C. 78f(b)(5).

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00106 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69920 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

proposed rule change is consistent with for fulfillment of the obligation and proposed rule change has made CBSX the Section 6(b)(5) 10 requirement that further believes this obligation reduces more attractive or favorable. the rules of an exchange not be designed the incentive of RMMs to quote in non- CBOE believes that the proposed rule to permit unfair discrimination between appointments. Thus, the proposed rule change will relieve any burden on, or customers, issuers, brokers, or dealers. change maintains the current balance otherwise promote, competition, as it In particular, the proposed rule between obligations and benefits of will relieve RMMs of a quoting change removes impediments to a free RMMs within their appointments and obligation that has no corresponding and open market, because it will eliminates the imbalance between benefits within their non-appointments. incentivize RMMs to submit quotes in obligations and benefits of RMMs The Exchange believes this will non-appointments by eliminating an within their non-appointments. incentivize RMMs to submit quotes in obligation that accompanies that non-appointments, which will provide quoting, which will provide additional B. Self-Regulatory Organization’s Statement on Burden on Competition additional liquidity and enhance liquidity and enhance competition in competition in those securities. those securities. CBSX will still have CBOE does not believe that the authority to suspend or terminate RMM proposed rule change will impose any C. Self-Regulatory Organization’s appointments in the interest of a fair burden on competition that is not Statement on Comments on the and orderly market, including if necessary or appropriate in furtherance Proposed Rule Change Received From necessary to prevent fraudulent and of the purposes of the Act because it Members, Participants, or Others manipulative acts and practices and provides the same relief to a group of The Exchange neither solicited nor protect investors or if an RMM does not similarly situated market participants— received comments on the proposed satisfy its obligations with respect to its RMMs. The proposed rule change rule change. appointments. Additionally, the eliminates an obligation of RMMs that Exchange notes that other self- has no corresponding benefit within III. Date of Effectiveness of the regulatory organizations with their non-appointments. All RMMs will Proposed Rule Change and Timing for substantially similar market-maker be relieved of this unduly burdensome Commission Action obligation but must still comply with quoting obligations do not impose a Because the foregoing proposed rule the remaining obligations set forth in quoting obligation on market-makers in change does not: securities in which they submit quotes Rule 53.23 to receive the corresponding A. Significantly affect the protection but do not hold appointments.11 The defined benefits within their of investors or the public interest; Exchange also notes that the proposed appointments, which the Exchange rule change does not result in unfair believes will continue to ensure B. impose any significant burden on discrimination, as it applies to all continuous, two-sided quotations in competition; and RMMs. their appointments. C. become operative for 30 days from The Exchange believes that the rules The Exchange notes that other self- the date on which it was filed, or such applicable to CBSX RMMs will continue regulatory organizations with shorter time as the Commission may to provide an appropriate balance substantially similar market-maker designate, it has become effective between obligations and benefits of quoting obligations do not require pursuant to Section 19(b)(3)(A) of the RMMs. The proposed rule change market-makers to fulfill those quoting Act 13 and Rule 19b–4(f)(6) 14 eliminates an obligation of RMMs that obligations in securities in which they thereunder. At any time within 60 days has no accompanying benefit in non- submit quotes but do not hold of the filing of the proposed rule change, appointments. RMMs only qualify for appointments.12 The Exchange does not the Commission summarily may defined benefits in exchange for believe the proposed rule change will temporarily suspend such rule change if fulfillment of market-making obligations help RMMs to the detriment of market it appears to the Commission that such in their appointments. The proposed participants on other exchanges. Rather, action is necessary or appropriate in the rule change has no impact on these the Exchange believes that continuing to public interest, for the protection of obligations and corresponding benefits impose the quoting obligation that the investors, or otherwise in furtherance of within RMM appointments, which Exchange proposes to eliminate will be the purposes of the Act. If the remain in the same balance. RMMs must detrimental to RMMs. It is unduly Commission takes such action, the still comply with the same obligations burdensome to require RMMs to satisfy Commission will institute proceedings set forth in Rule 53.23 and will receive an obligation for which they receive no to determine whether the proposed rule the same benefits for fulfillment of those benefits and to which market-makers at change should be approved or obligations with respect to their other exchanges with otherwise similar disapproved. quoting obligations are not subject. appointments, which the Exchange IV. Solicitation of Comments believes will continue to ensure RMMs will continue to be subject to the continuous, two-sided quotations in same obligations with respect to their Interested persons are invited to their appointments. CBSX will retain appointments, which are similar to the submit written data, views, and the authority to make RMM market-making obligations within arguments concerning the foregoing, appointments in securities in the appointments imposed by other including whether the proposed rule interest of a fair and orderly market. The exchanges. The proposed rule change is change is consistent with the Act. proposed rule change only eliminates an merely eliminating an obligation with Comments may be submitted by any of obligation with respect to RMM non- respect to RMMs non-appointments to the following methods: which market-makers at other appointments, which obligation has no Electronic Comments corresponding benefit. The Exchange exchanges are not subject. Market believes it is unduly burdensome to participants on other exchanges are • Use the Commission’s Internet continue to impose this obligation on welcome to become CBSX Trading comment form (http://www.sec.gov/ RMMs if they receive nothing in return Permit Holders and trade as RMMs on rules/sro.shtml); or CBSX if they determine that this 10 Id. 13 15 U.S.C. 78s(b)(3)(A). 11 See supra note 7. 12 See supra note 7. 14 17 CFR 240.19b–4(f)(6).

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00107 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69921

• Send an email to rule-comments@ SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s sec.gov. Please include File Number COMMISSION Statement of the Purpose of, and SR–CBOE–2013–108 on the subject line. Statutory Basis for, the Proposed Rule Change Paper Comments [Release No. 34–70885; File No. SR– TOPAZ–2013–11] 1. Purpose • Send paper comments in triplicate Self-Regulatory Organizations; Topaz The purpose of this proposed rule to Elizabeth M. Murphy, Secretary, change is to amend Exchange rules to Exchange, LLC; Notice of Filing and Securities and Exchange Commission, address how stop orders are handled Immediate Effectiveness of Proposed 100 F Street NE., Washington, DC during a Limit State 3 or Straddle State.4 20549–1090. Rule Change To Address the On May 31, 2012, the Commission Treatment of Certain Stop Orders approved the Plan to Address All submissions should refer to File During a Limit State or Straddle State Number SR–CBOE–2013–108. This file Extraordinary Market Volatility (the ‘‘Plan’’),5 which establishes procedures number should be included on the November 15, 2013. to address extraordinary volatility in subject line if email is used. To help the Pursuant to Section 19(b)(1) of the NMS Stocks. The procedures provide Commission process and review your Securities Exchange Act of 1934 (the for market-wide limit up-limit down comments more efficiently, please use ‘‘Act’’),1 and Rule 19b–4 thereunder,2 requirements that prevent trades in only one method. The Commission will notice is hereby given that on November individual NMS Stocks from occurring post all comments on the Commission’s 7, 2013, the Topaz Exchange, LLC (d/b/ outside of specified Price Bands. These Internet Web site (http://www.sec.gov/ a ISE Gemini) (the ‘‘Exchange’’ or limit up-limit down requirements are rules/sro.shtml). Copies of the ‘‘Topaz’’) filed with the Securities and coupled with Trading Pauses to submission, all subsequent Exchange Commission (‘‘Commission’’) accommodate more fundamental price amendments, all written statements the proposed rule change as described moves. The Plan procedures are with respect to the proposed rule in Items I, II, and III below, which items designed, among other things, to protect change that are filed with the have been prepared by the Exchange. investors and promote fair and orderly 6 Commission, and all written The Commission is publishing this markets. The Plan has been implemented, as a one year pilot communications relating to the notice to solicit comments on the program, in two phases.7 Phase I of the proposed rule change between the proposed rule change from interested Plan became effective on April 18, 2013 Commission and any person, other than persons. those that may be withheld from the and applies to Tier I NMS Stocks per public in accordance with the I. Self-Regulatory Organization’s Appendix A of the Plan, with Phase II, provisions of 5 U.S.C. 552, will be Statement of the Terms of the Substance which would apply to all NMS Stocks, available for Web site viewing and of the Proposed Rule Change scheduled to become effective six months later. printing in the Commission’s Public The Exchange proposes to amend its Topaz is not a participant in the Plan Reference Room, 100 F Street NE., rules to address how certain stop orders because it does not trade NMS Stocks. Washington, DC 20549, on official are handled during a Limit State or However, Topaz trades options business days between the hours of Straddle State. contracts overlying NMS Stocks. 10:00 a.m. and 3:00 p.m. Copies of such Because options pricing models are filing also will be available for The text of the proposed rule change highly dependent on the price of the inspection and copying at the principal is available on the Exchange’s Internet underlying security and the ability of offices of the Exchange. All comments Web site at http://www.ise.com, at the options traders to effect hedging received will be posted without change; principal office of the Exchange, and at transactions in the underlying security, the Commission does not edit personal the Commission’s Public Reference the implementation of the Plan impacts identifying information from Room. the trading of options classes traded on submissions. You should submit only II. Self-Regulatory Organization’s the Exchange. When the national best bid (offer) for information that you wish to make Statement of the Purpose of, and available publicly. All submissions a security underlying an options class is Statutory Basis for, the Proposed Rule non-executable, the ability for options should refer to File Number SR–CBOE– Change 2013–108, and should be submitted on market participants to purchase (sell) or before December 12, 2013. In its filing with the Commission, the shares of the underlying security and Exchange included statements the price at which they may be able to For the Commission, by the Division of purchase (sell) shares becomes Trading and Markets, pursuant to delegated concerning the purpose of, and basis for, 15 the proposed rule change and discussed authority. 3 Limit State means the condition when the Kevin M. O’Neill, any comments it received on the national best bid or national best offer for an proposed rule change. The text of these underlying security equals an applicable price Deputy Secretary. statements may be examined at the band, as determined by the primary listing [FR Doc. 2013–27904 Filed 11–20–13; 8:45 am] exchange for the underlying security. See Topaz places specified in Item IV below. The Rule 703A(a)(2). BILLING CODE 8011–01–P self-regulatory organization has 4 Straddle State means the condition when the prepared summaries, set forth in national best bid or national best offer for an underlying security in non-executable, as Sections A, B and C below, of the most determined by the primary listing exchange for the significant aspects of such statements. underlying security, but the security is not in a Limit State. See Topaz Rule 703A(a)(3). 5 See Securities Exchange Act Release No. 67091 (May 31, 2012), 77 FR 33498 (June 6, 2012) (File No. 4–631) (‘‘Plan Approval Order’’). 1 15 U.S.C. 78s(b)(1). 6 Id. 15 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4. 7 Id.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00108 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69922 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

uncertain, as there is a lack of orders to trade at their stopped price. provide market participants a greater transparency regarding the availability The Exchange is not proposing any opportunity to have their orders of liquidity for the security. This change to how unexecuted market executed when the market for the uncertainty is factored into the options orders are treated and, per Rule particular option contract reaches its pricing models of market professionals, 703A(b)(1), these orders will continue to specified price. such as options market makers, which be canceled upon the initiation of a then results in wider spreads and less Limit State or Straddle State in the B. Self-Regulatory Organization’s liquidity at the best bid and offer for the underlying security. The Exchange Statement on Burden on Competition options class. To address trading during believes that holding unexecuted market The Exchange does not believe that limit up-limit down states, the Exchange orders until the underlying security the proposal will impose any burden on has rules that govern the handling of comes out of a Limit State or Straddle 8 competition that is not necessary or market orders and stop orders. State could result in these orders being appropriate in furtherance of the Specifically, the Exchange currently executed at prices drastically different purposes of the Act. Specifically, the automatically rejects all incoming from the time when these orders were Exchange believes the proposed rule orders that do not contain a limit price first sent to the Exchange for execution. change will not impose any burden on to protect them from being executed at As noted above, orders that do not intramarket competition because it will prices that may be vastly inferior to the contain a limit price are at risk of being apply to all market makers equally. The prices available immediately prior to or executed at inferior prices if the Exchange does not believe the proposed following a Limit State or Straddle Exchange were to hold such orders in rule change will impose any burden on State.9 Such un-priced orders include the system until the underlying security intermarket competition as the proposed market orders and stop orders, which comes out of a Limit State or Straddle change is made for the protection of become market orders when the stop State. Canceling such orders therefore investors. price is elected.10 The Exchange also provides investors the opportunity to currently cancels any unexecuted submit their orders for execution at their C. Self-Regulatory Organization’s market orders and unexecuted stop expected price. Statement on Comments on the orders. While the proposed treatment of Proposed Rule Change Received From After discussions with, and at the unexecuted stop orders is a departure Members, Participants, or Others request of members, the Exchange now from how these orders are currently proposes to amend the treatment of addressed, the Exchange believes this The Exchange has not solicited, and unexecuted stop orders. Specifically, rule change will promote fair and does not intend to solicit, comments on the Exchange proposes to hold, rather orderly markets as investors will have this proposed rule change. The than cancel, all unexecuted stop orders greater certainty that these orders will Exchange has not received any pending in the trading system until the be executed once they become eligible unsolicited written comments from end of a Limit State or Straddle State, rather than be cancelled. The proposed members or other interested parties. at which point the order will become rule change is also consistent with how eligible to be elected if the market for III. Date of Effectiveness of the such orders are treated on other Proposed Rule Change and Timing for the particular option contract has exchanges.11 reached the specified contract price. Commission Action The Exchange believes that it is unduly 2. Statutory Basis The Exchange believes that the burdensome for members to have stop The Exchange believes that its foregoing proposed rule change may orders cancelled back to them without proposal is consistent with Section 6(b) take effect upon filing with the their affirmatively choosing to do so, of the Securities Exchange Act of 1934 Commission pursuant to particularly when these orders have not (the ‘‘Act’’) 12 in general, and furthers Section19(b)(3)(A) 14 of the Act and Rule become eligible to be elected and the objectives of Section 6(b)(5) of the 19b–4(f)(6) thereunder 15 because the therefore are not at risk of being Act 13 in particular, in that it is designed foregoing proposed rule change does not executed at inferior prices. The to promote just and equitable principles (i) significantly affect the protection of Exchange further believes it is of trade, to remove impediments to and investors or the public interest, (ii) appropriate, in the interests of perfect the mechanism for a free and impose any significant burden on promoting fair and orderly markets, to open market and a national market competition, and (iii) become operative hold unexecuted stop orders rather than system, and, in general, to protect for 30 days after its filing date, or such cancel them, until the end of a Limit investors and the public interest. shorter time as the Commission may State or Straddle State. The Exchange As discussed above, when an designate. believes that when investors enter a stop underlying security enters a Limit State order, they have an expectation that the At any time within 60 days of the or Straddle State, the best bid and offer filing of the proposed rule change, the stop order will be traded at the elected in the options class is likely to widen price once a Limit State or Straddle Commission summarily may considerably, and the liquidity available temporarily suspend such rule change if State has ended, and that the order will at those prices may be greatly reduced. not be cancelled back to them. Investors it appears to the Commission that such Given that a Limit State or a Straddle action is: (i) Necessary or appropriate in send stop orders because they do not State may be resolved very quickly, the want to continuously monitor them and the public interest; (ii) for the protection Exchange believes holding unexecuted of investors; or (iii) otherwise in expect that the order will execute once stop orders in the trading system until the stop price has been reached. The furtherance of the purposes of the Act. the end of a Limit State or a Straddle If the Commission takes such action, the Exchange believes it is onerous for State, rather than canceling them, will investors to have these orders cancelled Commission shall institute proceedings to determine whether the proposed rule back to them when they expect these 11 See Chicago Board Options Exchange, Inc. (‘‘CBOE’’) Rule 6.53, Interpretation and Policies should be approved or disapproved. 8 See Topaz Rule 703A(b). .01(C). 9 See Topaz Rules 703A(b)(1) and (2). 12 15 U.S.C. 78f(b). 14 15 U.S.C. 78s(b)(3)(A). 10 See Topaz Rule 715(e). 13 15 U.S.C. 78f(b)(5). 15 17 CFR 240.19b–4(f)(6).

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00109 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69923

IV. Solicitation of Comments For the Commission, by the Division of self-regulatory organization has Trading and Markets, pursuant to delegated prepared summaries, set forth in Interested persons are invited to authority.16 Sections A, B and C below, of the most submit written data, views, and Kevin M. O’Neill, significant aspects of such statements. arguments concerning the foregoing, Deputy Secretary. A. Self-Regulatory Organization’s including whether the proposed rule [FR Doc. 2013–27900 Filed 11–20–13; 8:45 am] change is consistent with the Act. Statement of the Purpose of, and BILLING CODE 8011–01–P Statutory Basis for, the Proposed Rule Comments may be submitted by any of Change the following methods: SECURITIES AND EXCHANGE 1. Purpose Electronic Comments COMMISSION The purpose of this proposed rule • Use the Commission’s Internet [Release No. 34–70884; File No. SR–ISE– change is to amend Exchange rules to comment form (http://www.sec.gov/ 2013–59] address how stop orders are handled rules/sro.shtml); or during a Limit State 3 or Straddle State.4 Self-Regulatory Organizations; On May 31, 2012, the Commission • Send an email to rule-comments@ International Securities Exchange, approved the Plan to Address sec.gov. Please include File Number SR– LLC; Notice of Filing and Immediate Extraordinary Market Volatility (the TOPAZ–2013–11 on the subject line. Effectiveness of Proposed Rule ‘‘Plan’’),5 which establishes procedures Paper Comments Change To Address the Treatment of to address extraordinary volatility in Certain Stop Orders During a Limit NMS Stocks. The procedures provide • Send paper comments in triplicate State or Straddle State for market-wide limit up-limit down to Elizabeth M. Murphy, Secretary, requirements that prevent trades in November 15, 2013. Securities and Exchange Commission, individual NMS Stocks from occurring Pursuant to Section 19(b)(1) of the 100 F Street NE., Washington, DC outside of specified Price Bands. These Securities Exchange Act of 1934 (the 20549–1090. limit up-limit down requirements are ‘‘Act’’),1 and Rule 19b–4 thereunder,2 coupled with Trading Pauses to All submissions should refer to File notice is hereby given that on November accommodate more fundamental price 7, 2013, the International Securities Number SR–TOPAZ–2013–11. This file moves. The Plan procedures are Exchange, LLC (the ‘‘Exchange’’ or the number should be included on the designed, among other things, to protect ‘‘ISE’’) filed with the Securities and subject line if email is used. To help the investors and promote fair and orderly Exchange Commission (‘‘Commission’’) Commission process and review your markets.6 The Plan has been the proposed rule change as described comments more efficiently, please use implemented, as a one year pilot in Items I, II, and III below, which items only one method. The Commission will program, in two phases.7 Phase I of the have been prepared by the Exchange. post all comments on the Commission’s Plan became effective on April 18, 2013 The Commission is publishing this Internet Web site (http://www.sec.gov/ and applies to Tier I NMS Stocks per notice to solicit comments on the rules/sro.shtml). Copies of the Appendix A of the Plan, with Phase II, proposed rule change from interested submission, all subsequent which would apply to all NMS Stocks, persons. amendments, all written statements scheduled to become effective six with respect to the proposed rule I. Self-Regulatory Organization’s months later. change that are filed with the Statement of the Terms of the Substance ISE is not a participant in the Plan Commission, and all written of the Proposed Rule Change because it does not trade NMS Stocks. However, the ISE trades options communications relating to the The Exchange proposes to amend its contracts overlying NMS Stocks. proposed rule change between the rules to address how certain stop orders Because options pricing models are Commission and any person, other than are handled during a Limit State or highly dependent on the price of the those that may be withheld from the Straddle State. public in accordance with the The text of the proposed rule change underlying security and the ability of provisions of 5 U.S.C. 552, will be is available on the Exchange’s Internet options traders to effect hedging available for Web site viewing and Web site at http://www.ise.com, at the transactions in the underlying security, the implementation of the Plan impacts printing in the Commission’s Public principal office of the Exchange, and at the trading of options classes traded on Reference Room, 100 F Street NE., the Commission’s Public Reference Room. the Exchange. Washington, DC 20549–1090, on official When the national best bid (offer) for business days between the hours of II. Self-Regulatory Organization’s a security underlying an options class is 10:00 a.m. and 3:00 p.m. Copies of such Statement of the Purpose of, and filing also will be available for Statutory Basis for, the Proposed Rule 3 Limit State means the condition when the inspection and copying at the principal Change national best bid or national best offer for an offices of Topaz. All comments received underlying security equals an applicable price In its filing with the Commission, the band, as determined by the primary listing will be posted without change; the Exchange included statements exchange for the underlying security. See ISE Rule Commission does not edit personal 703A(a)(2). concerning the purpose of, and basis for, 4 Straddle State means the condition when the identifying information from the proposed rule change and discussed submissions. You should submit only national best bid or national best offer for an any comments it received on the underlying security in non-executable, as information that you wish to make proposed rule change. The text of these determined by the primary listing exchange for the available publicly. All submissions statements may be examined at the underlying security, but the security is not in a should refer to File Number SR– Limit State. See ISE Rule 703A(a)(3). places specified in Item IV below. The 5 See Securities Exchange Act Release No. 67091 TOPAZ–2013–11, and should be (May 31, 2012), 77 FR 33498 (June 6, 2012) (File submitted on or before December 12, 16 17 CFR 200.30–3(a)(12). No. 4–631) (‘‘Plan Approval Order’’). 2013. 1 15 U.S.C. 78s(b)(1). 6 Id. 2 17 CFR 240.19b–4. 7 Id.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00110 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69924 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

non-executable, the ability for options send stop orders because they do not at those prices may be greatly reduced. market participants to purchase (sell) want to continuously monitor them and Given that a Limit State or a Straddle shares of the underlying security and expect that the order will execute once State may be resolved very quickly, the the price at which they may be able to the stop price has been reached. The Exchange believes holding unexecuted purchase (sell) shares becomes Exchange believes it is onerous for stop orders in the trading system until uncertain, as there is a lack of investors to have these orders cancelled the end of a Limit State or a Straddle transparency regarding the availability back to them when they expect these State, rather than canceling them, will of liquidity for the security. This orders to trade at their stopped price. provide market participants a greater uncertainty is factored into the options The Exchange is not proposing any opportunity to have their orders pricing models of market professionals, change to how unexecuted market executed when the market for the such as options market makers, which orders are treated and, per Rule particular option contract reaches its then results in wider spreads and less 703A(b)(1), these orders will continue to specified price. liquidity at the best bid and offer for the be canceled upon the initiation of a B. Self-Regulatory Organization’s options class. To address trading during Limit State or Straddle State in the Statement on Burden on Competition limit up-limit down states, the Exchange underlying security. The Exchange adopted rules to govern the handling of believes that holding unexecuted market The Exchange does not believe that market orders and stop orders.8 orders until the underlying security the proposal will impose any burden on Specifically, the Exchange currently comes out of a Limit State or Straddle competition that is not necessary or automatically rejects all incoming State could result in these orders being appropriate in furtherance of the orders that do not contain a limit price executed at prices drastically different purposes of the Act. Specifically, the to protect them from being executed at from the time when these orders were Exchange believes the proposed rule prices that may be vastly inferior to the first sent to the Exchange for execution. change will not impose any burden on prices available immediately prior to or As noted above, orders that do not intramarket competition because it will following a Limit State or Straddle contain a limit price are at risk of being apply to all market makers equally. The State.9 Such un-priced orders include executed at inferior prices if the Exchange does not believe the proposed market orders and stop orders, which Exchange were to hold such orders in rule change will impose any burden on become market orders when the stop the system until the underlying security intermarket competition as the proposed price is elected.10 The Exchange also comes out of a Limit State or Straddle change is made for the protection of currently cancels any unexecuted State. Canceling such orders therefore investors. market orders and unexecuted stop provides investors the opportunity to C. Self-Regulatory Organization’s orders. submit their orders for execution at their Statement on Comments on the After discussions with, and at the expected price. Proposed Rule Change Received From request of members, the Exchange now While the proposed treatment of Members, Participants, or Others proposes to amend the treatment of unexecuted stop orders is a departure unexecuted stop orders. Specifically, from how these orders are currently The Exchange has not solicited, and the Exchange proposes to hold, rather addressed, the Exchange believes this does not intend to solicit, comments on than cancel, all unexecuted stop orders rule change will promote fair and this proposed rule change. The pending in the trading system until the orderly markets as investors will have Exchange has not received any end of a Limit State or Straddle State, greater certainty that these orders will unsolicited written comments from at which point the order will become be executed once they become eligible members or other interested parties. eligible to be elected if the market for rather than be cancelled. The proposed III. Date of Effectiveness of the the particular option contract has rule change is also consistent with how Proposed Rule Change and Timing for reached the specified contract price. such orders are treated on other Commission Action The Exchange believes that it is unduly exchanges.11 burdensome for members to have stop The Exchange believes that the orders cancelled back to them without 2. Statutory Basis foregoing proposed rule change may take effect upon filing with the their affirmatively choosing to do so, The Exchange believes that its Commission pursuant to particularly when these orders have not proposal is consistent with Section 6(b) Section19(b)(3)(A) 14 of the Act and Rule become eligible to be elected and of the Securities Exchange Act of 1934 19b–4(f)(6) thereunder 15 because the therefore are not at risk of being (the ‘‘Act’’) 12 in general, and furthers foregoing proposed rule change does not executed at inferior prices. The the objectives of Section 6(b)(5) of the (i) significantly affect the protection of Exchange further believes it is Act 13 in particular, in that it is designed investors or the public interest, (ii) appropriate, in the interests of to promote just and equitable principles impose any significant burden on promoting fair and orderly markets, to of trade, to remove impediments to and competition, and (iii) become operative hold unexecuted stop orders rather than perfect the mechanism for a free and for 30 days after its filing date, or such cancel them, until the end of a Limit open market and a national market shorter time as the Commission may State or Straddle State. The Exchange system, and, in general, to protect believes that when investors enter a stop designate. investors and the public interest. At any time within 60 days of the order, they have an expectation that the As discussed above, when an filing of the proposed rule change, the stop order will be traded at the elected underlying security enters a Limit State Commission summarily may price once a Limit State or Straddle or Straddle State, the best bid and offer temporarily suspend such rule change if State has ended, and that the order will in the options class is likely to widen it appears to the Commission that such not be cancelled back to them. Investors considerably, and the liquidity available action is: (i) Necessary or appropriate in the public interest; (ii) for the protection 8 See Securities Exchange Act Release No. 69148 11 See Chicago Board Options Exchange, Inc. (March 15, 2013), 78 FR 17462 (March 21, 2013 (‘‘CBOE’’) Rule 6.53, Interpretation and Policies of investors; or (iii) otherwise in (SR–ISE–2013–20). .01(C). 9 See ISE Rules 703A(b)(1) and (2). 12 15 U.S.C. 78f(b). 14 15 U.S.C. 78s(b)(3)(A). 10 See ISE Rule 715(e). 13 15 U.S.C. 78f(b)(5). 15 17 CFR 240.19b–4(f)(6).

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00111 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69925

furtherance of the purposes of the Act. For the Commission, by the Division of By the Commission. If the Commission takes such action, the Trading and Markets, pursuant to delegated Elizabeth M. Murphy, authority.16 Commission shall institute proceedings Secretary. Kevin M. O’Neill, to determine whether the proposed rule [FR Doc. 2013–28025 Filed 11–19–13; 11:15 am] Deputy Secretary. should be approved or disapproved. BILLING CODE 8011–01–P [FR Doc. 2013–27899 Filed 11–20–13; 8:45 am] IV. Solicitation of Comments BILLING CODE 8011–01–P Interested persons are invited to SOCIAL SECURITY ADMINISTRATION submit written data, views, and arguments concerning the foregoing, SECURITIES AND EXCHANGE [Docket No. SSA 2013–0058] including whether the proposed rule COMMISSION Privacy Act of 1974, as Amended; change is consistent with the Act. [File No. 500–1] Comments may be submitted by any of Computer Matching Program (SSA/ the following methods: Order of Suspension of Trading; In the Bureau of the Fiscal Service, Department of the Treasury (Fiscal Electronic Comments Matter of HouseRaising, Inc., iElement Corporation, InforMedix Holdings, Inc., Service))—Match Number 1038 • Use the Commission’s Internet Nortia Capital Partners, Inc., and PC AGENCY: Social Security Administration comment form (http://www.sec.gov/ Universe, Inc. (SSA). rules/sro.shtml); or ACTION: Notice of a renewal of an • Send an email to rule-comments@ November 19, 2013. It appears to the Securities and existing computer matching program sec.gov. Please include File Number SR– that will expire on December 25, 2013. ISE–2013–59 on the subject line. Exchange Commission that there is a lack of current and accurate information SUMMARY: In accordance with the Paper Comments concerning the securities of provisions of the Privacy Act, as • Send paper comments in triplicate HouseRaising, Inc. because it has not amended, this notice announces a to Elizabeth M. Murphy, Secretary, filed any periodic reports since the renewal of an existing computer Securities and Exchange Commission, period ended September 30, 2007. matching program that we are currently 100 F Street NE., Washington, DC It appears to the Securities and conducting with Fiscal Service. Exchange Commission that there is a 20549–1090. DATES: We will file a report of the lack of current and accurate information All submissions should refer to File subject matching program with the concerning the securities of iElement Number SR–ISE–2013–59. This file Committee on Homeland Security and Corporation because it has not filed any number should be included on the Governmental Affairs of the Senate; the periodic reports since the period ended subject line if email is used. To help the Committee on Oversight and December 31, 2008. Commission process and review your Government Reform of the House of It appears to the Securities and comments more efficiently, please use Representatives; and the Office of Exchange Commission that there is a only one method. The Commission will Information and Regulatory Affairs, lack of current and accurate information post all comments on the Commission’s Office of Management and Budget concerning the securities of InforMedix Internet Web site (http://www.sec.gov/ (OMB). The matching program will be Holdings, Inc. because it has not filed rules/sro.shtml). Copies of the effective as indicated below. any periodic reports since the period submission, all subsequent ended September 30, 2008. ADDRESSES: Interested parties may amendments, all written statements It appears to the Securities and comment on this notice by either with respect to the proposed rule Exchange Commission that there is a telefaxing to (410) 966–0869 or writing change that are filed with the lack of current and accurate information to the Executive Director, Office of Commission, and all written concerning the securities of Nortia Privacy and Disclosure, Office of the communications relating to the Capital Partners, Inc. because it has not General Counsel, Social Security proposed rule change between the filed any periodic reports since the Administration, 617 Altmeyer Building, Commission and any person, other than period ended January 31, 2009. 6401 Security Boulevard, Baltimore, MD those that may be withheld from the It appears to the Securities and 21235–6401. All comments received public in accordance with the Exchange Commission that there is a will be available for public inspection at provisions of 5 U.S.C. 552, will be lack of current and accurate information this address. available for Web site viewing and concerning the securities of PC FOR FURTHER INFORMATION CONTACT: The printing in the Commission’s Public Universe, Inc. because it has not filed Executive Director, Office of Privacy Reference Room, 100 F Street NE., any periodic reports since the period and Disclosure, Office of the General Washington, DC 20549–1090, on official ended June 30, 2009. Counsel, as shown above. business days between the hours of The Commission is of the opinion that SUPPLEMENTARY INFORMATION: 10:00 a.m. and 3:00 p.m. Copies of such the public interest and the protection of filing also will be available for investors require a suspension of trading A. General inspection and copying at the principal in the securities of the above-listed The Computer Matching and Privacy offices of ISE. All comments received companies. Therefore, it is ordered, Protection Act of 1988 (Pub. L. 100– will be posted without change; the pursuant to Section 12(k) of the 503), amended the Privacy Act (5 U.S.C. Commission does not edit personal Securities Exchange Act of 1934, that 552a) by describing the conditions identifying information from trading in the securities of the above- under which computer matching submissions. You should submit only listed companies is suspended for the involving the Federal government could information that you wish to make period from 9:30 a.m. EST on November be performed and adding certain available publicly. All submissions 19, 2013, through 11:59 p.m. EST on protections for persons applying for, should refer to File Number SR–ISE– December 3, 2013. and receiving, Federal benefits. Section 2013–59, and should be submitted on or 7201 of the Omnibus Budget before December 12, 2013. 16 17 CFR 200.30–3(a)(12). Reconciliation Act of 1990 (Pub. L. 101–

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00112 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69926 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

508) further amended the Privacy Act information disclosed pursuant to this Committee on Homeland Security and regarding protections for such persons. agreement and is executed under the Governmental Affairs of the Senate; the The Privacy Act, as amended, Privacy Act of 1974, 5 United States Committee on Oversight and regulates the use of computer matching Code (U.S.C.) 552a, as amended by the Government Reform of the House of by Federal agencies when records in a Computer Matching and Privacy Representatives; and the Office of system of records are matched with Protection Act of 1988, as amended, and Information and Regulatory Affairs, other Federal, State, or local government the regulations and guidance Office of Management and Budget records. It requires Federal agencies promulgated thereunder. (OMB). The matching program will be involved in computer matching The legal authority for SSA to effective as indicated below. programs to: conduct this matching activity is ADDRESSES: Interested parties may (1) Negotiate written agreements with contained in 1631(e)(1)(B), and 1631(f) comment on this notice by either the other agency or agencies of the Social Security Act (Act), (42 telefaxing to (410) 966–0869 or writing participating in the matching programs; U.S.C. 1383(e)(1)(B), and 1383(f)). to the Executive Director, Office of (2) Obtain approval of the matching D. Categories of Records and Persons Privacy and Disclosure, Office of the agreement by the Data Integrity Boards Covered by the Matching Program General Counsel, Social Security of the participating Federal agencies; The relevant SSA system of records Administration, 617 Altmeyer Building, (3) Publish notice of the computer 6401 Security Boulevard, Baltimore, MD matching program in the Federal (SOR) is the Supplemental Security Income Record and Special Veterans 21235–6401. All comments received Register; will be available for public inspection at (4) Furnish detailed reports about Benefits SSA/ODSSIS 60–0103, last this address. matching programs to Congress and published on January 11, 2006 at 71 FR OMB; 1830. The relevant Fiscal Service SORs FOR FURTHER INFORMATION CONTACT: The (5) Notify applicants and beneficiaries are Treasury/BPD.002, United States Executive Director, Office of Privacy that their records are subject to Savings Type Securities, and Treasury/ and Disclosure, Office of the General matching; and BPD.008, Retail Treasury Securities Counsel, as shown above. (6) Verify match findings before Access Application. These SORs were SUPPLEMENTARY INFORMATION: reducing, suspending, terminating, or last published on August 17, 2011 at 76 denying a person’s benefits or FR 51128. A. General payments. E. Inclusive Dates of the Matching The Computer Matching and Privacy B. SSA Computer Matches Subject to Program Protection Act of 1988 (Pub. L 100–503), the Privacy Act amended the Privacy Act (5 U.S.C. 552a) The effective date of this matching by describing the conditions under We have taken action to ensure that program is December 26, 2013; provided which computer matching involving the all of our computer matching programs that the following notice periods have Federal government could be performed comply with the requirements of the lapsed: 30 days after publication of this and adding certain protections for Privacy Act, as amended. notice in the Federal Register and 40 persons applying for, and receiving, days after notice of the matching Kirsten J. Moncada, Federal benefits. Section 7201 of the program is sent to Congress and OMB. Omnibus Budget Reconciliation Act of Executive Director, Office of Privacy and The matching program will continue for Disclosure, Office of the General Counsel. 1990 (Pub. L. 101–508) further amended 18 months from the effective date and, the Privacy Act regarding protections for Notice of Computer Matching Program, if both agencies meet certain conditions, such persons. SSA With the Bureau of the Fiscal it may extend for an additional 12 The Privacy Act, as amended, Service, Department of the Treasury months thereafter. regulates the use of computer matching (Fiscal Service) [FR Doc. 2013–27911 Filed 11–20–13; 8:45 am] by Federal agencies when records in a A. Participating Agencies BILLING CODE 4191–02–P system of records are matched with other Federal, State, or local government SSA and Fiscal Service. records. It requires Federal agencies B. Purpose of the Matching Program SOCIAL SECURITY ADMINISTRATION involved in computer matching programs to: The purpose of this matching program [Docket No. SSA 2013–0059] is to establish the conditions, (1) Negotiate written agreements with Privacy Act of 1974, as Amended; the other agency or agencies safeguards, and procedures for the Computer Matching Program (SSA/ disclosure of savings security data (as participating in the matching programs; Centers for Medicare & Medicaid (2) Obtain approval of the matching described in section VI.C and section Services (CMS))—Match Number 1076 VI.D) by Fiscal Service to us. Fiscal agreement by the Data Integrity Boards Service will disclose the data through a AGENCY: Social Security Administration of the participating Federal agencies; computer matching operation. We will (SSA). (3) Publish notice of the computer matching program in the Federal use the data to determine continued ACTION: Notice of a renewal of an eligibility for and/or the correct benefit existing computer matching program Register; amount for Supplemental Security that will expire on October 16, 2013. (4) Furnish detailed reports about Income applicants and recipients who matching programs to Congress and did not report or incorrectly reported SUMMARY: In accordance with the OMB; ownership of savings securities. provisions of the Privacy Act, as (5) Notify applicants and beneficiaries amended, this notice announces a that their records are subject to C. Authority for Conducting the renewal of an existing computer matching; and Matching Program matching program that we conduct with (6) Verify match findings before This computer matching agreement CMS. reducing, suspending, terminating, or sets forth the responsibilities of SSA DATES: We will file a report of the denying a person’s benefits or and Fiscal Service with respect to subject matching program with the payments.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00113 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69927

B. SSA Computer Matches Subject to it may extend for an additional 12 425 N. Orange Blvd., Judicial the Privacy Act months thereafter. Conference Room, 23rd Floor. We have taken action to ensure that [FR Doc. 2013–27912 Filed 11–20–13; 8:45 am] FOR FURTHER INFORMATION CONTACT: all of our computer matching programs BILLING CODE 4191–02–P Jonathan Mattiello, Executive Director, comply with the requirements of the State Justice Institute, 11951 Freedom Privacy Act, as amended. Drive, Suite 1020, Reston, VA 20190, DEPARTMENT OF STATE 571–313–8843, [email protected]. Jonathan D. Mattiello, Kirsten J. Moncada, [Public Notice 8527] Executive Director, Office of Privacy and Executive Director. Disclosure, Office of the General Counsel. In the Matter of the Review of the [FR Doc. 2013–27933 Filed 11–20–13; 8:45 am] Designation of the Kurdistan Worker’s BILLING CODE P Notice of Computer Matching Program, Party (and Other Aliases) as a Foreign SSA With the Centers for Medicare & Terrorist Organization Pursuant to Medicaid Services (CMS) Section 219 of the Immigration and DEPARTMENT OF TRANSPORTATION A. Participating Agencies Nationality Act, as Amended Federal Aviation Administration SSA and CMS. Based upon a review of the B. Purpose of the Matching Program Administrative Record assembled Notice to Manufacturers of Continuous pursuant to Section 219(a)(4)(C) of the Friction Measurement Equipment The purpose of this matching program Immigration and Nationality Act, as (CFME) is to use the information provided by amended (8 U.S.C. 1189(a)(4)(C)) AGENCY: Federal Aviation CMS to administer the Supplemental (‘‘INA’’), and in consultation with the Administration (FAA), US DOT. Security Income (SSI) program Attorney General and the Secretary of efficiently and to identify Special the Treasury, I conclude that the ACTION: Notice of Information Request Veterans’ Benefits (SVB) beneficiaries circumstances that were the basis for the SUMMARY: Projects funded under the who are no longer residing outside of 2008 determination to maintain the the United States. Airport Improvement Program (AIP) designation of the aforementioned must meet the requirements of 49 U.S.C. C. Authority for Conducting the organization as a Foreign Terrorist 50101, Buy American Preferences. The Matching Program Organization have not changed in such Federal Aviation Administration (FAA) a manner as to warrant revocation of the is considering issuing waivers to foreign The legal authority for the SSI portion designation and that the national of the matching program is contained in manufacturers of Continuous Friction security of the United States does not Measurement Equipment (CFME) that sections 1611(e)(1)(A) and (B) and warrant a revocation of the designation. 1631(f) of the Social Security Act and meet the requirements of FAA Advisory Therefore, I hereby determine that the Circular (AC) 150/5320–12C, the authority for the SVB portion of the designation of the aforementioned matching program is contained in Measurement, Construction, and organization as a Foreign Terrorist Maintenance of Skid-Resistant Airport sections 1611(e)(1)(A) and (B) and Organization, pursuant to Section 219 of 1631(f) of the Social Security Act. Pavement Surfaces. This notice requests the INA (8 U.S.C. 1189), shall be information from manufacturers of D. Categories of Records and Persons maintained. CFME meeting the technical Covered by the Matching Program This determination shall be published requirements to determine whether a in the Federal Register. We will provide CMS with a finder waiver to the Buy American Preferences file on a monthly basis extracted from Dated: November 13, 2013. should be issued. our Supplemental Security Income John F. Kerry, FOR FURTHER INFORMATION CONTACT: Mr. Record and Special Veterans Benefits Secretary of State. Carlos N. Fields, Airport Improvement (SSR/SVB), SSA/ODSSIS 60–0103, with [FR Doc. 2013–27974 Filed 11–20–13; 8:45 am] Program, APP 520, Room 619, FAA, 800 identifying information with respect to BILLING CODE 4710–10–P Independence Avenue SW., recipients of SSI benefits. CMS will Washington, DC 20591, Telephone (202) match our finder file against the system 267–8826. of records for individuals on the Long STATE JUSTICE INSTITUTE SUPPLEMENTARY INFORMATION: The Term Care Minimum Data Set (LTC/ Federal Aviation Administration (FAA) MDS 09–70–0528) and submit its reply SJI Board of Directors Meeting, Notice manages a federal grant program for file to us no later than 21 days after airports called the Airport Improvement receipt of our finder file. The title VIII AGENCY: State Justice Institute. Program (AIP). AIP grant recipients benefit information is included in the ACTION: Notice of meeting. must follow 49 U.S.C. § 50101, Buy SSI system of records and paid using American Preferences. our SSI automated system. SUMMARY: The SJI Board of Directors Under 49 U.S.C. 50101(b)(3), the will be meeting on Monday, December Secretary of Transportation may waive E. Inclusive Dates of the Matching 9, 2013 at 1:00 p.m. The meeting will be the Buy American Preference Program held at the 9th Judicial Circuit of requirement if the goods are not The effective date of this matching Florida in Orlando, Florida. The produced in a sufficient and reasonably program is 30 days after publication of purpose of this meeting is to consider available amount or are not of a this notice in the Federal Register and grant applications for the 1st quarter of satisfactory quality. 40 days after notice of the matching FY 2013, and other business. All The purpose of this notice is to program is sent to Congress and OMB. portions of this meeting are open to the request FAA-approved manufacturers of The matching program will continue for public. CFME, both domestic and foreign, that 18 months from the effective date and, ADDRESSES: 9th Judicial Circuit of meet the requirements of FAA Advisory if both agencies meet certain conditions, Florida, Orange County Court Building, Circular 150/5320–12C, Measurement,

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00114 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69928 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

Construction, and Maintenance of Skid- DEPARTMENT OF TRANSPORTATION • Review of RTCA SC–228 Steering Resistant Airport Pavement Surfaces to Committee Activity. submit a qualifications statement for the Federal Aviation Administration • SSC–228 Terms of Reference— system for which they have received coordination with other SCs First Meeting: RTCA Special Æ FAA approval. The detailed instructions Status of Discussions with SC–147. Committee 228—Minimum Operational • Review/Approval—New Document— for submitting the qualifications Performance Standards for Unmanned statement, including forms, may be SC–228 UAS Detect and Avoid Aircraft Systems (DAA) White Paper, RTCA Paper found on the FAA Web site at: _ AGENCY: Federal Aviation No. 236–13/SC–228–008. https://www.faa.gov/airports/aip/buy • Review/Approval—New Document— american/ at the tab entitled, Administration (FAA), U.S. Department of Transportation (DOT). SC–228 UAS Command and Control Continuous Friction Measurement (C2) White Paper, RTCA Paper No. ACTION: Notice of RTCA Special Equipment Request for Qualifications. 237–13/SC–228–009. Committee 228—Minimum Operational The FAA wants to determine if there • Briefing—NASA’s Activity to Support Performance Standards for Unmanned SC–228. is sufficient quantity of FAA-approved Aircraft Systems. domestic manufacturers capable of • Other Business. • SUMMARY: The FAA is issuing this notice Date and Place of Next Meeting. meeting the FAA technical • requirements. If the FAA cannot find to advise the public of a meeting of Adjourn. Attendance is open to the interested that there are a sufficient number of RTCA Special Committee 228— public but limited to space availability. USA manufacturers, it will issue a Minimum Operational Performance With the approval of the chairman, nationwide waiver to the FAA approved Standards for Unmanned Aircraft Systems. members of the public may present oral foreign manufacturers. statements at the meeting. Technical Requirements: The CFME DATES: The meeting will be held Persons wishing to present statements must have FAA approval indicating that December 5, 2013 from 9:00 a.m. to 5:00 or obtain information should contact the the CFME meets the technical p.m. person listed in the FOR FURTHER requirements listed in FAA Advisory ADDRESSES: The meeting will be held at INFORMATION CONTACT section. Members Circular (AC) 150/5320–12C, RTCA, 1150 18th Street NW., Suite 910, of the public may present a written Measurement, Construction, and Washington, DC 20036. statement to the committee at any time. Maintenance of Skid-Resistant Airport FOR FURTHER INFORMATION CONTACT: The Issued in Washington, DC, on June 6, 2013. RTCA Secretariat, 1150 18th Street NW., Pavement Surfaces. FAA approval is Paige L. Williams, indicated by inclusion in Appendix 4 of Suite 910, Washington, DC 20036, or by telephone at (202) 330–0662 or (202) Management Analyst, Business Operations the AC. After review, the FAA may Group, ANG–A12, Federal Aviation 833–9339, fax at (202) 833–9434, or Web issue a nationwide waiver to Buy Administration. site at http://www.rtca.org. American Preferences for foreign [FR Doc. 2013–27853 Filed 11–20–13; 8:45 am] SUPPLEMENTARY INFORMATION: Pursuant manufacturers or United States BILLING CODE 4910–13–P to section 10(a)(2) of the Federal manufacturers that do not meet the Buy Advisory Committee Act (Pub. L. 92– American Preference requirements. 463, 5 U.S.C., App.), notice is hereby Waivers will not be issued for DEPARTMENT OF TRANSPORTATION given for a meeting of RTCA Special manufacturers that do not fully meet the Committee 228—Minimum Operational Federal Aviation Administration technical requirements. This Performance Standards for Unmanned ‘‘nationwide waiver’’ allows CFME to be Aircraft Systems. The agenda will 35th Meeting: RTCA Special used on AIP projects without having to include the following: Committee 206, Aeronautical receive separate project waivers. Having Information and Meteorological Data a nationwide waiver allows projects to Specific Working Group Sessions Link Services start quickly without having to wait for Before Plenary AGENCY: Federal Aviation the Buy American analysis to be December 3 Administration (FAA), U.S. Department completed for every project, while still All Day, Working Group 1–DAA, of Transportation (DOT). assuring the funds used for airport MacIntosh-NBAA Room & Colson Board ACTION: Meeting Notice of RTCA Special projects under the Act are being Room. All Day, Working Group 2–C2, directed to U.S. manufacturers. Committee 206, Aeronautical ARINC & Hilton-A4A Rooms. Information and Meteorological Data Items that have been granted a December 4 Link Services. ‘‘nationwide waiver’’ can be found on the FAA Web site at: https:// All Day, Working Group 1–DAA, SUMMARY: The FAA is issuing this notice www.faa.gov/airports/aip/buy_ MacIntosh-NBAA Room & Colson Board to advise the public of the thirty-fifth american/ at the tab entitled, National Room, 9:00 a.m.–12:00/noon, Working meeting of the RTCA Special Committee Group 2–C2 will meet at NBAA, 1200 G Buy American Waivers Issued. 206, Aeronautical Information and Street, NW., Suite 1100, Washington, Meteorological Data Link Services. Issued in Washington, DC, November 1, DC, 1:00 p.m.–5:00 p.m., Working DATES: The meeting will be held 2013. Group 2–C2, ARINC & Hilton—A4A December 9–13, 8:30 a.m.–5:00 p.m. Frank J. San Martin, Rooms at RTCA. ADDRESSES: The meeting will be held at Manager, Airports Financial Assistance Thursday, December 5 MITRE, 7515 Colshire Drive, McLean, Division. • Welcome and Introductions. VA 22102–7539. [FR Doc. 2013–27949 Filed 11–20–13; 8:45 am] • Agenda Overview. FOR FURTHER INFORMATION CONTACT: The BILLING CODE 4910–13–P • Review/Approval of Minutes from RTCA Secretariat, 1150 18th Street NW., Plenary #2 (RTCA Paper No. 219– Suite 910, Washington, DC 20036, or by 13/SC–228–007). telephone at (202) 330–0652/(202) 833–

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00115 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69929

9339, fax at (202) 833–9434, or Web site DEPARTMENT OF TRANSPORTATION • Review/Approval of the Fifty-Eighth at http://www.rtca.org. Meeting Summary, RTCA Paper No. Federal Aviation Administration SUPPLEMENTARY INFORMATION: Pursuant 078–13/SC186–325. • FAA Surveillance and Broadcast to section 10(a) (2) of the Federal Fifty-Ninth Meeting: RTCA Special Advisory Committee Act (Pub. L. 92– Services (SBS) Program—Status. Committee 186, Automatic Dependent • EUROCAE WG–51 Report 463, 5 U.S.C., App.), notice is hereby Surveillance-Broadcast (ADS–B) • given for a meeting of Special Review/Approval—New Document— Committee 206. The agenda will include AGENCY: Federal Aviation Safety, Performance and the following: Administration (FAA), U.S. Department Interoperability Requirements of Transportation (DOT). Document for Traffic Situation December 09 Awareness with Alerts (TSAA), ACTION: Meeting Notice of RTCA Special • Introduction and opening remarks Committee 186, Automatic Dependent RTCA Paper No. 242–13/SC186– 326. • Review and approve meeting agenda Surveillance-Broadcast (ADS–B). • Review/Approval—Revised DO– • Approval of previous meeting SUMMARY: The FAA is issuing this notice 317A—Minimum Operational minutes Performance Standards (MOPS) for • to advise the public of the fifty ninth SC–206 Action item review meeting of the RTCA Special Committee Aircraft Surveillance Applications • Approval of previous (Chicago) 186, Automatic Dependent (ASA) System, RTCA Paper No. meeting minutes Surveillance-Broadcast (ADS–B) 246–12/SC186–327. • • Sub-Groups status and week’s plan DATES: The meeting will be held ADS–B IM Coordination with SC– • Industry Presentations December 9–13, from 9:00 a.m.—5:00 214/WG–78 for Data Link Rqts– p.m. Discussion–Status. 10 December • Working Group Reports ADDRESSES: The meeting will be held at • Sub-Groups meetings • WG–4—Application Technical the RTCA Headquarters, 1150 18th • SG4: SE2020 Eddy Dissipation Rate Requirements Street NW., Suite 910, Washington, DC D Flight Deck-based Interval (EDR) Turbulence Project 20036. • Plenary—SG3 Architecture Document Management (FIM) MOPS Status & FOR FURTHER INFORMATION CONTACT: The FRAC Resolution Schedule RTCA Secretariat, 1150 18th Street NW., D Cockpit Assisited Pilot Prpocedures 11 December Suite 910, Washington, DC 20036, or by (CAPP) • telephone at (202) 330–0662/(202) 833– • Terms of Reference—proposed Plenary—SG3 Architecture Document 9339, fax (202) 833–9434, or Web site at FRAC Resolution changes and discussion http://www.rtca.org. • Date, Place and Time of Next Meeting • Sub-Group Meetings SUPPLEMENTARY INFORMATION: Pursuant • New Business. 12 December to section 10(a)(2) of the Federal • Other Business. Advisory Committee Act (Pub. L. 92– • Review Action Items/Work Programs. • Plenary—SG3 Architecture Document 463, 5 U.S.C., App.), notice is hereby • Adjourn Plenary FRAC Resolution given for a meeting of Special • Sub-Group Meetings Attendance is open to the interested Committee 186. The agenda will include public but limited to space availability. 13 December the following: With the approval of the chairman, • Closing—Plenary December 9 members of the public may present oral • • statements at the meeting. Persons Sub-Groups reports All Day, WG–4/EUROCAE SubGroup wishing to present statements or obtain • Action Item review 3—Application Technical. information should contact the person • Future meeting plans and dates Requirements, MacIntosh-NBAA listed in the FOR FURTHER INFORMATION • Industry Coordination & Presentations Room & Colson Board Room CONTACT section. Members of the public • Other business December 10 may present a written statement to the • committee at any time. Adjourn • All Day, WG–4/EUROCAE SubGroup Attendance is open to the interested 3—Application Technical. Issued in Washington, DC, on November public but limited to space availability. Requirements, MacIntosh-NBAA 14, 2013. With the approval of the chairman, Room & Colson Board Room. Paige Williams, members of the public may present oral Management Analyst, Business Operations December 11 statements at the meeting. Group, NextGen, Management Services, • Persons wishing to present statements All Day, WG–4/EUROCAE SubGroup Federal Aviation Administration. or obtain information should contact the 3—Application Technical. [FR Doc. 2013–27862 Filed 11–20–13; 8:45 am] person listed in the FOR FURTHER Requirements, MacIntosh-NBAA BILLING CODE 4910–13–P INFORMATION CONTACT section. Members Room & Colson Board Room of the public may present a written December 12 statement to the committee at any time. DEPARTMENT OF TRANSPORTATION • All Day, WG–4/EUROCAE SubGroup Issued in Washington, DC, on November 3—Application Technical. Federal Aviation Administration 14, 2013. Requirements, MacIntosh-NBAA [Summary Notice No. PE–2013–54] Paige Williams, Room & Colson Board Room. Management Analyst, NextGen, Business December 13 Petition for Exemption; Summary of Operations Group, Federal Aviation Petition Received Administration. • Chairman’s Introductory Remarks [FR Doc. 2013–27864 Filed 11–20–13; 8:45 am] Working Group Reports AGENCY: Federal Aviation BILLING CODE 4910–13–P • Review of Meeting Agenda Administration (FAA), DOT.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00116 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69930 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

ACTION: Notice of petition for exemption Rulemaking, 800 Independence Ave Floor, Room W12–140, Washington, DC received. SW., Washington, DC 20591; email 20590. [email protected]; (202) 493– • Fax: Fax comments to the Docket SUMMARY: This notice contains a 5708. summary of a petition seeking relief Management Facility at 202–493–2251. This notice is published pursuant to • from specified requirements of 14 CFR. 14 CFR 11.85. Hand Delivery: Bring comments to The purpose of this notice is to improve the Docket Management Facility in the public’s awareness of, and Issued in Washington, DC, on November Room W12–140 of the West Building 15, 2013. participation in, this aspect of FAA’s Ground Floor at 1200 New Jersey regulatory activities. Neither publication Lirio Liu, Avenue SE., Washington, DC, between 9 of this notice nor the inclusion or Director, Office of Rulemaking. a.m. and 5 p.m., Monday through omission of information in the summary Petition for Exemption Friday, except Federal holidays. is intended to affect the legal status of Privacy: We will post all comments the petition or its final disposition. Docket No.: FAA–2013–0769. Petitioner: Purdue University’s we receive, without change, to http:// DATE: Comments on this petition must Department of Aviation Technology. www.regulations.gov, including any identify the petition docket number and Section of 14 CFR Affected: personal information you provide. must be received on or before December § 61.160(b)(3)(i) and (ii). Using the search function of our docket 11, 2013. Description of Relief Sought: Web site, anyone can find and read the ADDRESSES: You may send comments Petitioner seeks relief to allow a comments received into any of our identified by Docket Number FAA– manual approach to a controlled tower dockets, including the name of the 2013–0769 using any of the following (MATCH) to be substituted for the individual sending the comment (or methods: precision approaches required by the signing the comment for an association, • Government-wide rulemaking Web airline transport pilot (ATP) practical business, labor union, etc.). You may site: Go to http://www.regulations.gov test standards (PTS). review DOT’s complete Privacy Act Statement in the Federal Register and follow the instructions for sending [FR Doc. 2013–27865 Filed 11–20–13; 8:45 am] your comments electronically. published on April 11, 2000 (65 FR BILLING CODE 4910–13–P • Mail: Send comments to the Docket 19477–78). Management Facility; U.S. Department Docket: To read background of Transportation, 1200 New Jersey DEPARTMENT OF TRANSPORTATION documents or comments received, go to Avenue SE., West Building Ground http://www.regulations.gov at any time Floor, Room W12–140, Washington, DC Federal Aviation Administration or to the Docket Management Facility in 20590. Room W12–140 of the West Building • [Summary Notice No. PE–2013–56] Fax: Fax comments to the Docket Ground Floor at 1200 New Jersey Management Facility at 202–493–2251. Petition for Exemption; Summary of Avenue SE., Washington, DC, between 9 • Hand Delivery: Bring comments to Petition Received a.m. and 5 p.m., Monday through the Docket Management Facility in Friday, except Federal holidays. Room W12–140 of the West Building AGENCY: Federal Aviation Ground Floor at 1200 New Jersey Administration (FAA), DOT. FOR FURTHER INFORMATION CONTACT: Avenue SE., Washington, DC, between 9 ACTION: Notice of petition for exemption Katherine L. Haley, ARM–203, Federal a.m. and 5 p.m., Monday through received. Aviation Administration, Office of Friday, except Federal holidays. Rulemaking, 800 Independence Ave. Privacy: We will post all comments SUMMARY: This notice contains a SW., Washington, DC 20591; email we receive, without change, to http:// summary of a petition seeking relief [email protected]; (202) 493– www.regulations.gov, including any from specified requirements of 14 CFR. 5708. personal information you provide. The purpose of this notice is to improve This notice is published pursuant to Using the search function of our docket the public’s awareness of, and 14 CFR 11.85. Web site, anyone can find and read the participation in, this aspect of the FAA’s regulatory activities. Neither publication Issued in Washington, DC, on November comments received into any of our 15, 2013. dockets, including the name of the of this notice nor the inclusion or Lirio Liu, individual sending the comment (or omission of information in the summary signing the comment for an association, is intended to affect the legal status of Director, Office of Rulemaking. business, labor union, etc.). You may the petition or its final disposition. Petition for Exemption review DOT’s complete Privacy Act DATE: Comments on this petition must Statement in the Federal Register identify the petition docket number Docket No.: FAA–2013–0325. published on April 11, 2000 (65 FR involved and must be received on or Petitioner: United States Coast Guard 19477–78). before December 11, 2013. Air Station Sitka, Alaska. Docket: To read background ADDRESSES: You may send comments Section of 14 CFR Affected: 14 CFR documents or comments received, go to identified by Docket Number FAA– 61.157. http://www.regulations.gov at any time 2013–0325 using any of the following or to the Docket Management Facility in methods: Description of Relief Sought: Room W12–140 of the West Building • Government-wide rulemaking Web Petitioner seeks relief to allow a Manual Ground Floor at 1200 New Jersey site: Go to http://www.regulations.gov Approach to a Controlled Hover Avenue SE., Washington, DC, between 9 and follow the instructions for sending (MATCH) to be substituted for the a.m. and 5 p.m., Monday through your comments electronically. precision approaches required by the Friday, except Federal holidays. • Mail: Send comments to the Docket Airline Transport Pilot (ATP) practical FOR FURTHER INFORMATION CONTACT: Management Facility; U.S. Department test standards (PTS). Katherine L. Haley, ARM–203, Federal of Transportation, 1200 New Jersey [FR Doc. 2013–27866 Filed 11–20–13; 8:45 am] Aviation Administration, Office of Avenue SE., West Building Ground BILLING CODE 4910–13–P

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00117 Fmt 4703 Sfmt 9990 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69931

DEPARTMENT OF TRANSPORTATION display a red International Standards parking brake engaged, after 30 seconds Organization (ISO) symbol for the brake the warning message ‘‘PARK BRAKE National Highway Traffic Safety telltale and warning indicator within APPLIED’’ will return, along with a Administration the instrument cluster instead of the warning chime. [Docket No. NHTSA–2012–0004; Notice 2] word ‘‘BRAKE’’ as required in FMVSS (5) In all cases the ISO symbol for the No. 101 and FMVSS No. 135. brake telltale illuminates and remains Ford Motor Company, Grant of Petition Ford stated its belief that although the illuminated in accordance with the for Decision of Inconsequential instrument cluster telltale symbols are requirements of FMVSS No. 135. Noncompliance displayed using ISO symbols the (6) Ford is unaware of any field or noncompliance is inconsequential to owner complaints regarding the issue of AGENCY: National Highway Traffic motor vehicle safety for the following non-compliant telltales. Safety Administration (NHTSA), reasons: In summation, Ford believes that the Department of Transportation (DOT). (1) The Owners Guide for the subject described noncompliance of its vehicles ACTION: Grant of Petition. vehicles is written for multiple markets is inconsequential to motor vehicle and depicts both the ‘‘BRAKE’’ and ISO safety, and that its petition, to exempt SUMMARY: Ford Motor Company 1 (Ford), symbol telltales for brake warning it from providing recall notification of has determined that certain model year conditions. noncompliance as required by 49 U.S.C. 2012 Ford Focus model passenger cars (2) Paragraph S5.5.1 of FMVSS No. 30118 and remedying the recall manufactured between May 12, 2011 135 states that the warning indicator noncompliance as required by 49 U.S.C. and May 18, 2011, do not fully comply must identify a gross loss of fluid or 30120 should be granted. with the requirements of S5.2.1 of fluid pressure and identify if the Requirement Background: FMVSS No. Federal Motor Vehicle Safety Standard parking brake is applied and is satisfied 101 S5.2.1 and S5.5.2 specifically state: (FMVSS) No. 101, Controls and Displays by a separate ABS lamp which complies with all requirements of FMVSS No. 135 S5.2.1 Except for the Low Tire Pressure and the requirements of S5.5.5 of Telltale, each control, telltale and indicator FMVSS No. 135, Light Vehicle Brake and FMVSS No. 101. that is listed in column 1 of Table 1 or Table Systems. Ford has filed an appropriate (3) In the event that the brake fluid 2 must be identified by the symbol specified report pursuant to 49 CFR Part 573, level in the master cylinder reservoir is for it in column 2 or the word or abbreviation Defect and Noncompliance less than the recommended safe level, specified for it in column 3 of Table 1 or Responsibility and Reports, dated July 7, the ISO symbol will illuminate and a Table 2. If a symbol is used, each symbol 2011. warning message will display in the provided pursuant to this paragraph must be Pursuant to 49 U.S.C. 30118(d) and Message Center that states ‘‘BRAKE substantially similar in form to the symbol as 30120(h) and the rule implementing FLUID LEVEL LOW SERVICE NOW’’ it appears in Table 1 or Table 2. If a symbol and an initial warning chime will is used, each symbol provided pursuant to those provisions at 49 CFR part 556, this paragraph must have the proportional Ford has petitioned for an exemption sound. The message will stay continuously displayed until dimensional characteristics of the symbol as from the notification and remedy it appears in Table 1 or Table . . . requirements of 49 U.S.C. Chapter 301 acknowledged by the operator, provided S5.5.2 The telltales for any brake system on the basis that this noncompliance is there are no other serious message(s), malfunction required by Table 1 to be red, air inconsequential to motor vehicle safety. which would result in the messages bag malfunction, low tire pressure, electronic Notice of receipt of Ford’s petition alternating. If the brake fluid is still low stability control malfunction (as of was published, with a 30-day public on subsequent key cycles the message September 1, 2011), passenger air bag off, comment period, on February 2, 2012 in will be redisplayed in the message high beam, turn signal, and seat belt must not be shown in the same common space. the Federal Register (77 FR 5302). No center. If the message is acknowledged comments were received. To view the by the operator a red ‘‘i’’ is illuminated Additionally, Table 1 Note 9 states: petition, and all supporting documents on the instrument cluster noting that an important message is stored and can be Refer to FMVSS 105 of FMVSS 135, as log onto the Federal Docket appropriate, for additional specific Management System (FDMS) Web site re-accessed by requesting a System requirements for brake telltale labeling and at: http://www.regulations.gov/. Then Check. color. If a single telltale is to be used to (4) The parking brake in the subject follow the online search instructions to indicate more than one brake system vehicle is set by pulling up on the locate docket number ‘‘NHTSA–2012– condition, the brake system malfunction parking brake handle, which is located 0004.’’ identifier must be used. on the center console adjacent to the Contact Information: For further FMVSS No. 135 S5.5.5 specifically gear shift lever. Thus the application of information on this decision contact Mr. states: the parking brake is in full view of the Stuart Seigel, Office of Vehicle Safety operator. When the parking brake is (a) Each visual indicator shall display a Compliance, the National Highway engaged it illuminates the ISO symbol word or words in accordance with the Traffic Safety Administration (NHTSA), requirements of Standard No. 101 (49 CFR and should the operator proceed with telephone (202) 366–5287, facsimile 571.101) and this section, which shall be the parking brake engaged, a warning (202) 366–7002. legible to the driver under all daytime and message ‘‘PARK BRAKE APPLIED’’ and Vehicles Involved: Affected are nighttime conditions when activated. Unless an initial audible chime will sound approximately 485 model year 2012 otherwise specified, the words shall have when the vehicle is driven at six miles letters not less than 3.2 mm (1⁄8 inch) high Ford Focus passenger cars that were per hour or greater for more than five and the letters and background shall be of manufactured at Ford’s Michigan seconds, in addition to the vehicle contrasting colors, one of which is red. Assembly Plant between May 12, 2011 feedback of a lack of acceleration. The Words or symbols in addition to those and May 18, 2012. warning message will time out after ten required by Standard No. 101 and this Summary of Ford’s Analyses: Ford section may be provided for purposes of seconds but a red ‘‘i’’ remains explains that the affected vehicles clarity. illuminated noting that an important (b) Vehicles manufactured with a split 1 Ford Motor Company is a motor vehicle message is stored and can be re-accessed service brake system may use a common manufacturer incorporated under the laws of the by requesting a System Check. If the brake warning indicator to indicate two or state of Delaware. operator continues to drive with the more of the functions described in S5.5.1(a)

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00118 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69932 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

through S5.5.1(g). If a common indicator is vehicle safety. Accordingly, Ford’s involves the purchase by the Francis used, it shall display the word ‘‘Brake’’ petition is hereby granted. Tedesco Revocable Trust and the Mark (emphasis added). NHTSA notes that the statutory Tedesco Revocable Trust of FSCS NHTSA Analysis and Reasoning: Ford provisions (49 U.S.C. 30118(d) and Corporation’s (FSCS) membership stated that there are two conditions 30120(h)) that permit manufacturers to interest in Cabana Coaches, LLC which will cause the brake system file petitions for a determination of (Cabana). The Board is tentatively warning indicator, located on the inconsequentiality allow NHTSA to approving and authorizing the instrument cluster and labeled with an exempt manufacturers only from the transactions, and, if no opposing ISO symbol instead of BRAKE, to duties found in sections 30118 and comments are timely filed, this notice illuminate: 30120, respectively, to notify owners, will be the final Board action. Persons 1. The brake fluid level in the master purchasers, and dealers of a defect or wishing to oppose the application must cylinder reservoir is less than the noncompliance and to remedy the follow the rules set forth at 49 CFR recommended safe level; and defect or noncompliance. Therefore, this 1182.5 and 1182.8. 2. The parking brake control, a handle decision only applies to the 485 DATES: Comments must be filed by located on the center console, is vehicles that Ford no longer controlled January 6, 2014. Applicants may file a applied. at the time that it determined that a reply by January 21, 2014. If no Ford also stated that each warning to noncompliance existed in the subject comments are filed by January 6, 2014, the driver includes an audible chime vehicles. However, the granting of this the notice shall be effective on January and a warning message in the vehicle’s petition does not relieve vehicle 7, 2014. message center. The message ‘‘brake distributors and dealers of the fluid low service now’’ would remain ADDRESSES: Send an original and 10 prohibitions on the sale, offer for sale, copies of any comments referring to illuminated until brake fluid is added. or introduction or delivery for However, that message may alternate Docket No. MCF 21056 to: Surface introduction into interstate commerce of Transportation Board, 395 E Street SW., with other serious message(s) should the noncompliant vehicles under their they appear. If the vehicle’s parking Washington, DC 20423–0001. In control after Ford notified them that the addition, send one copy of comments to brake is applied, an audible chime will subject noncompliance existed. sound when the vehicle reaches 6 mph Applicants’ representative: Fritz R. for more than 5 seconds. The message Authority: 49 U.S.C. 30118, 30120: Kahn, 1919 M Street NW., 7th Floor, ‘‘park brake applied’’ will time out after delegations of authority at CFR 1.95 and Washington, DC 20036. 10 seconds, but it will be stored in the 501.8. FOR FURTHER INFORMATION CONTACT: message information center for Issued on: November 18, 2013. Jonathon Binet, (202) 245–0368. subsequent retrieval by the driver. In Claude H. Harris, [Federal Information Relay Service addition, the parking brake control is Director, Office of Vehicle Safety Compliance. (FIRS) for the hearing impaired: 1–800– readily visible to the driver and the [FR Doc. 2013–27950 Filed 11–20–13; 8:45 am] 877–8339.] vehicle will lack acceleration if the BILLING CODE 4910–59–P SUPPLEMENTARY INFORMATION: Family parking brake is applied. For either or Trust owns and controls three motor both conditions 1 and 2, the red brake carriers of passengers, Academy system warning indicator labeled with DEPARTMENT OF TRANSPORTATION Express, L.L.C. (MC–413682), Academy the ISO symbol will remain illuminated Lines, L.L.C. (MC–41016), and Number until the problem is corrected. Surface Transportation Board 22 Hillside, L.L.C. (MC–413631) We believe that the combination of [Docket No. MCF 21056] (collectively, Academy Companies), the red color of the ISO symbol, the through Academy Bus, L.L.C., a audible chimes, message center Tedesco Family ESB Trust, et al.— noncarrier. Francis Tedesco is the sole warnings, and additionally for the Purchase of Certain Assets and manager of the individual Academy parking brake, the position of the Membership Interests—Evergreen Companies. According to Applicants, applied lever and reduced drivability, Interests—Evergreen Trails, Inc. d/b/a Academy Lines, L.L.C. and Number 22 all described in the owner’s manual, Horizon Coach Lines, et al. Hillside, L.L.C. are leading commuter will be sufficient to adequately warn the regular route transportation companies driver should these serious problems in AGENCY: Surface Transportation Board, operating in the New York metropolitan the braking system occur, even in the DOT. area and in New Jersey, respectively. absence of the required BRAKE label on ACTION: Notice tentatively authorizing Academy Express, L.L.C. operates the indicator. The manufacturer has finance transaction. primarily in the Northeast. shown that the discrepancy with the Family Trust also owns and controls safety requirement is unlikely to lead to SUMMARY: On October 22, 2013, the Franmar through two noncarriers, any misunderstanding especially since Tedesco Family ESB Trust (Family Franmar Logistics, Inc. and Academy other sources of correct information Trust), on behalf of Franmar Leasing, Services, Inc. Franmar is primarily beyond the ISO symbol are available. Inc. (Franmar), together with the Francis engaged in the purchase and leasing of We also believe the ISO symbol has over Tedesco Revocable Trust and the Mark motor coaches to the Academy time evolved to become more Tedesco Revocable Trust (collectively, Companies. The persons who own and recognizable and understandable to Applicants), all noncarriers, filed an control the Academy Companies are the drivers. In addition, NHTSA has not application under 49 U.S.C. 14303 for trustees of the Francis Tedesco received any consumer complaints approval of two companion Revocable Trust (Francis Tedesco, sole regarding the subject vehicles. transactions. The first transaction trustee) and the Mark Tedesco NHTSA Decision: In consideration of involves Franmar’s purchase of certain Revocable Trust (Mark Tedesco, sole the foregoing, NHTSA has determined motor coach and non-motor coach assets trustee), noncarriers, through Family that Ford has met its burden of of Evergreen Trails, Inc. d/b/a Horizon Trust.1 persuasion that the FMVSS No. 101 and Coach Lines (Evergreen) from three 135 noncompliance for the BRAKE garage and terminal facility locations in 1 Francis Tedesco and Mark Tedesco are the telltale is inconsequential to motor Florida. The second transaction settlors of Family Trust.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00119 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69933

Francis W. Sherman owns and motorbus industry’’ 2 and will be able to By the Board, Chairman Elliott, Vice controls Cabana (MC–646780) through procure equipment and fuel at lower Chairman Begeman, and Commissioner FSCS. Evergreen, a charter bus operator, prices thereby allowing Academy Mulvey. (MC–107638) is under the common Companies to maintain a high level of Jeffrey Herzig, control of Francis W. Sherman through service while lowering rates on charter Clearance Clerk. TMS West Coast, Inc., a noncarrier, and bus operations to and from Port [FR Doc. 2013–27960 Filed 11–20–13; 8:45 am] operates in California, Maryland, and Everglades and Florida ports and BILLING CODE 4915–01–P Florida, among other states. Cabana is a Florida airports. Applicants further state charter bus operator in Florida, serving that the proposed transactions would Florida ports (including Port have no effect on total fixed charges and DEPARTMENT OF THE TREASURY Everglades) and Florida airports no effect on the quality of the human (including Fort Lauderdale-Hollywood environment and the conservation of Submission for OMB Review; International Airport). energy resources. Finally, Applicants Comment Request Applicants propose that Franmar will state that the transaction would have no purchase certain motor coach and non- adverse effect on Evergreen and November 18, 2013. motor coach business assets of Cabana’s employees as Cabana will The Department of the Treasury will Evergreen from three garage and retain its employees and will interview submit the following information terminal facilities located in and offer employment to Evergreen collection requests to the Office of Jacksonville, Fla., West Palm Beach, employees. Management and Budget (OMB) for Fla., and Miami, Fla., respectively. On the basis of the application, the review and clearance in accordance Applicants also propose a separate Board finds that the proposed with the Paperwork Reduction Act of transaction in which the Francis transactions are consistent with the 1995, Public Law 104–13, on or after the Tedesco Revocable Trust and the Mark public interest and should be tentatively date of publication of this notice. Tedesco Revocable Trust purchase 100 approved and authorized. If any DATES: Comments should be received on percent of FSCS’s limited liability opposing comments are timely filed, or before December 23, 2013 to be membership interest in Cabana. If this these findings will be deemed vacated, assured of consideration. transaction is approved, Francis and, unless a final decision can be made ADDRESSES: Send comments regarding Tedesco, who is the current manager of on the record as developed, a the burden estimate, or any other aspect the Academy Companies, will become procedural schedule will be adopted to of the information collection, including the sole manager of Cabana. This reconsider the application. See 49 CFR suggestion for reducing the burden, to transaction will, according to 1182.6(c). If no opposing comments are (1) Office of Information and Regulatory Applicants, permit Cabana to continue filed by the expiration of the comment Affairs, Office of Management and passenger transportation services in period, this notice will take effect Budget, Attention: Desk Officer for Florida. automatically and will be the final Treasury, New Executive Office Under 49 U.S.C. 14303(b), the Board Board action. Building, Room 10235, Washington, DC must approve and authorize a The application and Board decisions 20503, or email at OIRA_Submission@ transaction that it finds consistent with and notices are available on our Web OMB.EOP.GOV and (2) Treasury PRA the public interest, taking into site at WWW.STB.DOT.GOV. Clearance Officer, 1750 Pennsylvania consideration at least: (1) The effect of This decision will not significantly Ave. NW., Suite 8140, Washington, DC the proposed transaction on the affect either the quality of the human 20220, or email at [email protected]. adequacy of transportation to the public; environment or the conservation of FOR FURTHER INFORMATION CONTACT: (2) the total fixed charges that result; energy resources. Copies of the submission(s) may be and (3) the interest of affected carrier It is ordered: obtained by calling (202) 927–5331, employees. Applicants have submitted 1. The proposed transactions are email at [email protected], or the entire information, as required by 49 CFR approved and authorized, subject to the information collection request maybe 1182.2, including the information to filing of opposing comments. found at www.reginfo.gov. demonstrate that the proposed transactions are consistent with the 2. If opposing comments are timely Office of Financial Stability (OFS) public interest under 49 U.S.C. filed, the findings made in this notice will be deemed vacated. OMB Number: 1505–0209. 14303(b), and a statement that the Type of Review: Revision of a 3. This notice will be effective on combined 12-month aggregate gross currently approved collection. January 7, 2014, unless opposing operating revenues of the motor carriers Title: Troubled Asset Relief comments are filed by January 6, 2014. of passengers directly or indirectly Program—Conflicts of Interest. owned and controlled by Francis W. 4. A copy of this decision will be Abstract: Authorized under the Sherman, and those directly or served on: (1) The U.S. Department of Emergency Economic Stabilization Act indirectly owned and controlled by Transportation, Federal Motor Carrier (EESA) of 2008 (Pub. L. 110–343), as Applicants, exceeded $2 million. See 49 Safety Administration, 1200 New Jersey amended by the American Recovery and U.S.C. 14303(g). Avenue SE., Washington, DC 20590; (2) Reinvestment Act (ARRA) of 2009, the Applicants assert that the proposed the U.S. Department of Justice, Antitrust Department of the Treasury has transactions are in the public interest Division, 10th Street & Pennsylvania implemented aspects of the Troubled because Evergreen will be selling Avenue NW., Washington, DC 20530; Asset Relief Program (TARP) by vehicles it no longer desires to operate and (3) the U.S. Department of codifying section 108 of EESA. Title 31 and the public will lose no service as a Transportation, Office of the General CFR part 31, TARP Conflict of Interest, result of the Franmar-Evergreen Counsel, 1200 New Jersey Avenue SE., sets forth the process for reviewing and transaction because the same number of Washington, DC 20590. addressing actual or potential conflicts buses will continue to operate. Decided: November 18, 2013. of interest among any individuals or Applicants also assert that Francis entities seeking or having a contract or Tedesco is a ‘‘recognized leader in the 2 Id. at 7. financial agency agreement with the

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00120 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69934 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

Treasury for services under EESA. The SUMMARY: The OCC, as part of its Division, Office of the Comptroller of information collection required by this continuing effort to reduce paperwork the Currency, 400 7th Street SW., Suite part will be used to evaluate and and respondent burden, invites the 3E–218, Mail Stop 9W–11, Washington, minimize real and apparent conflicts of public and other Federal agencies to DC 20219. interest related to contractual or comment on the renewal of an SUPPLEMENTARY INFORMATION: The OCC financial agent agreement services information collection, as required by is seeking to renew, without change, the performed under TARP. the Paperwork Reduction Act of 1995 following collection: Affected public: Private Sector: (PRA). In accordance with the Title: Lending Limits—12 CFR 32.9. Businesses or other for-profits. requirements of the PRA, the OCC may Type of Review: Extension, without Estimated Annual Burden Hours: not conduct or sponsor, and the revision, of a currently approved 1,292. respondent is not required to respond collection. OMB Number: 1505–0219. to, an information collection unless it OMB Control Number: 1557–0317. Type of Review: Revision of a displays a currently valid Office of Description: Pursuant to section 610 currently approved collection. Management and Budget (OMB) control of the Dodd-Frank Wall Street Reform Title: TARP Capital Purchase number. and Consumer Protection Act of 2010, Program—Executive Compensation. The OCC is soliciting comment Public Law 111–203, 124 Stat. 1376 Abstract: Authorized under the concerning renewal of its information (2010), the OCC added § 32.9 to its Emergency Economic Stabilization Act collection titled, ‘‘Lending Limits.’’ The lending limits regulation to cover credit of 2008 (EESA), Public Law 110–343, as OCC is also giving notice that it has exposures arising from derivative amended by the American Recovery and submitted the collection to OMB for transactions and securities financing Reinvestment Act of 2009 (ARRA), review. transactions. Twelve CFR 32.9 provides Public Law 111–5, the Department of DATES: Comments must be submitted on national banks and savings associations the Treasury established the Troubled or before December 23, 2013. with three alternative methods for Asset Relief Program (TARP) to ADDRESSES: Because paper mail in the calculating the credit exposure of purchase, and to make and fund Washington, DC area and at the OCC is derivative transactions other than credit commitments to purchase, troubled subject to delay, commenters are derivatives, a special rule for measuring assets from any financial institution on encouraged to submit comments by the credit exposure of credit derivatives, such terms and conditions determined email if possible. Comments may be and three alternative methods for by the Secretary. Section 111 of EESA, sent to: Legislative and Regulatory calculating such exposure for securities as amended by ARRA, provides that Activities Division, Office of the financing transactions. The OCC certain entities receiving financial Comptroller of the Currency, Attention: provided these different methods in assistance from Treasury under TARP 1557–0317, 400 7th Street SW., Suite order to reduce the practical burden of will be subject to specified executive 3E–218, Mail Stop 9W–11, Washington, such calculations, particularly for compensation and corporate governance DC 20219. In addition, comments may smaller and mid-size national banks and standards established by the Secretary. be sent by fax to (571) 465–4326 or by savings associations. These standards were set forth in the electronic mail to regs.comments@ One method available for both interim final rule published on June 15, occ.treas.gov. You may personally derivative transactions and securities 2009 (74 FR 28394), as corrected on inspect and photocopy comments at the financing transactions is the Internal December 7, 2009 (74 FR 63990) (the OCC, 400 7th Street SW., Washington, Model Method. Under this method, the Interim Final Rule). The standards DC 20219. For security reasons, the OCC use of a model (other than a model for implemented in the Interim Final Rule requires that visitors make an which use has been approved for require that TARP recipients submit appointment to inspect comments. You purposes of the Advanced Measurement certain information pertaining to their may do so by calling (202) 649–6700. Approach in the capital rules) must be executive compensation and corporate Upon arrival, visitors will be required to approved in writing by the OCC (in the governance practices. present valid government-issued photo case of national banks and Federal Affected public: Private sector: identification and to submit to security savings associations) or the Federal Businesses or other for-profits. screening in order to inspect and Deposit Insurance Corporation (in the Estimated Annual Burden Hours: photocopy comments. case of State savings associations) 6,951. All comments received, including specifically for lending limit purposes. Dawn D. Wolfgang, attachments and other supporting If a national bank or savings association Treasury PRA Clearance Officer. materials, are part of the public record proposes to use an internal model for [FR Doc. 2013–27961 Filed 11–20–13; 8:45 am] and subject to public disclosure. Do not which use has been approved for BILLING CODE 4810–25–P enclose any information in your purposes of the Advanced Measurement comment or supporting materials that Approach, the institution must provide you consider confidential or written notification to the OCC or FDIC, DEPARTMENT OF THE TREASURY inappropriate for public disclosure. as appropriate, prior to use of the model Additionally, please send a copy of for lending limits purposes. Section 32.9 Office of the Comptroller of the your comments by mail to: OCC Desk also requires OCC or FDIC approval of Currency Officer, 1557–0317, U.S. Office of any substantive revisions to a model Management and Budget, 725 17th previously approved for lending limits Agency Information Collection Street NW., #10235, Washington, DC purposes, or for which notice of its use Activities: Information Collection 20503, or by email to: oira submission@ for lending limits purposes previously Renewal; Submission for OMB Review; omb.eop.gov. had been provided, before the Lending Limits FOR FURTHER INFORMATION CONTACT: You institution may use the revised model. AGENCY: Office of the Comptroller of the may request additional information Affected Public: Businesses or other Currency (OCC), Treasury. from Johnny Vilela or Mary H. Gottlieb, for-profit. OCC Clearance Officers, (202) 649–5490, Burden Estimates: Estimated Number ACTION: Notice and request for comment. Legislative and Regulatory Activities of Respondents: 238.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00121 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69935

Estimated Number of Responses per information collection titled ‘‘Affiliate Frequency of Response: On occasion. Respondent: 2. Marketing.’’ The OCC is also giving Description: Section 214 of the FACT Estimated Annual Burden: 476 hours. notice that it has submitted a request for Act,1 which added section 624 to the Frequency of Response: On occasion. renewal of its information collection Fair Credit Reporting Act (FCRA),2 Comments: The OCC issued a notice titled, ‘‘Fair Credit Reporting—Affiliate generally prohibits a person from using for 60 days of comment concerning the Marketing’’ to OMB for review. certain information received from an collection. 78 FR 56770 (September 13, DATES: Comments must be submitted on affiliate to make a solicitation for 2013). No comments were received. or before December 23, 2013. marketing purposes to the consumer, Comments continue to be invited on: unless the consumer is given notice and ADDRESSES: Because paper mail in the (a) Whether the collection of an opportunity and simple method to Washington, DC area and at the OCC is information is necessary for the proper opt out of making such solicitations. subject to delay, commenters are performance of the functions of the Section 214 also requires the Agencies,3 encouraged to submit comments by OCC, including whether the information the Securities and Exchange email if possible. Comments may be has practical utility; Commission (SEC), and the Federal sent to: Legislative and Regulatory (b) The accuracy of the OCC’s Trade Commission (FTC), in Activities Division, Office of the estimate of the information collection consultation and coordination with each Comptroller of the Currency, Attention: burden; other, to issue regulations implementing 1557–0230, 400 7th Street SW., Suite (c) Ways to enhance the quality, section 214 that, to the extent possible, 3E–218, Mail Stop 9W–11, Washington, utility, and clarity of the information to are consistent and comparable. be collected; DC 20219. In addition, comments may Administration of these regulations, (d) Ways to minimize the burden of be sent by fax to (571) 465–4326 or by which were codified by the OCC at 12 the collection on respondents, including electronic mail to regs.comments@ CFR 41.20–41.28 and that have not through the use of automated collection occ.treas.gov. You may personally changed since they were last cleared by techniques or other forms of information inspect and photocopy comments at the OMB under the PRA, has been technology; and OCC, 400 7th Street SW., Washington, transferred to the Bureau of Consumer (e) Estimates of the capital or start-up DC 20219. For security reasons, the OCC Financial Protection (CFPB) and are costs and the costs associated with the requires that visitors make an now found at 12 CFR 1022.20–1022.27. operation, maintenance, and acquisition appointment to inspect comments. You Title X of the Dodd-Frank Wall Street of services necessary to provide the may do so by calling (202) 649–6700. Reform and Consumer Protection Act,4 required information. Upon arrival, visitors will be required to (Dodd-Frank Act) transferred the Dated: November 15, 2013. present valid government-issued photo regulations and the CFPB republished Stuart E. Feldstein, identification and to submit to security them (76 FR 79308 (December 21, Director, Legislative and Regulatory Activities screening in order to inspect and 2011)). The burden estimates have been Division. photocopy comments. revised to remove the burden All comments received, including [FR Doc. 2013–27872 Filed 11–20–13; 8:45 am] attributable to OCC-regulated attachments and other supporting BILLING CODE 4810–33–P institutions with over $10 billion in materials, are part of the public record total assets, now carried by CFPB and subject to public disclosure. Do not pursuant to section 1025 of the Dodd- enclose any information in your DEPARTMENT OF THE TREASURY Frank Act. The OCC retains enforcement comment or supporting materials that authority and carries burden for those you consider confidential or Office of the Comptroller of the institutions under its supervision with inappropriate for public disclosure. Currency total assets of $10 billion or less. Additionally, please send a copy of Agency Information Collection Financial institutions use the required your comments by mail to: OCC Desk notices to inform consumers about their Activities: Information Collection Officer, 1557–230, U.S. Office of Renewal; Submission for OMB Review; rights under section 214 of the FACT Management and Budget, 725 17th Act. Consumers use the notices to Fair Credit Reporting—Affiliate Street NW., #10235, Washington, DC Marketing decide if they want to receive 20503, or by email to: oira submission@ solicitations for marketing purposes or omb.eop.gov. AGENCIES: Office of the Comptroller of opt out. Financial institutions use the the Currency (OCC), Treasury. FOR FURTHER INFORMATION CONTACT: You consumers’ opt out responses to ACTION: Notice and request for comment. may request additional information by determine the permissibility of making contacting: Johnny Vilela or Mary H. a solicitation for marketing purposes to SUMMARY: The OCC, as part of its Gottlieb, OCC Clearance Officers, (202) consumers. continuing effort to reduce paperwork 649–5490, Legislative and Regulatory If a person receives certain consumer and respondent burden, invites the Activities Division, Office of the eligibility information from an affiliate, general public and other Federal Comptroller of the Currency, 400 7th the person may not use that information agencies to comment on the renewal of Street SW., Washington, DC 20219. to make solicitations to the consumer an information collection, as required SUPPLEMENTARY INFORMATION: The OCC about its products or services, unless the by the Paperwork Reduction Act of 1995 is seeking renewal, without change, of consumer is given notice and a simple (PRA). the following information collection: method to opt out of such use of the In accordance with the requirements Title: Fair Credit Reporting—Affiliate of the PRA, an agency may not conduct Marketing. 1 Fair and Accurate Credit Transactions Act of or sponsor, and a respondent is not OMB Control No.: 1557–0230. 2003, Public Law 108–159, 117 Stat. 1952 required to respond to, an information Affected Public: Businesses or other (December 4, 2003). collection unless it displays a currently for-profit. 2 15 U.S.C. 1681 et seq. 3 valid Office of Management and Budget OCC, Board of Governors of the Federal Reserve Burden Estimates: System, and the Federal Deposit Insurance (OMB) control number. Estimated Number of Respondents: Corporation. The OCC is soliciting comment 166,444. 4 Public Law 111–203, 124 Stat. 1955, July 21, concerning the renewal of an Total Annual Burden: 17,189 hours. 2010.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00122 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69936 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

information, and the consumer does not other Federal agencies to take this as their contents may become material opt out. Exceptions include, a person opportunity to comment on proposed in the administration of any internal using eligibility information: (1) To and/or continuing information revenue law. Generally, tax returns and make solicitations to a consumer with collections, as required by the tax return information are confidential, whom the person has a pre-existing Paperwork Reduction Act of 1995, as required by 26 U.S.C. 6103. Pursuant business relationship; (2) to perform Public Law 104–13 (44 U.S.C. to ACA section 9010, as amended, the services for another affiliate subject to 3506(c)(2)(A)). Currently, the IRS is information on this form is not subject certain conditions; (3) in response to a soliciting comments concerning Form to section 6103. All information on this communication initiated by the 8963, Report of Health Insurance form is subject to public disclosure. consumer; or (4) to make a solicitation Provider Information. Request for Comments: Comments that has been authorized or requested by DATES: Written comments should be submitted in response to this notice will the consumer. A consumer’s affiliate received on or before January 21, 2014 be summarized and/or included in the marketing opt-out election must be to be assured of consideration. request for OMB approval. All effective for a period of at least five ADDRESSES: Direct all written comments comments will become a matter of years. Upon expiration of the opt-out to Yvette Lawrence, Internal Revenue public record. Comments are invited on: period, the consumer must be given a Service, Room 6129, 1111 Constitution (a) Whether the collection of renewal notice and an opportunity to Avenue NW., Washington, DC 20224. information is necessary for the proper renew the opt-out before information FOR FURTHER INFORMATION CONTACT: performance of the functions of the received from an affiliate may be used Requests for additional information or agency, including whether the to make solicitations to the consumer. copies of the form and instructions information shall have practical utility; Comments: The OCC issued a notice should be directed to R. Joseph Durbala, (b) the accuracy of the agency’s estimate in the Federal Register for 60 days of (202) 622–3634, at Internal Revenue of the burden of the collection of comment on September 13, 2013 (78 FR Service, Room 6129, 1111 Constitution information; (c) ways to enhance the 56771). No comments were received. Avenue NW., Washington, DC 20224, or quality, utility, and clarity of the Comments continue to be invited on: information to be collected; (d) ways to (a) Whether the collection of through the internet at [email protected]. minimize the burden of the collection of information is necessary for the proper information on respondents, including SUPPLEMENTARY INFORMATION: performance of the functions of the through the use of automated collection Title: Report of Health Insurance OCC, including whether the information techniques or other forms of information has practical utility; Provider Information. OMB Number: 1545–2249. technology; and (e) estimates of capital (b) The accuracy of the OCC’s or start-up costs and costs of operation, estimate of the information collection Form Number: Form 8963. Abstract: This is a new form maintenance, and purchase of services burden; to provide information. (c) Ways to enhance the quality, established under Section 9010 of the utility, and clarity of the information to Patient Protection and Affordable Care Approved: November 14, 2013. be collected; Act (PPACA), Public Law 111–148 (124 Yvette Lawrence, (d) Ways to minimize the burden of Stat. 119 (2010)), as amended by section IRS Reports Clearance Officer. the collection on respondents, including 10905 of PPACA, and as further [FR Doc. 2013–27893 Filed 11–20–13; 8:45 am] through the use of automated collection amended by section 1406 of the Health BILLING CODE 4830–01–P techniques or other forms of information Care and Education Reconciliation Act technology; and of 2010, Public Law 111–152 (124 Stat. (e) Estimates of capital or start-up 1029 (2010)), which requires any DEPARTMENT OF THE TREASURY costs and costs of operation, covered entity engaged in the business maintenance, and purchase of services of providing health insurance related to Internal Revenue Service to provide information. United States health risks to annually report its net premiums written. Proposed Collection; Comment Dated: November 15, 2013. Current Actions: This is a new form. Request for Form 8955–SSA Stuart E. Feldstein, This form is being submitted for OMB AGENCY: Director, Legislative and Regulatory Activities approval. Internal Revenue Service (IRS), Division. Type of Review: New Form. Treasury. [FR Doc. 2013–27873 Filed 11–20–13; 8:45 am] Affected Public: Businesses and other ACTION: Notice and request for BILLING CODE 4810–33–P for-profit organizations and Not-for- comments. profit organizations. Estimated Number of Respondents: SUMMARY: The Department of the DEPARTMENT OF THE TREASURY 2,400. Treasury, as part of its continuing effort Estimated Time per Respondent: 7 to reduce paperwork and respondent Internal Revenue Service hours 25 minutes. burden, invites the general public and Estimated Total Annual Burden other Federal agencies to take this Proposed Collection; Comment Hours: 17,808. opportunity to comment on proposed Request for Form 8963 The following paragraph applies to all and/or continuing information AGENCY: Internal Revenue Service (IRS), of the collections of information covered collections, as required by the Treasury. by this notice: Paperwork Reduction Act of 1995, ACTION: Notice and request for An agency may not conduct or Public Law 104–13 (44 U.S.C. comments. sponsor, and a person is not required to 3506(c)(2)(A)). Currently, the IRS is respond to, a collection of information soliciting comments concerning Form SUMMARY: The Department of the unless the collection of information 8955–SSA, Annual Registration Treasury, as part of its continuing effort displays a valid OMB control number. Statement Identifying Separated to reduce paperwork and respondent Books or records relating to a collection Participants With Deferred Vested burden, invites the general public and of information must be retained as long Benefits.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00123 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69937

DATES: Written comments should be of the burden of the collection of of electricity produced in the United received on or before January 21, 2014 information; (c) ways to enhance the States or U.S. possessions from qualified to be assured of consideration. quality, utility, and clarity of the energy resources. The IRS uses the ADDRESSES: Direct all written comments information to be collected; (d) ways to information reported on the form to to Yvette Lawrence, Internal Revenue minimize the burden of the collection of ensure that the credit is correctly Service, Room 6129, 1111 Constitution information on respondents, including computed. through the use of automated collection Avenue NW., Washington, DC 20224. Current Actions: There are no changes techniques or other forms of information FOR FURTHER INFORMATION CONTACT: being made to this form at this time. Requests for additional information or technology; and (e) estimates of capital Type of Review: Extension of a current copies of the form and instructions or start-up costs and costs of operation, should be directed to LaNita Van Dyke, maintenance, and purchase of services OMB approval. at Internal Revenue Service, Room 6211, to provide information. Affected Public: Business or other for- 1111 Constitution Avenue NW., Approved: November 4, 2013. profit organizations and individuals. Washington, DC 20224, or through the R. Joseph Durbala, Estimated Number of Respondents: internet at [email protected]. Tax Analyst. 46. SUPPLEMENTARY INFORMATION: [FR Doc. 2013–27887 Filed 11–20–13; 8:45 am] Estimated Time per Respondent: 14 Title: Annual Registration Statement BILLING CODE 4830–01–P hrs. 23 minutes. Identifying Separated Participants With Deferred Vested Benefits. Estimated Total Annual Burden OMB Number: 1545–2187. DEPARTMENT OF THE TREASURY Hours: 662. Form Number: Form 8955–SSA. The following paragraph applies to all Abstract: The information provided Internal Revenue Service of the collections of information covered by plan sponsors on Form 8955–SSA by this notice: will be transmitted to the Social Proposed Collection; Comment Security Administration (SSA) who will Request for Form 8835 An agency may not conduct or sponsor, and a person is not required to provide it to separated participants AGENCY: Internal Revenue Service (IRS), respond to, a collection of information when those participants file for social Treasury. security benefits. unless the collection of information ACTION: Notice and request for Current Actions: There is no change displays a valid OMB control number. comments. in the paperwork burden previously Books or records relating to a collection approved by OMB. SUMMARY: The Department of the of information must be retained as long Type of Review: Extension of a Treasury, as part of its continuing effort as their contents may become material currently approved collection. to reduce paperwork and respondent in the administration of any internal Affected Public: Businesses and other burden, invites the general public and revenue law. Generally, tax returns and for-profit organizations. other Federal agencies to take this tax return information are confidential, Estimated Number of Respondents: opportunity to comment on proposed as required by 26 U.S.C. 6103. 200,000. and/or continuing information Request for Comments: Comments Estimated Time per Respondent: 0 collections, as required by the hours 49 minutes. submitted in response to this notice will Paperwork Reduction Act of 1995, be summarized and/or included in the Estimated Total Annual Burden Public Law 104–13(44 U.S.C. Hours: 166,000. request for OMB approval. All 3506(c)(2)(A)). Currently, the IRS is comments will become a matter of The following paragraph applies to all soliciting comments concerning Form public record. Comments are invited on: of the collections of information covered 8835, Renewable Electricity Production (a) Whether the collection of by this notice: Credit. An agency may not conduct or information is necessary for the proper DATES: Written comments should be sponsor, and a person is not required to performance of the functions of the received on or before January 21, 2014 respond to, a collection of information agency, including whether the to be assured of consideration. unless the collection of information information shall have practical utility; displays a valid OMB control number. ADDRESSES: Direct all written comments (b) the accuracy of the agency’s estimate Books or records relating to a collection to Yvette Lawrence, Internal Revenue of the burden of the collection of Service, Room 6129, 1111 Constitution of information must be retained as long information; (c) ways to enhance the Avenue NW., Washington, DC 20224. as their contents may become material quality, utility, and clarity of the in the administration of any internal FOR FURTHER INFORMATION CONTACT: information to be collected; (d) ways to revenue law. Generally, tax returns and Requests for additional information or minimize the burden of the collection of tax return information are confidential, copies of the form and instructions information on respondents, including should be directed to LaNita Van Dyke, as required by 26 U.S.C. 6103. through the use of automated collection at Internal Revenue Service, Room 6511, Request for Comments: Comments techniques or other forms of information submitted in response to this notice will 1111 Constitution Avenue NW., technology; and (e) estimates of capital be summarized and/or included in the Washington, DC 20224, or through the or start-up costs and costs of operation, request for OMB approval. All internet at [email protected]. maintenance, and purchase of services comments will become a matter of SUPPLEMENTARY INFORMATION: to provide information. public record. Comments are invited on: Title: Renewable Electricity (a) Whether the collection of Production Credit. Approved: November 4, 2013. information is necessary for the proper OMB Number: 1545–1362. R. Joseph Durbala, performance of the functions of the Form Number: Form 8835. Tax Analyst. agency, including whether the Abstract: Form 8835 is used to claim [FR Doc. 2013–27890 Filed 11–20–13; 8:45 am] information shall have practical utility; the renewable electricity production (b) the accuracy of the agency’s estimate credit. The credit is allowed for the sale BILLING CODE 4830–01–P

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00124 Fmt 4703 Sfmt 9990 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69938 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

DEPARTMENT OF THE TREASURY Current Actions: This is a new form. ACTION: Notice and request for This form is being submitted for OMB comments. Internal Revenue Service approval. SUMMARY: Type of Review: New form. The Department of the Proposed Collection; Comment Treasury, as part of its continuing effort Request for Form 8453–R Affected Public: Businesses and other to reduce paperwork and respondent for-profit organizations and not-for- burden, invites the general public and AGENCY: Internal Revenue Service (IRS), profit organizations. other Federal agencies to take this Treasury. Estimated Number of Respondents: opportunity to comment on proposed ACTION: Notice and request for 2,550. and/or continuing information comments. Estimated Time per Respondent: 1 collections, as required by the hour 37 minutes. Paperwork Reduction Act of 1995, SUMMARY: The Department of the Estimated Total Annual Burden Public Law 104–13 (44 U.S.C. Treasury, as part of its continuing effort Hours: 4,131. 3506(c)(2)(A)). Currently, the IRS is to reduce paperwork and respondent soliciting comments concerning burden, invites the general public and The following paragraph applies to all Employment Tax Adjustments. other Federal agencies to take this of the collections of information covered opportunity to comment on proposed by this notice: DATES: Written comments should be and/or continuing information An agency may not conduct or received on or before January 21, 2014 collections, as required by the sponsor, and a person is not required to to be assured of consideration. Paperwork Reduction Act of 1995, respond to, a collection of information ADDRESSES: Direct all written comments Public Law 104–13 (44 U.S.C. unless the collection of information to Yvette Lawrence, Internal Revenue 3506(c)(2)(A)). Currently, the IRS is displays a valid OMB control number. Service, Room 6129, 1111 Constitution soliciting comments concerning Form Books or records relating to a collection Avenue NW., Washington, DC 20224. 8453–R, Declaration and Signature for of information must be retained as long FOR FURTHER INFORMATION CONTACT: Electronic Filing of Forms 8947 and as their contents may become material Requests for additional information or 8963. in the administration of any internal copies of the form and instructions revenue law. Generally, tax returns and DATES: Written comments should be should be directed to LaNita Van Dyke, tax return information are confidential, Internal Revenue Service, Room 6511, received on or before January 21, 2014 as required by 26 U.S.C. 6103. to be assured of consideration. 1111 Constitution Avenue NW., Request for Comments: Comments Washington DC 20224, or through the ADDRESSES: Direct all written comments submitted in response to this notice will internet, at [email protected]. to Yvette Lawrence, Internal Revenue be summarized and/or included in the SUPPLEMENTARY INFORMATION: Service, Room 6129, 1111 Constitution request for OMB approval. All Avenue NW., Washington, DC 20224. Title: Employment Tax Adjustments. comments will become a matter of OMB Number: 1545–2097. FOR FURTHER INFORMATION CONTACT: public record. Comments are invited on: Form Number: REG–111583–07 [T.D. Requests for additional information or (a) Whether the collection of 9405(final)]. copies of the form and instructions information is necessary for the proper Abstract: This document contains should be directed to R. Joseph Durbala, performance of the functions of the temporary or final regulations relating to (202) 622–3634, at Internal Revenue agency, including whether the employment tax adjustments and Service, Room 6129, 1111 Constitution information shall have practical utility; employment tax refund claims. These Avenue NW., Washington, DC 20224, or (b) the accuracy of the agency’s estimate regulations modify the process for through the internet at of the burden of the collection of making interest-free adjustments for [email protected]. information; (c) ways to enhance the both underpayments and overpayments SUPPLEMENTARY INFORMATION: quality, utility, and clarity of the of Federal Insurance Contributions Act Title: Declaration and Signature for information to be collected; (d) ways to (FICA) and Railroad Retirement Tax Act Electronic Filing of Forms 8947 and minimize the burden of the collection of (RRTA) taxes and federal income tax 8963. information on respondents, including withholding (ITW) under sections OMB Number: 1545-xxxx. through the use of automated collection 6205(a) and 6413(a), respectively, of the Form Number: Form 8453–R. techniques or other forms of information Internal Revenue Code (Code). Abstract: This is a new form technology; and (e) estimates of capital Current Actions: There is no change established under Section 9010 of the or start-up costs and costs of operation, in the paperwork burden previously Patient Protection and Affordable Care maintenance, and purchase of services approved by OMB. This form is being Act (PPACA), Public Law 111–148 (124 to provide information. submitted for renewal purposes only. Stat. 119 (2010)), as amended by section Approved: November 14, 2013. Type of Review: Extension of a 10905 of PPACA, and as further Yvette Lawrence, currently approved collection. amended by section 1406 of the Health IRS Reports Clearance Officer. Affected Public: Businesses and other Care and Education Reconciliation Act for-profit organizations. [FR Doc. 2013–27892 Filed 11–20–13; 8:45 am] of 2010, Public Law 111–152 (124 Stat. Estimated Number of Respondents: 1029 (2010)), which requires that any BILLING CODE 4830–01–P 1,500,000. covered entity engaged in the business Estimated Time per Respondent: 10 of providing health insurance related to DEPARTMENT OF THE TREASURY hours. United States health risks must annually Estimated Total Annual Burden report its net premiums written. The Internal Revenue Service Hours: 15,000,000. purpose of the form is to authenticate The following paragraph applies to all the electronic filing of Form 8947, Information Collection Request of the collections of information covered Report of Branded Prescription Drug by this notice: Information and Form 8963, Report of AGENCY: Internal Revenue Service (IRS), An agency may not conduct or Health Insurance Provider Information. Treasury. sponsor, and a person is not required to

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00125 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69939

respond to, a collection of information 368(a)(1)(A) Involving One or More performance of the functions of the unless the collection of information Foreign Corporations. agency, including whether the displays a valid OMB control number. DATES: Written comments should be information shall have practical utility; Books or records relating to a collection received on or before January 21, 2014 (b) the accuracy of the agency’s estimate of information must be retained as long to be assured of consideration. of the burden of the collection of as their contents may become material ADDRESSES: Direct all written comments information; (c) ways to enhance the in the administration of any internal to Yvette Lawrence, Internal Revenue quality, utility, and clarity of the revenue law. Generally, tax returns and Service, Room 6129, 1111 Constitution information to be collected; (d) ways to tax return information are confidential, Avenue NW., Washington, DC 20224. minimize the burden of the collection of as required by 26 U.S.C. 6103. information on respondents, including FOR FURTHER INFORMATION CONTACT: Request for Comments: Comments through the use of automated collection submitted in response to this notice will Requests for additional information or techniques or other forms of information be summarized and/or included in the copies of the regulations should be technology; and (e) estimates of capital request for OMB approval. All directed to LaNita Van Dyke, Internal or start-up costs and costs of operation, comments will become a matter of Revenue Service, Room 6511, 1111 maintenance, and purchase of services public record. Comments are invited on: Constitution Avenue NW., Washington to provide information. (a) Whether the collection of DC 20224, or through the internet, at [email protected]. Approved: November 4, 2013. information is necessary for the proper R. Joseph Durbala, SUPPLEMENTARY INFORMATION: performance of the functions of the Tax Analyst. agency, including whether the Title: Revision of Income Tax [FR Doc. 2013–27891 Filed 11–20–13; 8:45 am] information shall have practical utility; Regulations under Sections 358, 367, (b) the accuracy of the agency’s estimate 884, and 6038B Dealing with Statutory BILLING CODE 4830–01–P of the burden of the collection of Mergers or Consolidations Under Section 368(a)(1)(A) Involving One or information; (c) ways to enhance the DEPARTMENT OF THE TREASURY quality, utility, and clarity of the More Foreign Corporations. OMB Number: 1545–1925. information to be collected; (d) ways to Internal Revenue Service minimize the burden of the collection of Regulation Project Number: [REG– information on respondents, including 125628–01] [TD 9243(final)]. Open Meeting of the Taxpayer through the use of automated collection Abstract: The final regulation Advocacy Panel Toll-Free Phone Line techniques or other forms of information provides rules regarding the merger or Project Committee technology; and (e) estimates of capital consolidation of domestic or foreign corporations. This collection of AGENCY: Internal Revenue Service (IRS), or start-up costs and costs of operation, Treasury. maintenance, and purchase of services information is necessary to preserve ACTION: Notice of Meeting. to provide information. U.S. income taxation on gain of certain stock. Approved: November 4, 2013. Current Actions: There is no change to SUMMARY: An open meeting of the R. Joseph Durbala, this existing regulation. Taxpayer Advocacy Panel Toll-Free Tax Analyst. Type of Review: Extension of a Phone Line Project Committee will be conducted. The Taxpayer Advocacy [FR Doc. 2013–27889 Filed 11–20–13; 8:45 am] currently approved collection. Panel is soliciting public comments, BILLING CODE 4830–01–P Affected Public: Business or other for- profit organizations. ideas, and suggestions on improving Estimated Number of Respondents: customer service at the Internal Revenue DEPARTMENT OF THE TREASURY 50. Service. Estimated Time per Respondent: 1 hr. DATES: The meeting will be held Internal Revenue Service Estimated Total Annual Burden Tuesday, December 17, 2013. Hours: 50. FOR FURTHER INFORMATION CONTACT: Proposed Collection; Comment The following paragraph applies to all Linda Rivera at 1–888–912–1227 or Request for Regulation Project of the collections of information covered (202) 622–8390. AGENCY: Internal Revenue Service (IRS), by this notice: SUPPLEMENTARY INFORMATION: Notice is Treasury. An agency may not conduct or hereby given pursuant to Section ACTION: Notice and request for sponsor, and a person is not required to 10(a)(2) of the Federal Advisory comments. respond to, a collection of information Committee Act, 5 U.S.C. App. (1988) unless the collection of information that an open meeting of the Taxpayer SUMMARY: The Department of the displays a valid OMB control number. Advocacy Panel Toll-Free Phone Line Treasury, as part of its continuing effort Books or records relating to a collection Project Committee will be held Tuesday, to reduce paperwork and respondent of information must be retained as long December 17, 2013 at 11:00 a.m. Eastern burden, invites the general public and as their contents may become material Time via teleconference. The public is other Federal agencies to take this in the administration of any internal invited to make oral comments or opportunity to comment on proposed revenue law. Generally, tax returns and submit written statements for and/or continuing information tax return information are confidential, consideration. Due to limited collections, as required by the as required by 26 U.S.C. 6103. conference lines, notification of intent Paperwork Reduction Act of 1995, Request for Comments: Comments to participate must be made with Linda Public Law 104–13 (44 U.S.C. submitted in response to this notice will Rivera. For more information please 3506(c)(2)(A)). Currently, the IRS is be summarized and/or included in the contact: Ms. Rivera at 1–888–912–1227 soliciting comments concerning revision request for OMB approval. All or (202) 622–8390, or write TAP Office, of Income Tax Regulations under comments will become a matter of 1111 Constitution Avenue NW., Room Sections 358, 367, 884, and 6038B public record. Comments are invited on: 1509—National Office, Washington, DC Dealing with Statutory Mergers or (a) Whether the collection of 20224, or contact us at the Web site: Consolidations Under Section information is necessary for the proper http://www.improveirs.org.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00126 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES 69940 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices

The committee will be discussing DEPARTMENT OF THE TREASURY SUMMARY: An open meeting of the Toll-free issues and public input is Taxpayer Advocacy Panel Notices and welcomed. Internal Revenue Service Correspondence Project Committee will be conducted. The Taxpayer Advocacy Dated: November 14, 2013. Open Meeting of the Taxpayer Otis Simpson, Panel is soliciting public comments, Advocacy Panel Tax Forms and ideas, and suggestions on improving Acting Director, Taxpayer Advocacy Panel. Publications Project Committee customer service at the Internal Revenue [FR Doc. 2013–27886 Filed 11–20–13; 8:45 am] AGENCY: Internal Revenue Service (IRS), Service. BILLING CODE 4830–01–P Treasury. DATES: The meeting will be held ACTION: Notice of meeting. Wednesday, December 11, 2013. DEPARTMENT OF THE TREASURY SUMMARY: An open meeting of the FOR FURTHER INFORMATION CONTACT: Internal Revenue Service Taxpayer Advocacy Panel Tax Forms Timothy Shepard at 1–888–912–1227 or and Publications Project Committee will 206–220–6095. Open Meeting of the Taxpayer be conducted. The Taxpayer Advocacy SUPPLEMENTARY INFORMATION: Notice is Advocacy Panel Taxpayer Assistance Panel is soliciting public comments, hereby given pursuant to Section Center Improvements Project ideas and suggestions on improving 10(a)(2) of the Federal Advisory Committee customer service at the Internal Revenue Committee Act, 5 U.S.C. App. (1988) Service. that a meeting of the Taxpayer AGENCY: Internal Revenue Service (IRS), DATES: The meeting will be held Advocacy Panel Notices and Treasury. Wednesday, December 11, 2013. Correspondence Project Committee will ACTION: Notice of meeting. FOR FURTHER INFORMATION CONTACT: be held Wednesday, December 11, 2013, Marisa Knispel at 1–888–912–1227 or at 12 p.m. Eastern Time via SUMMARY: An open meeting of the 718–834–2203. teleconference. The public is invited to make oral comments or submit written Taxpayer Advocacy Panel Taxpayer SUPPLEMENTARY INFORMATION: Notice is statements for consideration. Due to Assistance Center Improvements Project hereby given pursuant to section limited conference lines, notification of Committee will be conducted. The 10(a)(2) of the Federal Advisory intent to participate must be made with Taxpayer Advocacy Panel is soliciting Committee Act, 5 U.S.C. App. (1988) Timothy Shepard. For more information public comments, ideas, and that an open meeting of the Taxpayer please contact Mr. Shepard at 1–888– suggestions on improving customer Advocacy Panel Tax Forms and 912–1227 or 206–220–6095, or write service at the Internal Revenue Service. Publications Project Committee will be TAP Office, 915 2nd Avenue, MS W– held Wednesday, December 11, 2013 at DATES: The meeting will be held 406, Seattle, WA 98174, or contact us at 11:00 a.m. Eastern Time via Tuesday, December 10, 2013. the Web site: http://www.improveirs.org. teleconference. The public is invited to FOR FURTHER INFORMATION CONTACT: make oral comments or submit written The agenda will include a discussion Donna Powers at 1–888–912–1227 or statements for consideration. Due to on various letters, and other issues (954) 423–7977. limited conference lines, notification of related to written communications from intent to participate must be made with the IRS. SUPPLEMENTARY INFORMATION: Notice is hereby given pursuant to Section Ms. Knispel. For more information Dated: November 14, 2013. 10(a)(2) of the Federal Advisory please contact Ms. Knispel at 1–888– Otis Simpson, Committee Act, 5 U.S.C. App. (1988) 912–1227 or 718–834–2203, or write Acting Director, Taxpayer Advocacy Panel. that a meeting of the Taxpayer TAP Office, 2 Metro Tech Center, 100 [FR Doc. 2013–27882 Filed 11–20–13; 8:45 am] Myrtle Avenue, 7th Floor, Brooklyn, NY Advocacy Panel Taxpayer Assistance BILLING CODE 4830–01–P Center Improvements Project Committee 11201, or contact us at the Web site: will be held Tuesday, December 10, http://www.improveirs.org. 2013, at 2:00 p.m. Eastern Time. The The committee will be discussing DEPARTMENT OF THE TREASURY public is invited to make oral comments various issues related to Tax Forms and or submit written statements for Publications and public input is Internal Revenue Service welcomed. consideration. Due to limited Open Meeting of the Taxpayer Dated: November 14, 2013. conference lines, notification of intent Advocacy Panel Taxpayer to participate must be made with Donna Otis Simpson, Communications Project Committee Powers. For more information please Acting Director, Taxpayer Advocacy Panel. contact Ms. Donna Powers at 1–888– [FR Doc. 2013–27885 Filed 11–20–13; 8:45 am] AGENCY: Internal Revenue Service (IRS), 912–1227 or (954) 423–7977, or write BILLING CODE 4830–01–P Treasury. TAP Office, 1000 S. Pine Island Road, Plantation, FL 33324 or contact us at the ACTION: Notice of meeting. Web site: http://www.improveirs.org. DEPARTMENT OF THE TREASURY SUMMARY: An open meeting of the The committee will be discussing Internal Revenue Service Taxpayer Advocacy Panel Taxpayer various issues related to the Taxpayer Communications Project Committee will Assistance Centers and public input is Open Meeting of the Taxpayer be conducted. The Taxpayer Advocacy welcomed. Advocacy Panel Notices and Panel is soliciting public comments, Dated: November 14, 2013. Correspondence Project Committee ideas, and suggestions on improving Otis Simpson, customer service at the Internal Revenue AGENCY: Internal Revenue Service (IRS), Acting Director, Taxpayer Advocacy Panel. Service. Treasury. [FR Doc. 2013–27879 Filed 11–20–13; 8:45 am] DATES: The meeting will be held ACTION: Notice of meeting. BILLING CODE 4830–01–P Thursday, December 19, 2013.

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00127 Fmt 4703 Sfmt 4703 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Notices 69941

FOR FURTHER INFORMATION CONTACT: at 2:00 p.m. Eastern Time via post comments to the Web site: http:// Ellen Smiley or Patti Robb at 1–888– teleconference. The public is invited to www.improveirs.org. 912–1227 or 414–231–2360. make oral comments or submit written The committee will be discussing statements for consideration. Due to various issues related to Taxpayer SUPPLEMENTARY INFORMATION: Notice is limited conference lines, notification of hereby given pursuant to Section Communications and public input is intent to participate must be made with welcome. 10(a)(2) of the Federal Advisory Ms. Ellen Smiley or Ms. Patti Robb. For Committee Act, 5 U.S.C. App. (1988) more information please contact Ms. Dated: November 14, 2013. that an open meeting of the Taxpayer Smiley or Ms. Robb at 1–888–912–1227 Otis Simpson, Advocacy Panel Taxpayer or 414–231–2360, or write TAP Office Acting Director, Taxpayer Advocacy Panel. Communications Project Committee will Stop 1006MIL, 211 West Wisconsin [FR Doc. 2013–27880 Filed 11–20–13; 8:45 am] be held Thursday, December 19, 2013, Avenue, Milwaukee, WI 53203–2221, or BILLING CODE 4830–01–P

VerDate Mar<15>2010 17:17 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00128 Fmt 4703 Sfmt 9990 E:\FR\FM\21NON1.SGM 21NON1 tkelley on DSK3SPTVN1PROD with NOTICES Vol. 78 Thursday, No. 225 November 21, 2013

Part II

Department of Transportation

National Highway Traffic Safety Administration 49 CFR Part 572 Anthropomorphic Test Devices; Q3s 3-Year-Old Child Side Impact Test Dummy, Incorporation by Reference; Proposed Rule

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00001 Fmt 4717 Sfmt 4717 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 69944 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

DEPARTMENT OF TRANSPORTATION Regardless of how you submit your I. Introduction comments, you should mention the This document proposes to amend 49 National Highway Traffic Safety docket number of this document. CFR Part 572 to add specifications and Administration You may call the Docket at 202–366– qualification requirements for a test 9324. dummy representing a 3-year-old child, 49 CFR Part 572 Instructions: For detailed instructions called the ‘‘Q3s’’ side impact test on submitting comments and additional [Docket No. NHTSA–2013–0118] dummy. The Q3s is a modified version information on the rulemaking process, of a European side impact dummy. In see the Public Participation heading of RIN 2127–AL04 accordance with the ‘‘Moving Ahead for the Supplementary Information section Progress in the 21st Century Act’’ Anthropomorphic Test Devices; Q3s 3- of this document. Note that all (MAP–21) (Pub. L. 112–141), NHTSA Year-Old Child Side Impact Test comments received will be posted will be issuing a proposal, which we Dummy, Incorporation by Reference without change to http:// expect to publish shortly, to amend www.regulations.gov, including any Federal Motor Vehicle Safety Standard AGENCY: National Highway Traffic personal information provided. Please (FMVSS) No. 213, ‘‘Child restraint Safety Administration (NHTSA), see the Privacy Act discussion below. systems’’ (49 CFR 571.213), to adopt Department of Transportation (DOT). Privacy Act: Anyone is able to search side impact protection requirements for ACTION: Notice of proposed rulemaking the electronic form of all comments child restraints.1 The agency is (NPRM). received into any of our dockets by the considering a proposal that incorporates name of the individual submitting the the Q3s in the side impact compliance SUMMARY: This document proposes to comment (or signing the comment, if test procedure. amend our regulations to add submitted on behalf of an association, This document proposes to specifications and qualification business, labor union, etc.). You may incorporate specifications and requirements for an anthropomorphic review DOT’s complete Privacy Act qualification requirements for the Q3s test device (ATD) representing a 3-year- Statement in the Federal Register into 49 CFR Part 572, old child, called the ‘‘Q3s’’ side impact published on April 11, 2000 (65 FR ‘‘Anthropomorphic test devices.’’ The test dummy. The agency plans to use 19477–78). Q3s would be specified in a new the Q3s to test child restraint systems to FOR FURTHER INFORMATION CONTACT: For subpart W. This NPRM proposes new side impact performance technical issues: Peter Martin, NHTSA incorporating by reference a parts list, a requirements which NHTSA will Office of Crashworthiness Standards set of design drawings, and a propose to adopt into the Federal motor (telephone 202–366–5668) (fax 202– ‘‘Procedures for Assembly, Disassembly vehicle safety standard for child 493–2990). For legal issues: Deirdre and Inspection (PADI)’’ document, to restraint systems by way of a separate Fujita, NHTSA Office of Chief Counsel ensure that all Q3s dummies are the NPRM. Adopting side impact protection (telephone 202–366–2992) (fax 202– same in their design and construction.2 requirements is consistent with a 366–3820). Mailing address: National Subpart W of 49 CFR Part 572 would statutory provision set forth in the Highway Traffic Safety Administration, specify performance tests that serve to ‘‘Moving Ahead for Progress in the 21st U.S. Department of Transportation, 1200 assure that the Q3s responses are within Century Act’’ (July 6, 2012), that the New Jersey Avenue SE., West Building, the established qualification corridors agency issue a final rule to improve the Washington, DC 20590. and further assure the uniformity of protection of children seated in child SUPPLEMENTARY INFORMATION: dummy assembly, structural integrity, restraint systems during side impacts. consistency of response, and adequacy Table of Contents DATES: You should submit your of instrumentation. These specifications ensure the repeatability and comments early enough to ensure that I. Introduction Docket Management receives them not II. Background reproducibility of the dummy’s impact later than January 21, 2014. Proposed a. Evolution of the Dummy response in child restraint compliance effective date: The CFR would be b. Developments tests. amended on the date 60 days after date c. Build Level D The agency plans to propose adding a of publication of the final rule. III. Description side impact test to FMVSS No. 213, one a. General Construction in which child restraint systems (CRSs) ADDRESSES: You may submit comments b. Instrumentation sold for children weighing up to 18 to the docket number identified in the IV. Biofidelity kilograms (kg) (40 pounds (lb)) must heading of this document by any of the a. Anthropometry protect the child occupant in a dynamic following methods: b. Biofidelity Assessment Under Dynamic sled test simulating a vehicle-to-vehicle • Federal eRulemaking Portal: Go to Loading side impact.3 We are considering using http://www.regulations.gov. Follow the V. Repeatability and Reproducibility online instructions for submitting a. R&R in Sled Tests b. R&R in Component Qualification Tests 1 Subtitle E of MAP–21, entitled ‘‘Child Safety comments. VI. Qualification Tests Standards,’’ includes § 31501(a) which states that, • not later than 2 years after the date of enactment Mail: Docket Management Facility, a. Overview of Proposed Corridors M–30, U.S. Department of of the Act, the Secretary shall issue a final rule b. Rationale for the Tests amending Federal Motor Vehicle Safety Standard Transportation, West Building, Ground c. New and Modified Part 572 Tests and Number 213 to improve the protection of children Floor, Rm. W12–140, 1200 New Jersey Equipment seated in child restraint systems during side impact Avenue SE., Washington, DC 20590. d. Proposed Test Specifications and crashes. • Hand Delivery or Courier: West Performance Requirements 2 Drawings and the PADI for the Q3s are available VII. Durability for examination in the docket for this NPRM. Building Ground Floor, Room W12–140, 3 A discussion of NHTSA’s research evaluating 1200 New Jersey Avenue SE., between a. High-Energy Component Tests b. Q3s Servicing and Maintenance and developing the side impact test procedure can be found in Sullivan et al., ‘‘NHTSA’s Evaluation 9 a.m. and 5 p.m. Eastern Standard VIII. Drawings and Patents Time, Monday through Friday, except of a Potential Child Side Impact Test Procedures,’’ IX. Consideration of Alternatives 22nd International Technical Conference on the Federal holidays. X. Rulemaking Analyses and Notices Enhanced Safety of Vehicles, Paper No. 2011–0227 • Fax: (202) 493–2251. XI. Public Participation (2011).

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00002 Fmt 4701 Sfmt 4702 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69945

the Q3s to test child restraints In 1993, the European Commission Other organizations acquiring recommended for children in a weight formed a child dummy working group prototype Q3s units included Transport range that includes 10 kg to 18 kg (22 to develop a successor series of Canada and Takata Holdings (Takata). to 40 lb). Among other things, we are dummies called the Q-series. It was Transport Canada explored the considering a proposal that would envisioned that the Q-series dummies biofidelity of the Q3s through impacts require those child restraints to limit the would be used in frontal and side delivered by pendulums and impactor risk of head and chest injury to children impact tests, and would be more testing. Takata exercised the dummy by in a side impact. We are considering anthropometrically correct than the P- performing several sets of sled tests with using the Q3s to measure the risk of series, and instrumented to enable the ATD seated within a CRS.7 Both head injury by way of a head injury injury assessment for the head, neck, Transport Canada and Takata found criterion (HIC) (computed within a and chest. The conceptual dummy problems with their Q3s units similar to specified timeframe, e.g., 15 millisecond design was led by TNO, while working those found by NHTSA. These problems (ms) (HIC15)), and the risk of chest group members as a whole established were conveyed to FTSS through public injury using thorax deflection as a the anthropometry, biofidelity, and critiques, and through committee criterion. measurement requirements for the new meetings of the International NHTSA seeks to adopt side impact Q-series. In late 1997, the specifications Organization for Standardization (ISO) protection requirements in FMVSS No. for the first dummy of the Q-series, the and SAE International (SAE).8 213 that would be evaluated in a three-year-old version known as the Meanwhile, SAE developed new dynamic test simulating an actual ‘‘Q3,’’ were reported by TNO. biofidelity response targets for child- vehicle crash. Our goal has been to use In 1999, a dummy manufacturer then sized side impact ATDs, including a an anthropomorphic test device (ATD) named First Technology Safety Systems three-year-old child dummy, to support that has a sound biofidelic response (FTSS) 4 acquired the dummy work on side impact protection for under lateral loading, with internal development and manufacturing children.9 The new child targets were instrumentation sufficient to record business of TNO. At that time, testing determined by scaling adult biofidelity injurious body loads. We seek to adopt indicated that the Q3 dummy’s targets previously established by ISO.10 an ATD that is suitable for use in performance was suboptimal in frontal These targets became a new set of regulatory tests with demonstrated testing and even more so in lateral.5 criteria for FTSS to incorporate into the repeatability, reproducibility, and Around 2001, FTSS initiated the design dummy design, in addition to solving durability. Within a test laboratory, the cycle for the Q3s, which was an the functionality and durability ATD would be practical to handle and improved side impact version of the Q3. problems noted by NHTSA and the maintain. The dummy would be In early 2002, NHTSA tested a other organizations. available at a reasonable cost. prototype version of the Q3s.6 NHTSA FTSS continued to work on the Q3s The Q3s test dummy appears to have evaluated this Q3s unit using and in April 2006, released the Q3s all of the above attributes. As discussed qualification-style pendulum and Build Level A, its first production in this NPRM, NHTSA is satisfied with impactor tests to assess functionality, version of a new, Q3s-specific design. the overall biofidelity of the Q3s and we durability, and biofidelity. We Within a year, several additional have found that it exhibits repeatable determined that the thorax of the upgrades were incorporated into the and reproducible performance in CRS prototype appeared biofidelic and design and by July 2007 Build Level C side impact sled testing and in repeatable, but the shoulder and pelvis was released. component-level qualification testing. were much too stiff. Moreover, the neck b. Developments The Q3s demonstrates sufficient was a single-piece rubber column (i.e., durability in high-energy qualification it was not segmented by aluminum In 2007, the Occupant Safety Research 11 tests and in CRS side impact sled discs as is typical in other dummy Partnership (OSRP), together with testing. The agency has tentatively necks), and we found its biofidelity to concluded that the dummy is a reliable 7 Takata was developing a ‘‘sled-on-sled’’ test be marginal in frontal and lateral methodology. Takata was also involved with the test device that will provide valuable flexion. In our tests, we observed that International Organization for Standardization (ISO) data in assessing the potential for injury the rubber neck material tended to and UNECE Reg. No. 44 committees on CRS sled in side impacts and is suitable for bunch together at maximum flexion, test development, and for this purpose Takata also incorporation into Part 572. tested the P3, Q3, and the HIII–3C on its sled which appeared to improperly restrict system. II. Background the neck bending. 8 ISO is a worldwide standards-setting organization. The Q3s dummy was discussed in the a. Evolution of the Dummy 4 In 2010, FTSS was merged into a new company, meetings of ISO Technical Committee TC 22, Road Humanetics Innovative Solutions (Humanetics). In vehicles, Subcommittee SC 12, Passive safety crash The Q3s evolved from predecessor this preamble, when we discuss work done by the protection systems. SAE is also a worldwide P-series test dummies developed by the company prior to 2010, we use the name FTSS. standards-setting organization. Netherlands Organization for Applied When we refer to the company’s activities after 9 The work of SAE to establish biofidelity targets Scientific Research (TNO). The P-series 2010, we will refer to the name ‘‘Humanetics.’’ for child ATDs was overseen by the Biomechanics first was introduced into European CRS 5 The Q3 was assessed in: Berliner et al. (2000), and Simulation Standards Committee. The targets Comparative evaluation of the Q3 and Hybrid III 3- and methodologies are published in Irwin AL, standards in 1981 with the adoption of Year-Old dummies in biofidelity and static out-of- Mertz HJ, Elhagediab AM, Moss S (2002), United Nations Economic Commission position airbag tests, Stapp Car Crash Journal, V44: Guidelines for Assessing Biofidelity of Side Impact for Europe (UNECE) Regulation No. 44, 25–50. Since the Q3 had yet to show it was suitable Dummies of Various Sizes and Ages. Stapp Car ‘‘Uniform Provisions Concerning the for side impact testing, NHTSA chose to use the Crash Journal V46: 297–319. HIII–3C in child restraint side impact testing the 10 ISO/TR 9790:1999 Road vehicles— Approval of Restraining Devices for agency conducted following on the Transportation Anthropomorphic side impact dummy—Lateral Child Occupants of Power-Driven Recall Enhancement, Accountability and impact response requirements to assess the Vehicles (Child Restraint Systems).’’ Documentation Act of 2000 (TREAD Act). The biofidelity of the dummy. Initially, the P-series of dummies served testing led up to an advance notice of proposed 11 OSRP is an organization of the ‘‘United States rulemaking (ANPRM) which NHTSA published on Council for Automotive Research (USCAR),’’ which only as CRS loading devices to assure May 2, 2002, 67 FR 21836. is a collaborative technology organization of CRS integrity in a frontal dynamic sled 6 The unit was a modified Q3 that NHTSA had Chrysler Group LLC, Ford Motor Company and test. owned. General Motors Company.

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00003 Fmt 4701 Sfmt 4702 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 69946 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

Transport Canada (TC), tested Q3s Build Humanetics to the Q3s, and the new percentile 3-year-old child. The cost of Level C units to evaluate the biofidelity neck was incorporated into the Q3s in an uninstrumented Q3s unit is about and durability of the dummy, as did 2009, with subsequent revisions by $48,750. The cost of a minimum set of NHTSA. Extensive testing was NHTSA to the neck center cable in instruments needed for qualification conducted to evaluate the biofidelity of 2012. and compliance testing adds the head, neck, shoulder, thorax, and NHTSA also contributed to the approximately $18,200, for a total cost pelvis against the new SAE side impact redesign of the femur and hip and of about $66,950. response corridors. In addition, the several other minor parts of the dummy. a. General Construction dummy was evaluated against targets for The revisions were undertaken to the response of the neck in flexion and resolve the problem of the upper femur With the exception of fasteners, the response of the shoulder under ball becoming dislodged from the pelvis instrument mounting plates, and lateral loading.12 hip cup. This was accomplished by stiffeners for the femurs, the Q3s is As a result of the OSRP/TC and replacing the femur ball and plastic hip almost completely devoid of steel. The NHTSA evaluations of Build Level C cup with hardened aluminum Q3s has about half the number of parts units, three key deficiencies emerged: components. The new pelvis design was as the HIII–3C, which eases its assembly (1) The neck did not provide biofidelic incorporated into the Q3s in 2009. and disassembly compared to the responses in the lateral bending mode; Hybrid III child dummies. The main (2) the upper femur ball could dislodge Thorax Material Selection parts of the dummy are described from the hip socket during sled tests; The thorax of the Q3s is a one-piece below.16 and (3) the thorax exhibited cracks near plastic casting. The cracks near the Head the spine box following typical lateral spine box have been addressed by a impacts. change to a new castable polyurethane The Q3s head is a fiberglass mold and resin material known by its trade name, consists of the skull and a removable c. Build Level D Adiprene. rear skull cap. Both parts are covered Over the next several years, FTSS To assess the durability of the Q3s, with a softer plastic material that (hereinafter ‘‘Humanetics’’) improved NHTSA had established thorax simulates flesh and provides a biofidelic the performance of the Q3s as a result durability criteria consisting of 100 response to impact. The Q3s has a of the findings of OSRP/TC and NHTSA. lateral impacts conducted using the featureless face. The flesh is bonded directly to the skull and skull cap to Neck and Femur and Hip Redesigns qualification test parameters (3.8 kg (8.4 lb) impactor at 3.3 meters per second ensure a proper fit and cannot be Although Humanetics had (m/s)) and ten additional high-severity separated. The head cavity is large incorporated a redesign of the neck into impacts at 4.2 m/s. In 2011, Humanetics enough to allow use of several Build Level C, the OSRP/TC and incorporated Adiprene into the instruments, including linear NHTSA tests indicated that the neck production level Q3s. Test dummies accelerometers and angular velocity was in need of further work. Previously, with the new thorax material were able sensors. NHTSA had designed a head and neck to meet the agency’s thorax durability Thorax retrofit for side impact applications for criteria. the Hybrid III 3-year-old child dummy The thorax of the Q3s consists of a (HIII–3C). Tests of this redesigned neck Built Level D Retrofit one-piece solid ribcage molded of showed that it provided a more The above revisions have been polyurethane with a thin layer of biofidelic response in lateral flexion, incorporated in a production version of polyvinyl chloride (PVC) ‘‘skin’’ bonded and better limited the amount of axial the Q3s dummy that is commercially to the outer aspect. The ribcage is bolted twist than the neck of the Q3s Build available from Humanetics. Humanetics’ to an aluminum spine. The molded part Level C.13 The NHTSA-developed neck latest version of the Q3s, Build Level D, is contoured to take the shape of a specifications 14 were applied by was released in December 2010 and human. The variable thickness of the updated in 2011 with the Adiprene part is purposefully designed so that, 12 The fore-aft neck targets had previously served thorax, and again in 2012 with a together with a properly selected as design targets for the Q-series (Irwin, AL and polyurethane density, the thorax Mertz, HJ (1997), ‘‘Biomechanical Basis for the revision to the neck center cable. The CRABI and Hybrid III Child Dummies,’’ Stapp Car latest revisions have been retrofitted to provides a biofidelic response to impact Crash Journal V41: 1–12, SAE International, the four Q3s units owned by NHTSA. In loading. An internally mounted IR– Warrendale, PA), while the shoulder targets were TRACC 17 measures the deflection of the newly developed (Bolte, JH et al., (2003), ‘‘Shoulder the agency’s subsequent tests— impact response and injury due to lateral and including CRS sled testing and 16 oblique loading,’’ Stapp Car Crash Journal, V47, qualification-style impact testing—the The Q3s leg femur bone is constructed of polyurethane molded around a steel rod that SAE International, Warrendale, PA). NHTSA’s test revised neck was demonstrated to meet results were reported in: Rhule, R (2008), Side reinforces the bone. The lower leg bone is made of impact child dummy development, 2008 SAE NHTSA’s performance criteria, and the polyurethane. Both the upper and lower leg bones Government/Industry Meeting, Washington DC, revised pelvis and thorax have shown are surrounded by moldings that simulate flesh. May 2008. Download at: http://www.nhtsa.gov/ no signs of failure and no degradation The feet have no bone structure or articulation. The Research/Public+Meetings/SAE+2008+Government 15 Q3s’s arms are a combination of plastics and metal. +Industry+Meeting (last accessed March 25, 2013). of performance. The elbow joint can be adjusted and set in a OSRP results were reported in ISO committee III. Description selected position. Vinyl/foam coverings surround meetings. the bones and hands are part of the lower arm 13 Test results were reported in: Wang, ZJ (2009), The Q3s weighs 14.5 kg (32.0 lb). The covering. Q3s improvement and Q6s development, 2009 SAE 539 millimeter (mm) seated height of 17 The Infra Red Telescoping Rod for Assessment Government/Industry Meeting, Washington DC, of Chest Compression (IR–TRACC) was developed Feb. 2009. Download at: http://www.sae.org/events/ the dummy is representative of a 50th by General Motors, and first presented in: Rouhana gim/presentations/2009/jerrywang.pdf (last SW., Elhagediab AM, Chapp JJ (1998), ‘‘A high- accessed March 25, 2013). 15 NHTSA has prepared and docketed a technical speed sensor for measuring chest deflection in crash 14 NHTSA’s retrofit package included highly report, ‘‘Evaluation of the Q3s Three Year Old Child test dummies,’’ Proceedings of the 16th detailed specifications, including engineering Side Impact Dummy: Repeatability, International Technical Conference on the drawings for fabrication of the neck component and Reproducibility, and Durability (2012),’’ which Enhanced Safety of Vehicles, Windsor, Ontario, response specifications for its dynamic includes a section that demonstrates the durability Canada, May 31–June 4, 1998, Paper Number 98– performance. of the Q3s. S9–O–15, 1998.

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00004 Fmt 4701 Sfmt 4702 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69947

lateral aspect of the ribcage relative to Spine upgrade to FMVSS No. 213, the Q3s the spine. A neoprene suit fits over the A short interface block connects the could be used to test forward-facing and torso, similar to a wetsuit. lower neck to the upper thoracic spine. rear-facing CRSs. The sled system proposed for use by NHTSA would Neck The thoracic spine itself is a rectangular column machined from aluminum and position the dummy for a left side The Q3s neck is a segmented design about 140 mm long. It interfaces with a impact when testing forward-facing that consists of a column of three rubber cylindrical prism in the upper CRSs, and for a right side impact when natural rubber segments bonded to four lumbar region. A short block connects testing rear-facing CRSs. The PADI aluminum disks. A six-axis upper neck the rubber lumbar column to the pelvis manual describes the steps to convert load cell is mounted at the neck/head assembly. the instrumentation from a left to a right interface. The rubber segments have an side impact. Abdomen oval-like shape with circumferential V- b. Instrumentation shaped grooves. A safety cable made The abdomen is similar to other ATDs from wire rope runs through the center in that it consists of a molded, foam- Table 1 contains a list of of the neck and provides axial filled shell with a PVC outer skin. This instrumentation needed to qualify the resistance. shell is uninstrumented and fits Q3s, i.e., the instrumentation needed for the dummy to meet the qualification Shoulder between the ribcage and the pelvis. requirements included in the proposed The Q3s shoulder design is molded Pelvis subpart W. Note that the FMVSS No. from natural rubber into a hollowed, The pelvis has two parts: A pelvic 213 side impact test that NHTSA is rectangular structure that allows bone casting made of a zinc alloy considering focuses on measuring head controlled buckling when the shoulder encased snuggly within a molded acceleration, using the three uni-axial is struck on the lateral aspect. The polyurethane flesh. The pelvis casting is accelerometers at the head center of shoulder joint itself consists of a ball configured to accept an accelerometer gravity (C.G.), and chest deflection, and socket in order to simulate the array and a pubic subassembly using the IR–TRACC in the thorax. humerus-scapula joint. The upper arm accommodating a pubic load cell. The Nonetheless, the other instrumentation has urethane flesh covering the entire hip cups and femur heads are hardened listed in the table would be needed for outer surface of the arm which helps aluminum. the qualification test to assess the reduce the inertial peak from a performance of significant parts of the pendulum impact. A string Reversibility dummy and to ensure the soundness of potentiometer is built into the shoulder The Q3s design incorporates the dummy as a whole. The Q3s accepts assembly to measure the lateral reversibility features to accommodate additional instrumentation other than deflection of the shoulder socket joint the dummy’s use for both left and right that listed below, such as angular rate relative to the spine. side impacts. In NHTSA’s proposed sensors in the dummy’s head.

TABLE 1—REQUIRED INSTRUMENTATION TO QUALIFY THE Q3S DUMMY UNDER PART 572

Location Measurement Instrument

Q3s head C.G...... Acceleration ...... Accelerometer (3 req.). Q3s upper neck ...... Forces and moments ...... Load cell. Q3s thorax ...... Deflection ...... IR–TRACC. Q3s shoulder ...... Deflection ...... String potentiometer. Q3s lumbar spine ...... Forces and moments ...... Load cell. Q3s pubic symphysis ...... Force ...... Load cell. Qualification test equipment ...... Neck, lumbar rotation ...... Angular rate sensor (2 req.).

IV. Biofidelity same anthropometry and mass family of dummies. Unlike the TNO distributions have been retained all the a. Anthropometry studies used for the Q3s, the way through to the Build Level D anthropometric basis of the Hybrid III The anthropometry and dummy production version of the Q3s. The Q3s three-year-old child dummy was segment mass properties of the Q3s represents a 50th percentile three-year- derived by SAE using survey data of were defined in the early design stage of old child, based on the data derived children in the United States only the original Q3 based on TNO’s data in from CANDAT. (Irwin and Mertz, 1997).19 SAE also its Child Anthropometric Database Biofidelity targets for a particular used slightly different assumptions to (CANDAT).18 For the most part, the dummy are a function of its specify the body segment mass anthropometry and mass. Our properties. Nonetheless, the SAE 18 According to TNO publications (Beusenberg et assessment of the Q3s made use of specifications for the anthropometry al., 1993; Van Ratingen, et al., 1997), CANDAT is biofidelity targets derived by SAE. built upon various anthropometry surveys and mass of a three-year-old are very These response targets were derived conducted in the United States, the Netherlands, similar to those based on CANDAT. The Germany, and Japan from 1970–1993 of external specifically for side impact dummies dimensions and overall mass of children from birth that have the same characteristic Q3s generally matches up with SAE up to 18 years old. Each survey source examined dimensions and masses as the Hybrid III specifications as well as it does with a different age group, and each had its own set of CANDAT specifications. unique collection parameters. To handle gaps and inconsistencies within the source data, TNO assumption that growth is a smooth and continuous applied regression routines and interpolation process. The anthropometry surveys identified by 19 Irwin and Mertz (1997). Biomechanical Basis techniques to derive the anthropometry of a TNO as the basis of CANDAT were performed by for the CRABI and Hybrid III Child Dummies. Stapp particular body segment size as a function of age or organizations other than TNO. CANDAT is the Car Crash Journal V41: 1–12, SAE International, total body mass. Regression was based on the property of TNO and Humanetics. Warrendale, PA.

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00005 Fmt 4701 Sfmt 4702 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 69948 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

There are small differences in body CANDAT (TNO) and SAE. For response in terms of the force needed to segment mass properties between the reference, CDC data for height and total achieve proper chest deflection. For the two ATDs due to differences in the mass are footnoted in the table. (Note waist, the difference reflects the seated manner in which TNO and SAE that, unlike the erect posture of CDC reference posture of the Q3s as apportioned the segments. For instance, subjects, the reference posture of the compared to the standing posture of the TNO torso does not include parts of Q3s is reclined and the pelvis angle children represented in CANDAT. the thighs, whereas the SAE target does reflects a child’s seating position in a When comparing mass, Table 2 shows (the HIII–3C’s thighs are included in a CRS. Also, the neck of the Q3s is angled that the Q3s head is close to the TNO sitting form pelvis consistent with other such that the head is leveled when the target, but it is light in comparison to Hybrid III dummies, which are built dummy is seated. Thus, the Q3s height the SAE target. For the neck, the Q3s with a one-piece vinyl covering that fits measurement is an approximation only also is aligned with the TNO target, but around the pelvis and extends mid- because the dummy cannot be is light in comparison to the SAE. As thigh). Since the Q3s is not constructed positioned in the same fully erect discussed in the section below, these in this way, its torso mass is lower than posture taken by children when their differences in anthropometry the SAE target because it includes only height is measured.) specifications are not significant in the torso, not part of the thighs. The TNO and SAE specifications for terms of the biofidelity of the Q3s under Conversely, the Q3s thigh mass is higher anthropometry appear essentially the impact loading. than the SAE target, since it includes same. The anthropometry of the Q3s is The other body segment masses more of the thigh segment. also close to these specifications, with shown in Table 2 (in italics) do not The total body mass of the Q3s the exception of the chest depth and the reflect a one-to-one comparison because matches that of the HIII–3C, and is very waist circumference (both larger in the of differences in apportioning. We note close to the most recent Centers for Q3s). As compared to a human, the Q3s also that the mass of the upper Disease Control (CDC) growth charts.20 torso is more rounded in order to extremities is lighter than the SAE value Table 2, below, provides the provide greater internal space for the to compensate for the cumulative excess anthropometry and mass of various installation of the IR–TRACC. When mass of the other dummy segments, to body segments for the Q3s along with struck laterally, the rounded torso also enable the total mass of the Q3s to be the reference specifications of both helps to give the dummy a biofidelic on target.

TABLE 2—Q3S ANTHROPOMETRY AND MASS COMPARED TO TNO AND SAE TARGETS

% Difference, ANTHROPOMETRY (mm) TNO SAE Q3s Q3s vs. SAE

Standing height* ...... 954 953 986 +3 Sitting height ...... 551 546 556 +2 Shoulder height, sitting ...... 340 334 340 +2 Shoulder breadth (max) ...... 246 246 247 0 Hip breadth (seated) ...... 194 193 202 +5 Head depth ...... 177 177 180 +2 Head breadth ...... 134 135 138 +2 Head circumference ...... 500 498 502 +1 Chest breadth ...... 161 173 174 +1 Chest depth ...... 122 122 151 +24 Chest circumference, axilla ...... 508 505 523 +4 Waist circumference ...... 475 480 521 +9 Thigh height, sitting ...... 78 84 86 +2 Buttock-knee length ...... 293 284 305 +7 Shoulder-elbow distance ...... 190 193 186 ¥4 Elbow to tip of finger ...... 250 254 240 ¥6

MASS (kg)

Total mass** ...... 14 .5 14 .5 14.26 ¥2

Head ...... 2.90 3.05 2 .81 ¥8 Neck ...... 0.30 0 .40 0.31 ¥23 Torso assembly ...... 6 .20 6.61 5 .78 ¥13 Upper extremities ...... 3.50 1.82 1 .41 ¥22 Lower extremities ...... 1.50 2.63 3 .55 +35 * Comparable reference: CDC 2000, 50th percentile three-year-old, standing fully erect: boys: height=950 mm; total mass=14.3 kg girls: height=940 mm; total mass=13.8 kg **Total mass of Q3s includes its body suit, 0.40 kg.

20 CDC growth charts for year 2000 are reported charts for the United States: Methods and development. National Center for Health by Kuczmarski RJ, et al. (2002), 2000 CDC growth Statistics.Vital Health Stat 11(246), 2002.

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00006 Fmt 4701 Sfmt 4702 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69949

b. Biofidelity Assessment Under Thus, scaling techniques were used to lateral (Irwin, 2002) orientations using Dynamic Loading derive a set of biomechanical targets for Part 572-style head drop procedures. Our assessment of the Q3s is based the Q3s whereby adult PMHS data were The responses of the Q3s head are well primarily on biofidelity targets scaled to a three-year-old child. The within the SAE corridors for both established by SAE 21 for the head, neck, targets were determined by scaling the frontal and lateral drops, i.e., the shoulder, thorax, and pelvis of a three- biomechanical responses observed for responses wholly met the biofidelity year-old. (A biofidelity target is the various body segments of the midsize target for the head. adult male down to a three-year-old. desired performance that a dummy Neck should attain to be considered Given the lack of pediatric The behavior of the neck in lateral replicating the biomechanical response biomechanical data and the many flexion affects the overall motion of the of a human.) In addition, we assessed assumptions made in the scaling head. We tested the Q3s neck to lateral the Q3s against additional shoulder process, there is greater uncertainty flexion according to the SAE protocol targets based on tests carried out at Ohio associated with child biofidelity targets (Irwin, et al., 2002), which uses a State University (Bolte, 2003),22 and compared to the adult targets from standard Part 572 neck pendulum to against abdominal targets formulated by which they were derived. Therefore, observe the moment-angle relationship. TNO.23 For the most part, the biofidelity NHTSA does not consider the The Q3s neck response is entirely targets are based on pendulum impacts biofidelity targets applied herein to be within the SAE corridors, completely to body segments using cylindrical test strict prerequisites to accept the meeting the biofidelity target. probes suspended by wire. dummy. Although biofidelity targets are central to evaluating the dummy, we We also assessed the biofidelity of the Scaling of Adult Human Response Data have had to carefully analyze the Q3s neck in frontal flexion (Irwin and Biofidelity targets are based on findings to assess the biofidelity of the Mertz, 1997). In the frontal flexion observed human responses to impact child ATD, judging, among other assessment, we found that the Q3s neck loading. Generally, to assess a dummy’s factors, the extent to which the child data generally follows the shape of the biofidelity, the human’s response ATD met or missed the scaled target, corridor of the biofidelity target, characteristics must be known. To and whether this would affect the although the curve is not completely assess adult dummies, adult post usefulness of the ATD in its intended contained within the corridor. Given mortem human subjects (PMHS) are application. that neck flexion occurs mainly in the lateral direction under the intended use exposed to controlled forces, loads, and Q3s Biofidelity Assessment impacts and their responses are of the dummy, a slight nonconformity in measured. However, biomechanical The agency has prepared a supporting frontal flexion is not disconcerting. On response data on children under impact document, ‘‘Biofidelity Assessment of balance, we find the biofidelity of the loading is nonexistent or very limited, the Q3s Three-Year-Old Child Side Q3s neck to be satisfactory for use in our so other means must be used to estimate Impact Dummy (July 2012),’’ which CRS side impact safety standard under the human child’s response provides a detailed discussion of the consideration. agency’s biofidelity assessment, which characteristics. Shoulder Scaling adult PMHS data to the is summarized below. A copy of the child’s size using mass, anthropometry, report has been placed in the docket for Although there is no shoulder IARV and stiffness ratios represents the best this NPRM. The report discusses the being contemplated for the Q3s, the available method of estimating the performance of the Q3s relative to the shoulder does interact with the CRS human child’s response characteristics biofidelity targets. during the test procedure under (see Irwin and Mertz, 1997 and Irwin, A body part-by-body part synopsis of consideration for FMVSS No. 213. In 2002, for details on the scaling theory the biofidelity performance of the Q3s view of this, NHTSA evaluated the and assumptions applied by SAE). under dynamic loading is given below. biofidelity of the Q3s shoulder in For pendulum impacts, biofidelity is component testing under the loading of 21 NHTSA has evaluated the SAE targets and is generally assessed as ‘‘external’’ or a pendulum. satisfied with the technical bases underlying them. ‘‘internal.’’ External biofidelity is related The unpadded test involved the SAE The SAE targets were derived systematically using to the force generated on the face of a protocol (Irwin, 2002), which uses a a defined process. The scaling theories as well as rigid pendulum in a pure lateral the underlying anthropometric and biomechanical pendulum impact probe upon striking a test data have all been vetted and released to the subject. In other words, probe forces direction. Response criteria included public domain. SAE methods have been used by generated by dummies are compared corridors for lateral shoulder NHTSA to assess the biofidelity of the majority of against probe forces generated by displacement and for probe force. The Part 572 ATDs and we find them to be sound, data- PMHS. Internal biofidelity is related to Q3s shoulder showed high stiffness driven, and well-founded scientifically. with respect to lateral shoulder 22 The test procedure and biofidelity targets are a measurement on or within the subject described in: Bolte JH, Hines NH, Herriot RG, itself, such as shoulder deflection or displacement and probe force under this Donnelly BR, McFadden JD (2003). Shoulder impact spine acceleration, for which test protocol. response and injury due to lateral and oblique corresponding measurements are made Next we reexamined shoulder loading, Stapp Car Crash Journal, V47, SAE biofidelity under conditions that International, Warrendale, PA. on both the PMHS and the dummy. correspond more closely to the intended 23 We have used this TNO biofidelity target Head because there is none for the Q3s abdomen use of the Q3s in the FMVSS No. 213 developed by the SAE. We have not used the TNO Given that the use of the Q3s in the test procedure being contemplated: biofidelity targets for the head, neck, shoulder, FMVSS No. 213 side impact test under Those of the Ohio State protocol (Bolte thorax, and pelvis because they are derived from assumptions and underlying data within CANDAT, consideration would be to measure risk et al., 2003), which uses the same some of which have not been made fully accessible of head injury (using a linear impactor mass and speed as the SAE to the public. Thus, due to the transparency and acceleration-based head injury criterion, test but with foam padding attached to reliability of the SAE targets and because the TNO HIC), we consider head biofidelity to be the impactor face. The latter condition targets cannot be fully judged to the same degree was considered because the FMVSS No. that SAE targets can be, we have decided to use highly important for the ATD. For the primarily the SAE targets in assessing the Q3s, we assessed head biofidelity in 213 impact being contemplated exposes biofidelity of the Q3s. both frontal (Irwin and Mertz, 1997) and the Q3s to the padded side structure

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00007 Fmt 4701 Sfmt 4702 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 69950 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

(‘‘wing’’) of the child restraint in the impacts in relation to lap belt loading. Summary test. Since the Q3s would primarily be used Our biofidelity assessment of the Q3s Under the Ohio State protocol, test in side impacts to test CRSs having an is based on head drops and pendulum results also indicate that the shoulder of internal harness, abdominal loads are tests, which have demonstrated the the Q3s is stiff when assessed for not expected to be excessive. biofidelity of the test dummy. Our test biofidelity as measured by its internal Nonetheless, the loading to the results indicate that the biofidelity of deflection. However, the force response abdomen in the FMVSS No. 213 testing the Q3s is most satisfactory for the head, of the padded probe (external under consideration may have some thorax, and neck. It is in these three biofidelity) nearly matches the target. As frontal component, with the resultant body segments where proper biofidelity such, the Q3s shoulder appears to be loading being oblique. Therefore, the is most critical for the intended use of biofidelic in the manner in which it biofidelity assessment was performed the dummy in the FMVSS No. 213 test would exert force on the child restraint with an oblique impact. The Q3s system. This loading of the child procedure under consideration. performed very favorably when Relative to humans, the dummy restraint, which would affect the overall examined against the TNO established appears to be stiff in the shoulder and motion of the dummy’s upper torso and 24 targets. pelvis. For a CRS under test, the head (through which the FMVSS No. Moreover, noting that an assumption 213 injury criteria under consideration shoulder and pelvis could conceivably was made by TNO that the child act as load paths such that the thorax would be measured), appears abdomen is stiffer than the adult, representative of an actual human. deflection in the Q3s may be NHTSA re-formulated the corridor by unrealistically low relative to a human. Thorax assuming that abdomen stiffness is a However, it may not be feasible to function of the elastic modulus of soft engineer a biofidelic design into the The biofidelity of the thorax under tissue, and that child and adult moduli lateral loading is an important shoulder and pelvis at this time without are the same. (This assumption was also performance target for the Q3s since the sacrificing some other critical employed in developing the SAE agency is considering a proposal to performance features, such as corridors for other body regions.) When adopt thorax deflection as an injury durability. While a child test dummy compared against the re-formulated assessment reference value (IARV) in with a more biofidelic shoulder and corridor, the Q3s performs a little less the FMVSS No. 213 side impact test. pelvis may be developed in the future, favorably, but still follows along the Thorax biofidelity is assessed via high the agency tentatively concludes that upper bound of the corridor. Details of (6.0 m/s) and low (4.3 m/s) speed the Q3s is a suitable and valuable test this comparison are provided in our pendulum impacts prescribed by SAE. device for use in child restraint side supporting document, ‘‘Biofidelity Pendulum force corridors are used to impact testing at this time. On balance, Assessment of the Q3s Three-Year-Old assess the external biofidelity of the the agency is satisfied with the overall Child Side Impact Dummy,’’ supra at p. dummy, and upper torso (T1) biofidelity of the Q3s. 17. acceleration is used to assess internal V. Repeatability and Reproducibility biofidelity. (SAE did not develop a Pelvis biofidelity target based on thorax A test dummy’s repeatability and The external biofidelity of the pelvis reproducibility (R&R) is demonstrated deflection because PMHS in the was assessed using an SAE pendulum underlying tests were not instrumented in sled tests and component tests. Sled impact protocol (lateral impact of 2.27 tests establish the consistency of the as such.) kg rigid impact probe at 4.5 m/s) and Test results indicate that the dummy’s kinematics, its impact pendulum force limits. The test results pendulum forces generated by the Q3s response as an assembly, and the indicate that the Q3s pelvis appears stiff are within the corridors for both high integrity of the dummy’s structure and relative to a child. The dummy had been and low speed tests. The magnitude of instrumentation under controlled and redesigned with hardened aluminum the internal T1 acceleration is also on representative crash environment test hips replacing plastic ones to improve target, though it is slightly out of phase conditions. In component tests, the its durability, and this change may have with the biofidelity corridor (i.e., the impact input as well as the test resulted in a greater force response. peak magnitude is within the limit equipment is carefully controlled to Nonetheless, in our repeatability and afforded by the corridor, but it occurs minimize external effects on the reproducibility testing with Cozy Cline about 10 ms too early). We believe this dummy’s responses. NHTSA has CRSs (discussed later), the wide scatter phase difference, which is related to the assessed the repeatability and in pelvis response did not seem to have mechanics of human thoracic tissues vs. reproducibility of the Q3s in CRS side any effect on HIC15 and chest the Q3s polymer thorax, is an acceptable impact sled tests and in component deflection. Further, the tradeoff in compromise in producing a dummy that tests. biofidelity for improved durability may is affordable, durable, and otherwise Repeatability is defined as the be necessary for use of the dummy in a practicable for use as a regulatory tool. similarity of responses from a single regulatory environment. dummy when subjected to multiple Abdomen repeats of a given test condition. 24 The TNO targets are based on a scaling of adult We assessed the biofidelity of the PMHS data in which subjects were struck in the Reproducibility is defined as the abdomen in an oblique pendulum abdomen by a pendulum aligned 30 degrees from similarity of test responses from impact using probe force targets lateral (i.e., an oblique impact). The PMHS data is multiple dummies when subjected to established by TNO. This assessment from a test series where subjects initially underwent multiple repeats of a given test thoracic impacts and then were re-used for was carried out with the probe striking abdominal impacts. The thoracic impact data were condition. A quantitative assessment of the antero-lateral aspect of the dummy used to establish thorax corridors in the ISO 9790 R&R is achieved using a statistical rather than the full lateral aspect Technical Report, the underlying source document analysis of variance. The percent because neither TNO nor SAE had upon which the SAE three-year-old targets have coefficient of variation (%CV) is a been derived. The repeat abdominal tests, however, established biofidelity targets for the were not used by ISO and thus no SAE targets are measure of variability expressed as a latter. Furthermore, abdominal provided for abdominal biofidelity subjected to percentage of the mean. The %CV is biofidelity is important mostly in frontal pendulum impacts. calculated as follows:

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00008 Fmt 4701 Sfmt 4702 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69951

Q3s. This approach was first introduced adopt side impact dummies such as the by NHTSA as a means of evaluating ES–2re midsize adult male side impact dummy repeatability when the original dummy (subpart U, 71 FR 75304, Where s = standard deviation of responses 25 subpart B Hybrid II 50th percentile male December 14, 2006) and the SID–IIs 5th X = mean of responses ATD was proposed (40 FR 33466, percentile adult female side impact We have used a %CV scale shown in August 8, 1975). Since then, the agency dummy (subpart V, 71 FR 75342, Table 3 to assess the quality of has used this approach for other 49 CFR December 14, 2006). repeatability and reproducibility of the Part 572 rulemakings, including those to

TABLE 3—%CV SCORE CATEGORIZATION FOR REPEATABILITY AND REPRODUCIBILITY

Repeatability Reproducibility % CV Score % CV Score Assessment

%CV ≤ 5 ...... %CV ≤ 6 ...... EXCELLENT. 5 < %CV ≤ 8 ...... 6 < %CV ≤ 11 ...... GOOD. 8 < %CV ≤ 10 ...... 11 < %CV ≤ 15 ...... MARGINAL. %CV > 10 ...... %CV > 15 ...... POOR.

For repeatability and reproducibility aluminum honeycomb. The peak lateral impact test to FMVSS No. 213, the Cozy assessments, acceptable limits are acceleration of the test buck was Cline child restraint produced Q3s ‘‘MARGINAL’’ and above. For approximately 25.4 g and the peak metrics that were generally high relative repeatability, the MARGINAL limit is velocity was 31.4 km/h (19.5 mph).26 to those produced by other CRSs. Thus, set at a %CV value of 10 percent. For The configuration and sled pulse we chose to evaluate the R&R of the Q3s MARGINAL reproducibility, a slightly generally corresponded to the procedure with the Cozy Cline child restraint greater %CV of 15 percent is used since under consideration for the FMVSS No. because the data indicated that these multiple dummies produce a wider 213 side impact test, except the child restraints more vigorously dispersion of response measurement loadwall had a uniform surface. exercised the dummy’s assessment of than in testing a single dummy for To assess the R&R of the Q3s in sled the injury criteria of interest compared repeatability. These limits were most tests, two dummies were each tested to other CRSs we have tested. recently used in adopting the HIII–10C five times using the sliding seat sled 10-year-old child dummy into 49 CFR buck. The simulated wall padding was The sled test results indicated Part 572 (subpart T, 77 FR 11651, replaced after each test. Two sets of seat ‘‘GOOD’’ to ‘‘EXCELLENT’’ repeatability 27 February 27, 2012). All R&R values in padding for the sliding bench were and reproducibility. The statistical the ‘‘POOR’’ category were investigated alternated after each test. The locations analysis of select measurements in all to assess the cause of the high variance. of multiple dummy landmarks were tests for each dummy and both If needed, corrective measures were measured before each test to minimize dummies combined is summarized in made to the dummy. test-to-test variation in the dummy’s Table 4. NHTSA has prepared and seated position. docketed a technical report, ‘‘Evaluation a. R&R in Sled Tests All tests were performed with of the Q3s Three Year Old Child Side In the sled tests, a CRS was mounted identical forward-facing Graco Cozy Impact Dummy: Repeatability, on a generic bench seat which was Cline child restraints, with a new child Reproducibility, and Durability (2012),’’ allowed to slide into a padded wall, restraint used for each test. These child which discusses the test procedures and generating lateral impact loading on the restraints were sold for children results in greater detail. The report also CRS and the Q3s dummy. The weighing 9 to 18 kg (20 to 40 lb). In CRS provides references for the location of deceleration pulse of the sliding bench tests performed in support of NHTSA’s the test data including sensor signals seat was controlled by the crush of proposed rulemaking to add a side and videography.

TABLE 4—SUMMARY OF SLED TEST RESPONSES FOR SELECT CHANNELS

Dummy S/N 006 Dummy S/N 007 Combined Data Used for: Parameter Std Std Std Avg dev % CV Avg dev % CV Avg dev % CV

FMVSS 1 ...... HIC15 ...... 700 14.8 2 708 19.4 3 704 16.8 2 P572 2 & FMVSS 1 ...... Thorax Y-Disp, mm ...... 34 0.8 2 33 2.8 9 34 2.0 6 Part 572 2 ...... Head Res-Accel, g...... 97 2.1 2 96 2.0 2 96 2.0 2 R&D 3 ...... Neck Y-force, N...... 744 56.5 8 687 57.3 8 716 61.4 9 Part 572 2 ...... Neck X-Moment, Nm...... 31 3.8 12 28 2.3 8 29 3.4 12 Part 572 2 ...... Shoulder Y-Disp, mm ...... 24 1.0 4 24 0.8 3 24 0.8 4 R&D 3 ...... Up spine Res-Accel, g ...... 65 3.3 5 65 8.2 13 65 5.9 9 R&D 3 ...... Lumbar Y-Force, N ...... 324 20.7 6 343 38.8 11 333 31.0 9 R&D 3 ...... Pelvis Res-Accel, g ...... 101 15.8 16 106 22.9 22 104 18.7 18

25 Standard deviations are based on a sample and subjected to a side impact by a moving deformable evaluate the Q3s’s durability. The dummies met all calculated using the ‘‘n-1’’ method. barrier as specified in FMVSS No. 214, ‘‘Side of the preliminary qualification response 26 The acceleration of the test buck is intended to impact protection.’’ requirements, both before and after the sled series. mimic the impulse experienced by a CRS installed 27 Qualification tests were performed on each in the rear seat of a small passenger vehicle dummy before and after the sled test series to

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00009 Fmt 4701 Sfmt 4702 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 EP21NO13.000 69952 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

TABLE 4—SUMMARY OF SLED TEST RESPONSES FOR SELECT CHANNELS—Continued

Dummy S/N 006 Dummy S/N 007 Combined Data Used for: Parameter Std Std Std Avg dev % CV Avg dev % CV Avg dev % CV

Part 572 2 ...... Pubic Y-Force, N ...... 388 43.4 11 324 75.5 23 356 67.1 19 1 CRS requirement under consideration for a FMVSS No. 213 side impact test. 2 Qualification for proposed Part 572. 3 Injury assessment for research and development (R&D) only.

The following discusses the sled test to elbow positioning, the agency has reproducibility also becomes results that relate to responses of developed a procedure to position the ‘‘EXCELLENT.’’ primary importance to the dummy’s use elbow at a specific angle relative to the Pelvis Resultant-Acceleration, Lumbar in side impact, i.e., primarily thorax. Y-Force, and Pubic Y-Force measurements under consideration for Neck Y-Force and X-Moment use in the FMVSS No. 213 side impact Poor repeatability was observed in the test, and measurements that would Neck Y-force and X-moment pelvic and lumbar responses. Pelvis serve as Part 572 qualification targets. responses exhibited ‘‘GOOD’’ and resultant acceleration response curves Other measurements commonly ‘‘MARGINAL’’ reproducibility, revealed a sharp spike in the data examined in research efforts are also respectively. A closer inspection of the around 90 ms. These spikes obscured discussed below. data indicates that the peak neck force the true data peaks, which occurred around 85 ms, and therefore present a Head Acceleration and HIC15 in one of the tests for dummy serial number 006 was about 40 percent lower negative effect on the repeatability As seen in Table 4, head acceleration than the other four tests, for reasons that analysis. A similar spike, of lesser and HIC15 both displayed could not be determined by the test magnitude, was evident in the lumbar ‘‘EXCELLENT’’ repeatability and technicians. If test 3 were removed from Y-force responses, also around the 90 reproducibility. Since these responses the dataset, the repeatability of dummy ms mark of the event. The source of the data spikes were are being considered as injury criteria 006 for neck X-moment becomes subsequently determined by NHTSA to for our CRS side impact requirements, ‘‘EXCELLENT’’ and the overall emanate from ‘‘knee knock.’’ The we believe it is very important for these reproducibility becomes ‘‘GOOD.’’ responses to exhibit a high degree of dummy’s knees are hard plastic repeatability. It is notable that the Shoulder Y-Displacement components, and they contacted each average HIC15 value was 704. This other precisely at the instant that the value exceeds the IARVs under The shoulder displacement, as spikes occurred in the pelvis consideration for our CRS requirements, measured by the Q3s’s internal string acceleration and lumbar Y-force thus demonstrating that the dummy has potentiometer, also displayed channels. This condition has since been very good R&R up to and beyond the ‘‘EXCELLENT’’ repeatability in both mitigated in the final Q3s design which expected pass/fail limit. dummies as well as in its overall incorporates a padded covering over the reproducibility when the responses of medial aspect of the knees to dampen Thorax Deflection both dummies are combined. Although the force of impact. Thorax deflection (labeled ‘‘Thorax Y- there is no IARV associated with The repeatability of the pubic Y-force Disp’’ in Table 4), as measured by the shoulder displacement, the average measurement was also shown to be IR–TRACC, also displayed measurement of 24 mm is fairly high in ‘‘POOR.’’ This rating is not attributed to ‘‘EXCELLENT’’ reproducibility when comparison to the values obtained in the knee knock condition. Rather, pubic the responses of both dummies were research tests from other tested CRSs. Y-force appears to be a measurement combined. The average measurement of Again, this attests to the good that is highly sensitive to any variation 34 mm exceeds the IARVs under performance of the dummy in in the test conditions. Nonetheless, consideration for our CRS requirements, conditions beyond those to which the variations in pubic Y-force do not which attests to the reliable ATD will typically be exposed in an appear to affect the dummy’s head performance of the dummy at pass/fail FMVSS No. 213 compliance test. acceleration and thorax Y-displacement limits. Upper Spine Acceleration (the IARVs we are exploring for the We note that for dummy serial FMVSS No. 213 side impact test under number 007, the thorax y-displacement The overall reproducibility of both consideration), which exhibited low is only ‘‘MARGINAL.’’ Closer inspection dummies combined was ‘‘GOOD,’’ variability despite the scatter in pubic of the lateral thorax displacement data although the upper spine resultant force. indicates that the response for one of the acceleration for dummy 007 displayed tests was quite different than that of the ‘‘POOR’’ repeatability. However, as with Supplemental Tests previous four tests. Our review of the the lateral thorax displacement In consideration of the ‘‘MARGINAL’’ pre-test positioning data revealed that in responses, the upper spine acceleration performance observed for some of the test 5, the dummy’s elbow location for test 5 of dummy 007 was anomalous responses in the previous sled test relative to other body landmarks was as compared to the previous four tests. series, we ran another series of Cozy farthest away from the average location. We believe that this result is related to Cline tests with the final version of the We believe that the elbow position the issue of arm position. We note that Q3s. The final Q3s incorporated the relative to the dummy’s torso played a if test 5 were removed from the dataset, aforementioned pads on the medial critical role in the amount of subsequent the ‘‘POOR’’ repeatability of dummy 007 surfaces of the knees as well as a lateral thorax displacement. Because for upper spine acceleration becomes simplified design of the neck center these data show an apparent sensitivity ‘‘EXCELLENT’’ and the overall cable. The older cable design was

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00010 Fmt 4701 Sfmt 4702 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69953

thought to contribute to the non- compared to the previous set of tests revised neck center cable, and the uniformity observed in the earlier sled shown in Table 4, the supplemental elimination of knee knock, respectively. tests. Additionally, we added a padded series demonstrate improved Pubic force repeatability was again door panel and positioned the arm at 25 repeatability in measurements of rated as ‘‘POOR.’’ Since the revisions to degrees to be more consistent with what shoulder and thorax deflection, neck the dummy and test protocol were not is under consideration for the proposed loads, and pelvis acceleration. These aimed at improving this measure, the side impact test protocol. improvements are directly related to a ‘‘POOR’’ rating was not unexpected. The results for this supplemental test new arm positioning protocol, the series are shown in Table 5. As

TABLE 5—SUMMARY OF SUPPLEMENTAL SLED TEST RESPONSES FOR SELECT CHANNELS

Dummy S/N 004 Used for: Parameter Avg Std dev % CV

FMVSS 1 ...... HIC15 ...... 795 22 .2 3 P572 2 & FMVSS 1 ...... Thorax Y-Disp, mm ...... 17.8 0.7 4 Part 572 2 ...... Head Res-Accel, g ...... 110 3 .6 3 R&D 3 ...... Neck Y-force, N ...... 630 42 7 Part 572 2 ...... Neck X-Moment, Nm ...... 28 .0 1.9 7 Part 572 2 ...... Shoulder Y-Disp, mm ...... 24 .3 0.5 2 R&D 3 ...... Up spine Res-Accel, g ...... 129 6.8 5 R&D 3 ...... Lumbar Y-Force, N ...... 765 69 9 R&D 3 ...... Pelvis Res-Accel, g ...... 97 .1 8.5 9 Part 572 2 ...... Pubic Y-Force, N ...... 557 118 21 1 CRS requirement under consideration for a FMVSS No. 213 side impact test. 2 Qualification for proposed Part 572. 3 Injury assessment for research and development (R&D) only.

b. R&R in Component Qualification Head Drop Tests TABLE 6—SUMMARY OF FRONTAL Tests Head qualification consisted of two HEAD DROP RESPONSES—Continued Test dummies specified in 49 CFR test components: Frontal and lateral head drops. The frontal head drop was Resultant Part 572 are subjected to a series of Dummy S/N accel (g) conducted from a height of 376 mm, qualification tests to ensure that their while the lateral head drop was components are functioning properly. stdev ...... 7.68 conducted at 200 mm. %CV ...... 2.80 The qualification tests proposed for the Four Q3s dummy heads were each Q3s are discussed further in a later subjected to six frontal head drops, five section. We have proposed qualification left-side lateral drops, and five right- TABLE 7—SUMMARY OF LATERAL tests for the dummy’s head, neck, side lateral drops. The responses are HEAD DROP RESPONSES shoulder, thorax, lumbar, and pelvis, summarized in Table 6 for frontal drops assessing 35 response mechanisms for and in Table 7 with left- and right-side Orientation Resultant Dummy S/N L&R accel (g) the dummy. tests combined. Each individual head We tested NHTSA’s four Q3s units to was rated as having ‘‘EXCELLENT’’ 004 ...... Avg ...... 131.3 the proposed qualification tests, repeatability in both the frontal and Stdev ...... 3.50 assessing among other matters the lateral modes. When combining the %CV ...... 2.67 performance of the units when tested to responses, the reproducibility of all four 006 ...... Avg ...... 124.7 heads was also rated as ‘‘EXCELLENT’’ Stdev ...... 3.64 the qualification tests, and the %CV ...... 2.92 repeatability and reproducibility of the in both the frontal and lateral test modes. 007 ...... Avg ...... 127.1 dummies. The findings are discussed in Stdev ...... 3.92 the technical report, ‘‘Evaluation of the %CV ...... 3.08 TABLE 6—SUMMARY OF FRONTAL Q3s Three Year-Old Child Side Impact 008 ...... avg ...... 123.2 Dummy: Repeatability, Reproducibility, HEAD DROP RESPONSES stdev ...... 4.08 %CV ...... 3.31 and Durability,’’ supra. All ...... avg ...... 126.6 Dummy S/N Resultant R&R in the component qualification accel (g) stdev ...... 4.78 tests were assessed by testing the four %CV ...... 3.78 Q3s dummies, all conforming to the 004 ...... avg ...... 273.0 stdev ...... 3.86 latest available revision level. Tests %CV ...... 1.41 Neck Pendulum Tests were run for both right and left side 006 ...... avg ...... 276.5 Flexion Tests. The two flexion tests impacts. Average, standard deviation, stdev ...... 2.48 utilized the Part 572 neck pendulum and coefficient of variation were %CV ...... 0.90 and a headform designed to mimic the computed for each required 007 ...... avg ...... 282.0 inertial properties of the head (Part 572, measurement parameter of each stdev ...... 4.35 Subpart E, Figure 22). The frontal %CV ...... 1.54 qualification procedure. We used the 008 ...... avg ...... 263.5 flexion test was at a 4.7 m/s impact same guidelines to rate R&R as was used stdev ...... 5.12 speed and the lateral test was at a 3.8 previously in our R&R evaluation using %CV ...... 1.94 m/s speed. Both tests prescribed a sled tests (see Table 3, supra). All ...... avg ...... 273.8 deceleration pulse. For the frontal

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00011 Fmt 4701 Sfmt 4702 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 69954 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

flexion tests, four Q3s dummy necks Reproducibility was also ‘‘EXCELLENT’’ specifies a 3.6 m/s impact speed with a were subjected to five tests. For lateral for all four necks combined. defined deceleration pulse. Each of the flexion, each of the four necks was Neck Torsion. During CRS testing, the four Q3s dummy necks was subjected to subjected to five left-side tests and five Q3s neck may flex with varying degrees five left-side tests and five right-side right-side tests. of neck twist. We have therefore tests. The responses are summarized in The responses are summarized in developed a procedure to assure that the Table 10 with left- and right-side tests Table 8 (frontal flexion) and Table 9 neck is repeatable under twist. The new combined. Each individual neck (lateral flexion). For the frontal flexion neck torsion test uses a special test provided ‘‘EXCELLENT’’ repeatability and lateral flexion tests, each individual fixture attached to the Part 572 for all criteria considered. neck provided ‘‘EXCELLENT’’ pendulum, which imparts a pure torsion Reproducibility was also ‘‘EXCELLENT’’ repeatability for all criteria considered. moment to the isolated neck. The test for all four necks combined.

TABLE 8—SUMMARY OF FRONTAL FLEXION NECK PENDULUM TEST RESPONSES

Max angle Peak Y-moment Head rotation Dummy S/N angle time moment time decay time, ms deg ms N-m ms

004 ...... Avg ...... 77 .1 58 .5 47 .1 54 .3 52.2 stdev ...... 0.42 0 .62 0.63 1.02 0 .10 %CV ...... 0.55 1 .06 1.35 1 .88 0.20 006 ...... Avg ...... 77 .5 59 .3 46 .0 56 .1 52.2 stdev ...... 0.74 0 .84 1.10 1.89 0 .20 %CV ...... 0.96 1 .42 2.40 3 .38 0.38 007 ...... Avg ...... 74 .3 58 .3 46 .8 55 .7 51.3 stdev ...... 0.79 0 .70 0.71 1.47 0 .17 %CV ...... 1.07 1 .20 1.51 2 .64 0.34 008 ...... Avg ...... 74 .8 57 .9 46 .9 54 .2 51.2 stdev ...... 0.69 0 .65 1.90 1.10 0 .23 %CV ...... 0.92 1 .12 4.04 2 .03 0.45 All ...... Avg ...... 76 .1 58.7 46 .4 55 .5 51 .7 stdev ...... 1.77 1 .12 1.50 2.00 0 .48 %CV ...... 2.33 1 .90 3.23 3 .61 0.93

TABLE 9—SUMMARY OF LATERAL FLEXION NECK PENDULUM TEST RESPONSES

Max angle Peak X-moment Orientation Head rotation Dummy S/N L&R angle time moment time decay time, ms deg ms N-m ms

004 ...... avg ...... 83.3 68 .8 28 .4 69 .5 66 .6 stdev ...... 0.53 0.60 1 .48 0.78 0 .53 %CV ...... 0.63 0 .87 5.23 1.13 0 .79 006 ...... avg ...... 85.2 69 .9 28 .8 70 .6 66 .8 stdev ...... 0.32 0.64 0 .82 0.55 0 .68 %CV ...... 0.37 0 .91 2.84 0.77 1 .01 007 ...... avg ...... 81.0 68 .0 27 .7 69 .4 65 .5 stdev ...... 0.44 0.79 0 .59 0.90 0 .60 %CV ...... 0.55 1 .16 2.14 1.29 0 .92 008 ...... avg ...... 81.7 67 .7 27 .9 68 .8 65 .8 stdev ...... 0.73 0.56 0 .71 0.70 0 .87 %CV ...... 0.89 0 .82 2.53 1.02 1 .32 All ...... avg ...... 82 .8 68 .6 28.2 69 .6 66 .2 stdev ...... 1.69 1.08 1 .05 0.98 0 .86 %CV ...... 2.04 1 .57 3.72 1.41 1 .30

TABLE 10—SUMMARY OF TORSIONAL NECK PENDULUM TEST RESPONSES

Max angle Peak Z-moment Orientation Head rotation Dummy S/N L&R angle time moment time decay time, ms deg ms N-m ms

004 ...... avg ...... 84.9 102 .3 9.0 96 .2 93 .8 stdev ...... 0.39 0.51 0 .03 0.82 0 .64 %CV ...... 0.46 0 .50 0.28 0.85 0 .68 006 ...... avg ...... 89.7 108 .4 8.3 102 .1 99.0 stdev ...... 0.53 0.52 0 .07 2.03 0 .51 %CV ...... 0.59 0 .48 0.84 1.99 0 .52 007 ...... avg ...... 80.7 98 .7 9 .2 90 .8 89 .8 stdev ...... 1.22 0.60 0 .31 1.39 1 .05 %CV ...... 1.51 0 .61 3.35 1.53 1 .17

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00012 Fmt 4701 Sfmt 4702 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69955

TABLE 10—SUMMARY OF TORSIONAL NECK PENDULUM TEST RESPONSES—Continued

Max angle Peak Z-moment Orientation Head rotation Dummy S/N L&R angle time moment time decay time, ms deg ms N-m ms

008 ...... avg ...... 81.3 99 .3 9 .0 91 .9 90 .9 stdev ...... 1.50 0.72 0 .08 0.78 0 .77 %CV ...... 1.85 0 .72 0.84 0.85 0 .84 All ...... avg ...... 84 .2 102 .2 8.9 95 .2 93 .4 stdev ...... 3.71 3.89 0 .37 4.64 3 .62 %CV ...... 4.40 3 .80 4.21 4.87 3 .88

Shoulder Impact Shoulder tests consisted of a lateral right-side tests combined. The shoulder This test assures that the shoulder impact to the shoulder using a 3.8 kg responses for each individual dummy acts uniformly in the way it deforms probe at an impact speed of 3.6 m/s. were rated as having ‘‘EXCELLENT’’ under load and distributes the load Each of the four Q3s dummies was repeatability. The reproducibility of under a direct lateral impact, thus impacted five times on both their left shoulder responses for all four dummies helping to assure that whole-body and right shoulders. The responses are combined was also rated as kinematics of the ATD are consistent. summarized in Table 11 with left- and ‘‘EXCELLENT.’’

TABLE 11—SUMMARY OF SHOULDER TEST RESPONSES

Shoulder Dummy S/N Orientation displacement Probe force L&R (mm) (N)

004 ...... Avg ...... 18 .4 1281 .5 Stdev ...... 0 .47 27 .99 %CV ...... 2.57 2 .18 006 ...... Avg ...... 19 .0 1270 .3 Stdev ...... 0 .35 12 .91 %CV ...... 1.84 1 .02 007 ...... Avg ...... 18 .8 1295 .0 Stdev ...... 0 .46 13 .55 %CV ...... 2.46 1 .05 008 ...... Avg ...... 18 .6 1280 .1 Stdev ...... 0 .83 10 .75 %CV ...... 4.48 0 .84 All ...... Avg ...... 18 .7 1281.7 Stdev ...... 0 .58 19 .16 %CV ...... 3.12 1 .50

Thorax Impacts Both tests utilized a lateral impact with laterally at a speed of 3.3 m/s. Each of a 3.8 kg probe. the agency’s four dummies was The thorax qualification tests were In the ‘‘thorax without arm’’ test, the impacted five times on both the left and conducted two ways: Without arm arm was completely removed from the right sides. Table 12 below provides a interaction (as in the SAE test) and with dummy. The 3.8 kg test probe was summary of the responses with left- and the arm attached and down such that aligned with the thorax displacement right-side tests combined. the impact probe strikes the upper arm. IR–TRACC and impacted the thorax

TABLE 12—SUMMARY OF THORAX WITHOUT ARM QUALIFICATION TEST RESPONSES

Thorax Dummy S/N Orientation displacement Probe force L&R (mm) (N)

004 ...... avg ...... 27.3 705 .2 stdev ...... 0.45 15 .52 %CV ...... 1.66 2 .20 006 ...... avg ...... 28.6 665 .1 stdev ...... 0.77 27 .83 %CV ...... 2.69 4 .18 007 ...... avg ...... 28.1 692 .1 stdev ...... 0.19 22 .92 %CV ...... 0.67 3 .31 008 ...... avg ...... 26.3 710 .9 stdev ...... 0.19 19 .51 %CV ...... 0.70 2 .74 All ...... avg ...... 27 .6 693 .3

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00013 Fmt 4701 Sfmt 4702 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 69956 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

TABLE 12—SUMMARY OF THORAX WITHOUT ARM QUALIFICATION TEST RESPONSES—Continued

Thorax Dummy S/N Orientation displacement Probe force L&R (mm) (N)

stdev ...... 1.00 27 .63 %CV ...... 3.63 3 .99

For the ‘‘arm attached’’ test, the upper impact speed of the probe was 5.0 m/ summary of the test results with left- arm was positioned vertically and s. and right-side tests combined. aligned with the dummy’s thorax. The Each of the four test dummies was lower arm was positioned to make a 90 impacted five times on both the left and degree angle with the upper arm. The right sides. Table 13 provides a

TABLE 13—SUMMARY OF THORAX WITH ARM ATTACHED QUALIFICATION TEST RESPONSES

Thorax Peak probe Dummy S/N Orientation displacement force after 5 ms L&R (mm) (N)

004 ...... avg ...... 26.0 1527 .5 stdev ...... 0.63 28 .58 %CV ...... 2.41 1 .87 006 ...... avg ...... 26.3 1567 .1 stdev ...... 0.55 46 .47 %CV ...... 2.09 2 .97 007 ...... avg ...... 25.9 1512 .7 stdev ...... 0.37 60 .32 %CV ...... 1.44 3 .99 008 ...... avg ...... 25.2 1542 .3 stdev ...... 0.48 45 .96 %CV ...... 1.92 2 .98 All ...... avg ...... 25 .9 1537 .4 stdev ...... 0.64 49 .28 %CV ...... 2.46 3 .21

For thorax impacts both with and contact from the probe’s response due to 1 below). Analysis of the response without the arm, each dummy was rated its interaction with the thorax. The curves indicated that the first peak as having ‘‘EXCELLENT’’ repeatability. typical probe force response curve typically occurred before 5 ms, and the Furthermore, the responses of all four exhibited dual peaks of nearly equal second peak occurred after 5 ms. dummies combined produced a rating of magnitude, with the first peak occurring Because the second peak is more closely ‘‘EXCELLENT’’ reproducibility. upon initial impact of the probe with related to the resistive force of the Note that the peak probe force was the arm and the second peak occurring thorax, we concluded that the first peak taken after 5 ms to separate the probe’s as the arm loaded the thorax (see Figure was not determinative. initial inertial response during arm

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00014 Fmt 4701 Sfmt 4702 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69957

Lumbar Pendulum Tests headform device utilized in the neck summarized in Table 14 (frontal) and Lumbar testing consisted of two types qualification tests. Frontal and lateral Table 15 (lateral) with left- and right- of pendulum tests: A frontal test and a tests were conducted at an impact speed side tests combined. The repeatability of lateral test. For both tests, the lumbar of 4.4 m/s. each lumbar element was rated as either spine element containing the flexible Five frontal tests were carried out on ‘‘EXCELLENT’’ or ‘‘GOOD’’ for all test column was removed from the dummy lumbar elements from each of the four measurements. The reproducibility of similar to the neck qualification tests. test dummies. For the lateral tests, five responses of all four lumbar elements Lumbar tests were conducted using the were conducted on the left side and five combined was ‘‘EXCELLENT’’ for all same Part 572 neck pendulum and the on the right side. The results are measurements.

TABLE 14—SUMMARY OF FRONTAL LUMBAR PENDULUM TEST RESPONSES

Max angle Peak Y-moment Head rotation Dummy S/N angle time moment time decay time, ms deg ms N-m ms

004 ...... avg ...... 52.8 55 .1 84 .2 51 .2 53 .8 stdev ...... 1.05 0.89 1 .46 3.75 0 .34 %CV ...... 1.99 1 .61 1.74 7.31 0 .63 006 ...... avg ...... 52.5 54 .8 87 .1 51 .4 52 .7 stdev ...... 1.79 0.81 0 .85 2.81 0 .61 %CV ...... 3.40 1 .48 0.97 5.48 1 .15 007 ...... avg ...... 53.4 56 .1 84 .2 51 .4 53 .9 stdev ...... 1.41 0.89 1 .38 3.02 0 .68 %CV ...... 2.65 1 .58 1.64 5.88 1 .26 008 ...... avg ...... 51.4 54 .4 88 .5 50 .8 52 .3 stdev ...... 1.13 0.71 2 .21 2.06 0 .27 %CV ...... 2.19 1 .31 2.49 4.06 0 .52 All ...... avg ...... 52 .5 55 .1 86.0 51 .2 53 .2 stdev ...... 1.47 0.99 2 .39 2.74 0 .85 %CV ...... 2.79 1 .79 2.78 5.35 1 .60

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00015 Fmt 4701 Sfmt 4702 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 ep21no13.001 69958 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

TABLE 15—SUMMARY OF LATERAL LUMBAR PENDULUM TEST RESPONSES

Max angle Peak X-moment Orientation Head rotation Dummy S/N L&R angle time moment time decay time, ms deg ms N-m ms

004 ...... avg ...... 52.7 54 .3 86 .2 50 .2 53 .4 stdev ...... 1.58 1.47 2 .23 3.75 0 .88 %CV ...... 3.01 2 .71 2.59 7.47 1 .66 006 ...... avg ...... 53.5 54 .6 89 .2 51 .1 52 .8 stdev ...... 2.05 1.30 3 .01 2.38 0 .83 %CV ...... 3.82 2 .38 3.38 4.67 1 .56 007 ...... avg ...... 51.7 54 .5 88 .4 52 .7 54 .8 stdev ...... 1.75 1.13 2 .57 2.74 2 .17 %CV ...... 3.39 2 .07 2.91 5.20 3 .96 008 ...... avg ...... 54.2 55 .6 86 .7 51 .2 51 .6 stdev ...... 1.51 1.04 3 .26 2.29 2 .07 %CV ...... 2.79 1 .88 3.76 4.47 4 .01 All ...... avg ...... 53 .0 54 .7 87.6 51 .3 53 .1 stdev ...... 1.93 1.29 2 .96 2.89 1 .94 %CV ...... 3.63 2 .36 3.38 5.63 3 .66

Pelvis Impact of the test results can be found in Table impacts. For the other three dummies, A lateral impact with the 3.8 kg probe 16 with left- and right-side tests the difference was only 50–60 N. at 4.0 m/s was used to test the pelvis. combined. Despite the differences, repeatability— Repeat tests were conducted according The repeatability of each individual when assessed by combining right and to the test procedures described in the dummy’s response was rated as left impacts—only fell out of the technical report, ‘‘Qualification ‘‘EXCELLENT’’ except for the peak ‘‘EXCELLENT’’ category for dummy Procedures for the Q3s Child Side pubic force response of dummy serial serial number 006. When left and right Impact Crash Test Dummy,’’ supra. For number 006, which was rated as impacts for all dummies were each dummy in the evaluation, NHTSA ‘‘GOOD.’’ For this particular dummy, combined, reproducibility was rated as conducted five impacts to both the left the pubic force was about 75 N higher ‘‘EXCELLENT’’ for both the peak pubic and right side of the pelvis. A summary for right side impacts than left side force and the peak probe force.

TABLE 16—SUMMARY OF PELVIS QUALIFICATION TEST RESPONSES

Orientation Pubic force Probe force Dummy S/N L&R (N) (N)

004 ...... avg ...... 745.3 1651 .0 stdev ...... 31.33 22 .78 %CV ...... 4.20 1 .38 006 ...... avg ...... 782.3 1698 .9 stdev ...... 41.07 20 .68 %CV ...... 5.25 1 .22 007 ...... avg ...... 801.0 1679 .1 stdev ...... 29.31 25 .59 %CV ...... 3.66 1 .52 008 ...... avg ...... 822.3 1738 .1 stdev ...... 27.02 20 .69 %CV ...... 3.29 1 .19 All ...... avg ...... 787.7 1691.8 stdev ...... 42.48 38 .71 %CV ...... 5.39 2 .29

VI. Qualification Tests compliance tests specified in Federal a. Overview of Proposed Corridors This NPRM proposes a set of motor vehicle safety standards, and for Proposed qualification requirements qualification tests for the Q3s. In other testing purposes. Performance for the Q3s are shown in Table 16. general, Part 572 qualification tests within these corridors assures that the NHTSA has published a technical assess the components that play a key dummy is capable of responding document, ‘‘Qualification Procedures role in the dummy’s performance in the properly in a compliance or research for the Q3s Child Side Impact Crash intended regulatory application. The test, while performance outside of these Test Dummy (NHTSA, 2013),’’ tests qualify the dummy as an objective corridors indicates the need for describing the equipment, test set-ups and suitable test device for the adjustment, repair or replacement. and procedures. A copy of the report assessment of occupant safety in has been placed in the docket.

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00016 Fmt 4701 Sfmt 4702 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69959

TABLE 17—PROPOSED Q3S QUALIFICATION REQUIREMENTS

Test Measurement Units Corridor

Head—Frontal ...... Resultant acceleration ...... G 250–297 Head—Lateral ...... Resultant acceleration ...... G 113–140 Neck—Flexion ...... Maximum rotation ...... deg 70–82 Time of max rotation ...... msec 55–63 Peak moment (My) ...... N-m 41–51 Time of peak My ...... msec 49–62 Decay time to 0 from peak angle ...... msec 50–54 Neck—Lateral ...... Maximum rotation ...... deg 77–88 Time of max rotation ...... msec 65–72 Peak moment (Mx) ...... N-m 25–32 Time of peak Mx ...... msec 66–73 Decay time to 0 from peak angle ...... msec 63–69 Neck—Torsion ...... Maximum rotation ...... deg 75–93 Time of max rotation ...... msec 91–113 Peak moment (Mz) ...... N-m 8–10 Time of peak Mz ...... msec 85–105 Decay time to 0 from peak angle ...... msec 84–103 Shoulder ...... Lateral displacement ...... mm 16–21 Peak probe force ...... kN 1.24–1.35 Thorax with Arm ...... Lateral displacement ...... mm 23–28 Peak probe force ...... kN 1.38–1.69 Thorax without Arm ... Lateral displacement ...... mm 24–31 Peak probe force ...... N 620–770 Lumbar—Flexion ...... Maximum rotation ...... deg 48–57 Time of max rotation ...... msec 52–59 Peak moment (My) ...... N-m 78–94 Time of peak My ...... msec 46–57 Decay time to 0 from peak angle ...... msec 50–56 Lumbar—Lateral ...... Maximum rotation ...... deg 47–59 Time of max rotation ...... msec 50–59 Peak moment (Mx) ...... N-m 78–97 Time of peak Mx ...... msec 46–57 Decay time to 0 from peak angle ...... msec 47–59 Pelvis ...... Peak pubic load ...... N 700–870 Peak probe force ...... kN 1.57–1.81

The bounds we have proposed for the Given that all Q3s qualification data and Durability,’’ discusses how the qualification targets (the corridors) are were collected from a single laboratory agency’s four Q3s units conform to the wide enough to account for normal (VRTC), we could not factor into qualification requirements. This report variations in dummy and laboratory account unknown variability associated also discusses our rationale for the tests differences, and narrow enough to with different labs, operators, dummies, and proposed response requirements assure consistent and repeatable and other allowable variances such as needed to qualify the Q3s. For each test, measurements in compliance testing. temperature and humidity that may not the impact energy level and the Our proposed bounds are based on tests be present in our dataset. We will selection of the targeted measurements conducted at a single laboratory, continue to collect qualification data, were chosen by balancing multiple NHTSA’s Vehicle Research and Test and we will examine all qualification criteria, as described below. Center (VRTC). The data were collected data provided to us by commenters. We Dummy Functionality using four Q3s units. For each anticipate that when new qualification measurement, performance targets were data are combined with our current set For each test, certain dummy sensors derived using either ±3 standard of data, in a final rule our bounds will and signal characteristics (such as the deviations from the mean or 10 percent be narrowed as reasonably possible and magnitude and timing) have been from the mean, whichever is narrower. may be no greater than two standard specified as qualification targets. By Upper and lower bounds were rounded deviations. monitoring these sensors, the to the next whole number away from the qualification tests assure that the b. Rationale for the Tests mean using three significant digits. dummy is functioning properly. Loose We recognize that from a probabilistic The technical document cited earlier or damaged dummy hardware is often standpoint, three standard deviations is in this preamble, ‘‘Evaluation of the Q3s manifested in a signal that does not an unusually wide bound. A bound of Three Year-Old Child Side Impact conform to the qualification 10 percent around a target is typical of Dummy, Repeatability, Reproducibility, requirements, thus alerting test most Part 572 ATD qualifications. Our technicians that dummy maintenance reason for initially setting the bounds to dummy manufacturers. For example, the may be needed. Conformity also assures be wide for this NPRM stem from a qualification bounds for the HIII–10C (the most that the sensors themselves are working recent test dummy to be incorporated into part 572) current lack of test data for the Q3s.28 properly. were derived from tests on about 30 different Test protocols are also designed to dummies, with data supplied from about 10 28 For other Part 572 ATDs, we set qualification different laboratories. On average, the bound widths properly demonstrate dummy bounds by examining data from multiple test labs, for the HIII–10C are about 10% of the mean, with functionality by mirroring dummy several dummies, and dummies built by different a low of 7.4% and a high of 16.3%. loading patterns seen in CRS sled tests

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00017 Fmt 4701 Sfmt 4702 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 69960 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

conducted in support of the FMVSS No. needed by test laboratories that may this application would be an 213 side impact test under already have such equipment in place improvement over potentiometers. consideration. For example, we have for qualifying other ATDs. d. Proposed Test Specifications and observed the Q3s undergoing c. New and Modified Part 572 Tests and Performance Requirements asymmetric motion as the dummy Equipment simultaneously moves forward and NHTSA proposes the following laterally. In doing so, the motion of the This NPRM proposes only one new performance specifications for the head dummy is such that it may twist itself test not found elsewhere in Part 572, a in drop tests, and for the neck, shoulder, around the edge of the CRS so that the method to assure the functionality of the thorax, lumbar spine, and pelvis in head may strike the door panel near its Q3s neck under torsion. This is a fairly pendulum tests. Performance forehead. The degree to which the simple procedure added to assure that requirements in the lateral direction dummy wraps around the seat can vary the neck is repeatable under twist. The must be met by carrying out the tests in widely depending upon the design of test involves the use of a special test the direction opposing the primary load the CRS. Thus, we have included fixture attached to the Part 572 vector of the ensuing full scale test for separate frontal and lateral qualification pendulum which imparts a pure torsion which the dummy is being qualified. requirements for the head. moment to the isolated neck. For example, if the dummy is to be used We have also included separate Additionally, a few minor changes to in an impact to the left side of a CRS, requirements for the neck and lumbar established Part 572 protocol and qualification tests on the left aspect of spine elements of the dummy, which equipment have been introduced to the dummy’s head, neck, shoulder, are flexible rubber components that improve the ease and consistency of the thorax, lumber spine, and pelvis are experience both frontal and lateral qualification tests. The pendulum probe carried out. The fore-aft performance flexion during a CRS test. used to qualify the Q3s is specified to requirements for the head, neck, and Additionally, a torsion test is be 3.81 kg, which is about twice as large lumbar spine must be met for all impact prescribed for the neck since the neck as the 1.70 kg probe used for the HIII– tests. That is, in addition to the lateral also twists along its long axis to some 3C, Subpart P qualifications (Hybrid III tests, the fore-aft tests are conducted on degree. 3-year-old child test dummy used for the ATD regardless of which side of the For the shoulder, thorax, and pelvis, frontal testing). This probe was chosen CRS is tested. we believe that only pure lateral to enable the same probe to be used for Head Drop Tests qualification requirements are needed, all Q3s qualification tests that use a The correct kinematic response of the since almost all loads pass through their probe. The heavier probe allows a range lateral aspects even in cases where the head-neck system is of substantial of reasonable test speeds to be used to importance to quantify the protection dummy twists within the CRS during attain the desired response level. Tests testing. offered by CRSs in terms of head motion speeds range from 3.6 m/s (shoulder and acceleration during an impact. This Assure Biofidelity impact) up to 5.0 m/s (thorax with arm). test serves to assure the uniformity of In contrast, the test speed for the thorax Many of the qualification test the impact response. Head qualification test of the HIII–3C with the lighter probe protocols are very similar to the consists of two test components: Frontal is 6.0 m/s. dynamic tests used to assess biofidelity. and lateral head drops. The frontal head This helps to assure that a qualified We have also proposed a new test drop is conducted from a height of 376 dummy is also a biofidelic dummy. instrument for the flexion tests of the mm, while the lateral head drop is neck and the lumbar spine. These tests conducted at 200 mm. Sufficient Energy measure relative rotation by means of The head must respond with peak The impact speeds and probe masses two angular rate sensors (ARSs). The resultant acceleration between: 250 g have been selected to demonstrate that ARSs that we specify represent a and 297 g when dropped from 376 mm the various body segments of the Q3s relatively new technology. For similar height such that the forehead lands onto are working properly at energy levels at tests with all other Part 572 dummies, a flat rigid surface; and between 113 g or near those associated with injury relative rotation is measured using a and 140 g when dropped from a 200 mm thresholds. These include pass/fail system of rotary potentiometers and a height such that the side of the head thresholds that we are considering for linking rod. Because the potentiometer lands onto a flat rigid surface. the FMVSS No. 213 side impact test. For system is mounted off-axis, it creates an Neck Pendulum Test measurements not associated with asymmetry that can create problems IARVs, such as the neck torsion with a small dummy like the Q3s. We We believe that a repeatable requirement, the energy levels are are concerned that the added mass and kinematic response of the head-neck chosen to be consistent with high-end inertia of a potentiometer system can system is important to quantify the responses observed in CRS testing. In introduce twisting of the head protection offered by CRSs in terms of general, the energy level is chosen to simulator, which may affect the limiting head excursion and head exercise the dummy but without accuracy of the measurements. acceleration in both a head impact and causing damage. ARS units, on the other hand, are a non-impact situation. Under the CRS lightweight and compact. They do not test protocol under consideration by the Proven Soundness of Part 572 require a connecting rod and they can agency, the primary kinematic motion of To the extent possible, we have based be mounted very near to the headform’s the head is in the lateral direction, but the proposed test protocols and devices axis of symmetry so that their the head also twists and turns in other on qualification tests set forth for other propensity to twist during a test due to directions to a lesser extent. Given the test dummies in Part 572. The the added mass is greatly reduced. importance of head motion, we believe qualification tests have been proven Furthermore, throughout our testing of a full set of neck qualification reliable and sound in qualifying the Q3s the angular rate sensors have requirements is warranted to assure NHTSA’s other test dummies. Moreover, been observed to produce very accurate uniformity. Therefore, our proposed using the same basic tests minimizes the measures of rotation. We tentatively neck qualification consists of three test amount of new qualification equipment conclude that use of the ARS units in components: Frontal flexion, lateral

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00018 Fmt 4701 Sfmt 4702 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69961

flexion, and torsion neck pendulum For the ‘‘arm attached’’ test, the upper • In frontal flexion, at not less than tests. arm is positioned vertically and aligned between 48 degrees and 57 degrees The neck would have to allow the with the dummy’s thorax. The lower occurring between 52 ms and 59 ms headform to articulate in pendulum arm is positioned to make a 90 degree from time zero and decaying back to tests at: angle with the upper arm. The loading zero angle between 50 ms and 56 ms • 4.7 m/s in frontal flexion, at of the ribcage goes through the arm. The after the peak rotation; the value of the between 70 degrees and 82 degrees impact speed of the probe is 5.0 m/s. maximum moment must be between 78 occurring between 55 ms and 63 ms This test assures uniformity of the arm N-m and 94 N-m occurring between 46 from time zero and decaying back to the in the way it absorbs energy and ms and 57 ms from time zero; and, zero angle between 50 ms and 54 ms interacts with the thorax under a direct • in lateral flexion, at not less than after the peak rotation; the value of the lateral impact. between 47 degrees and 59 degrees maximum moment must be between 41 The thorax exposed to a pendulum occurring between 50 ms and 59 ms N-m and 51 N-m occurring between 49 impact: from time zero and decaying back to ms and 62 ms from time zero, • zero angle between 47 ms and 59 ms • At 3.3 m/s, without arm, is to 3.8 m/s in lateral flexion, at exhibit a peak thorax deflection between after the peak rotation; the value of the between 77 degrees and 88 degrees 24 mm and 31 mm, and a peak maximum moment must be between 78 occurring between 65 ms and 72 ms resistance force between 620 N and 770 N-m and 97 N-m occurring between 46 from time zero and decaying back to the N; and, ms and 57 ms from time zero. zero angle between 63 ms and 69 ms • at 5.0 m/s, with arm attached, is to Pelvis Impact after the peak rotation; the value of the exhibit a peak thorax deflection between maximum moment must be between 25 23 mm and 28 mm, and a peak A lateral impact with the 3.8 kg probe N-m and 32 N-m occurring between 66 resistance force between 1,380 N and at 4.0 m/s is used to test the pelvis. This ms and 73 ms from time zero, and 1,690 N occurring after 5 ms from time test protocol is very similar to the SAE • 3.6 m/s in torsion, at between 75 zero. biofidelity test. The pelvis exposed to a degrees and 93 degrees occurring As explained previously, the peak pendulum impact at 4.0 m/s is to between 91 ms and 113 ms from time probe force is taken after 5 ms to exhibit a peak pubic load between 700 zero and decaying back to the zero angle separate the probe’s initial inertial N and 870 N, and a peak force measured between 84 ms and 103 ms after the response during arm contact from its by the pendulum between 1570 N and peak rotation; the value of the maximum response due to its interaction with the 1810 N. moment must be between 8 N-m and 10 thorax. The net effect of recording the N-m occurring between 84 ms and 103 Other peak probe force after 5 ms is the ms from time zero. We have not included a qualification elimination of the first peak. test aimed specifically at the Q3s Shoulder Impact Test Lumbar Tests abdomen. We tentatively believe that Though injury assessment is not any non-uniformity in stiffness due to The rubber lumbar column bends to generally associated with the shoulder, the absence of a qualification some extent during a CRS side impact the way the shoulder absorbs energy can requirement for the abdomen would test. This bending might affect the affect the overall kinematics of the have an insignificant effect on the overall kinematics of the dummy, dummy. This test assures that the overall kinematics of the dummy in a including the excursion of the head. It shoulder acts uniformly in the way it side impact test. Also, the abdomen of could also affect lateral loads and the distributes the load under a direct the Q3s is uninstrumented and is thus deflection of the thorax. We believe that lateral impact. not generally used to assess injury this rubber element can be a source of The shoulder exposed to a pendulum potential in a side impact. impact at 3.6 m/s is to exhibit a peak variability, so we have included a Nevertheless, comments are requested shoulder deflection between 16 mm and qualification test to assure the on the need for a qualification test for 21 mm, and a peak resistance force uniformity and integrity of this the abdomen. The abdomen is made of between 1,240 N and 1,350 N. component. a high density, compressible foam Lumbar testing would consist of two Thorax Impact Tests material, whose compressive types of pendulum tests: A frontal test characteristics can vary from one The thorax qualification tests are very and a lateral test. For both tests, the abdomen to another and whose similar to the SAE test used to assess lumbar spine element containing the properties can change with aging and lateral thorax biofidelity. For flexible column is removed from the other factors. We request comments on qualification, however, the test is dummy, similar to the neck an abdominal test protocol similar to conducted two ways: Without arm qualification tests. Lumbar tests are that which we used to assess the interaction (as in the SAE test) and with conducted using the same Part 572 neck biofidelity of the Q3s abdomen. the arm attached such that the impact pendulum and headform device utilized probe strikes the upper arm. Both tests in the neck qualification tests. In the VII. Durability utilize a lateral impact with a 3.8 kg case of lumbar qualification, the No durability problems arose with the probe. headform is not intended to represent Q3s dummies in any of the sled tests or The thorax ‘‘without arm’’ test assures the inertial properties of any particular component tests. uniformity of the thorax structure, body region, but merely provides an including its mount to the spine, and its apparatus that helps to ensure a a. High-Energy Component Tests response to a direct impact in terms of repeatable test condition. The frontal We also conducted high-energy rib deflection. The arm is completely and lateral pendulum tests are component tests to assess durability and removed from the dummy. The 3.8 kg conducted at the same impact speed of no durability problems arose in those. In test probe is aligned with the thorax 4.4 m/s and specify the same pendulum these tests, we raised the kinetic energy displacement IR–TRACC and impacts impulse. of the impact to levels that exposed the the thorax laterally at a speed of 3.3 We propose that the lumbar spine dummy to loading conditions slightly m/s. must allow the headform to articulate: greater than those that might be

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00019 Fmt 4701 Sfmt 4702 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 69962 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

expected in the dummy’s regulatory setup procedures, except the drop and demonstrates the severity of the application. High-energy tests were heights were increased to achieve test. Post-test inspection of the head conducted for the head, neck, shoulder, kinetic energy increases of 10 percent, revealed no structural damage to the thorax (with and without arm), lumbar, 20 percent, and 30 percent, as compared synthetic skull material or to the vinyl and pelvis. As discussed below, we to the standard qualification test. skin. found no damage to the dummy’s Frontal head drop responses are Lateral head drop responses are structural components or summarized in Table 18. The peak summarized in Table 19. For the most instrumentation. resultant head acceleration at 30 percent severe condition, the peak resultant increased energy was 318.5 g. This head acceleration was 146.6 g. No High-Energy Head Drop Tests impact resulted in a HIC15 value of structural damage of the head was We performed frontal and lateral head 1732.5, which is well above the observed in the post-test inspection of drop tests using the qualification test proposed injury criterion limit of 700 the head assembly.

TABLE 18—HIGH-ENERGY FRONTAL HEAD DROP TEST RESPONSES

Energy Peak increase Drop height resultant Test No. (nominal) (mm) accel (percent) (g)

Baseline ...... 0 376 265.5 1 ...... 10 414 284.6 2 ...... 20 451 304.4 3 ...... 30 489 318.5

TABLE 19—HIGH-ENERGY LATERAL HEAD DROP TEST RESPONSES

Energy Peak increase Drop height resultant Test No. (nominal) (mm) accel (percent) (g)

Baseline ...... 0 200 121.5 1 ...... 10 220 127.3 2 ...... 20 240 141.6 3 ...... 30 260 146.6

High-Energy Neck Pendulum Tests consistent with the test protocol used to Incremental tests were run at impact We conducted frontal, lateral, and qualify the HIII–3C (a frontal impact speeds needed to achieve increases in torsional neck pendulum tests at the dummy). We found no signs of damage kinetic energy of 10 percent, 20 percent, increased impact speeds. Tests were or unusual wear to the Q3s neck or neck and 30 percent. In all cases, the conducted according to the qualification cable at the elevated speed. The response signals were smooth with no procedures, except for the increase in response curves were smooth, indication of damage. impact speeds. indicating that no unusual contact Torsion Tests. The high-energy neck Frontal Flexion Tests. The results of occurred during the tests. The tests also torsion tests were also run at impact the high-energy frontal neck flexion demonstrate that the Q3s neck would be speeds needed to achieve energy tests are summarized in Table 20. Three repeatable if the dummy were used in increases of 10 percent, 20 percent, and repeat tests were run at 5.5 m/s. This a frontal impact mode. 30 percent. The responses are speed represents a 34 percent increase Lateral Flexion Tests. The results of summarized in Table 22. In all cases, in energy over the qualification speed. the high-energy lateral neck flexion tests the response signals were smooth with We chose this condition because it is are summarized in Table 21. no indication of damage.

TABLE 20—FRONTAL FLEXION NECK PENDULUM TEST RESPONSES

Energy Max angle Peak Y-moment Head increase Impact rotation Test No. (nominal) speed, m/s moment decay (percent) angle deg time ms N-m time ms time, m/s

Baseline ...... 0 4.7 74.0 58.2 44.9 54.1 51.5 1 ...... 34 5.5 78.8 55.9 62.3 53.0 48.0 2 ...... 34 5.5 80.1 55.4 66.0 52.7 47.7 3 ...... 34 5.5 79.4 57.0 63.2 53.2 47.6

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00020 Fmt 4701 Sfmt 4702 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69963

TABLE 21—LATERAL FLEXION NECK PENDULUM TEST RESPONSES

Energy Max angle Peak Y-moment Head increase Impact rotation Test No. (nominal) speed, m/s moment decay (percent) angle deg time ms N-m time ms time, m/s

baseline ...... 0 3.8 80.9 68.7 26.9 70.2 64.8 1 ...... 10 4.0 82.3 68.9 27.1 70.1 65.5 2 ...... 20 4.2 85.1 67.2 31.9 66.8 63.2 3 ...... 30 4.3 86.8 66.8 34.3 66.3 62.3

TABLE 22—NECK TORSION PENDULUM TEST RESPONSES

Energy Impact Max angle Peak Z-Moment Head increase speed rotation Test No. (nominal) angle time moment time decay time (percent) m/s Deg Ms N-m ms ms

baseline ...... 0 3.6 80.9 99.5 9.35 92.1 88.7 1 ...... 10 3.8 83.3 102.9 9.35 95.5 91.7 2 ...... 20 3.9 83.8 101.5 9.40 95.0 91.2 3 ...... 30 4.1 87.4 103.1 9.73 96.9 91.0

High-Energy Shoulder Impact Tests approximately 10 percent, 20 percent, and the response curve was smooth, and 30 percent as compared to the indicating that the shoulder string pot The agency conducted shoulder qualification test. Table 23 provides a did not reach its maximum allowable impacts according to the qualification summary of the responses for the high- stroke. The peak probe force was 1450 test setup procedures, except the impact energy shoulder impact tests. At the 30 N. Post-test inspections revealed no speeds were increased to achieve percent increased energy level, the peak structural damage to the dummy or increases in kinetic energy of lateral shoulder deflection was 20.4 mm instrumentation.

TABLE 23—HIGH-ENERGY SHOULDER IMPACT TEST RESPONSES

Energy increase Impact speed Shoulder Probe force Test No. (nominal) (m/s) displacement (N) (percent) (mm)

baseline ...... 0.0 3.6 17.6 1269 1 ...... 10 3.8 19.7 1348 2 ...... 20 4.0 20.1 1443 3 ...... 30 4.1 20.4 1450

High-Energy Thorax Impact Tests durability was a concern with earlier limitation, we increased the probe We conducted high-energy thorax versions of the Q3s, we conducted tests impact speed until the lateral impact tests with and without the arm. at higher severity levels to provide a displacement approached 38 mm. We We followed the set-up procedures used rigorous assessment of the durability of found that the impact speed in the qualification tests, except we the thorax. For the thorax ‘‘without corresponding to roughly 38 mm of increased the probe impact speeds to arm’’ test condition, we conducted an displacement was 4.4 m/s supply a corresponding increase in the impact at 50 percent increased kinetic (approximately an 80 percent increase kinetic energy. energy and another impact at a 70 in kinetic energy). Accordingly, we For the ‘‘with arm’’ tests, we percent increase. No structural damage conducted two additional impact tests conducted one impact at 20 percent was observed during post-test at that speed. For the three tests increased kinetic energy and two at a 30 inspections of the dummy’s thorax and conducted at 80 percent increased percent increase. Table 24 summarizes IR–TRACC displacement transducer. kinetic energy, the lateral thorax In addition, for the thorax ‘‘without the responses for the high-energy thorax displacement ranged from 37.1–37.9 arm’’ test condition, we conducted tests with arm impacts. The highest lateral mm and the response curves were at increased severity levels to assess thorax displacement was 28.7 mm and smooth, indicating that the transducer the response curve was smooth. Post- further the durability of the IR–TRACC did not exceed its maximum allowable test inspections demonstrated that no device. The maximum allowable lateral damage occurred to any portion of the thorax displacement before damage stroke. No structural damage was dummy’s torso. occurs to the IR–TRACC displacement observed during post-test inspections of For the thorax ‘‘without arm’’ test measurement device is approximately the dummy’s thorax and IR–TRACC condition (Table 25), because thorax 40 mm. Considering this physical displacement transducer.

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00021 Fmt 4701 Sfmt 4702 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 69964 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

TABLE 24—HIGH-ENERGY THORAX WITH ARM IMPACT TEST RESPONSES

Energy increase Impact speed Thorax Probe force Test No. (nominal) (m/s) displacement (N) (percent) (mm)

baseline ...... 0 5.0 25.0 1526 1 ...... 20 5.5 27.0 1663 2 ...... 30 5.7 28.3 1625 3 ...... 28.7 1652

TABLE 25—HIGH-ENERGY THORAX WITHOUT ARM IMPACT TEST RESPONSES

Energy increase Impact speed Thorax Probe force Test No. (nominal) (m/s) displacement (N) (percent) (mm)

baseline ...... 0 3.3 26.0 732 1 ...... 50 4.0 32.8 784 2 ...... 70 4.3 36.2 772 3 ...... 80 4.4 37.9 799 4 ...... 37.3 814 5 ...... 37.1 815

High-Energy Lumbar Pendulum Tests up to approximately 30 percent greater lumbar moment and rotation responses than the qualification test, while lateral did not indicate any unusual issues We conducted high-energy frontal and tests were increased up to with the lumbar spine element or load lateral lumbar pendulum tests according approximately 40 percent greater than cell in either of the test conditions. No to the qualification test set-up the qualification test. damage or delamination was observed procedures, except the impact speeds The frontal test results are in post-test inspections of the lumbar were increased. For frontal pendulum summarized in Table 26 and the lateral components. tests, the impact energy was increased results are summarized in Table 27. The

TABLE 26—HIGH-ENERGY FRONTAL LUMBAR PENDULUM TEST RESPONSES

Energy Max angle Peak Y-moment increase Impact Head rotation Test No. (nominal) speed, m/s Angle Time Moment Time decay time, (percent) deg ms N-m ms ms

Baseline ...... 0 4.4 53.3 56.6 85.7 53.9 54.2 1 ...... 20 4.8 57.5 56.8 88.6 51.9 55.0 2 ...... 30 5.0 60.3 57.5 95.6 53.5 55.0

TABLE 27—HIGH-ENERGY LATERAL LUMBAR PENDULUM TEST RESPONSES

Energy Max angle Peak Y-moment increase Impact Head rotation Test No. (nominal) speed, m/s Angle Time Moment Time decay time, (percent) deg ms N-m ms ms

Baseline ...... 0 4.4 53.9 56.0 83.5 50.3 49.2 1 ...... 20 4.8 59.0 57.3 95.7 54.0 54.0 2 ...... 30 5.0 60.7 57.4 100.8 54.0 54.0 3 ...... 40 5.2 62.9 56.6 107.7 53.3 53.3

High-Energy Pelvis Impact Tests approximately 15 percent, 40 percent, R&R series) and the probe force was and 55 percent. The responses for the 2357 N. Analysis of the lateral pubic We conducted high-energy pelvis high-energy pelvis impact tests are load response revealed a smooth curve, impacts in accordance with the summarized in Table 28. At the highest indicating no unusual contact internal qualification test set-up procedures, energy level, the lateral pubic load was to the dummy. No damage to the pelvis except we increased impact speeds to 1057 N (well beyond the 450 N region was observed during post-test achieve increases in kinetic energy of maximum observed in the Cozy Cline inspections.

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00022 Fmt 4701 Sfmt 4702 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69965

TABLE 28—HIGH-ENERGY PELVIS IMPACT TEST RESPONSES

Energy Increase Impact Pubic Probe Test No. (nominal) speed force force (percent) (m/s) (N) (N)

baseline ...... 0 .0 4.0 796 1712 1 ...... 15 4.3 843 1896 2 ...... 40 4.7 1001 2209 3 ...... 55 5.0 1057 2357

b. Q3s Servicing and Maintenance are available in the docket for public Build Level D neck using detailed In our experience with other Part 572 review and comment. The Q3s specifications provided by NHTSA. ATDs, deformable parts typically have engineering drawings are a proprietary These specifications included detailed 29 the shortest service lives. The two most product owned by Humanetics, with engineering drawings and a prototype of often replaced parts are the ribcage and the exceptions noted in this section. the neck itself. In addition, NHTSA also the molded neck. For example, we have Thus, during the comment period most contributed to the design of the femur, found the typical service life for HIII– drawings will display the Humanetics hip, and several other minor parts of the 10C rib sets and neck assemblies to be name in the title block and will have the dummy. about thirty sled tests. Vinyl flesh following restrictive note: The list of drawings related to those materials—particularly the chest flesh— This drawing is the sole property of agency’s efforts is shown in Table 29. are also replaced on a recurring basis as Humanetics Innovative Solutions, Inc. and is On these drawings, the NHTSA name they become aged, abraded, or torn. being provided to NHTSA and other related appears in the title block and the NHTSA owns four Q3s units of the organizations for evaluation and comment restrictive note does not appear. These final Build Level D version, which related to NHTSA’s rulemaking process. Except for commenting purposes pursuant to drawings are available to the public for include the updated parts to improve use during this NPRM stage without the durability of the thorax, neck, and this process, the drawing shall not be copied or used for any other purpose without the restriction. pelvis. There have been no durability written consent of Humanetics Innovative NHTSA is aware that Humanetics has problems with the ATDs since they have Solutions, Inc. been upgraded to the latest build level. filed a patent application with the Given the record of low maintenance to For the final rule, the note will be United States Patent and Trademark our own Q3s units, we consider the removed and the dummy drawings and Office covering certain parts of the Q3s dummy to be highly suitable for designs will be free from any dummy. Prior to the publication of any proposed use in FMVSS No. 213 in restrictions. This includes their use in final rule, NHTSA plans to meet with terms of its durability. Our records fabrication and in building computer Humanetics and come to some indicate that we have had relatively few simulation models of the dummy. agreement that ensures the continued instances of Q3s part replacements of During this comment period, some availability of the Q3s dummy to the any sort. drawings will not have the Humanetics general public at a reasonable price. name in the title block and will not have Notwithstanding the intellectual VIII. Drawings and Patents the restrictive note on them. In these property issues identified in this Throughout the notice and comment cases, NHTSA contracted with section, NHTSA emphasizes that period of this Part 572 rulemaking, the Humanetics to provide the part or readers should take this opportunity to Q3s dummy will be available from expressly contributed to the design of review the information provided in this Humanetics. The Q3s engineering the part. As described earlier in this NPRM and provide responses on the drawings used to fabricate the dummy preamble, Humanetics fabricated the substantive aspects of the proposal.

TABLE 29—LIST OF Q3S DRAWINGS FOR WHICH NO RESTRICTIVE NOTE APPEARS

Drawing No. Description Used on

020–2400 ...... Neck assembly, Q3s ...... 020–2400 020–2401 ...... Molded neck, Q3s ...... 020–2400 020–2402 ...... Neck plate, top Q3s ...... 020–2400 020–2403 ...... Neck plate, middle, Q3s ...... 020–2400 020–2404 ...... Neck plate, bottom, Q3s ...... 020–2400 020–2405 ...... Retaining ring, Q3s neck ...... 020–2400 020–2406 ...... Square crimp, Q3s neck ...... 020–2400 020–2407 ...... Bottom crimp, Q3s neck cable ...... 020–2400 020–2408 ...... Neck cable assembly, Q3s ...... 020–2400 020–2409 ...... Retaining nut, Q3s neck ...... 020–2400 020–9611 ...... Femur, Right ...... 020–9616 020–9511 ...... Femur, Left ...... 020–9516 020–9607 ...... Femur reinforcement, Right ...... 020–9616

29 FTSS/Humanetics’ development of the Q3s schedule. Using this same purchase mechanism, in public and in SAE and ISO committee meetings, dummy was not performed directly under a our units were periodically sent back to FTSS/ providing test results, identifying problems, and government research and development contract. Humanetics for warranty maintenance and suggesting ways to correct problems. FTSS/ NHTSA procured its Q3s units under a standard upgrades. As we performed subsequent tests on our Humanetics produced parts based on this purchase order in which the FTSS/Humanetics Q3s units, we routinely shared our results with information, and periodically provided new products were listed within a catalog with a price FTSS/Humanetics, and concurrently reported them components to NHTSA for evaluation.

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00023 Fmt 4701 Sfmt 4702 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 69966 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

TABLE 29—LIST OF Q3S DRAWINGS FOR WHICH NO RESTRICTIVE NOTE APPEARS—Continued

Drawing No. Description Used on

020–9507 ...... Femur reinforcement, Left ...... 020–9516 020–3537 ...... Ball shoulder ...... 020–9616, 020–9516 020–9903 ...... End stop ...... 020–9616, 020–9516 020–7116 ...... Hip joint assembly, Right ...... 020–7116 020–7113 ...... Hip joint assembly, Left ...... 020–7113 020–7115 ...... Hip cup assembly, Right ...... 020–7116, 020–7113 020–7114 ...... Hip cup assembly, Left ...... 020–7116, 020–7113 020–7117 ...... Hip cup, upper ...... 020–7116, 020–7113 020–7118 ...... Hip cup, lower ...... 020–7116, 020–7113 020–7103 ...... Detent peg ...... 020–7116, 020–7113 020–7104 ...... Spring retainer plate ...... 020–7116, 020–7113 020–9000 ...... Q3s positioning tool ...... 020–9000 020–9001 ...... Indicator arm ...... 020–9000 020–9002 ...... Extension bracket ...... 020–9000 020–9003 ...... Cross beam ...... 020–9000 020–9004 ...... Knee spacer ...... 020–9000 020–9005 ...... Pivot screw ...... 020–9000

IX. Consideration of Alternatives superior biofidelity of the Q3s, we the Q3s into 49 CFR Part 572. The Q3s We considered the merits of believe that it more accurately dummy is a state-of-the-art device that alternative test dummies for use in the represents the response expected of a would allow for a better assessment of side impact test under consideration for human child. the risk of injury to child occupants FMVSS No. 213. The closest viable In addition, the Q3s has thorax than the alternative test dummies. The alternatives were the modified Hybrid deflection instrumentation, which the availability of Q3s’s injury measuring III 3-year-old child test dummy (HIII– 3Cs does not. We tentatively conclude capability also is important to the 3C) and the Q3. that the Q3s is a better dummy than the design, development and evaluation of 3Cs to measure injury assessment values the side impact protection of child Consideration of the Modified HIII–3C in side impacts and is a preferable ATD restraint systems. The Q3s test dummy (‘‘3Cs’’) for use in the proposed side impact is available today, and has been The HIII–3C was originally developed upgrade to FMVSS No. 213. thoroughly evaluated for suitable reproducibility and repeatability of in 1992. It is used in FMVSS No. 208, Consideration of the Q3 ‘‘Occupant crash protection,’’ to results. As discussed in section II of this evaluate air bag aggressiveness or air bag X. Rulemaking Analyses and Notices suppression when a child is close to a preamble, the design of the Q3s was deploying air bag, and in FMVSS No. derived from the original Q3 dummy Executive Order (E.O.) 12866 and E.O. 213’s frontal sled test for the evaluation developed by the European community. 13563, and DOT Regulatory Policies and of child restraint performance. The HIII– The Q3 is intended for use in frontal, Procedures 3C was not designed for lateral impacts. side, and rear impacts. NHTSA has considered the impacts of Under lateral loading, the shoulder and Around the same time Humanetics this regulatory action under E.O. 12866 torso exhibit highly stiff behavior and was working to bring the Q3s up to and E.O. 13563. This rulemaking action do not fully replicate a child’s production level, the Q3 underwent a was not reviewed by the Office of kinematics. NHTSA considered using significant design revision. Starting in Management and Budget under E.O. the HIII–3C in the 2002 FMVSS No. 213 2003, a ‘‘new’’ Q3 took shape. Many of 12866. The rulemaking has also been ANPRM published in response to the the new design concepts included in the determined to be non-significant under TREAD Act (see footnote 4, supra), but Q3s were also built into the Q3 as DOT’s regulatory policies and concluded that the ATD was not Humanetics worked concurrently on procedures. acceptable for use in side impact testing. both dummies (e.g., thorax string This document would amend 49 CFR After the agency assessed the HIII–3C potentiometers were replaced by IR– Part 572 by adding design and in side impacts, NHTSA developed a TRACCs in both dummies). Still, as performance specifications for a test retrofit package for the dummy to install reported by the European Enhanced dummy representative of a 3-year-old a new head and neck with better lateral Vehicle-Safety Committee (Wismans, et child that the agency would possibly biofidelity. The retrofitted dummy is al., 2008), the new Q3 does not respond use in FMVSS No. 213 side impact referred to as the ‘‘3Cs.’’ well in lateral biofidelity tests. compliance tests and possibly for NHTSA evaluated the 3Cs and the Furthermore, the thorax of the new Q3 research purposes. This Part 572 Q3s concurrently. Based on our has become even less biofidelic than the proposed rule would not impose any biofidelity evaluations, the 3Cs did not original. Therefore, NHTSA does not requirements on anyone. Businesses are achieve nearly as good a ranking as the consider the Q3 preferable to the Q3s. affected only if they choose to Q3s. The technical report, ‘‘Biofidelity manufacture or test with the dummy. Conclusion Assessment of the Q3s Three-Year-Old Because the economic impacts of this Child Side Impact Dummy,’’ supra, The agency tentatively concludes that proposed rule are minimal, no further discusses the performance of the two the improved biofidelity and additional regulatory evaluation is necessary. ATDs. The Q3s outperformed or is injury assessment capability of the Q3s There are benefits associated with this equivalent to the 3Cs in every aspect of compared to the other commercially rulemaking but they cannot be biofidelity related to a dummy’s available child side impact test quantified. The incorporation of the test response in a side impact. Given the dummies supports a decision to adopt dummy into 49 CFR Part 572 would

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00024 Fmt 4701 Sfmt 4702 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69967

enable NHTSA to use the ATD in a new operates primarily within the United Further, no consultation is needed to dynamic side impact test that we are States.’’ (13 CFR 121.105(a)). discuss the preemptive effect of today’s considering adopting into FMVSS No. We have considered the effects of this proposed rule. NHTSA’s safety 213. Adoption of side impact protection rulemaking under the Regulatory standards can have preemptive effect in requirements in FMVSS No. 213 Flexibility Act. I hereby certify that this two ways. This proposed rule would enhances child passenger safety and rulemaking action would not have a amend 49 CFR Part 572 and is not a accords with MAP–21. In addition, the significant economic impact on a safety standard.30 This Part 572 availability of this dummy in a substantial number of small entities. proposed rule would not impose any regulated format would be beneficial by This action would not have a significant requirements on anyone. providing a suitable, stabilized, and economic impact on a substantial Civil Justice Reform objective test tool to the safety number of small entities because the community for use in better protecting addition of the test dummy to Part 572 With respect to the review of the children in side impacts. would not impose any requirements on promulgation of a new regulation, The cost of an uninstrumented Q3s anyone. NHTSA would use the ATD in section 3(b) of Executive Order 12988, dummy is approximately $48,750. The agency testing but would not require ‘‘Civil Justice Reform’’ (61 FR 4729, minimum set of instrumentation needed anyone to manufacture the dummy or to February 7, 1996) requires that for qualification and compliance type test motor vehicles or motor vehicle Executive agencies make every testing includes three uni-axial equipment with it. reasonable effort to ensure that the accelerometers (part no. SA572–S4), one regulation: (1) Clearly specifies the National Environmental Policy Act neck/spine load cell (SA572–S8), one preemptive effect; (2) clearly specifies shoulder potentiometer set (SA572–S38 NHTSA has analyzed this proposed the effect on existing Federal law or and S39), one single axis IR–TRACC rule for the purposes of the National regulation; (3) provides a clear legal (SA572–S37), and one pubic load cell Environmental Policy Act and standard for affected conduct, while (SA572–S7). The cost of this determined that it would not have any promoting simplification and burden instrumentation adds approximately significant impact on the quality of the reduction; (4) clearly specifies the $18,200 for a total cost of about $66,950. human environment. retroactive effect, if any; (5) adequately defines key terms; and (6) addresses We have not estimated the costs of the Executive Order 13045 and 13132 other important issues affecting clarity equipment needed to perform the (Federalism) qualification tests other than the and general draftsmanship under any instrumentation needed (two angular Executive Order 13045 (62 FR 19885, guidelines issued by the Attorney rate sensors, $1,230 apiece; one test April 23, 1997) applies to any rule that: General. This document is consistent probe accelerometer, $500; one rotary (1) Is determined to be ‘‘economically with that requirement. potentiometer, $500.) With the significant’’ as defined under E.O. Pursuant to this Order, NHTSA notes exception of the neck torsion fixture, the 12866, and (2) concerns an as follows. angular rate sensors, and the 3.8 kg test environmental, health, or safety risk that The issue of preemption is discussed probe, all fixtures and instruments are NHTSA has reason to believe may have above in connection with E.O. 13132. common with those used to qualify a disproportionate effect on children. If NHTSA notes further that there is no other Part 572 dummies. the regulatory action meets both criteria, requirement that individuals submit a We recognize that dummy we must evaluate the environmental petition for reconsideration or pursue refurbishments and part replacements health or safety effects of the planned other administrative proceeding before are an inherent part of ATD testing. rule on children, and explain why the they may file suit in court. Various parts will likely have to be planned regulation is preferable to other Paperwork Reduction Act refurbished or replaced, but we do not potentially effective and reasonably know which parts are likely to be feasible alternatives considered by us. Under the Paperwork Reduction Act worked on the most. However, since the This proposed rule is not subject to of 1995, a person is not required to dummies are designed to be reusable, the Executive Order because it is not respond to a collection of information costs of the dummies and of parts can economically significant as defined in by a Federal agency unless the be amortized over a number of tests. E.O. 12866. collection displays a valid control NHTSA has examined today’s number from the Office of Management Regulatory Flexibility Act proposed rule pursuant to Executive and Budget (OMB). This proposed rule Pursuant to the Regulatory Flexibility Order 13132 (64 FR 43255, August 10, would not have any requirements that Act (5 U.S.C. 601 et seq., as amended by 1999) and concluded that no additional are considered to be information the Small Business Regulatory consultation with States, local Enforcement Fairness Act (SBREFA) of governments or their representatives is 30 With respect to the safety standards, the National Traffic and Motor Vehicle Safety Act 1996), whenever an agency is required mandated beyond the rulemaking contains an express preemptive provision: ‘‘When to publish a proposed or final rule, it process. The agency has concluded that a motor vehicle safety standard is in effect under must prepare and make available for the proposed rule would not have this chapter, a State or a political subdivision of a public comment a regulatory flexibility federalism implications because the State may prescribe or continue in effect a standard applicable to the same aspect of performance of a analysis that describes the effect of the proposed rule would not have motor vehicle or motor vehicle equipment only if rule on small entities (i.e., small ‘‘substantial direct effects on the States, the standard is identical to the standard prescribed businesses, small organizations, and on the relationship between the national under this chapter.’’ 49 U.S.C. 30103(b)(1). Second, small governmental jurisdictions), government and the States, or on the the Supreme Court has recognized the possibility of implied preemption: State requirements imposed unless the head of the agency certifies distribution of power and on motor vehicle manufacturers, including the rule will not have a significant responsibilities among the various sanctions imposed by State tort law, can stand as economic impact on a substantial levels of government.’’ This proposed an obstacle to the accomplishment and execution of number of small entities. The Small rule would not impose any a NHTSA safety standard. When such a conflict exists, the Supremacy Clause of the Constitution Business Administration’s regulations at requirements on anyone. Businesses makes the State requirements unenforceable. See 13 CFR Part 121 define a small business, will be affected only if they choose to Geier v. American Honda Motor Co., 529 U.S. 861 in part, as a business entity ‘‘which manufacture or test with the dummy. (2000).

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00025 Fmt 4701 Sfmt 4702 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 69968 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

collection requirements as defined by choose to manufacture or test with the data to be relied upon and used by the the OMB in 5 CFR Part 1320. dummy. It would not result in costs of agency, it must meet the information $100 million or more to either State, quality standards set forth in the OMB National Technology Transfer and local, or tribal governments, in the and DOT Data Quality Act guidelines. Advancement Act aggregate, or to the private sector. Accordingly, we encourage you to Section 12(d) of the National consult the guidelines in preparing your Plain Language Technology Transfer and Advancement comments. OMB’s guidelines may be Act of 1995 (NTTAA), Public Law 104– Executive Order 12866 requires each accessed at http://www.whitehouse.gov/ 113, section 12(d) (15 U.S.C. 272) agency to write all rules in plain omb/fedreg/reproducible.html. directs NHTSA to use voluntary language. Application of the principles consensus standards in its regulatory of plain language includes consideration How can I be sure that my comments activities unless doing so would be of the following questions: were received? inconsistent with applicable law or Has the agency organized the material If you wish the Docket Management otherwise impractical. Voluntary to suit the public’s needs? Facility to notify you upon its receipt of consensus standards are technical Are the requirements in the rule your comments, enclose a self- standards (e.g., materials specifications, clearly stated? addressed, stamped postcard in the test methods, sampling procedures, and Does the rule contain technical envelope containing your comments. business practices) that are developed or language or jargon that is not clear? Upon receiving your comments, the adopted by voluntary consensus Would a different format (grouping Docket Management Facility will return standards bodies. The NTTAA directs and order of sections, use of headings, the postcard by mail. NHTSA to provide Congress, through paragraphing) make the rule easier to How do I submit confidential business OMB, explanations when the agency understand? information? decides not to use available and Would more (but shorter) sections be applicable voluntary consensus better? If you wish to submit any information standards. Could the agency improve clarity by under a claim of confidentiality, you The following voluntary consensus adding tables, lists, or diagrams? should submit three copies of your standards have been used in developing What else could the agency do to complete submission, including the the Q3s: make this rulemaking easier to information you claim to be confidential • SAE Recommended Practice J211, understand? business information, to the Chief Rev. Mar 95, ‘‘Instrumentation for If you have any responses to these Counsel’s office, NHTSA, at the address Impact Tests—Part 1—Electronic questions, please send them to NHTSA. given above under FOR FURTHER Instrumentation’’; and, Regulation Identifier Number INFORMATION CONTACT. In addition, you • SAE J1733 of 1994–12 ‘‘Sign should submit two copies, from which The Department of Transportation Convention for Vehicle Crash Testing.’’ you have deleted the claimed assigns a regulation identifier number confidential business information, to the Unfunded Mandates Reform Act (RIN) to each regulatory action listed in Docket Management Facility at the the Unified Agenda of Federal Section 202 of the Unfunded address given above under ADDRESSES. Regulations. The Regulatory Information Mandates Reform Act of 1995 (UMRA), When you send a comment containing Service Center publishes the Unified Public Law 104–4, requires Federal information claimed to be confidential Agenda in April and October of each agencies to prepare a written assessment business information, you should year. You may use the RIN contained in of the costs, benefits, and other effects include a cover letter setting forth the the heading at the beginning of this of proposed or final rules that include information specified in our document to find this action in the a Federal mandate likely to result in the confidential business information Unified Agenda. expenditure by State, local, or tribal regulation. (49 CFR Part 512.) governments, in the aggregate, or by the XI. Public Participation private sector, of more than $100 Will the agency consider late million annually (adjusted for inflation How do I prepare and submit comments? with base year of 1995). Before comments? We will consider all comments that promulgating a NHTSA rule for which Your comments must be written and the docket receives before the close of a written statement is needed, section in English. To ensure better that your business on the comment closing date 205 of the UMRA generally requires the comments are correctly filed in the indicated above under DATES. To the agency to identify and consider a Docket, please include the docket extent possible, we will also consider reasonable number of regulatory number of this document in your comments received after that date. If the alternatives and adopt the least costly, comments. docket receives a comment too late for most cost-effective, or least burdensome Your comments must not be more us to consider in developing a final rule alternative that achieves the objectives than 15 pages long. (49 CFR 553.21). We (assuming that one is issued), we will of the rule. established this limit to encourage you consider that comment as an informal This proposed rule would not impose to write your primary comments in a suggestion for a future rulemaking any unfunded mandates under the concise fashion. However, you may action. UMRA. This proposed rule does not attach necessary additional documents How can I read the comments submitted meet the definition of a Federal mandate to your comments. There is no limit on by other people? because it does not impose requirements the length of the attachments. on anyone. It amends 49 CFR Part 572 Comments may also be submitted to You may read the comments received by adding design and performance the docket electronically by logging into by the Docket Management Facility at specifications for a 3-year-old child side http://www.regulations.gov. Follow the the address given above under impact test dummy that the agency online instructions for submitting ADDRESSES. The hours of the Docket are could use in FMVSS No. 213 and for comments. indicated above in the same location. research purposes. This proposed rule Please note that pursuant to the Data You may also see the comments on the would affect only those businesses that Quality Act, in order for substantive Internet. To read the comments on the

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00026 Fmt 4701 Sfmt 4702 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69969

Internet, go to http:// must be available to the public. All 572.218, and 572.219 as part of a www.regulations.gov. Follow the online approved material is available for complete dummy assembly. instructions for accessing the dockets. inspection at the Department of (xi) Drawing No. 020–9600, Complete Please note that even after the Transportation, Docket Operations, Leg Assembly—right, IBR approved for comment closing date, we will continue Room W12–140, telephone 202–366– §§ 572.211, 572.214, 572.215, 572.216, to file relevant information in the docket 9826, and is available from the sources 572.218, and 572.219 as part of a as it becomes available. Further, some listed below. The material is available in complete dummy assembly. people may submit late comments. electronic format through (xii) Drawing No. 020–9700, Complete Accordingly, we recommend that you Regulations.gov, call 1–877–378–5457 Arm Assembly—left, IBR approved for periodically check the docket for new or go to www.regulations.gov. It is also §§ 572.211, 572.214, 572.215, 572.216, material. available for inspection at the National 572.218, and 572.219 as part of a Anyone is able to search the Archives and Records Administration complete dummy assembly. electronic form of all comments (NARA). For information on the (xiii) Drawing No. 020–9800, received into any of our dockets by the availability of this material at NARA, Complete Arm Assembly—right, IBR name of the individual submitting the call 202–741–6030 or go to http:// approved for §§ 572.211, 572.214, comment (or signing the comment, if www.archives.gov/federal-register/cfr/ 572.215, 572.216, 572.218, and 572.219 submitted on behalf of an association, ibr-locations.html. as part of a complete dummy assembly. business, labor union, etc.). You may (b) NHTSA Technical Information (3) A procedures manual entitled review DOT’s complete Privacy Act Services, 1200 New Jersey Ave. SE., ‘‘Procedures for Assembly, Disassembly Statement in the Federal Register Washington, DC 20590, telephone 202– and Inspection (PADI) of the Q3s Child published on April 11, 2000 (Volume 366–5965. Side Impact Crash Test Dummy, 65, Number 70; Pages 19477–78). (1) A parts/drawing list entitled, September 2013,’’ IBR approved for §§ 572.211 and 572.219. List of Subjects in 49 CFR Part 572 ‘‘Parts/Drawings List, Part 572 Subpart W, Q3s Three-Year-Old Child Test (c) SAE International, 400 Motor vehicle safety, Incorporation by Dummy, May 2012,’’ IBR approved for Commonwealth Drive, Warrendale, PA reference. § 572.211. 15096, call 1–877–606–7323. (1) SAE Recommended Practice J211, In consideration of the foregoing, (2) A drawings and inspection Rev. Mar 95, ‘‘Instrumentation for NHTSA proposes to amend 49 CFR Part package entitled, ‘‘Parts List and Impact Tests—Part 1—Electronic 572 as follows: Drawings, Part 572 Subpart W, Q3s Instrumentation,’’ IBR approved for Three-Year-Old Child Test Dummy, PART 572—ANTHROPOMORPHIC § 572.219; May 2012,’’ IBR approved for § 572.211, TEST DEVICES (2) SAE Information Report J1733 of including: 1994–12, ‘‘Sign Convention for Vehicle ■ 1. The authority citation for Part 572 (i) Drawing No. 020–0100, Complete Crash Testing,’’ IBR approved for would be amended to read as follows: Assembly Q3s, IBR approved for § 572.219. §§ 572.211, 572.212, 572.213, 572.214, Authority: 49 U.S.C. 322, 30111, 30115, 30117 and 30166; delegation of authority at 572.215, 572.216, 572.217, 572.218, and § 572.211 General description. 49 CFR 1.95. 572.219. (a) The Q3s Three-Year-Old Child (ii) Drawing No. 020–1200, Head ■ 2. 49 CFR Part 572 would be amended Test Dummy is defined by drawings and Assembly, IBR approved for §§ 572.211, specifications containing the following by adding a new Subpart W consisting 572.212, 572.214, 572.215, 572.216, of 572.210–572.219 to read as follows: materials: 572.218, and 572.219. (1) The parts enlisted in ‘‘Parts List Subpart W—Q3s Three-Year-Old Child Test (iii) Drawing No. 020–2400, Neck and Drawings, Part 572 Subpart W, Q3s Dummy Assembly, IBR approved for §§ 572.211, Three-Year-Old Child Test Dummy, Secs. 572.213, 572.214, 572.215, 572.216, September 2013’’ (incorporated by 572.210 Incorporation by reference. 572.218, and 572.219. reference, see § 572.210). 572.211 General description. (iv) Drawing No. 020–9050, (2) The engineering drawings and 572.212 Head assembly and test procedure. Headform, IBR approved for §§ 572.211, specifications contained in ‘‘Parts List 572.213 Neck assembly and test procedure. 572.213, 572.217 and 572.219. and Drawings, Part 572 Subpart W, Q3s 572.214 Shoulder assembly and test procedure. (v) Drawing No. DL210–200, Neck Three-Year-Old Child Test Dummy, 572.215 Thorax with arm assembly and test Twist Fixture, IBR approved for September 2013,’’ which includes the procedure. §§ 572.211, 572.213, and 572.219. engineering drawings and specifications 572.216 Thorax without arm assembly and (vi) Drawing No. 020–4500, Torso described in Drawing 020–0000, the test procedure. Assembly, IBR approved for §§ 572.211, titles of which are listed in Table A, 572.217 Lumbar spine assembly and test 572.214, 572.215, 572.216, 572.218 and and, procedure. 572.219. (3) A manual entitled ‘‘Procedures for 572.218 Pelvis assembly and test procedure. (vii) Drawing No. 020–6000, Lumbar Assembly, Disassembly and Inspection 572.219 Test conditions and Spine Assembly, IBR approved for (PADI) of the Q3s Child Side Impact instrumentation. Crash Test Dummy, September 2013.’’ Appendix—Figures to Subpart W of Part 572 §§ 572.211, 572.217 and 572.219. (viii) Drawing No. 020–7500, Pelvis § 572.210 Incorporation by reference. Assembly, IBR approved for §§ 572.211, TABLE A TO § 572.211 (a) Certain material is incorporated by 572.214, 572.215, 572.216, 572.218, and reference (IBR) into this part with the 572.219. Component assembly Drawing number (ix) Drawing No. 020–8001, Q3s Suit, approval of the Director of the Federal (i) Head Assembly ...... 020–1200 Register under 5 U.S.C. 552(a) and 1 IBR approved for §§ 572.211, 572.214, (ii) Neck Assembly ...... 020–2400 CFR part 51. To enforce any edition 572.215, 572.216, 572.218, and 572.219. (iii) Torso Assembly ...... 020–4500 other than that specified in this section, (x) Drawing No. 020–9500, Complete (iv) Lumbar Spine Assem- 020–6000 NHTSA must publish notice of change Leg Assembly—left, IBR approved for bly. in the Federal Register and the material §§ 572.211, 572.214, 572.215, 572.216, (v) Pelvis Assembly ...... 020–7500

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00027 Fmt 4701 Sfmt 4702 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 69970 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

TABLE A TO § 572.211—Continued (2) Prior to the test, clean the impact 020–2400), neck/torso interface plate surface of the skin and the impact plate (drawing 020–9056) and pendulum Component assembly Drawing number surface with isopropyl alcohol, interface plate (drawing 020–9051) with trichloroethane, or an equivalent. The angular rate sensor installed (drawing (vi) Complete Leg Assem- 020–9500 skin of the head and the impact plate SA572–S58) (all incorporated by bly—left. surface must be clean and dry for reference, see § 572.210). (vii) Complete Leg Assem- 020–9600 testing. (2) The neck assembly (refer to bly—right. (3)(i) For the frontal head test, (viii) Complete Arm Assem- 020–9700 § 572.210(b)(2)(iii) and bly—left. suspend and orient the head assembly § 572.210(b)(2)(v)) for the purposes of (ix) Complete Arm Assem- 020–9800 with the forehead facing the impact the neck torsion qualification test, as bly—right. surface as shown in Figure W1. The shown in Figure W5, consists of the lowest point on the forehead must be neck twist fixture (drawing DL210–200) (b) The structural properties of the 376.0 ± 1.0 mm (14.8 ± 0.04 in) from the with rotary potentiometer installed dummy are such that the dummy impact surface. Assure that the head is (drawing SA572–S51), neck adaptor conforms to this Subpart in every horizontal laterally. Adjust the head plate assembly (drawing DL210–220), respect before use in any test. angle so that the upper neck load cell neck assembly (drawing 020–2400), six- simulator is 28 ± 2 degrees forward from channel neck/lumbar load cell (drawing § 572.212 Head assembly and test the vertical while assuring that the head procedure. SA572–S8), and twist fixture end plate remains horizontal laterally. (drawing DL210–210) (all incorporated (a) The head assembly for this test (ii) For the lateral head test, the head by reference, see § 572.210). consists of the complete head (drawing is dropped on the aspect that opposes (b) When the neck and headform 020–1200) with head accelerometer the primary load vector of the ensuing assembly as defined in § 572.213(a)(1), assembly (drawing 020–1013A), and a full scale test for which the dummy is or the neck assembly as defined in half mass simulated upper neck load being qualified. A left drop set up that § 572.213(a)(2), is tested according to cell (drawing 020–1050) (all is used to qualify the dummy for an the test procedure in paragraph (c) of incorporated by reference, see ensuing full scale left side impact is this section, it shall have the following § 572.210). depicted in Figure W2. A right drop set- (b) When the head assembly is tested characteristics: up would be the mirror image of that (1) Fore-aft neck flexion qualification according to the test procedure in shown in Figure W2. Suspend and paragraph (c) of this section, it shall test. orient the head assembly as shown in (i) Plane D, referenced in Figure W3, have the following characteristics: Figure W2. The lowest point on the (1) Frontal head qualification test. shall rotate in the direction of pre- impact side of the head must be 200.0 impact flight with respect to the When the head assembly is dropped ± 1.0 mm (7.87 ± 0.04 in) from the from a height of 376.0 ± 1.0 mm (14.8 pendulum’s longitudinal centerline ± impact surface. Assure that the head is between 70 degrees and 82 degrees, 0.04 in) in accordance with subsection horizontal in the fore-aft direction. (c) of this section, the peak resultant which shall occur between 55 and 63 Adjust the head angle so that the head ms from time zero. The peak moment, acceleration at the location of the base plane measured from the base accelerometers at the head CG shall measured by the neck transducer surface of the upper neck load cell (drawing SA572–S8) (incorporated by have a value between 250 G and 297 G. ± simulator is 35 2 degrees forward from reference, see § 572.210) shall have a The resultant acceleration vs. time the vertical while assuring that the head history curve shall be unimodal; value between 41 N-m (30.2 ft-lbf) and remains horizontal in the fore-aft 51 N-m (37.6 ft-lbf) occurring between oscillations occurring after the main direction. pulse must be less than 10 percent of 49 and 62 ms from time zero. (4) Drop the head assembly from the (ii) The decaying headform rotation the peak resultant acceleration. The specified height by means that ensure a lateral acceleration shall not exceed 15 vs. time curve shall cross the zero angle smooth, instant release onto a rigidly with respect to its initial position at G (zero to peak). supported flat horizontal steel plate (2) Lateral head qualification test. time of impact relative to the pendulum which is 50.8 mm (2 in) thick and 610 centerline between 50 to 54 ms after the When the head assembly is dropped mm (24 in) square. The impact surface from a height of 200.0 ± 1.0 mm (7.87 time the peak rotation value is reached. ± shall be clean, dry and have a micro (iii) All instrumentation data channels 0.04 in) in accordance with subsection finish of not less than 203.2 × 10¥6 mm (c) of this section, the peak resultant are defined to be zero when the (8 micro inches) (RMS) and not more longitudinal centerline of the neck and acceleration at the location of the × ¥6 than 2,032.0 10 mm (80 micro pendulum are parallel. accelerometers at the head CG shall inches) (RMS). have a value between 113 G and 140 G. (iv) The headform rotation shall be (5) Allow at least 2 hours between calculated by the following formula The resultant acceleration vs. time successive tests on the same head. history curve shall be unimodal; with the integration beginning at time oscillations occurring after the main § 572.213 Neck assembly and test zero: ∫ pulse must be less than 10 percent of procedure. Headform rotation (deg) = [(Headform ¥ the peak resultant acceleration. The X- (a)(1) The neck and headform Angular Rate)y (Pendulum component acceleration shall not assembly (refer to § 572.210(b)(2)(iii) Angular Rate)y] dt exceed 20 G (zero to peak). and § 572.210(b)(2)(iv)) for the purposes (v) (Headform Angular Rate)y is the (c) Test procedure: The test procedure of the fore-aft neck flexion and lateral angular rate about the y-axis in deg/sec for the head assembly is as follows: neck flexion qualification tests, as measured on the headform (drawing (1) Soak the head assembly in a shown in Figures W3 and W4, consists 020–9050, sheet 1), and (Pendulum controlled environment at any of the headform (drawing 020–9050, Angular Rate)y is the angular rate about temperature between 18.9 and 25.6 °C sheet 1) with angular rate sensor the y-axis in deg/sec measured on the (66 and 78 °F) and a relative humidity installed (drawing SA572–S58), six- pendulum interface plate (drawing 020– from 10 to 70 percent for at least four channel neck/lumbar load cell (drawing 9051) (incorporated by reference, see hours prior to a test. SA572–S8), neck assembly (drawing § 572.210).

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00028 Fmt 4701 Sfmt 4702 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69971

(2) Lateral neck flexion qualification measured by the rotary potentiometer dummy is being qualified. A right test. (drawing SA572–S51), and shall occur flexion test set-up that is used to qualify (i) Plane D, referenced in Figure W4, between 91 and 113 ms from time zero. the dummy for an ensuing full scale shall rotate in the direction of pre- The peak moment, measured by the right side impact is depicted in Figure impact flight with respect to the neck transducer (drawing SA572–S8) W4. A left flexion test set-up would be pendulum’s longitudinal centerline shall have a value between 8 N-m (5.9 a mirror image of that shown in Figure between 77 degrees and 88 degrees, ft-lbf) and 10 N-m (7.4 ft-lbf) occurring W4. Mount the neck and headform which shall occur between 65 and 72 between 85 and 105 ms from time zero) assembly, defined in subsection (a)(1) of ms from time zero. The peak moment, (all incorporated by reference, see this section, on the pendulum described measured by the neck transducer § 572.210). in Figure 22 of 49 CFR 572 so that the (drawing SA572–S8) (incorporated by (ii) The decaying neck twist fixture midsagittal plane of the headform is reference, see § 572.210) shall have a rotation vs. time curve shall cross the vertical and coincides with the plane of value between 25 N-m (18.4 ft-lbf) and zero angle with respect to its initial motion of the pendulum, and with the 32 N-m (23.6 ft-lbf) occurring between position at time of impact relative to the neck placement such that the right (or 66 and 73 ms from time zero. pendulum centerline between 84 to 103 left) side of the neck is closest to the (ii) The decaying headform rotation ms after the time the peak rotation value honeycomb material. vs. time curve shall cross the zero angle is reached. (iii) For the neck torsion test, the test with respect to its initial position at (iii) All instrumentation data channels time of impact relative to the pendulum are defined to be zero when the zero is carried out in the direction opposing centerline between 63 to 69 ms after the pins are installed such that the neck is the primary load vector of the ensuing time the peak rotation value is reached. not in torsion. full scale test for which the dummy is (iii) All instrumentation data channels (iv) Time zero is defined as the time being qualified. A right torsion test set- are defined to be zero when the of initial contact between the pendulum up that is used to qualify the dummy for longitudinal centerline of the neck and striker plate and the honeycomb an ensuing full scale right side impact pendulum are parallel. material. All data channels shall be at is depicted in Figure W5. A left flexion (iv) The headform rotation shall be the zero level at this time. test set-up would be a mirror image of calculated by the following formula (c) Test procedure: The test procedure that shown in Figure W5. Mount the with the integration beginning at time for the neck assembly is as follows: neck assembly, defined in subsection (1) Soak the neck assembly in a zero: (a)(2) of this section, on the pendulum controlled environment at any described in Figure 22 of 49 CFR 572, Headform rotation (deg) = ∫ [(Headform ° ¥ temperature between 20.6 and 22.2 C as shown in Figure W5 of this subpart. Angular Rate)y (Pendulum (69 and 72 °F) and a relative humidity (3)(i) Release the pendulum and allow Angular Rate)y] dt between 10 and 70 percent for at least it to fall freely from a height to achieve (v) (Headform Angular Rate)y is the four hours prior to a test. ± angular rate about the y-axis in deg/sec (2)(i) For the fore-aft neck flexion test, an impact velocity of 4.7 0.1 m/s (15.6 ± 0.3 ft/s) for fore-aft flexion, 3.8 ± 0.05 measured on the headform (drawing mount the neck and headform assembly, ± 020–9050, sheet 1), and (Pendulum defined in subsection (a)(1) of this m/s (12.5 0.2 ft/s) for lateral flexion, and 3.6 ± 0.1 m/s (11.8 ± 0.3 ft/s) for Angular Rate)y is the angular rate about section, on the pendulum described in the y-axis in deg/sec measured on the Figure 22 of 49 CFR 572 so that the torsion, measured by an accelerometer pendulum interface plate (drawing 020– midsagittal plane of the headform is mounted on the pendulum as shown in 9051) (incorporated by reference, see vertical and coincides with the plane of Figure 22 of this Part 572 at time zero. § 572.210). motion of the pendulum, and with the (ii) Stop the pendulum from the (3) Neck torsion qualification test. neck placement such that the front side initial velocity with an acceleration vs. (i) The neck twist fixture (drawing of the neck is closest to the honeycomb time pulse that meets the velocity DL210–200), referenced in Figure W5, material. change as specified in Table B of this shall rotate in the direction of pre- (ii) For the lateral neck flexion test, section. Integrate the pendulum impact flight with respect to the the test is carried out in the direction accelerometer data channel to obtain the pendulum’s longitudinal centerline opposing the primary load vector of the velocity vs. time curve beginning at time between 75 degrees and 93 degrees, as ensuing full scale test for which the zero.

TABLE B TO § 572.213

Time Fore-aft flexion Time Lateral flexion Time Torsion (ms) m/s ft/s (ms) m/s ft/s (ms) m/s ft/s

10 1.1–2.1 3.6–6.9 10 1.7–2.2 5.6–7.2 10 0.9–1.3 3.0–4.3 20 2.8–3.8 9.2–12.5 15 2.5–3.0 8.2–9.8 15 1.4–2.0 4.6–6.6 30 4.1–5.1 13.5–16.7 20 3.4–3.9 11.2–12.8 20 2.0–2.6 6.6–8.5

§ 572.214 Shoulder assembly and test (b) When the center of the shoulder of (1) Maximum lateral shoulder procedure. a completely assembled dummy displacement (compression) relative to (a) The shoulder assembly for this test (drawing 020–0100) (incorporated by the spine, measured with the string pot consists of the torso assembly (drawing reference, see § 572.210) is impacted assembly (drawing SA572–S38 or SA572–S39) (incorporated by reference, 020–4500) with string pot assembly laterally by a test probe conforming to ± ± see § 572.210), must not be less than 16 (drawing SA572–S38 or SA572–S39) § 572.219, at 3.6 0.1 m/s (11.8 0.3 ft/ mm (0.63 in) and not more than 21 mm installed (incorporated by reference, see s) according to the test procedure in paragraph (c) of this section: (0.83 in). The peak force, measured by § 572.210). the impact probe as defined in § 572.219

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00029 Fmt 4701 Sfmt 4702 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 69972 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

and calculated in accordance with (8) No suspension hardware, with thin sheets of PTFE (Teflon) paragraph (b)(2) of this section, shall suspension cables, or any other (nominal stock thickness: 2 to 3 mm (3/ have a value between 1.24 kN (279 lbf) attachments to the probe, including the 32- to 1/8-inch)) along the impact side and 1.35 kN (303 lbf). velocity vane, shall make contact with of the bench. (2) The force shall be calculated by the dummy during the test. (4) Position the dummy on the bench the product of the impactor mass and its as shown in Figure W7, with the ribs measured deceleration. § 572.215 Thorax with arm assembly and making contact with the seat back test procedure. (c) Test procedure: The test procedure oriented 24.6 degrees relative to vertical, for the shoulder assembly is as follows: (a) The thorax assembly for this test the legs extended forward along the seat (1) The dummy is clothed in the Q3s consists of the torso assembly (drawing pan oriented 21.6 degrees relative to suit (drawing 020–8001) (incorporated 020–4500) with IR–TRACC (drawing horizontal with the knees spaced 40 mm by reference, see § 572.210). No SA572–S37) (incorporated by reference, (1.57 in) apart. On the non-impact side additional clothing or shoes are placed see § 572.210) installed. of the dummy, the long axis of the (b) When the thorax of a completely on the dummy. upper arm is positioned parallel to the assembled dummy (drawing 020–0100) (2) Soak the dummy in a controlled seat back (± 2 degrees). On the impact (incorporated by reference, see environment at any temperature side, the upper arm is positioned such § 572.210) is impacted laterally by a test between 20.6 and 22.2 ßC (69 and 72 ßF) that the target point intersects its long probe conforming to § 572.219 at 5.0 ± and a relative humidity from 10 to 70 axis as described in (5) below. The long 0.1 m/s (16.4 ± 0.3 ft/s) according to the percent for at least four hours prior to axis of the upper arm is defined by test procedure in paragraph (c) of this a test. section line A–A in drawing 020–9750 section: (3) The shoulder test is carried out in (incorporated by reference, see (1) Maximum lateral thorax § 572.210). Both of the lower arms are the direction opposing the primary load displacement (compression) relative to vector of the ensuing full scale test for set perpendicular to the upper arms. the spine, measured with the IR–TRACC (5) The target point of the impact is which the dummy is being qualified. A (drawing SA572–S37) and processed as left shoulder test set-up that is used to the point of intersection on the lateral set out in the PADI (all incorporated by aspect of the upper arm and a line qualify the dummy for an ensuing full reference, see § 572.210), shall have a scale left side impact is depicted in projecting from the thorax of the value between 23 mm (0.91 in) and 28 dummy. The projecting line is Figure W6. A right shoulder set-up mm (1.10 in). The peak force occurring would be a mirror image of that shown horizontal, runs parallel to the coronal after 5 ms, measured by the impact plane of the dummy, and passes through in Figure W6. Seat the dummy on the probe as defined in § 572.219 and qualification bench described in Figure the midpoint of a line connecting the calculated in accordance with paragraph centers of the bolt heads of the two IR– V3 of 49 CFR 572.194, the seat pan and (b)(2) of this section, shall have a value seat back surfaces of which are covered TRACC bolts (part #5000646). The between 1.38 kN (310 lbf) and 1.69 kN projected line should intersect the with thin sheets of PTFE (Teflon) (380 lbf). (nominal stock thickness: 2 to 3 mm) (3/ upper arm within 2 mm (0.80 in) of its (2) The force shall be calculated by long axis. 32- to 1/8-inch) along the impact side of the product of the impactor mass and its the bench. (6) Impact the arm with the test probe measured deceleration. so that at the moment of contact the (4) Position the dummy on the bench (3) Time zero is defined as the time as shown in Figure W6, with the ribs probe’s longitudinal centerline should of contact between the impact probe and be horizontal (± 1 degrees), and the making contact with the seat back the arm. All channels should be at a oriented 24.6 degrees relative to vertical, centerline of the probe should be within zero level at this point. 2 mm (0.80 in) of the target point. the legs extended forward along the seat (c) Test procedure: The test procedure pan oriented 21.6 degrees relative to (7) Guide the test probe during impact for the thorax with arm assembly is as so that there is no significant lateral, horizontal with the knees spaced 40 mm follows: (1.57 in) apart, and the arms positioned vertical, or rotational movement. (1) The dummy is clothed in the Q3s (8) No suspension hardware, so that the upper arms are parallel to the suit (drawing 020–8001) (incorporated suspension cables, or any other seat back (± 2 degrees) and the lower by reference, see § 572.210). No attachments to the probe, including the arms are perpendicular to the upper additional clothing or shoes are placed velocity vane, shall make contact with arms. on the dummy. the dummy during the test. (5) The target point of the impact is (2) Soak the dummy in a controlled a point on the shoulder that is 15 mm environment at any temperature § 572.216 Thorax without arm assembly above and perpendicular to the between 20.6 and 22.2 ßC (69 and 72 ßF) and test procedure. midpoint of a line connecting the and a relative humidity from 10 to 70 (a) The thorax assembly for this test centers of the bolt heads of the two percent for at least four hours prior to consists of the torso assembly (drawing lower bolts (part #5000010) that connect a test. 020–4500) with IR–TRACC (drawing the upper arm assembly (020–9750) to (3) The test is carried out in the SA572–S37) (incorporated by reference, the shoulder ball retaining ring (020– direction opposing the primary load see § 572.210) installed. 3533). vector of the ensuing full scale test for (b) When the thorax of a completely (6) Impact the shoulder with the test which the dummy is being qualified. A assembled dummy (drawing 020–0100) probe so that at the moment of contact left thorax test set-up that is used to with the arm (drawing 020–9700 or the probe’s longitudinal centerline qualify the dummy for an ensuing full 020–9800) on the impacted side should be horizontal (± 1 degrees), and scale left side impact is depicted in removed is impacted laterally by a test the centerline of the probe should be Figure W7. A right thorax set-up would probe conforming to § 572.219 at 3.3 ± within 2 mm (0.08 in) of the target be a mirror image of that shown in 0.1 m/s (10.8 ± 0.3 ft/s) according to the point. Figure W7. Seat the dummy on the test procedure in paragraph (c) of this (7) Guide the test probe during impact qualification bench described in Figure section: so that there is no significant lateral, V3 of 49 CFR 572.194, the seat pan and (1) Maximum lateral thorax vertical, or rotational movement. seat back surfaces of which are covered displacement (compression) relative to

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00030 Fmt 4701 Sfmt 4702 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69973

the spine, measured with the IR–TRACC (7) Guide the test probe during impact 020–9050, sheet 2), and (Pendulum (drawing SA572–S37) and processed as so that there is no significant lateral, Angular Rate)y is the angular rate about set out in the PADI (all incorporated by vertical, or rotational movement. the y-axis in deg/sec measured on the reference, see § 572.210), shall have a (8) No suspension hardware, pendulum interface plate (drawing 020– value between 24 mm (0.94 in) and 31 suspension cables, or any other 9051) (all incorporated by reference, see mm (1.22 in). The peak force, measured attachments to the probe, including the § 572.210). by the impact probe as defined in velocity vane, shall make contact with (2) Lateral lumbar flexion § 572.219 and calculated in accordance the dummy during the test. qualification test. with paragraph (b)(2) of this section, (i) Plane D, referenced in Figure W10, § 572.217 Lumbar spine assembly and test shall rotate in the direction of pre- shall have a value between 620 N (139 procedure. lbf) and 770 N (173 lbf). impact flight with respect to the (a) The lumbar spine and headform (2) The force shall be calculated by pendulum’s longitudinal centerline assembly (refer to § 572.210(b)(2)(iv) the product of the impactor mass and its between 47 degrees and 59 degrees, and § 572.210(a)(2)(vii)) for the purposes measured deceleration. which shall occur between 50 and 59 of the fore-aft lumbar flexion and lateral (c) Test procedure: The test procedure ms from time zero. The peak moment, lumbar flexion qualification tests, as for the thorax without arm assembly is measured by the neck/lumbar shown in Figures W9 and W10, consists as follows: transducer (drawing SA572–S8) of the headform (drawing 020–9050, (1) The dummy is clothed in the Q3s (incorporated by reference, see sheet 2) with angular rate sensor suit (drawing 020–8001) (incorporated § 572.210) shall have a value between 78 installed (drawing SA572–S58), six- by reference, see § 572.210). No N-m (57.5 ft-lbf) and 97 N-m (71.5 ft-lbf) channel neck/lumbar load cell (drawing additional clothing or shoes are placed occurring between 46 and 57 ms from SA572–S8), lumbar spine assembly on the dummy. time zero. (drawing 020–6000), lumbar interface (ii) The decaying headform rotation (2) Soak the dummy in a controlled plate (drawing 020–9062) and vs. time curve shall cross the zero angle environment at any temperature ° ° pendulum interface plate (drawing 020– with respect to its initial position at between 20.6 and 22.2 C (69 and 72 F) 9051) with angular rate sensor installed time of impact relative to the pendulum and a relative humidity from 10 to 70 (drawing SA572–S58) (all incorporated centerline between 47 to 59 ms after the percent for at least four hours prior to by reference, see § 572.210). time the peak rotation value is reached. a test. (b) When the lumbar spine and (iii) All instrumentation data channels (3) The test is carried out in the headform assembly is tested according are defined to be zero when the direction opposing the primary load to the test procedure in paragraph (c) of longitudinal centerline of the lumbar vector of the ensuing full scale test for this section, it shall have the following spine and pendulum are parallel. which the dummy is being qualified. A characteristics: (iv) The headform rotation shall be left thorax test set-up that is used to (1) Fore-aft lumbar flexion calculated by the following formula qualify the dummy for an ensuing full qualification test. with the integration beginning at time scale left side impact is depicted in (i) Plane D, referenced in Figure W9, zero: Figure W8. A right thorax set-up would shall rotate in the direction of pre- Headform rotation (deg) = ∫ [(Headform be a mirror image of that shown in impact flight with respect to the Angular Rate)y¥(Pendulum Figure W8. Seat the dummy on the pendulum’s longitudinal centerline Angular Rate)y] dt qualification bench described in Figure between 48 degrees and 57 degrees, (v) (Headform Angular Rate)y is the V3 of 49 CFR 572.194, the seat pan and which shall occur between 52 and 59 angular rate about the y-axis in deg/sec seat back surfaces of which are covered ms from time zero. The peak moment, measured on the headform (drawing with thin sheets of PTFE (Teflon) measured by the neck/lumbar 020–9050, sheet 2), and (Pendulum (nominal stock thickness: 2 to 3 mm transducer (drawing SA572–S8) Angular Rate)y is the angular rate about 3 1 ( ⁄32- to ⁄8-inch)) along the impact side (incorporated by reference, see the y-axis in deg/sec measured on the of the bench. § 572.210) shall have a value between 78 pendulum interface plate (drawing 020– (4) Position the dummy on the bench N-m (57.5 ft-lbf) and 94 N-m (69.3 ft-lbf) 9051) (all incorporated by reference, see as shown in Figure W8, with the ribs occurring between 46 and 57 ms from § 572.210). making contact with the seat back time zero. (c) Test procedure: The test procedure oriented 24.6 degrees relative to vertical, (ii) The decaying headform rotation for the lumbar spine assembly is as the legs extended forward along the seat vs. time curve shall cross the zero angle follows: pan oriented 21.6 degrees relative to with respect to its initial position at (1) Soak the lumbar spine assembly in horizontal with the knees spaced 40 mm time of impact relative to the pendulum a controlled environment at any (1.57 in) apart, and the arm on the non- centerline between 50 to 56 ms after the temperature between 20.6 and 22.2 °C impacted side positioned so that the time the peak rotation value is reached. (69 and 72 °F) and a relative humidity upper arm is parallel (± 2 degrees) to the (iii) All instrumentation data channels between 10 and 70 percent for at least seat back and the lower arm are defined to be zero when the four hours prior to a test. perpendicular to the upper arm. longitudinal centerline of the lumbar (2)(i) For the fore-aft lumbar flexion (5) The target point of the impact is spine and pendulum are parallel. test, mount the lumbar spine and the midpoint of a line between the (iv) The headform rotation shall be headform assembly, defined in centers of the bolt heads of the two IR– calculated by the following formula subsection (a) of this section, on the TRACC bolts (part #5000646). with the integration beginning at time pendulum described in Figure 22 of 49 (6) Impact the thorax with the test zero: CFR 572 so that the midsagittal plane of probe so that at the moment of contact Headform rotation (deg) = ∫ [(Headform the headform is vertical and coincides ¥ the probe’s longitudinal centerline Angular Rate)y (Pendulum with the plane of motion of the should be horizontal (± 1 degrees), and Angular Rate)y] dt pendulum, and with the lumbar spine the centerline of the probe should be (v) (Headform Angular Rate)y is the placement such that the front side of the within 2 mm (0.08 in) of the target angular rate about the y-axis in deg/sec lumbar spine is closest to the point. measured on the headform (drawing honeycomb material.

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00031 Fmt 4701 Sfmt 4702 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 69974 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

(ii) For the lateral lumbar flexion test, subsection (a)(1) of this section, on the ± 0.3 ft/s), measured by an the test is carried out in the direction pendulum described in Figure 22 of 49 accelerometer mounted on the opposing the primary load vector of the CFR 572 so that the midsagittal plane of pendulum as shown in Figure 22 of this ensuing full scale test for which the the headform is vertical and coincides Part 572 at time zero. dummy is being qualified. A right with the plane of motion of the (ii) Stop the pendulum from the flexion test set-up that is used to qualify pendulum, and with the lumbar spine initial velocity with an acceleration vs. the dummy for an ensuing a full scale placement such that the right (or left) time pulse that meets the velocity right side impact is depicted in Figure side of the lumbar spine is closest to the change as specified in Table C of this W10. A left flexion test set-up would be honeycomb material. section. Integrate the pendulum a mirror image of that shown in Figure (3)(i) Release the pendulum and allow accelerometer data channel to obtain the W10. Mount the lumbar spine and it to fall freely from a height to achieve velocity vs. time curve beginning at time headform assembly, defined in an impact velocity of 4.4 ± 0.1 m/s (14.4 zero.

TABLE C TO § 572.217

Fore-aft flexion Lateral flexion Time (ms) m/s ft/s m/s ft/s

10 ...... 1.3–1.7 4.3–5.6 1.3–1.7 4.3–5.6 20 ...... 2.7–3.7 8.9–12.1 2.7–3.7 8.9–12.1 30 ...... 4.1–4.9 13.5–16.1 4.0–4.8 13.1–15.7

§ 572.218 Pelvis assembly and test which the dummy is being qualified. A (8) No suspension hardware, procedure. left pelvis test set-up that is used to suspension cables, or any other (a) The pelvis assembly (drawing 020– qualify the dummy for an ensuing full attachments to the probe, including the 7500) for this test includes a uniaxial scale left side impact is depicted in velocity vane, shall make contact with pubic load cell (drawing SA572–S7) Figure W11. A right pelvis test set-up the dummy during the test. installed on the non-impact side of the would be a mirror image of that shown pelvis (all incorporated by reference, see § 572.219 Test conditions and in Figure W11. Seat the dummy on the instrumentation. § 572.210). qualification bench described in Figure (b) When the center of the pelvis of a V3 of 49 CFR 572.194, the seat pan and (a) The following test equipment and instrumentation is needed for completely assembled dummy (drawing seat back surfaces of which are covered qualification as set forth in this subpart: 020–0100) (incorporated by reference, with thin sheets of PTFE (Teflon) see § 572.210) is impacted laterally by a (1) The test probe for shoulder, (nominal stock thickness: 2 to 3 mm thorax, and pelvis impacts is of rigid test probe conforming to § 572.219 at 4.0 (3⁄32- to 1⁄8-inch)) along the impact side ± 0.1 m/s (13.1 ± 0.3 ft/s) according to metallic construction, concentric in of the bench. shape, and symmetric about its the test procedure in paragraph (c) of (4) Position the dummy on the bench this section: longitudinal axis. It has a mass of 3.81 as shown in Figure W11, with the ribs ± 0.02 kg (8.40 ± 0.04 lb) and a (1) Maximum pubic load, measured making contact with the seat back with the uniaxial pubic load cell minimum mass moment of inertia of oriented 24.6 degrees relative to vertical, 560 kg-cm2 (0.407 lbf-in-sec2) in yaw (drawing SA572–S7) (incorporated by the legs extended forward along the seat reference, see § 572.210), shall have a and pitch about the CG. One-third (1⁄3) pan oriented 21.6 degrees relative to of the weight of the suspension cables value between 700 N (157 lbf) and 870 horizontal with the knees spaced 40 mm N (196 lbf). The peak force, measured by and their attachments to the impact (1.57 in) apart. The arms should be probe is included in the calculation of the impact probe as defined in § 572.219 positioned so that the arm on the non- and calculated in accordance with mass, and such components may not impacted side is parallel to the seat back paragraph (b)(2) of this section, shall exceed five percent of the total weight with the lower arm perpendicular to the have a value between 1.57 kN (353 lbf) of the test probe. The impacting end of upper arm, and the arm on the impacted and 1.81 kN (407 lbf). the probe, perpendicular to and (2) The force shall be calculated by side is positioned upwards away from concentric with the longitudinal axis, is the product of the impactor mass and its the pelvis. at least 25.4 mm (1.0 in) long, and has measured deceleration. (5) Establish the impact point at the a flat, continuous, and non-deformable (c) Test procedure: The test procedure center of the pelvis so that the impact 70.0 ± 0.25 mm (2.76 ± 0.01 in) diameter for the pelvis assembly is as follows: point of the longitudinal centerline of face with an edge radius between 6.4– (1) The dummy is clothed in the Q3s the probe is located 185 mm (7.28 in) 12.7 mm (0.25 to 0.5 in). The probe’s suit (drawing 020–8001) (incorporated from the center of the knee pivot screw end opposite to the impact face has by reference, see § 572.210). No (part #020–9008) and centered vertically provisions for mounting of an additional clothing or shoes are placed on the femur. accelerometer with its sensitive axis on the dummy. (6) Impact the pelvis with the test collinear with the longitudinal axis of (2) Soak the dummy in a controlled probe so that at the moment of contact the probe. No concentric portions of the environment at any temperature the probe’s longitudinal centerline impact probe may exceed the diameter between 20.6 and 22.2 °C (69 and 72 °F) should be horizontal (± 1 degrees), and of the impact face. The impact probe and a relative humidity from 10 to 70 the centerline of the probe should be shall have a free air resonant frequency percent for at least four hours prior to within 2 mm (0.08 in) of the center of of not less than 1000 Hz, which may be a test. the pelvis. determined using the procedure listed (3) The pelvis test is carried out in the (7) Guide the test probe during impact in the PADI. direction opposing the primary load so that there is no significant lateral, (2) Head accelerometers have vector of the ensuing full scale test for vertical, or rotational movement. dimensions, response characteristics,

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00032 Fmt 4701 Sfmt 4702 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69975

and sensitive mass locations specified (9) The pubic force transducers have 020–0100, sheet 2 of 5 (incorporated by in drawing SA572–S4 and are mounted the dimensions and response reference, see § 572.210). in the head as shown in drawing 020– characteristics specified in drawing (c) The outputs of transducers 0100, sheet 2 of 5 (incorporated by SA572–S7 and are mounted in the torso installed in the dummy and in the test reference, see § 572.210). assembly as shown in drawing 020– equipment specified by this part are to (3) The upper neck force and moment 0100, sheet 2 of 5 (incorporated by be recorded in individual data channels transducer has the dimensions, response reference, see § 572.210). that conform to SAE Recommended characteristics, and sensitive axis (b) The following instrumentation Practice J211 (incorporated by reference, locations specified in drawing SA572– may be required for installation in the see § 572.210) except as noted, with S8 and is mounted in the head-neck dummy for compliance testing. If so, it channel frequency classes as follows: assembly as shown in drawing 020– is installed during qualification (1) Pendulum acceleration, CFC 180, 0100, sheet 2 of 5 (incorporated by procedures as described in this subpart: (2) Pendulum angular rate, CFC 60, reference, see § 572.210). (1) The optional angular rate sensors (4) The angular rate sensors for the for the head have the dimensions and (3) Neck twist fixture rotation, CFC fore-aft neck flexion and lateral neck response characteristics specified in any 60, flexion qualification tests have the of drawings SA572–S55, SA572–S56, (4) Test probe acceleration, CFC 180, dimensions and response characteristics SA572–S57 or SA572–S58 and are (5) Head accelerations, CFC 1000, specified in drawing SA572–S58 mounted in the head as shown in (6) Headform angular rate, CFC 60, (incorporated by reference, see drawing 020–0100, sheet 2 of 5 (all (7) Neck moments, upper and lower, § 572.210) and are mounted in the incorporated by reference, see CFC 600, headform and on the pendulum as § 572.210). (7) Shoulder deflection, CFC 180, shown in Figures W3, W4 of this (2) The upper spine accelerometers (8) Thorax deflection, CFC 180, subpart. have the dimensions, response (9) Upper spine accelerations, CFC (5) The string pot shoulder deflection characteristics, and sensitive mass 180, transducers have the dimensions and locations specified in drawing SA572– (10) T1 acceleration, CFC 180, response characteristics specified in S4 and are mounted in the torso drawing SA572–S38 or SA572–S39 and assembly as shown in drawing 020– (11) Pubic force, CFC 180, are mounted to the torso assembly as 0100, sheet 2 of 5 (all incorporated by (12) Pelvis accelerations, CFC 1000. shown in drawing 020–0100, sheet 2 of reference, see § 572.210). (d) Coordinate signs for 5 (all incorporated by reference, see (3) The pelvis accelerometers have the instrumentation polarity are to conform § 572.210). dimensions, response characteristics, to SAE Information Report J1733 (6) The IR–TRACC thorax deflection and sensitive mass locations specified (incorporated by reference, see transducers have the dimensions and in drawing SA572–S4 and are mounted § 572.210). response characteristics specified in in the torso assembly as shown in (e) The mountings for sensing devices drawing SA572–S37 and are mounted to drawing 020–0100, sheet 2 of 5 (all have no resonant frequency less than 3 the torso assembly as shown in drawing incorporated by reference, see times the frequency range of the 020–0100, sheet 2 of 5 (incorporated by § 572.210). applicable channel class. reference, see § 572.210). (4) The T1 accelerometer has the (f) Limb joints are set at one G, barely (7) The lumbar spine force and dimensions, response characteristics, restraining the weight of the limb when moment transducer has the dimensions, and sensitive mass location specified in it is extended horizontally. The force response characteristics, and sensitive drawing SA572–S4 and is mounted in needed to move a limb segment is not axis locations specified in drawing the torso assembly as shown in drawing to exceed 2G throughout the range of SA572–S8 and is mounted in the torso 020–0100, sheet 2 of 5 (incorporated by limb motion. assembly as shown in drawing 020– reference, see § 572.210). (g) Performance tests of the same 0100, sheet 2 of 5 (incorporated by (5) The lower neck force and moment component, segment, assembly, or fully reference, see § 572.210). transducer has the dimensions, response assembled dummy are separated in time (8) The angular rate sensors for the characteristics, and sensitive axis by not less than 30 minutes unless fore-aft lumbar flexion and lateral locations specified in drawing SA572– otherwise noted. lumbar flexion qualification tests have S8 and is mounted to the neck assembly (h) Surfaces of dummy components the dimensions and response as shown in drawing 020–0100, sheet 2 may not be painted except as specified characteristics specified in drawing of 5 (incorporated by reference, see in this subpart or in drawings subtended SA572–S58 (incorporated by reference, § 572.210). by this subpart. see § 572.210) and are mounted in the (6) The tilt sensor has the dimensions BILLING CODE 4910–59–P headform and on the pendulum as and response characteristics specified in shown in Figures W9, W10 of this drawing SA572–S44 and is mounted to Appendix—Figures to Subpart W of subpart. the torso assembly as shown in drawing Part 572

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00033 Fmt 4701 Sfmt 4702 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 69976 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

Figure WI FRONTAL HEAD DROP TEST SET-UP SPECIFICATIONS

QUlCKRELEASE Z-AXIS OF TIlE HEAD HEAD SUSPENSION (PARALLEL TO CABLES SKULL CAP PLANE)

HEAD COMPLETE (020-1200) WITH HEAD ACCELEROMETER ASS'Y. (020-1013A)

376±lmm ~------~--~

s=~rnj MEDIAL-LATERAl 50.8 x 610mm x 610mm AXIS MUST BE (2 x 24 x 24 in) HORIZONTAL IMPACT SURFACE WITH1N 1° FINISH 203 to 2032 ~mm (8 to 80 RMS ~in) HALF LOAD CELL BLANK (PART #020-1050) 376±lmm L ~I------

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00034 Fmt 4701 Sfmt 4725 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 EP21NO13.002 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69977

FigureW2 LATERAL HEAD DROP TEST SET-UP SPECIFICATIONS

HEAD SUSPENSION CABLES QUICK RELEASE

HALF LOAD CELL HEAD COMPLETE BLANK (020-1200) (PART #020-1050) WITH HEAD ACCELEROMETER ASS'Y. (020-1013A) HEAD BASE PLANE (PARALLEL TO THE HALF LOAD CELL BLANK) l 200±1m.m L_-----"___

STEEL PLATE 50.8 x 61Om.m x 610mm (2x24x24in) IMPACT SURFACE FINISH 203 to 2032 p.mmImm (8 to 80 RMS ~in)

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00035 Fmt 4701 Sfmt 4725 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 EP21NO13.003 69978 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

ANGULAR RATE SENSOR PENDULUM INTERFACE (PART #SA:5I2-SS8) PLATE (PART 0020-90:51)

NECK ASSEMBLY (PART ""~,V-,,"""= NECKtTORSO NOTICE INTERFACE PLII"TE NECK/LUMBAR PLACEMENT DIRECTION #020-90:56) LOADCEtL (BOLTED iN REAR (PART #SA:572-S8) SET OF MOUNTING HOLES)

ANGULAR RATE PE,RPENDICULAR SENSOR TO CENTER LINE #SA512-S:58) OF PENDlJLU~'(

HEADFORM ANGULAR RATE (PART #020-90:50) SENSOR MOUNT

FigureW4 NECK LATERAL FLEXION TEST SPECIFICATIONS DIRECTION OF ... MOTION _-----. PART 512 SUBPART E PENDULUM (FIGURE #22)

ANGULAR RATE PENDULUM INTERFACE SENSOR PLATE (PART #SA571-s5S) ...."-- __--'1 (PART #O20·9{}51) NECKASSRMBLY (PART 11020-24(0) NECKITORSO NOTICE NECK INTERFACE PLATE NBCKILUMBAR PLACEMENT DlRECTION (PART#02O-90S6) LOAD CELL (BOLTED IN TIm FROm (PAIlT #SA5n·SS) SET OF MOUNTING HOLES) DPLANE --­ ANGULAR RATE PERPENDICULAR SENSOR TO CENTER LINE (pART #SA5n-ssS) OF PENDULUM

HEADFORM ANGULAR RATE (PART #O20-9{}50) SENSOR MOUNT

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00036 Fmt 4701 Sfmt 4725 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 EP21NO13.004 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69979

PART 572 SUBPART E I}ENDULUM (FIGURE NECK ASSEMBLY (PART #020-24(0)

ROT/tRY TWIST .FIXTUR.E POTENTIOMETER BNDPlATE {PART #SA572-..~51: (PART IIDL210-21O) NECK TltVI:";T FiXTURE NECKlL'UMfti\R (PART #DI,21O-1(0) LOAD CELL • (P.A1U NECK ADAPTER l'l~ATE D (PART IIDUI0-220) D

W6 SHOULDERTMPACT

If..fPACT PROBE \-lEIGHT = 3J';5 0.02 Kg INSTRUMENTATION OF THE CABLE ""'EIGHT

ARMALlGNED WITH THORAX

CENTER AXIS OF PROBE IS IN-tiNE WITH OF SHOULDER .IOlNT

40 mm BETIVEEN KNEES V,,1TI:1 -__
i
__ . -- PARALLEL

VlE\V"A" QUALIFICATION BENCH REF, FIG. V3 CFR 49 572.194

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00037 Fmt 4701 Sfmt 4725 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 EP21NO13.005 69980 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

IMPACT liROBE SUPPORT CABLES IMPACT PROB.!': WEIGHT = 3,85 ± Kg INCLUDING ALL INSTRUMENTATION AND OF THE CA.BLE \VEIGHT

ALIGNED WITH THORA"",\:

VIE\\,' "A"

CENTER AXIS DF PROBE is CE'I\l'TERED 'THE IR..:rRACC ATIACIL"vfENT BOLTS ON 4() nun BETWEEN RrBCAGE KNEES "VITH --~ 24,6" LEGS ",'~j"',M,J"'~,I'L,

VIEW "A" QUALifiCATION BENCH REF, FIG, V3 CFR 49 572.194

LATERAL THORAX IMPACT - WITHOUT ARM Hv'I.PACT PROBE SUPPORt' CABU~:S

IMPACT PROBE WEIGHT = 3.85 ± Kg INCLUDING ALL INSTRUMENTATION c\ND OF THE CABtE WEIGHT

VIEW "A" ~

CENTER AXIS OF PROBE lS CENTERED BETWEEN THE IR-TRACC ATIACHMENT ROLTSON 40 BET\VEEN KNEES __ THE RIBCAGE WITH LE:GS PARAU.. EL

VIEW "A" QUALIFICATION BENCH REF. FIG, '1/3 CFR49

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00038 Fmt 4701 Sfmt 4725 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 EP21NO13.006 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules 69981

PARI 572 SllBPART E PfNDUUJM

FI:INDULUM PLATE (PART #020-9(51) ANGULAR RATE SENSOR LIJMBAR SPINE ASS.EII,mty (PART #SA572-S:58) - NECKlLlJMBAR (pART ""'<'J-"'''''''1 LOAD CELL NOTICE (FART PLACEME.NT DIRECTION (BOLTED THE REAR SET MOUNTING HOLES)

PLANE --"-­ ANGULAR RATE PERPBNDlCULAR SENSOR TO CENTER LINE #SAS12-SS8) Of PENDULUM

HEADFORM ANGULAR IV\' TE (PART #020-9(50) SENSOR MOLINT

FigureWlO LUMBAR LATERAL FLEXION TEST SPECIFICATIONS DUCTION OF MOTION ...

NECK\LUMBAR LOADCBLL LUMBAR SPINE ASSEMBLY (PART #SASn.sS) (pART #020-6000) PENDULUMlNTBRFACE NOTICE LUMBAR PLATE ATTACHMENT TO (pART #020-9(51) HBADFORM (BOLTED IN TIm FRONT SET OF MOUNTING HOLES)

DPLANE PERPENDICULAR TOCBNTBRLINE OFPBNDULUM

ANGULAR RATE SENSOR (pART ffSA572.s5S) HBADFORM (PART #020-9050)

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00039 Fmt 4701 Sfmt 4725 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 EP21NO13.007 69982 Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Proposed Rules

Issued on: November 8, 2013. Christopher J. Bonanti, Associate Administrator for Rulemaking. [FR Doc. 2013–27438 Filed 11–20–13; 8:45 am] BILLING CODE 4910–59–C

VerDate Mar<15>2010 17:18 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00040 Fmt 4701 Sfmt 9990 E:\FR\FM\21NOP2.SGM 21NOP2 tkelley on DSK3SPTVN1PROD with PROPOSALS2 EP21NO13.008 i

Reader Aids Federal Register Vol. 78, No. 225 Thursday, November 21, 2013

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING NOVEMBER

Federal Register/Code of Federal Regulations At the end of each month the Office of the Federal Register General Information, indexes and other finding 202–741–6000 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since Laws 741–6000 the revision date of each title. Presidential Documents 1 CFR 317...... 66826 318...... 66826 Executive orders and proclamations 741–6000 Proposed Rules: 320...... 66826 The United States Government Manual 741–6000 51...... 69006, 69594 327...... 66826 Other Services 3 CFR 331...... 66826 Electronic and on-line services (voice) 741–6020 381...... 66826 Privacy Act Compilation 741–6064 Proclamations: 9047...... 66605 412...... 66826 Public Laws Update Service (numbers, dates, etc.) 741–6043 424...... 66826 TTY for the deaf-and-hard-of-hearing 741–6086 9048...... 66607 9049...... 66609 10 CFR 9050...... 66611 ELECTRONIC RESEARCH 9051...... 66613 95...... 69286 9052...... 66615 430...... 68331 World Wide Web 9053...... 66617 770...... 67295 Full text of the daily Federal Register, CFR and other publications 9054...... 66619 Proposed Rules: is located at: www.fdsys.gov. 9055...... 67287 2...... 66660 Federal Register information and research tools, including Public 9056...... 68325 40...... 67224, 67225 Inspection List, indexes, and Code of Federal Regulations are 9057...... 69533 50...... 68774 located at: www.ofr.gov. 9058...... 69751 51...... 65903, 66858 Executive Orders: 55...... 68774 E-mail 13653...... 66819 70...... 67224, 67225 FEDREGTOC-L (Federal Register Table of Contents LISTSERV) is Administrative Orders: 72...... 67224, 67225 an open e-mail service that provides subscribers with a digital Notices: 74...... 67224, 67225 form of the Federal Register Table of Contents. The digital form Notice of October 30, 150...... 67224, 67225 of the Federal Register Table of Contents includes HTML and 2013 ...... 65867 429...... 66202, 67319 PDF links to the full text of each document. Notice of November 7, 430...... 66202 To join or leave, go to http://listserv.access.gpo.gov and select 2013 ...... 67289 431...... 66202 Online mailing list archives, FEDREGTOC-L, Join or leave the list Notice of November 12 CFR (or change settings); then follow the instructions. 12, 2013 ...... 68323 PENS (Public Law Electronic Notification Service) is an e-mail 204...... 66249 service that notifies subscribers of recently enacted laws. 5 CFR 652...... 65541 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 733...... 66825 1002...... 69753 and select Join or leave the list (or change settings); then follow 850...... 68981 1005...... 66251, 69753 1024...... 68343, 69753 the instructions. Proposed Rules: FEDREGTOC-L and PENS are mailing lists only. We cannot 1201...... 67076 1026...... 69753 respond to specific inquiries. 1267...... 67004 Reference questions. Send questions and comments about the 6 CFR 1269...... 67004 Federal Register system to: [email protected] 1001...... 66995 1270...... 67004 The Federal Register staff cannot interpret specific documents or 1002...... 66995 Proposed Rules: regulations. 1003...... 66995 380...... 66661 Reminders. Effective January 1, 2009, the Reminders, including 702...... 65583 Rules Going Into Effect and Comments Due Next Week, no longer 7 CFR 1006...... 67848 appear in the Reader Aids section of the Federal Register. This 27...... 68983 14 CFR information can be found online at http://www.regulations.gov. 271...... 65515 CFR Checklist. Effective January 1, 2009, the CFR Checklist no 274...... 65515 21...... 68687 longer appears in the Federal Register. This information can be 319...... 69285 25 ...... 67291, 68985, 68986 found online at http://bookstore.gpo.gov/. 761...... 65523 34...... 65554 762...... 65523 39 ...... 65869, 65871, 66252, FEDERAL REGISTER PAGES AND DATE, NOVEMBER 765...... 65523 66254, 66258, 67009, 67011, 766...... 65523 67013, 67015, 67018, 67020, 65515–65868...... 1 772...... 65523 67022, 68345, 68347, 68352, 65869–66248...... 4 1726...... 69286 68355, 68357, 68360, 68688, 66249–66620...... 5 Proposed Rules: 68691, 68693, 68697 66621–66824...... 6 245...... 65890 45...... 65554 66825–66994...... 7 905...... 67977 61...... 66261 66995–67288...... 8 1211...... 67979, 68298 71 ...... 65554, 65555, 65556, 67289–67924...... 12 3550...... 65582 67024, 67292, 67293, 67294, 67925–68324...... 13 67295, 67296, 67297, 67298, 68325–68686...... 14 8 CFR 67299, 68699 68687–68980...... 15 Proposed Rules: 91...... 68360 68981–69284...... 18 214...... 69778 95...... 68699 69285–69534...... 19 97...... 68702, 68704 69535–69752...... 20 9 CFR 117...... 69287 69753–69982...... 21 94...... 68327 121...... 67800, 69287

VerDate Mar 15 2010 19:38 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00001 Fmt 4712 Sfmt 4712 E:\FR\FM\21NOCU.LOC 21NOCU tkelley on DSK3SPTVN1PROD with CU.LOC ii Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Reader Aids

382...... 67882, 67918 1240...... 66841 110...... 67300 80...... 69628 399...... 67882 1308...... 68716 117 ...... 65873, 65874, 66265, 98...... 66674, 69337 Proposed Rules: Proposed Rules: 66266, 67027, 67938 300...... 66325, 69360 Ch. I ...... 69789 Ch. I ...... 65588 141...... 69292 25 ...... 66317, 67077, 67320, 1 ...... 69602, 69603, 69604 151...... 67027 42 CFR 67321, 67323, 68775 16 ...... 69006, 69603, 69604, 155...... 67027 433...... 66852 39 ...... 66666, 66668, 66859, 69605 160...... 67027 Proposed Rules: 66861, 69316, 69318, 69320, 20...... 65904 165 ...... 65874, 66267, 66269, 84...... 69361 69594, 69595, 69597, 69600, 106...... 69604 67028, 68995 69785 110...... 69604 Proposed Rules: 44 CFR 71 ...... 67324, 68777, 69787 112...... 69006, 69605 97...... 68784 64 ...... 65882, 68999, 69001 121...... 67983 114...... 69604 100...... 69007 206...... 66852 135...... 66865 117...... 69604 117 ...... 67084, 67999, 69803 1260...... 68375, 68376 120...... 69604 140...... 67326 45 CFR 1273...... 68375 123...... 69604 141...... 67326 146...... 68240 1274...... 68375, 68376 129...... 69604 142...... 67326 147...... 68240 179...... 69604 143...... 67326 153...... 66653 15 CFR 211...... 69604 144...... 67326 155...... 66653 30...... 67927 310...... 65904 145...... 67326 156...... 66653 400...... 69288 314...... 65904, 67985 146...... 67326 157...... 66653 748...... 69535 600...... 65904 147...... 67326 158...... 66653 601...... 67985 160...... 68784 170...... 65884 16 CFR 1308...... 65923 165...... 67086, 68002 Proposed Rules: 1...... 65557 22 CFR 1613...... 65933 254...... 68987 34 CFR 801...... 68705 41...... 66814, 68992 Ch. III ...... 66271 46 CFR 1500...... 66840 230...... 66841 Ch. VI...... 69612 502...... 67025 Proposed Rules: Proposed Rules: 668...... 65768 97...... 68784 1115...... 69793 Proposed Rules: 674...... 65768 226...... 69802 682...... 65768 47 CFR 17 CFR 24 CFR 685...... 65768 1...... 66287, 66288 1...... 68506 Proposed Rules: 22...... 66288 50...... 68719 3...... 68506 200...... 69336 25...... 67309 55...... 68719 15...... 69178 Ch. VI...... 66865 27...... 66288, 66298 58...... 68719 17...... 69178 64...... 67956 Proposed Rules: 36 CFR 18...... 69178 69...... 67053 20...... 69178 214...... 66670 1191...... 67303 73...... 66288, 67310 22...... 68506 25 CFR 74...... 66288 23...... 66621 37 CFR 151...... 67928 Proposed Rules: 30...... 68506 384...... 66276 Ch. I ...... 65601 Proposed Rules: 140...... 68506 385...... 67938 4...... 69018 226...... 65589 190...... 66621 64...... 68005 38 CFR 200...... 67468 26 CFR 73...... 68384, 69629 240...... 67468 17...... 68364 90...... 65594 249...... 67468 1...... 66639, 68735 54...... 68240 Proposed Rules: Proposed Rules: 17...... 69614 48 CFR Proposed Rules: 150...... 68946 204...... 69273 1...... 68779, 68780 170...... 67078, 67985 39 CFR 208...... 69268 300...... 65932 200...... 66428 20...... 69755 212...... 69268, 69273 227...... 66428 28 CFR 111...... 69553 215...... 69268 232...... 66428 16...... 69753 3010...... 67951 225...... 69282 239...... 66428 Proposed Rules: 233...... 69268 240...... 66428 29 CFR 3050...... 69805 239...... 69268 249...... 66428 1910 ...... 66641, 66642, 69543 244...... 69268 40 CFR 300...... 66318 1926...... 66641, 66642 252 ...... 69288, 69273, 69283 9...... 66279 Proposed Rules: 19 CFR 2590...... 68240 4022...... 68739 19...... 66643 1...... 69812 Proposed Rules: Proposed Rules: 52 ...... 65559, 65875, 65877, 2...... 69812 351...... 69322 1904...... 67254, 68782 66280, 66648, 66845, 67036, 9...... 69812 67307, 67952, 68365, 68367, 12...... 69812 20 CFR 1910...... 65932, 69606 1926...... 65932 68997, 69296, 69299, 69773 22...... 69812 404...... 66638 1952...... 67254, 68782 81...... 66845 52...... 69812 416...... 66638 98...... 68162 927...... 66865 655 ...... 69538, 69539, 69541 30 CFR 180 ...... 65561, 65565, 66649, 952...... 66865 Proposed Rules: Proposed Rules: 66651, 67038, 67042, 67048, 970...... 66865 404...... 69324 68741, 69562 75...... 68783 49 CFR 936...... 66671 300...... 66283, 69302 21 CFR 372...... 66848 27...... 67882 1...... 69543 32 CFR 721...... 65570, 66279 172...... 69310 73...... 68713 319...... 69550, 69551 Proposed Rules: 571...... 68748 510...... 66263 320...... 69289, 39291 51...... 69806 575...... 66655 520...... 66263 701...... 69552 52 ...... 65590, 65593, 66320, Proposed Rules: 522...... 66263 67090, 67327, 68005, 68377, 26...... 68016 558...... 66263 33 CFR 68378, 69337, 69625, 69812 173...... 66326 886...... 68714 100 ...... 66844, 67026, 68995 63...... 66108, 66321 174...... 66326

VerDate Mar 15 2010 19:38 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00002 Fmt 4712 Sfmt 4712 E:\FR\FM\21NOCU.LOC 21NOCU tkelley on DSK3SPTVN1PROD with CU.LOC Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Reader Aids iii

178...... 66326 20...... 65573 648...... 65888, 66857 223...... 66675, 69033 179...... 66326 21 ...... 65576, 65578, 65844 660...... 68764 224...... 66675, 69033 180...... 66326 223...... 66140, 69310 679 ...... 68374, 69591, 69592 226...... 65959 572...... 69944 224...... 66140 Proposed Rules: 242...... 66885 50 CFR 300...... 65887, 69002 17 ...... 65936, 65938, 68660 635...... 66327 10...... 65844 622...... 68372, 68373 21...... 65953, 65955 648...... 66887 17...... 68370, 69569 635...... 68757 100...... 66885 679...... 65602, 68390

VerDate Mar 15 2010 19:38 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00003 Fmt 4712 Sfmt 4712 E:\FR\FM\21NOCU.LOC 21NOCU tkelley on DSK3SPTVN1PROD with CU.LOC iv Federal Register / Vol. 78, No. 225 / Thursday, November 21, 2013 / Reader Aids

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

VerDate Mar 15 2010 19:38 Nov 20, 2013 Jkt 232001 PO 00000 Frm 00004 Fmt 4712 Sfmt 4711 E:\FR\FM\21NOCU.LOC 21NOCU tkelley on DSK3SPTVN1PROD with CU.LOC