Vol. 81 Tuesday, No. 196 October 11, 2016

Pages 69999–70318

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 81, No. 196

Tuesday, October 11, 2016

Agency for Healthcare Research and Quality Meetings: NOTICES President’s Advisory Commission on Educational Meetings: Excellence for African Americans, 70103–70104 Initial Review Group Committee, 70114–70115 Energy Department Agency for International Development See Federal Energy Regulatory Commission NOTICES Meetings: Advisory Committee on Voluntary Foreign Aid, 70085 Environmental Protection Agency Privacy Act; Systems of Records, 70085–70087 RULES Air Quality State Implementation Plans; Approvals and Agricultural Research Service Promulgations: RULES California; Butte County Air Quality Management General Administrative Policy for Non-Assistance District, 70018–70020 Cooperative Agreements, 69999–70004 District of Columbia; Sulfur Content of Fuel Oil, 70020– NOTICES 70023 Agency Information Collection Activities; Proposals, Missouri; Operating Permits Program, and 112(l) Plan; Submissions, and Approvals, 70087–70088 Construction Permits Required, 70025–70029 Nebraska, 70023–70025 Agriculture Department Pesticide Tolerances: See Agricultural Research Service Mandestrobin, 70038–70043 See Food and Nutrition Service Protection of Stratospheric Ozone: See Forest Service Determination 32 for Significant New Alternatives Policy Program, 70029–70038 Centers for Medicare & Medicaid Services PROPOSED RULES NOTICES Air Quality State Implementation Plans; Approvals and Agency Information Collection Activities; Proposals, Promulgations: Submissions, and Approvals, 70117–70118 California; Butte County Air Quality Management Privacy Act; Computer Matching Program, 70115–70117 District, 70065 District of Columbia; Sulfur Content of Fuel Oil, 70064– Coast Guard 70065 RULES Missouri; Operating Permits Program, and 112(l) Plan; Drawbridge Operations: Construction Permits Required, 70066 James River, Isle of Wight and Newport News, VA, Nebraska, 70065–70066 70013–70014 NOTICES Meetings: Commerce Department Farm, Ranch, and Rural Communities Committee; See International Trade Administration Teleconference, 70109–70110 See National Oceanic and Atmospheric Administration Requests for Nominations: Corporation for National and Community Service 2017 Safer Choice Partner of the Year Awards Program, NOTICES 70110–70111 Agency Information Collection Activities; Proposals, Submissions, and Approvals, 70102 Equal Employment Opportunity Commission NOTICES Defense Acquisition Regulations System Meetings; Sunshine Act, 70111 PROPOSED RULES Defense Federal Acquisition Regulation Supplements: Federal Aviation Administration Procurement of Commercial Items; DFARS Case 2016– RULES D006; Extension of Comment Period, 70067 Airworthiness Directives: Defense Department The Boeing Company Airplanes, 70011–70013 PROPOSED RULES See Defense Acquisition Regulations System Airworthiness Directives: NOTICES Airbus Defense and Space S.A. (Formerly Known as Meetings: Construcciones Aeronauticas, S.A.) Airplanes, Defense Health Board, 70102–70103 70062–70064 Education Department NOTICES Federal Bureau of Investigation Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Meetings: Accrediting Agencies Reporting Activities for Institutions Criminal Justice Information System Advisory Policy and Programs, 70104–70105 Board, 70134–70135

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Federal Deposit Insurance Corporation PROPOSED RULES NOTICES Endangered and Threatened Wildlife and Plants: Terminations of Receivership: Status for Sideroxylon reclinatum ssp. austrofloridense AztecAmerica Bank, Berwyn, IL, 70111 (Everglades Bully), Dalea carthagenensis var. Bank of Jackson County, Graceville, FL, 70112 floridana (Florida Prairie-Clover), et al., 70282–70308 DuPage National Bank, West Chicago, IL, 70112 NOTICES Independent National Bank, Ocala, FL, 70111 John H. Chafee Coastal Barrier Resources System: Valley Capital Bank, N.A., Mesa, AZ, 70111–70112 Maps for Louisiana, Puerto Rico, and the U.S. Virgin Islands, 70130–70133 Federal Energy Regulatory Commission Food and Drug Administration NOTICES Applications: NOTICES Water Street Land, LLC, 70108–70109 Guidance: License Applications: Blood Glucose Monitoring Test Systems for Prescription Moriah Hydro Corp., 70107–70108 Point-of-Care Use, 70122–70124 License Transfer Applications: Self-Monitoring Blood Glucose Test Systems for Over-the- Lower Village Hydroelectric Associates, LP; Sugar River Counter Use, 70120–70122 Power LLC, 70105 Sunscreen Innovation Act; Section 586C(c) Advisory Preliminary Permit Applications: Committee Process, 70118–70119 GreenGenStorage LLC, 70105 Sunscreen Innovation Act; Withdrawal of a 586A Request Preliminary Permit Withdrawals: or Pending Request, 70119–70120 Dynegy Estero Bay Wave Park, LLC, 70108 Dynegy Point Estero Wave Park, LLC, 70108 Food and Nutrition Service Qualifying Conduit Hydropower Facilities: NOTICES California American Water, Southern Division, 70106 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Assessment of the Barriers that Constrain the Adequacy Federal Highway Administration of Supplemental Nutrition Assistance Program NOTICES Allotments, 70088–70089 Environmental Impact Statements; Availability, etc.: Los Angeles County, CA, 70247–70248 Foreign Assets Control Office NOTICES Federal Motor Carrier Safety Administration Blocking or Unblocking of Persons and Properties, 70274– NOTICES 70275 Qualification of Drivers; Exemption Applications: Vision, 70248–70256 Forest Service NOTICES Federal Railroad Administration Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 70089–70090 Agency Information Collection Activities; Proposals, Boundary Modifications: Submissions, and Approvals: Skagit Wild and Scenic River, Mt. Baker, Snoqualmie Railworthiness Directive for Certain Railroad Tank Cars National Forest, WA, 70090 Equipped with Bottom Outlet Valve Assembly and Constructed by American Railcar Industries and ACF Government Ethics Office Industries, 70256–70257 NOTICES Environmental Impact Statements; Availability, etc.: Agency Information Collection Activities; Proposals, Long Bridge Project, Washington, DC, 70260 Submissions, and Approvals: San Gorgonio Pass Rail Corridor Service: Riverside, San Executive Branch Confidential Financial Disclosure Bernardino, Orange, and Los Angeles Counties, CA, Report, 70113–70114 70257–70260 Modified OGE Form 201 Ethics in Government Act Access Form, 70112–70113 Federal Reserve System NOTICES Health and Human Services Department Formations of, Acquisitions by, and Mergers of Bank See Agency for Healthcare Research and Quality Holding Companies, 70112 See Centers for Medicare & Medicaid Services See Food and Drug Administration Federal Transit Administration See National Institutes of Health NOTICES Uniform System of Accounts and Changes to the National Homeland Security Department Transit Database Reporting Requirements, 70260–70264 See Coast Guard See U.S. Citizenship and Immigration Services Fish and Wildlife Service PROPOSED RULES RULES Retrospective Review of Existing Regulations, 70060–70061 Endangered and Threatened Species: Solidago albopilosa (White-haired Goldenrod) and Interior Department Removal of Solidago albopilosa (White-haired See Fish and Wildlife Service Goldenrod); Removal from Federal List, 70043–70059 See National Park Service

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Internal Revenue Service National Institute of Environmental Health Sciences, NOTICES 70125–70126 Agency Information Collection Activities; Proposals, National Institute of Mental Health, 70124–70125 Submissions, and Approvals, 70277 National Institute of Neurological Disorders and Stroke, Meetings: 70126–70127 Taxpayer Advocacy Panel Joint Committee, 70275 National Science Advisory Board for Biosecurity, 70125 Taxpayer Advocacy Panel Notices and Correspondence Project Committee, 70277 National Oceanic and Atmospheric Administration Taxpayer Advocacy Panel Special Projects Committee, PROPOSED RULES 70275 Endangered and Threatened Species: Taxpayer Advocacy Panel Tax Forms and Publications 90-day Finding on a Petition to List the Pacific Bluefin Project Committee, 70276 Tuna, 70074–70080 Taxpayer Advocacy Panel Taxpayer Assistance Center International Fisheries: Improvements Project Committee, 70276 Tuna and Tuna-like Species in the Eastern Pacific Ocean; Taxpayer Advocacy Panel Taxpayer Communications Silky Shark Fishing Restrictions and Fish Project Committee, 70275–70276 Aggregating Device Data, 70080–70084 Taxpayer Advocacy Panel Toll-Free Phone Line Project NOTICES Drafts 2016 Marine Mammal Stock Assessment Reports, Committee, 70276–70277 70097–70099 International Trade Administration Meetings: NOTICES New England Fishery Management Council, 70100 Antidumping or Countervailing Duty Investigations, Orders, Pacific Fishery Management Council, 70101–70102 or Reviews: South Atlantic Fishery Management Council, 70100 Permits: Certain Lined Paper Products from India; Administrative Marine Mammals; File No. 19669, 70100–70101 Review, 2014, 70091–70092 Marine Mammals; File No. 20658, 70101 High Pressure Steel Cylinders from the People’s Republic of China, 70090–70091 National Park Service Wooden Bedroom Furniture from the People’s Republic NOTICES of China, 70092–70094 Native American Graves Protection and Repatriation Trade Missions: Review Committee: Executive-Led Power Technologies; United Arab Emirates Findings and Recommendations Regarding Cultural Items and Saudi Arabia March 12–16, 2017, 70094–70097 for the Wiyot Tribe, California, 70134 Findings and Recommendations Regarding Human Justice Department Remains and Associated Funerary Objects for the See Federal Bureau of Investigation Pueblo of Santa Ana, NM, 70133–70134 NOTICES Proposed Consent Decrees, 70135 National Science Foundation Proposed Consent Decrees under the Clean Air Act, 70136 NOTICES Proposed Consent Decrees under the Toxic Substances Meetings; Sunshine Act, 70171–70172 Control Act, 70135–70136 National Transportation Safety Board Legal Services Corporation NOTICES NOTICES Senior Executive Service Performance Review Board; Meetings; Sunshine Act, 70136–70138 Correction, 70172 Senior Executive Service Performance Review Board; Millennium Challenge Corporation Withdrawal, 70172 NOTICES Quarterly Report (October 1, 2013 – December 31, 2014), Nuclear Regulatory Commission 70139–70171 RULES List of Approved Spent Fuel Storage Casks: National Aeronautics and Space Administration Holtec International HI–STORM 100 Cask System; NOTICES Certificate of Compliance No. 1014, Amendment No. Agency Information Collection Activities; Proposals, 10, 70004–70011 Submissions, and Approvals, 70171 NOTICES Confirmatory Orders: National Highway Traffic Safety Administration Southern Nuclear Operating Co., Inc.; Edwin I. Hatch NOTICES Nuclear Plant, Unit Nos. 1 and 2, 70172–70175 Agency Information Collection Activities; Proposals, Facility Operating and Combined Licenses: Submissions, and Approvals, 70264–70273 Applications and Amendments Involving No Significant Hazards Considerations, 70175–70190 National Institutes of Health License Amendment Applications: NOTICES Tennessee Valley Authority, Sequoyah Nuclear Plant, Meetings: Units 1 and 2, 70190–70191 Center for Scientific Review, 70126–70130 Meetings; Sunshine Act, 70191 National Institute of Allergy and Infectious Diseases, 70128 Personnel Management Office National Institute of Child Health and Human NOTICES Development, 70126 Privacy Act; Systems of Records, 70191–70197

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Pipeline and Hazardous Materials Safety Administration Transportation Department PROPOSED RULES See Federal Aviation Administration Hazardous Materials Grants Requirements, 70067–70074 See Federal Highway Administration NOTICES See Federal Motor Carrier Safety Administration Hazardous Materials: See Federal Railroad Administration Termination of EX Classification Approval See Federal Transit Administration EX1987030326, 70273 See National Highway Traffic Safety Administration See Pipeline and Hazardous Materials Safety Postal Regulatory Commission Administration RULES NOTICES Product Lists; Update, 70014–70018 Meetings: Port Performance Freight Statistics Working Group, Presidential Documents 70273–70274 PROCLAMATIONS Special Observances: German-American Day (Proc. 9515), 70317–70318 Treasury Department ADMINISTRATIVE ORDERS See Foreign Assets Control Office Refugee Admissions for Fiscal Year 2017 (Presidential See Internal Revenue Service Determination No. 2016–13 of September 28, 2016), 70315–70316 U.S. Citizenship and Immigration Services Trafficking in Persons; Foreign Governments’ Efforts NOTICES Regarding (Presidential Determination No. 2016–12 of Agency Information Collection Activities; Proposals, September 27, 2016), 70309–70313 Submissions, and Approvals: Application for Temporary Protected Status, 70130 Securities and Exchange Commission NOTICES Veterans Affairs Department Applications: Terra Income Fund 6, Inc., et al., 70210–70214 NOTICES Agency Information Collection Activities; Proposals, Exemptions: Submissions, and Approvals: Advisors Series Trust and Orinda Asset Management, Expanded Access to Non-VA Care through the Veterans LLC, 70226 Choice Program, 70278–70279 Self-Regulatory Organizations; Proposed Rule Changes: Meetings: Bats BZX Exchange, Inc., 70205–70207 Joint Biomedical Laboratory Research and Development Bats EDGX Exchange, Inc., 70198–70200 and Clinical Science Research and Development BOX Options Exchange LLC, 70214–70216, 70222–70226 Services Scientific Merit Review Board, 70279 Depository Trust Co., 70200–70205 Investors Exchange LLC, 70216–70222 NASDAQ Stock Market LLC, 70207–70210 NYSE Arca, Inc., 70226–70227 Separate Parts In This Issue Small Business Administration Part II NOTICES Interior Department, Fish and Wildlife Service, 70282– Disaster Declarations: 70308 Florida, 70227–70228 Meetings: Federal Advisory Committee, 70228–70229 Part III Presidential Documents, 70309–70313, 70315–70318 State Department NOTICES Agency Information Collection Activities; Proposals, Reader Aids Submissions, and Approvals: Consult the Reader Aids section at the end of this issue for Adoptive Family Relief Act Refund Application, 70229 phone numbers, online resources, finding aids, and notice Application for A, G, or NATO Visa, 70229–70230 of recently enacted public laws. Nonimmigrant Treaty Trader/Investor Application, 70230–70231 To subscribe to the Federal Register Table of Contents electronic mailing list, go to https://public.govdelivery.com/ State Justice Institute accounts/USGPOOFR/subscriber/new, enter your e-mail NOTICES address, then follow the instructions to join, leave, or Grant Guidelines, 70231–70247 manage your subscription.

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CFR PARTS AFFECTED IN THIS ISSUE

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

3 CFR Proposed Rules: Proclamations: 17...... 70282 9515...... 70317 223...... 70074 224...... 70074 Administrative Orders: 300...... 70080 Presidential Determinations: No. 2016-12 of September 27, 2016 ...... 70311 No. 2016-13 of September 28, 2016 ...... 70315 6 CFR Proposed Rules: Ch. I ...... 70060 7 CFR 550...... 69999 8 CFR Proposed Rules: Ch. I ...... 70060 10 CFR 72...... 70004 14 CFR 39...... 70011 Proposed Rules: 39...... 70062 19 CFR Proposed Rules: Ch. I ...... 70060 33 CFR 117...... 70013 Proposed Rules: Ch. I ...... 70060 39 CFR 3020...... 70014 40 CFR 52 (4 documents) ...... 70018, 70020, 70023, 70025 70...... 70025 82...... 70029 180...... 70038 Proposed Rules: 52 (4 documents) ...... 70064, 70065, 70066 70...... 70066 44 CFR Proposed Rules: Ch. I ...... 70060 46 CFR Proposed Rules: Ch. I ...... 70060 Ch. III ...... 70060 48 CFR Proposed Rules: 202...... 70067 212...... 70067 215...... 70067 234...... 70067 239...... 70067 252...... 70067 49 CFR Proposed Rules: Ch. XII...... 70060 110...... 70067 50 CFR 17...... 70043

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Rules and Regulations Federal Register Vol. 81, No. 196

Tuesday, October 11, 2016

This section of the FEDERAL REGISTER university, other research or educational of research, extension, and education contains regulatory documents having general institution or organization, Federal or projects of mutual benefit to each party. applicability and legal effect, most of which private agency or organization, List of Subjects in Part 550 are keyed to and codified in the Code of individual, or any other party, if the Federal Regulations, which is published under Secretary determines (a) the objectives Agricultural research, Non-assistance, 50 titles pursuant to 44 U.S.C. 1510. of the agreement will serve a mutual Procedural rules, Research, Science, The Code of Federal Regulations is sold by interest of the parties to the agreement Technology. the Superintendent of Documents. Prices of in agricultural research, extension, and For the reasons stated in the new books are listed in the first FEDERAL teaching activities, including statistical preamble, the Department of REGISTER issue of each week. reporting; and (b) all parties will Agriculture, REE, revises 7 CFR part 550 contribute resources to the to read as follows: accomplishment of those objectives. DEPARTMENT OF AGRICULTURE PART 550—GENERAL The cooperative agreements ADMINISTRATIVE POLICY FOR NON- Agricultural Research Service authorized by 7 U.S.C. 3318(b) have ASSISTANCE COOPERATIVE been determined to be neither AGREEMENTS 7 CFR Part 550 procurement nor assistance in nature and, therefore, not subject to the Sec. RIN–0518–AA06 provisions of Federal Grant and 550.100 Purpose and scope. 550.101 Definitions. General Administrative Policy for Non- Cooperative Agreement Act of 1977 or the OMB Uniform Administrative 550.102 Applicability. Assistance Cooperative Agreements 550.103 Eligibility. Requirements, Cost Principles, and 550.104 Competition. AGENCY: Agricultural Research Service, Audit Requirements for Federal Awards 550.105 Duration. (ARS), Research, Education, and codified at 2 CFR part 200. Many of the 550.106 Mutuality of interest. Economics (REE), Department of standards and provisions of the OMB 550.107 Exceptions. Agriculture (USDA). grants management circulars were 550.108 Conflicting policies and deviations. ACTION: Final rule. adopted in whole or in part in 7 CFR 550.109 Formation of non-assistance part 550. Subparts A through D of Part cooperative agreements. SUMMARY: This final rule amends ARS 550, consisting of sections 550.1 550.110 Certifications and compliance with regulations and adopts the Office of statutory and national policy through 550.62, included specific requirements; REE conflict of interest Management and Budget (OMB) provisions of Federal assistance guidance entitled, ‘‘Uniform policy. regulations and cost principles because 550.111 Project supervision and Administrative Requirements, Cost they embody principles of good responsibilities. Principles, and Audit Requirements for management and sound financial 550.112 Administrative supervision. Federal Awards,’’ as the uniform stewardship important to all Federal 550.113 Rules of the workplace. guidance within the REE mission area assistance and non-assistance awards. 550.114 Availability of funds. on the use, award, and administration of 550.115 Payment. non-assistance cooperative agreements Although the non-assistance 550.116 Prior approvals. awarded pursuant to National cooperative agreements described in 550.117 Program income. Agricultural Research, Extension, and this rule are substantially different than 550.118 Peer review. Teaching Policy Act of 1977. It thereby the Federal assistance-type cooperative 550.119 Publications and audiovisuals. agreements used by most Federal 550.120 Press releases. gives regulatory effect to the OMB 550.121 Advertising. guidance. awarding agencies, as a matter of good business practice REE is amending 7 550.122 Vesting of title. 550.123 Financial reporting. DATES: This final rule is effective CFR part 550 to adopt 2 CFR part 200, October 11, 2016. 550.124 Technical and property reporting ‘‘Uniform Administrative Requirements, requirements. FOR FURTHER INFORMATION CONTACT: Kim Cost Principles, and Audit Hicks, 301–504–1141, or Kim.Hicks@ Requirements for Federal Awards,’’ (78 Authority: Section 1472(b) of the National ars.usda.gov. Agricultural Research, Extension, and FR 78589) published on December 26, Teaching Policy Act of 1977, as amended (7 SUPPLEMENTARY INFORMATION: 2013, as supplemented by this part, and U.S.C. 3318(b)). to update and streamline the existing Background REE administrative requirements § 550.100 Purpose and scope. Section 1424 of the Food Security Act applicable to non-assistance cooperative (a) Purpose. This part adopts the OMB of 1985, Public Law 99–198, amended agreements. This rulemaking will guidance in subparts A through F of 2 Section 1472(b) of the National reduce administrative burden for non- CFR part 200, as supplemented by this Agricultural Research, Extension, and Federal entities receiving Federal funds part, as REE policies and procedures for Teaching Policy Act of 1977 (7 U.S.C. under non-assistance cooperative non-assistance cooperative agreements 3318(b)) to authorize the Secretary to agreements while reducing the risk of executed under the authority of Section use a cooperative agreement as a legal waste, fraud, and abuse. Accordingly, 1472(b) of the National Agricultural instrument reflecting a relationship proper use of these non-assistance Research, Extension, and Teaching between the Secretary and a State cooperative agreements promote and Policy Act of 1977, as amended (7 U.S.C cooperative institution, State facilitate partnerships between the REE 3318(b)). It thereby makes applicable for department of agriculture, college, Agency and the Cooperator in support REE non-assistance cooperative

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agreements the OMB guidance, as improvements to project design and awarded under the authority of 7 U.S.C. supplemented by this part. technical approaches; and to provide 3318(b). (b) Scope. The REE Agencies subject insight on how to conduct the highest to this rule include ARS, National quality research in support of REE § 550.103 Eligibility. Agricultural Statistics Service (NASS), Agency missions and programs. REE Agencies may enter into a non- Economics Research Service (ERS), and Principle Investigator (PI) means the assistance cooperative agreements with the National Institute of Food and individual, designated by the eligible entities to further research, Agriculture (NIFA). These agreements cooperator, responsible for directing and extension, or teaching programs in the are neither procurement nor assistance monitoring the performance, the day-to- food and agricultural sciences. Eligible in nature, and therefore, are not subject day activities, and the scientific and entities are any State agricultural to the Federal Grant and Cooperative technical aspects of the cooperator’s experimental station, State cooperative Agreements Act of 1977. portion of a REE funded project. The PI extension service, any college or works jointly with the REE Agency PI in university, other research or education § 550.101 Definitions. the development of project objectives institution or organization, Federal or As used in this part: and all other technical and performance private agency or organization, an Agency Principal Investigator means related aspects of the program or individual, or other party, either foreign the REE Agency technical project. See additional responsibilities or domestic. representative, acting within the scope of PI in § 550.111 of this part. of delegated authority, who is § 550.104 Competition. REE Agency means the USDA, REE responsible for participating with the REE Agencies may enter into non- Mission Area agency (ARS, ERS, NASS, cooperator in the accomplishment of a assistance cooperative agreements, as or NIFA) that enters into a non- non-assistance cooperative agreement’s authorized by this part, without regard assistance cooperative agreement. objective(s), and monitoring and to any requirements for competition State Cooperative Institution is evaluating the cooperator’s performance specified in 2 CFR 200.202 and 200.206. defined in 7 U.S.C. 3103(18) as (i.e., ARS PI). (7 U.S.C. 3318(e)). Authorized Departmental Officer institutions designated or receiving § 550.105 Duration. (ADO) means the REE Agency’s official funds pursuant to the following eight with delegated authority to negotiate, statutory requirements, as may be REE Agencies may enter into non- award, administer, and terminate non- amended: assistance cooperative agreements for a assistance cooperative agreements. (1) The First Morrill Act—The Land period not to exceed five years. (7 U.S.C. Award means an executed non- Grant Institutions. 3318(c)). (2) The Second Morrill Act—The 1890 assistance cooperative agreement. § 550.106 Mutuality of interest. Cooperator means an eligible entity, Institutions, including Tuskegee The REE Agency must document all as defined in 7 U.S.C. 3318(b), who University. parties’ interest in the project. Mutual enters into a non-assistance cooperative (3) The Hatch Act of March 2, 1887 interest exists when all parties benefit in agreement with a REE Agency to further (24 Stat. 440–442, as amended; 7 U.S.C. the same qualitative way from the research, extension, or teaching 361a–361i)—The State Agricultural objectives of the award. If one party to programs in the food and agricultural Experiment Stations. the non-assistance cooperative sciences. (4) The Smith-Lever Act of May 8, Cooperator resource contributions 1914 (38 Stat. 372–374, as amended; 7 agreement would independently have means a real and substantial U.S.C. 341–349)—The State Extension an interest in the project, which is contribution of resources (more than Services. shared by the other party, and all parties nominal), in furtherance of the (5) The McIntire-Stennis Cooperative contribute resources to obtain the end objective(s) of the award, in order to Forestry Act; 16 U.S.C. 582a et seq.— result of the project, mutual interest evoke a partnership such that all parties Cooperating Forestry Schools. exists. to the agreement have a true stake in the (6) Public Law 95–113, Section § 550.107 Exceptions. project. 1430—A college or university having an This part does not apply to: Funding period means the period of accredited college of veterinary (a) USDA Federal Financial time when Federal funding is available medicine or a department of veterinary Assistance agreements subject to 2 CFR for obligation by the cooperator (start science or animal pathology or similar parts 400 and 415; date through end date). unit conducting animal health and (b) Procurement contracts or other Non-Assistance Cooperative disease research in a State Agricultural agreements subject to the Federal Agreement (NACA) means a legal Experiment Station. Acquisition Regulation (FAR) or the instrument which is neither a (7) Public Law 95–113, Section Agriculture Acquisition Regulation procurement contract nor an assistance- 1475(b), as added by Public Law 97–98, (AgAR); or type cooperative agreement, that section 1440—Colleges, universities, (c) Agreements providing loans or furthers agricultural research, extension, and Federal laboratories having a insurance directly to an individual. or teaching programs in which the demonstrated capacity in aquaculture objectives of the agreement serve a research. § 550.108 Conflicting policies and mutual interest of the parties in (8) Public Law 95–113, section 1480, deviations. agricultural research, extension, and as added by Public Law 97–98, section This part supersedes and takes teaching activities and all parties 1440—Colleges, universities, and precedence over any individual REE contribute resources to the Federal laboratories having a regulations and directives dealing with accomplishment of those objectives. demonstrated capacity of rangeland executed and administered non- Peer Review is a process utilized by research. assistance cooperative agreements REE Agencies to determine if agency entered into under the delegated sponsored research projects have § 550.102 Applicability. authority of 7 U.S.C. 3318(b). This part scientific merit and program relevance; This part applies to all REE non- may only be superseded, in whole or in to provide peer input, and make assistance cooperative agreements part, by a specifically worded Federal

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statute, regulation, or Executive Order. successful completion of the non- cooperator’s accounting records at the Deviations from specific provisions of assistance cooperative agreement. time of donation. part 550 must be authorized by the (1) Agency resource contributions. (2) The current fair market value. USDA-REE-Administrative and The Agency’s contribution is the Federal However, when there is sufficient Financial Management (AFM)-Financial share as reflected in the award. justification, the REE Agency may Management and Agreements Division (2) Cooperator resource contributions. approve the use of the current fair (FMAD), or any successor organization, The Cooperator’s contribution may market value of the donated property, based on a documented justification. In consist of funds, services, or in-kind even if it exceeds the value described in the interest of maximum uniformity, contributions, must be no less than 20 paragraph (b)(2)(ii)(B)(1) of this section exceptions from any requirements of percent of the total funding provided by at the time of donation. this Part will be permitted only in the REE Agency, and cannot fall below (C) Volunteer services furnished by unusual circumstances. Responsibility 20 percent of the total Federal funding third-party professional and technical for developing, interpreting, and throughout the period of performance. personnel, consultants, and other updating this Part is assigned to the All cooperator contributions must skilled and unskilled labor, if the USDA-REE-AFM-FMAD, or any consist of a sufficient amount of service is an integral and necessary part successor organization. itemized direct costs to demonstrate a of an approved project or program. Rates true stake in the project, as determined for third-party volunteer services must § 550.109 Formation of non-assistance by the ADO. All contributions must be be consistent with those paid for similar cooperative agreements. documented in the budget and be work by the cooperator. In those In lieu of 2 CFR 200.201 through consistent with the cooperator’s instances in which the required skills 200.204, 200.206, and 200.306, this institution classification of costs. are not found in the cooperator, rates section establishes project development, (i) Cooperator resource contributions must be consistent with those paid for resource contributions, indirect cost must meet all of the following criteria: similar work in the labor market in reimbursement, and tuition remission (A) Are verifiable from the which the cooperator competes for the provisions for non-assistance Cooperator’s records; kind of services involved. In either case, cooperative agreements. (B) Are not included as contributions paid fringe benefits that are reasonable, (a) Project development. REE for any other Federal award; necessary, allocable, and otherwise Agencies provide partial funding to (C) Are necessary and reasonable for allowable may be included in the cooperators to support research projects accomplishment of project or program valuation. (Refer to paragraph that contribute to REE program objectives; (b)(2)(ii)(H) of this section for more on objectives and help carry out the REE (D) Are allowable under 2 CFR part third-party in-kind contributions.) mission. The project must consist of a 200, subpart E; (D) Donated employee services project plan and/or statement of work, (E) Are not paid by the Federal furnished by third-party organization. and a budget as follows: government under another Federal These services must be valued at the award, except where the Federal statute employee’s regular rate of pay plus an (1) Project plan. A project plan must authorizing a program specifically amount of fringe benefits that is be jointly developed by the Agency PI provides that Federal funds made reasonable, necessary, allocable, and and the cooperator, and be compliant available for such program can be otherwise allowable, and indirect costs with a REE program requirement. The applied to cooperator resource at either the third-party organization’s REE Agency may include program- contributions of other Federal programs; approved federally negotiated indirect specific requirements, as applicable. (F) Conform to other provisions of this cost rate, or, a rate in accordance with These requirements should be aligned Part, as applicable. 2 CFR 200.414(d), provided these with Agency strategic goals, strategic (ii) Cooperator’s share of services employ the same skill(s) for objectives, or performance goals that are contributions to the project may which the employee is normally paid. relevant to the program. include: Where donated services are treated as (2) Statement of work. A detailed (A) Unrecovered indirect costs, indirect costs, indirect cost rates will statement of work must be jointly including indirect costs of the separate the value of the donated planned, developed, and prepared by cooperator’s resource contributions. services so that reimbursement for the the cooperator’s PI and the Agency PI to Unrecovered indirect cost means the donated services will not be made. address the objective(s), approach, difference between the amount charged (Refer to paragraph (b)(2)(ii)(H) of this statement of mutual interest, to the award and the amount which section for more on third-party in-kind performance responsibilities (which could have been charged to the award contributions.) may include specific performance goals, under the cooperator’s approved (E) Donated property from third indicators, milestones, or expected negotiated indirect cost rate. parties, which may include such items outcomes, such as outputs, or services (B) Values for cooperator’s as office supplies, laboratory supplies, performed or public impacts of any of contributions of services and property, or workshop and classroom supplies. these, with an expected timeline for established in accordance with 2 CFR Value assessed to donated property accomplishment), and any mutual 200.434. If the REE Agency authorizes included in the cooperator contributions agreements. the cooperator to donate buildings or must not exceed the fair market value of (3) Budget. The budget is a funding land for construction/facilities the property at the time of the donation. plan that must be jointly developed by acquisition projects or long term use, (Refer to paragraph (b)(2)(ii)(H) in this the Agency PI and the Cooperator PI. the value of the donated property for section for more on third-party in-kind The approved budget must identify the cooperator contributions must be the contributions.) cooperator resource contributions, both lesser of paragraph (b)(2)(ii)(B)(1) or (2) (F) Third-party-donated equipment, direct and indirect, by budget line item. of this section (refer to paragraph buildings and land. The method used The cooperator must provide a budget (b)(2)(ii)(H) of this section for more on for determining cooperator justification/narrative. the value of donated property): contributions for which title passes to (b) Resource contributions. Each party (1) The value of the remaining life of the cooperator may differ according to must contribute resources towards the the property recorded in the the purpose of the Award, if paragraph

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(b)(2)(ii)(F)(1) or (2) of this section agreement is prohibited, as described in conduct of all its employees assigned to apply: 7 U.S.C. 3319. This prohibition does not the project. REE Agencies do not have (1) If the purpose of the Federal award apply to funds for international authority to supervise cooperator is to assist the non-Federal entity in the agricultural programs conducted by a employees nor engage in the employer/ acquisition of equipment, buildings or State cooperative institution and employee relationship. land, the aggregate value of the donated administered by the Secretary, or to (b) The Cooperator PI must: property may be claimed as cooperator funds provided by a Federal agency for (1) Work jointly with the Agency PI resource contributions. such cooperative program or project on developing the project statement of (2) If the purpose of the Award is to through a fund transfer, advance, or work and budget; support activities that require the use of reimbursement. (2) Assure that technical project equipment, buildings or land, normally (ii) Non-profit organizations. Payment performance and financial status reports only depreciation charges for equipment of indirect costs to non-profit are timely submitted in accordance with and buildings may be made. However, organizations in connection with a non- the terms and conditions of the award; the fair market value of equipment or assistance cooperative agreement is (3) Advise the Agency PI of any issues other capital assets and fair rental limited to 10 percent of the total direct that may affect the timely completion of charges for land may be allowed, cost of the Award. (Annual the project (award); provided that the REE Agency has Appropriations Bill for Agriculture and (4) Assure that appropriate approved the charges. See also 2 CFR Related agencies, General Provisions.) acknowledgements of support are 200.420. (iii) All other cooperating entities. included in all publications and (G) The value of donated property With the exception of paragraphs audiovisuals, in accordance with must be determined in accordance with (c)(1)(i) and (ii) of this section, payment § 550.119 of this part; the usual accounting policies of the of indirect costs is allowable in (5) Assure that inventions are cooperator, with the following connection with a non-assistance appropriately reported, in accordance qualifications: cooperative agreement. Reimbursement with § 550.124 of this part; (1) The value of donated land and of indirect costs is limited to the (6) Upon request, provide the Agency buildings must not exceed its fair percentage(s) established in the a project plan for use during external market value at the time of donation to cooperator’s approved negotiated peer reviews; and the Cooperator as established by an indirect cost rate or, if applicable, the de (7) When appropriate, work with the independent appraiser (e.g., certified minimis indirect cost rate. Agency PI to prepare findings for peer- real property appraiser or General (2) Tuition remission. Reimbursement reviewed publication in scientific Services Administration representative) of tuition expenses to State cooperative journals, and make presentations/talks and certified by a responsible official of institutions in connection with non- to shareholders, etc. the cooperator as required by the assistance cooperative agreements is Uniform Relocation Assistance and Real prohibited. (7 U.S.C. 3319) § 550.112 Administrative supervision. Property Acquisition Policies Act of (d) Terms and conditions. The Agency The Cooperator is responsible for 1970, as amended, (42 U.S.C. 4601– may impose award-specific terms and employer/employee relations such as 4655) (Uniform Act) except as provided conditions or require additional personnel, performance, and time in the implementing regulations at 49 assurances when appropriate. management issues. The Cooperator is CFR part 24. § 550.110 Certifications and compliance solely responsible for the administrative (2) The value of donated equipment with statutory and national policy supervision of its employees, even when must not exceed the fair market value of requirements; REE conflict of interest its employees are working in Agency equipment of the same age and policy. facilities. condition at the time of donation. (a) Federal statutory and national § 550.113 Rules of the workplace. (3) The value of donated space must policy requirements. The Cooperator not exceed the fair rental value of must adhere to and comply with, all Cooperator employees, while engaged comparable space as established by an statutory and national policy in work at REE facilities, will abide by independent appraisal of comparable requirements of the Federal the Agency’s standard operating space and facilities in a privately-owned Government. All signed certifications procedures with regard to the building in the same locality. and assurances must be received by the maintenance of laboratory notebooks, (4) The value of loaned equipment REE Agency prior to execution of the dissemination of information, must not exceed its fair rental value. award. equipment operation standards, facility (H) For third-party in-kind (b) REE conflict of interest policy. (1) access, hours of work, Federal agency contributions, the fair market value of The Cooperator must disclose in writing required training, and the Rules and these goods and services must be any potential conflict of interest to the Regulations Governing Conduct on documented and to the extent feasible REE awarding agency, prior to award, Federal Property (41 CFR part 102–74, supported by the same methods used and when a potential conflict arises subpart C). Cooperator employees will internally by the cooperator. during NACA period of performance. also undergo any background (c) Indirect costs and tuition (2) The Cooperator must maintain investigations/clearances, and submit to remission—(1) Reimbursement of written standards of conduct covering any health monitoring medical indirect costs. Reimbursement of conflicts of interest and governing the surveillance requirements associated indirect costs is either prohibited or performance of their employees engaged with the REE facility where they will limited as further described in in the selection, award and work. paragraphs (c)(1)(i) through (iii) of this administration of contracts, and any § 550.114 Availability of funds. section, and the limit is identified on subawards. the approved budget, when applicable. Unless otherwise stated in the (i) State cooperative institutions. § 550.111 Project supervision and agreement, the funding period will Payment of indirect costs to State responsibilities. begin on the start date of the period of cooperative institutions in connection (a) The Cooperator is responsible and performance specified on the Award with a non-assistance cooperative accountable for the performance and Face Sheet.

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§ 550.115 Payment. exceeds or is expected to exceed 10 effort. In the event of a dispute, a Reimbursement is the standard percent of the total budget as last separate publication or audiovisual may method of payment for non-assistance approved by the REE Agency requires be made with effective statements of cooperative agreements. All payments to prior documented approval. acknowledgment and disclaimer. the Cooperator will be made in U.S. (d) Advertising. See § 550.121 of this (d) The Cooperator must submit to the dollars by Electronic Funds Transfer part. Agency PI copies of all final (EFT), utilizing the Cooperator’s DUNS publications and audiovisuals resulting § 550.117 Program income. number and current SAM registration from the research conducted under the information. The method of payment (a) Use of program income. (1) non-assistance cooperative agreement. will be identified on the Award Face Program income earned must be added (e) REE Agencies and the Federal Sheet and includes: to the non-assistance cooperative Government shall enjoy a royalty-free, (a) Electronic payment system. The agreement, unless otherwise specified in nonexclusive, and irrevocable right to Agency-accepted electronic payment the award. reproduce, publish, or otherwise use, system is the default method of (2) When specified in the award, and to authorize others to use, for payment. program income can be used towards Federal purposes any materials (b) EFT/Treasury Check. When the fulfilling the cooperator’s resource developed in conjunction with a non- payment method identified on the contributions for the same award. assistance cooperative agreement or Award Face Sheet is ‘‘EFT/Treasury (b) Disclosing program income. The contract under such a cooperative Check,’’ the Cooperator must submit Cooperator must disclose program agreement. income in financial reports. Refer to invoices to the Agency on the OMB- § 550.120 Press releases. approved SF–270, ‘‘Request for Advance § 550.123 of this part. Press releases or other forms of public or Reimbursement.’’ In addition to the (c) Program income closeout. The REE notification for a broad public audience SF–270, the Cooperator must provide: Agency and the Cooperator will will be submitted to the REE Agency for (1) Total dollar amount requested for negotiate appropriate uses of income review, prior to release to the public. reimbursement itemized by approved earned balances, after the period of The REE Agency will be given the budget categories, including the indirect performance, as part of the agreement opportunity to review, in advance, all cost rate for the award, when applicable. closeout process. (2) Name, phone number, email written press releases and any other § 550.118 Peer review. address, and the Cooperator’s financial written information (including web content postings) to be released to the contact, should the ADO or Agency PI Upon request of the REE Agency, public by the Cooperator, and require have any invoice questions. Cooperators may be required to provide documentation in support of peer changes as deemed necessary, if the § 550.116 Prior approvals. review activities, and Cooperator’s material mentions by name the REE (a) Approval. With regard to 2 CFR personnel may be requested to Agency, or the USDA, or any REE or 200.308(d)(4), prior documented participate in peer review forums to USDA employee or research unit or approval from the REE Agency ADO is assist the REE Agency with their location. required for all prior approval reviews. § 550.121 Advertising. requirements described in paragraph 2 § 550.119 Publications and audiovisuals. The Cooperator will not refer in any CFR 200.308(d)(2). manner to the USDA or any REE Agency (b) No cost extensions. With regard to In addition to 2 CFR 415.2, in connection with the use of the results 2 CFR 200.308(d)(2), all time extensions ‘‘Acknowledgement of USDA Support of the award, without prior specific will only be approved by an amendment on Publications and Audiovisuals,’’ the written authorization by the REE to the award. The Cooperator shall Cooperator must adhere to the Agency. Information obtained as a result prepare and submit a written request to following: (a) The REE Agency acknowledgment of the award will be made available to the ADO (which must be received no the public in printed or other forms by later than 10 days prior to the expiration of support must read: ‘‘This material is based upon work supported by the the REE Agency at its discretion. The date of the award). The request must Cooperator will be given due credit for contain, at a minimum, the following Department of Agriculture, (type Agency name) under Agreement No. its cooperation in the project. Prior information: approval is required. (1) The length of additional time (type the Federal Award Identification required to complete project objectives Number (FAIN) here).’’ § 550.122 Vesting of title. and a justification for the extension; (b) All material described in 2 CFR Title to equipment and supplies and (2) A summary of progress to date (a 415.2 must also contain the following other tangible personal property will copy of the most recent progress report disclaimer unless the publication or vest in the Cooperator as described in 2 is acceptable provided the information audiovisual is formally cleared by the CFR 200.313 and 200.314, unless is current); and, REE Agency: ‘‘Any opinions, findings, otherwise specified in the award. (7 (3) Signature of the Authorized conclusion, or recommendations U.S.C. 3318(d)) Representative and the Principal expressed in this publication are those Investigator requesting the extension. of the author(s) and do not necessarily § 550.123 Financial reporting. Any request received by the ADO that reflect the view of the Department of The Cooperator must submit financial does not meet this requirement will be Agriculture.’’ reports at the interval required by the returned for the necessary signature(s). (c) Any public or technical REE Agency, as identified on the Award (c) Budget revisions. Budget revisions information related to work carried out Face Sheet, and may submit financial among direct cost categories or under a non-assistance cooperative reports to the ADO electronically (refer programs, functions, and activities for agreement must be submitted by the to 2 CFR 200.335 Methods for awards in which the Federal share of developing party to the other for advice collection, transmission, and storage of the project exceeds the Simplified and comment. Information released to information). Acquisition Threshold and the the public must describe the (a) The OMB-approved SF–425, cumulative amount of such transfers contributions of both parties to the work ‘‘Federal Financial Report,’’ may be

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used to report the financial status of an Dated: September 23, 2016. (ADAMS): You may obtain publicly- award; however, a financial report must Catherine Woteki, available documents online in the contain an itemization of actual dollar Chief Scientist, USDA, Under Secretary, ADAMS Public Documents collection at amounts expended on the project during Research, Education, and Economics. http://www.nrc.gov/reading-rm/ the reporting period (in line with the [FR Doc. 2016–23884 Filed 10–7–16; 8:45 am] adams.html. To begin the search, select approved budget), and cumulative totals BILLING CODE 3410–03–P ‘‘ADAMS Public Documents’’ and then expended for each budget category from select ‘‘Begin Web-based ADAMS the start date of the award. Search.’’ For problems with ADAMS, (b) Financial reporting due dates: NUCLEAR REGULATORY please contact the NRC’s Public Document Room (PDR) reference staff at (1) Quarterly and semi-annual reports COMMISSION 1–800–397–4209, 301–415–4737, or by are due no later than 30 calendar days email to [email protected]. after the reporting period. 10 CFR Part 72 • NRC’s PDR: You may examine and [NRC–2015–0270] (2) Annual reports are due no later purchase copies of public documents at than 90 days following the end of the RIN 3150–AJ71 the NRC’s PDR, Room O1–F21, One award anniversary date (i.e., one year White Flint North, 11555 Rockville following the month and day when the List of Approved Spent Fuel Storage Pike, Rockville, Maryland 20852. Casks: Holtec International HI–STORM period of performance begins, and each FOR FURTHER INFORMATION CONTACT: year thereafter up until a final report is 100 Cask System; Certificate of Robert MacDougall, Office of Nuclear required). Compliance No. 1014, Amendment No. Material Safety and Safeguards, U.S. (c) Final financial report: 10 Nuclear Regulatory Commission, (1) Requests for extensions must be AGENCY: Nuclear Regulatory Washington, DC 20555–0001; telephone: submitted to the ADO. Commission. 301–415–5175; email: (2) Regardless of Agency-provided ACTION: Direct final rule; comment [email protected]. extensions for submission of the final responses. SUPPLEMENTARY INFORMATION: financial report, funds will not be SUMMARY: I. Background available for any drawdowns/payments On May 31, 2016, the U.S. that exceed statutory limits, as well as Nuclear Regulatory Commission (NRC) On March 14, 2016 (81 FR 13265), the any expiring appropriations. confirmed the effective date of May 31, NRC published a direct final rule 2016, for the direct final rule that was amending its regulations in § 72.214 of § 550.124 Technical and property reporting published in the Federal Register on title 10 of the Code of Federal requirements. March 14, 2016. The direct final rule Regulations (10 CFR) by revising the (a) Technical performance report. The amended the NRC’s spent fuel storage Holtec HI–STORM 100 Cask System Cooperator must submit technical regulations by revising the Holtec listing within the ‘‘List of approved performance reports at the interval International (Holtec) HI–STORM 100 spent fuel storage casks’’ to include required by the REE Agency, as Cask System listing within the ‘‘List of Amendment No. 10 to CoC No. 1014. identified on the Award Face Sheet, and approved spent fuel storage casks’’ to Amendment No. 10 adds new fuel may submit performance reports to the include Amendment No. 10 to classes to the contents approved for the × REE Agency electronically. Certificate of Compliance (CoC) No. loading of 16 16 class fuel assemblies 1014. The NRC confirmed the effective into a HI–STORM 100 Cask System; (1) The performance report must date because it determined that none of allows a minor increase in manganese in follow the format of the Government the comments submitted on the direct an alloy material for the system’s wide Research Performance Progress final rule met any of the criteria for a overpack and transfer cask; clarifies the Report, and must include the significant adverse comment. The minimum water displacement required information described in 2 CFR purpose of this document is to provide of a dummy fuel rod (i.e., a rod not 200.328(b)(2)(i) through (iii). (2) The responses to the comments received on filled with uranium pellets); and final performance report covers the the direct final rule. clarifies the design pressures needed for entire period of performance of the DATES: The comment responses are normal operation of forced helium award, and must describe progress made available on October 11, 2016. drying systems. Additionally, during the entire timeframe of the Amendment No. 10 revises Condition project. ADDRESSES: Please refer to Docket ID NRC–2015–0270 when contacting the No. 9 of CoC No. 1014 to provide clearer (b) Intellectual property reporting. NRC about the availability of direction on the measurement of air Reporting intellectual property resulting information for this action. You may velocity and modeling of heat from a REE Agency award will be obtain publicly-available information distribution through the storage system. carried out through Interagency Edison related to this action by any of the The NRC received four comment (iEdison). The non-Federal entity must following methods: submissions with 22 individual submit Invention Reports and • Federal Rulemaking Web site: Go to comments on the companion proposed Utilization Reports, including other http://www.regulations.gov and search rule (81 FR 13295; March 14, 2016). relevant reports, at the iEdison web for Docket ID NRC–2015–0270. Address Electronic copies of these comments can interface: www.iedison.gov. questions about NRC dockets to Carol be obtained from the Federal (c) Tangible personal property report. Gallagher; telephone: 301–415–3463; Rulemaking Web site, http:// Upon termination or expiration of the email: [email protected]. For www.regulations.gov, by searching for award, the non-Federal entity must technical questions, contact the Docket ID NRC–2015–0270. The identify personal property/equipment individual listed in the FOR FURTHER comments are also available in ADAMS purchased with any Federal funds INFORMATION CONTACT section of this under Accession Nos. ML16105A426, under the award on the OMB-approved document. ML16105A425, ML16105A424, and SF–428, ‘‘Tangible Personal Property • NRC’s Agencywide Documents ML16105A423. As explained in the Report and Instructions.’’ Access and Management System March 14, 2016, direct final rule, the

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NRC would withdraw the direct final rulemaking that do not address the be able to withstand, with a rule only if it received a ‘‘significant rulemaking’s specific proposed changes conservative margin of safety, to adverse comment.’’ This is a comment have already been resolved in prior maintain their integrity for long-term where the commenter explains why the rulemakings. Persons who have storage under normal, off-normal, and rule would be inappropriate, including concerns about prior rulemakings and accident conditions. The residual heat challenges to the rule’s underlying the resulting final rules may consider and level of uranium burnup in the premise or approach, or would be the NRC’s process for petitions for spent fuel, and the spacing of the fuel ineffective or unacceptable without a rulemaking under 10 CFR 2.802. in the assemblies, in turn affect the change. A comment is adverse and Additionally, safety concerns about any number of fuel assemblies that can be significant if: NRC-regulated activity may be reported loaded into the MPC, which must have (1) The comment opposes the rule and to the NRC in accordance with the internal components tailored to provides a reason sufficient to require a guidance posted on the NRC’s Web site maintain the configuration of the fuel in substantive response in a notice-and- at http://www.nrc.gov/about-nrc/ the canister. Burnup also affects the comment process. For example, a regulatory/allegations/safety- composition and physical configuration substantive response is required when: concern.html. This Web page provides of the neutron-absorbing materials (a) The comment causes the NRC staff information on how to notify the NRC arranged around the assemblies within to reevaluate (or reconsider) its position of emergency or non-emergency issues. the MPC. Each of these considerations or conduct additional analysis; The following paragraphs summarize must be evaluated with each fuel design (b) The comment raises an issue each individual comment followed by to ensure the long-term performance of serious enough to warrant a substantive the NRC response. the overall cask system with an response to clarify or complete the Comment 1: Noting that this is adequate margin of safety. record; or Holtec’s tenth request to amend CoC No. Fuel and fuel assembly designs have (c) The comment raises a relevant 1014 for the HI–STORM 100 Cask evolved since each storage cask design issue that was not previously addressed System, one commenter stated that was originally certified by the NRC. or considered by the NRC staff. many people find this pattern Contemporary fuel assembly designs (2) The comment proposes a change disturbing. The nine earlier now differ in several important respects or an addition to the rule, and it is amendments and revisions to CoC No. from the generic designs postulated for apparent that the rule would be 1014 suggest that Holtec’s overall the casks’ original CoCs. To save costs ineffective or unacceptable without performance in achieving technical and reduce worker exposures to incorporation of the change or addition. accuracy has been poor, not only in the radiation, for example, many (3) The comment causes the NRC staff originally-submitted TSs and quality contemporary assembly designs are to make a change (other than editorial) assurance (QA) for this cask, but in the optimized for fuel with higher to the rule, CoC, or Technical nine subsequent amendments and enrichment levels to stay in the reactor’s Specifications (TSs). revisions that the NRC has approved. core to ‘‘burn,’’ or fission, a larger The NRC determined that none of the Because this is Holtec’s tenth fraction of uranium for a longer period. comments submitted on the direct final amendment, this commenter asserted This produces fewer spent fuel rule met any of these criteria and that Holtec has failed to address the full assemblies per unit of power generated. confirmed the effective date of May 31, range of the cask’s technical deficiencies It also stretches out the time between re- 2016, for the direct final rule on May 31, comprehensively, and appears instead fuelings, when workers need to remove 2016 (81 FR 34241). The comments to have applied the needed QA only in the reactor’s head to load new fuel either were already addressed by the incremental steps. assemblies, off-load used ones, and NRC staff’s preliminary safety NRC Response: This comment is not rearrange partially-burned assemblies to evaluation report (SER) (ADAMS within the scope of this rulemaking, maintain the efficiency of the overall Accession No. ML15331A309) for this which is limited to the specific fuel burnup within the reactor core. To rulemaking, were beyond the scope of revisions proposed in Amendment No. accommodate the changes in fuel this rulemaking, or were already 10 to CoC No. 1014. The NRC is enrichment, fuel cladding materials, and addressed in a previous rulemaking. providing a specific response, however, fuel assembly materials and The NRC did not make any changes to to clarify the NRC’s process for issuing configurations, a similar evolution is the direct final rule as a result of the and amending CoCs for dry storage continuing in MPC componentry, public comments. However, in Section system (DSS) casks. including neutron-absorbing alloys and II, ‘‘Public Comment Analysis,’’ of this When the NRC first approves a CoC other materials, so that casks can safely document, the NRC is taking this for a particular storage cask design, the accept evolving fuel designs. opportunity to respond to the comments CoC is based on a postulated generic Therefore, the nine amendments to in an effort to clarify information about spent fuel design using a composite of CoC No. 1014, like amendments to other the 10 CFR part 72 CoC rulemaking fuel characteristics and engineered CoCs, each represent an NRC safety process. features of the DSS. Important fuel finding about the vendor’s analysis of characteristics include the level of the proposed measures to adapt the cask to II. Public Comment Analysis uranium enrichment in the fuel pellets a new fuel design for long-term storage. For rulemakings amending or revising and their burnup time in the reactor. The nine amendments, and the tenth a CoC, the scope of the rulemaking is Fuel assembly variables include the issued in May 2016, are not the product limited to the specific changes in the composition of the alloys used in the of trial and error, nor of the incremental applicant’s request for the amendment fuel cladding and assembly hardware; application of QA, which must be or amendment revision. Therefore, the diameter, number, and length of the applied in a safety-graded fashion to all comments about the system or spent fuel rods; and the spacing between aspects of cask design, fabrication, fuel storage in general that are not them. These fuel characteristics and loading, and deployment. applicable to the changes requested are assembly design variables affect the The NRC made no changes to the rule outside the scope of this rulemaking. overall heat load that the cask and as a result of this comment. Comments about details of the multipurpose canister (MPC) holding Comment 2: One commenter asserted particular system subject to the the fuel assemblies inside the cask must that in the absence of actual evidence

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from operational experience or testing, NRC Response: This comment is not NRC Response: These comments are using computer models to estimate a within the scope of this rulemaking, not within the scope of this rulemaking, system’s behavior or performance has which is limited to the specific which is limited to the specific produced ‘‘extreme failures’’ and ‘‘major revisions proposed in Amendment No. revisions proposed in Amendment No. departures between [the computer 10 to CoC No. 1014. The commenter 10 to CoC No. 1014. The commenter did model’s] predictions and [the system’s] does not identify an issue related to any not identify any of the ‘‘multiple actual performance.’’ These departures, of the specific revisions proposed in credible public safety concerns’’ that the the commenter stated, resulted in a Amendment No. 10 to CoC No. 1014, NRC is said to have dismissed. Nor did January 2012, radiation release at San and this rulemaking does not concern the commenter explain how any of these Onofre Nuclear Generating Station’s SCE’s choice of cask products. In concerns pertain to any specific revision (SONGS) Unit 2 that eventually led to addition, the NRC has not approved any proposed in Amendment No. 10 to CoC its premature retirement. spent fuel dry storage cask design that No. 1014. NRC Response: This comment is not permits the continuous real time The NRC made no changes to the rule within the scope of this rulemaking, inspection or monitoring of the as a result of these comments. which is limited to the specific condition of the fuel in the cask, or the Comment 5: One commenter asserted revisions proposed in Amendment No. continuous or periodic direct that many stakeholders believe that the 10 to CoC No. 1014. The commenter measurement of the extent or depth of NRC has allowed ‘‘a utility to does not identify an issue related to any stress corrosion cracking. Such improperly apply credit for performing of the specific revisions proposed in inspection, monitoring, and an ‘educational’ function’’ that has Amendment No. 10 to CoC No. 1014. measurement cannot be accomplished involved, among other things, Instead, this comment is about a reactor without the additional worker radiation ‘‘extensive private meetings with licensee’s computer models for the exposures that would be necessary to elected officials in adjacent performance of a reactor system, not the open the cask overpack and canister. communities in San Diego and Orange cask vendor’s models for the The NRC’s regulation at 10 CFR County.’’ NRC Response: The comment is not performance of the HI–STORM 100 Cask 20.1101(b), however, requires radiation within the scope of this rulemaking, System at issue in this rulemaking. doses to workers and members of the which is limited to the specific Different types of computer models are public to be as low as is reasonably revisions proposed in Amendment No. typically validated using different achievable. This makes such additional 10 to CoC No. 1014. In addition, the methods. The NRC uses industry exposures to open casks and overpacks NRC’s safety-focused mission does not accepted practices to evaluate an difficult to justify in light of the very include authority to allow or prohibit a applicant’s computational modeling slow rates of degradation in the cask licensee from engaging in public software for storage casks in accordance system and its contents that have been relations activities, which do not with Interim Staff Guidance SFST–ISG– measured under realistic conditions in a directly relate to the design, fabrication, 21, ‘‘Use of Computational Modeling laboratory. configuration, loading, or deployment of Software’’ (ADAMS Accession No. The commenter’s description of the dry cask storage system at issue ML061080669). Because Amendment Holtec’s product as a ‘‘5 8″ ⁄ thin metal here. No. 10 does not involve computational cask,’’ however, compels a response for The NRC made no changes to the rule modeling for reactor systems, the clarification purposes. The comment as a result of this comment. comment is not within the scope of this appears to conflate the MPC, which is Comment 6: A commenter stated that rulemaking. not a cask, with the entirety of the HI– many stakeholders are asserting that As the commenter pointed out, there STORM dry cask storage system. The SONGS licensee, SCE, ‘‘consistently 1 ″ was a radiation release to the HI–STORM 100 MPC, which has ⁄2 underestimates’’ the actual extent of environment at SONGS in January 2012. thick stainless steel walls, holds the potential public safety risks associated This comment too is about an issue spent fuel assemblies and their with its decommissioning plan. beyond the scope of this rulemaking. hardware within an overpack. The NRC Response: The comment is not The commenter can obtain more overpack consists of outer and inner within the scope of this rulemaking, information about the release, which steel walls with the annulus between which is limited to the specific was well below allowable limits, in them filled with concrete. The overpack, revisions proposed in Amendment No. 1 ″ Southern California Edison’s (SCE) with 29 ⁄2 thick concrete and steel 10 to CoC No. 1014. The SCE’s report to the NRC on the incident walls, provides radiation shielding and decommissioning plan does not pertain (ADAMS Accession No. ML12090A153), mass for stability against such natural to the specific revisions proposed in and a report by the NRC Office of the phenomena as winds, floods, and Amendment No. 10 to CoC No. 1014; Inspector General (ADAMS Accession earthquakes. The MPC, an internal nor does the comment identify any No. ML14276A478). component of the cask system, is not specific potential public safety risks The NRC made no changes to the rule directly exposed to these outside pertinent to the other purposes of this as a result of this comment. phenomena. amendment. Comment 3: One commenter stated The NRC made no changes to the rule The NRC has a safety hotline that that the proposed CoC amendment as a result of this comment. members of the public can use to report pertains to the same or similar Holtec Comment 4: One commenter stated any identified public safety risk, such as cask as that to be installed at SONGS, that the NRC has ‘‘mostly ‘dismissed’ may be associated with any and southern California stakeholders are multiple credible public safety decommissioning action. The hotline ‘‘extremely disappointed’’ that SONGS’ concerns.’’ The commenter also noted number is 1–800–695–7403. Note that a licensee, SCE, has chosen Holtec’s 5⁄8″ that SCE’s ‘‘Community Engagement call during normal business hours (7:00 thin metal cask over 14″-to-20″ thick Panel’’ has failed to function as an a.m. to 5:00 p.m., Eastern Time) will casks that the commenter stated can be independent advisory panel of experts, automatically be directed to the NRC inspected in real time to monitor the and instead ‘‘functions more as a Regional Office for the caller’s condition of the spent fuel and measure promotional extension of [SCE’s] geographical area. If the call is placed the depth of stress corrosion cracking. marketing and media platforms.’’ after normal business hours, or can’t be

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answered by the Regional Office during 12073). The SONGS will be utilizing concern SCE’s choice of cask products. its normal business hours, the call will cask systems specified by Amendment Beyond the issue of SCE’s choice, if the be directed to the NRC’s Headquarters No. 1 to CoC No. 1040, not Amendment commenter has concerns about prior Operations Center, which is staffed 24 No. 10 to CoC No. 1014. spent fuel storage cask rulemakings, or hours a day and has a recorded The commenter also expressed other issues beyond the scope of this telephone line. concerns about the accuracy of rulemaking that make Holtec casks ‘‘an The NRC made no changes to the rule predicted helium pressure limits for the inferior choice,’’ the commenter may as a result of this comment. MPC where closed loop forced FHD is consider the NRC’s process for petitions Comment 7: A commenter stated that mandatory for drying MPCs with one or for rulemaking under 10 CFR 2.802. the licensee expecting to acquire the more HBF assemblies or a higher heat Additionally, safety concerns about any Holtec casks subject to Amendment No. load. The comment does not explain the NRC-regulated activity may be reported 10 for spent fuel storage at SONGS has basis for the commenter’s concern about to the NRC in accordance with the ‘‘severely overestimated performance the predicted pressure limit for drying. guidance posted on the NRC’s Web site capabilities of equipment, components This limit was established to provide an at http://www.nrc.gov/about-nrc/ and parts, defense in depth, operator ample safety margin against both regulatory/allegations/safety- training, emergency response capability, inadequate pressure for thorough drying concern.html. This Web page provides system reliability, cost containment, and and excessive pressure that could result information on how to notify the NRC technical capability to safely implement in damage to the spent fuel or other of emergency or non-emergency issues. Aging Management Programs.’’ hardware. To maintain this margin, The NRC made no changes to the rule NRC Response: The comment is not helium pressure limits are controlled as a result of this comment. within the scope of this rulemaking, during FHD operations at all times. Comment 11: One commenter which is limited to the specific During FHD drying, the MPC’s inlet criticized the NRC for giving in to revisions proposed in Amendment No. (drain port) and exit (vent port) each Holtec’s corporate lawyers and failing to 10 to CoC No. 1014. As noted in the have calibrated pressure-indicating hold the company responsible for response to Comment 6, the NRC has a devices that show inlet and outlet ‘‘creating inadequate safety measures safety hotline that members of the pressure during drying operations. within this [cask] design.’’ The public can use to report any identified Trained operators use the helium commenter exhorted the NRC to ‘‘stop public safety risk. regulator in accordance with the site’s paying for fraud’’ and force Holtec to The NRC made no changes to the rule procedures to ensure that the 75-psi ‘‘spend [its] own treasure . . ., not tax as a result of this comment. limit is not exceeded. dollars,’’ to fix the problem. Comment 8: Noting the ‘‘large The NRC made no changes to the rule NRC Response: This comment does inventory’’ of high-burnup fuel (HBF) in as a result of this comment. not provide sufficient information to storage at SONGS, a commenter stated Comment 9: One stakeholder stated identify the ‘‘inadequate safety that stakeholders have ‘‘extreme safety that despite Holtec’s unproven measures’’ in the Holtec cask’s design concerns’’ about the accuracy of the assurances about the performance that the commenter has in mind. With predicted service life of the Holtec capabilities of its casks, a 2015 Sandia respect to the concern regarding underground maximum capacity National Laboratory report contained payment for the NRC’s review and (UMAX) casks containing HBF, which evidence that similar thin-metal casks oversight, these functions are not typically has higher heat loads and had through-wall cracks in only 5 years. performed at taxpayers’ expense. The radiation levels. Among these concerns, NRC Response: The comment is not vendor, in this case Holtec, pays for the the commenter explained, are ‘‘thermal within the scope of this rulemaking, NRC’s evaluation of the application, as tolerance variability, measurement of air which is limited to the specific the NRC bills the vendor for the review. velocity, modeling of heat load revisions proposed in Amendment No. The NRC made no changes to the rule distribution, performance capability and 10 to CoC No. 1014. The Sandia as a result of this comment. integrity of fuel cladding.’’ National Laboratory report referred to by Comment 12: A commenter expressed This commenter also stated that with the commenter was for a set of design concern that in permitting a cask system the applicant’s proposed changes in the specifications for a Standardized to accept additional classes of spent composition of alloy material in MPC Transportation, Aging, and Disposal fuel, the NRC does not decrease the componentry, stakeholders have (STAD) canister for eventual ability of these storage systems to concerns about the accuracy of emplacement in a geologic repository contain the fuel under adverse predicted helium pressure limits for the (ADAMS Accession No. ML16132A321). conditions. The commenter wanted to MPC in underground installations The NRC could find nothing in this know whether current requirements for where closed loop forced helium report to support the commenter’s the durability of spent fuel storage dehydration (FHD) is mandatory for assertion that it ‘‘contained evidence systems are sufficient to contain these drying MPCs with one or more HBF that similar thin metal casks had additional fuels, whatever they may be, assemblies or a higher heat load. through-wall cracks in only 5 years.’’ in the event of a disaster. NRC Response: The comment about The NRC made no changes to the rule NRC Response: The general issue of HBF storage at SONGS is not within the as a result of this comment. the durability of spent fuel storage scope of this rulemaking, which is Comment 10: As evidence that Holtec systems to contain additional types of limited to the specific revisions casks are ‘‘an inferior choice’’ for spent spent fuel in the event of a disaster is proposed in Amendment No. 10 to CoC fuel storage, one commenter, speaking not within the scope of this rulemaking, No. 1014. None of these revisions for ‘‘stakeholders in California,’’ referred which is limited to the specific included a change in spent fuel burnup the NRC to the Web site revisions proposed in Amendment No. specifications. The comment is about ‘‘sanonofresafety.org.’’ 10 to CoC No. 1014. The NRC is the HI–STORM UMAX Canister Storage NRC Response: The comment is not addressing the commenter’s concern, system, which was authorized within the scope of this rulemaking, however, for educational and generically for underground which is limited to the specific clarification purposes. emplacement under CoC No. 1040 and revisions proposed in Amendment No. The NRC addressed a similar approved on March 6, 2015 (80 FR 10 to CoC No. 1014 and does not comment about the ability of HI–

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STORM UMAX Canister Storage system,’’ including damaged fuel whenever possible except where legal Systems to withstand seismic events configurations. In its March 28, 2011, obligations dictate otherwise, such as during the CoC No. 1040 certification SER, the NRC staff also noted the for proprietary or security-related rulemaking. It should be noted that the system’s design measures to limit the sensitive information. (see NRC certification provided by approval of the rise in fuel cladding temperature under Management Directive 3.4, ‘‘Release of HI–STORM 100 Cask System does not, the most adverse flood event (one with Information to the Public’’ (ADAMS in and of itself, authorize the use of this a water level just high enough to block Accession No. ML080310417)). The system at any specific site. Under 10 the MPC overpack’s air convection inlet email exchange cited by the commenter, CFR 72.212(b)(5), before applying the duct). The changes requested in which is a publicly available document changes authorized by an amended CoC Amendment No. 10 to CoC No. 1014 do in ADAMS, is one such example of this and loading a cask, a general licensee not affect the NRC’s prior flooding type of discussion. The NRC grounds its wishing to use this cask system must evaluation for the initial certification of licensing actions on thorough and perform written evaluations in this system. documented reviews of technical accordance with 10 CFR 72.212 to In addition, under 10 CFR documents that enable the NRC to reach establish, among other things, that: 72.212(b)(6), before using the general findings that public health and safety, as • Cask storage pads and areas have license, the reactor licensee must review well as the common defense and been designed to adequately support the the Safety Analysis Report (SAR) security, will be adequately protected. static and dynamic loads of the stored referenced in the CoC or amended CoC The NRC made no changes to the rule casks, considering potential and the NRC’s SER evaluating the SAR as a result of this comment. amplification of earthquakes through to determine whether the reactor site Comment 14: One commenter soil-structure interaction, and soil parameters, including analyses of objected to the use of a newer American liquefaction potential or other soil earthquake intensity, tornado missiles, Society of Mechanical Engineers instability due to vibratory ground and flooding, are enveloped by the cask (ASME) code standard for the motion; and design bases considered in these manganese content in a carbon steel • The independent spent fuel storage reports. Like those for seismic activity, alloy used in some components of the installation at the reactor site where the the flooding and tornado missile design cask system and one commenter casks will be located will meet the levels of the HI–STORM 100 Cask asserted that at the 1.5 percent requirements of 10 CFR 72.104 to ensure System CoC are acceptable for most manganese content in the proposed that radiation doses beyond the reactor’s areas in the continental United States. standard, the steel becomes brittle. controlled area do not exceed 0.25 mSv For locations with potential for flooding Furthermore, the commenter contended, (25 mrem) to the whole body, 0.75 mSv or tornado activity beyond those these standards are not specific to the (75 mrem) to the thyroid, and 0.25 mSv analyzed for this system, additional nuclear industry, and cannot (25 mrem) to any other critical organ, NRC evaluations and certifications may compensate for poor design. Therefore, and are further controlled to a level as be required before the system may be the alloy formula must be tested and low as is reasonably achievable. used in those locations. specific for this particular design and The seismic design levels of the HI– Therefore, the ability of a particular nuclear spent fuel use. STORM 100 Cask System CoC are cask system to protect additional spent NRC Response: The NRC disagrees acceptable for most areas in the fuel types against postulated natural with these comments, and has provided continental United States. For locations disasters is required to be subject to its detailed assessment in the with potential for seismic activity rigorous analyses, both generic and site- preliminary SER for Amendment No. 10 beyond those analyzed for this system, specific, before the fuel can be loaded at to CoC No. 1014 (ADAMS Accession additional NRC evaluations and any given site. If the design basis of the No. ML15331A309). The minor change certifications may be required before the HI–STORM 100 Cask System CoC No. in manganese and carbon content of the system may be used in those locations. 1014, Amendment No. 10, cannot be proposed alloy has been endorsed by Similarly, although the design levels shown to envelop a particular site’s the ASME. This endorsement provides a of the HI–STORM 100 Cask System CoC parameters, Holtec or another vendor high level of confidence in the quality for flooding are also acceptable for most would need to obtain NRC certification and safety of the material for nuclear as areas in the continental United States— for another system meeting the design well as non-nuclear applications. Any again depending on site-specific specifications of the subject spent fuel change in an ASME standard must be analyses—the NRC staff previously before it could be loaded for dry storage. documented by rigorous testing under evaluated the impacts of flooding during The NRC made no changes to the rule carefully controlled conditions. Based the review of the initial certification for as a result of this comment. on this extensive and peer-reviewed the HI–STORM Flood/Wind (FW) Comment 13: One commenter testing, the fact that there is no change System. In its March 28, 2011, SER for suggested that the NRC was in collusion to the properties used in the original the initial certification of the HI– with the licensee and cited an email technical basis for the HI–STORM 100 STORM FW MPC Storage System (see exchange between the licensee and a Cask System CoC, and the fact that none Sections 4.8.2 and 7.3.1 of ADAMS member of the NRC staff as evidence of of the safety analyses for this CoC are Accession No. ML103020151), the NRC such collusion. affected by the minor change in staff considered both full and partial NRC Response: The NRC disagrees manganese content, the NRC believes flooding for both the vertical and with the comment. In its capacity as a that further testing for this specific horizontal positions for the MPC. The regulator, the NRC regularly engages in application is unnecessary. NRC staff found that the fully flooded discussions with licensees and The proposed increase in manganese condition would produce the highest applicants to facilitate a mutual content from 1.2 percent to 1.5 percent reactivity in the spent fuel, and that the understanding of the need for any maintains, if not improves, the fully flooded model for safety licensing action, as well as the scope toughness properties of the SA–516 evaluations ‘‘is acceptable and and intent of the licensing action. The Grade 70 steel used in the HI–STORM applicable to all of the assembly NRC strives to make as much 100 Cask System overpack. The NRC’s configurations that are to be stored in information as possible, including these preliminary SER for Amendment No. 10 the HI–STORM FW MPC Storage interactions, publicly available to CoC No. 1014 analyzed this proposed

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amendment and related Holtec an up to date measurement device and disagrees with these comments. The documents and found that there is no not an antiquated anemometer.’’ NRC does not require measurements to change to the material strength, material NRC Response: The NRC disagrees validate methods that cannot be tested density, or thermal properties of the with these comments. The NRC experimentally. The commenter SA–516 alloy steel, as indicated in the evaluated the proposed conditions for particularly disapproved of a draft NRC ASME 2007 and 2010 codes. In order to airflow and temperature measurements requirement in an email to Holtec use the alloy approved in the updated in its final SER (ADAMS Accession No. (ADAMS Accession No. ML15327A043) 2007–2010 ASME codes, Holtec was ML003711865) for the initial issuance of in which users of the HI–STORM 100 required to request an amendment to CoC No. 1014 in 2000, and did not find Cask System would be required to use these codes for this alloy because that constant temperature measurements perform a ‘‘thermal validation test’’ to the original HI–STORM 100 Cask were necessary. That SER noted that in measure the total air mass flow rate System CoC references only the 1995– addition to the mandatory initial air through the cask system using direct 1997 ASME codes. temperature rise test when the system is measurements of air velocity in the inlet The NRC made no changes to the rule first placed in service, the overpack air vents. The user would then be required as a result of this comment. inlet and outlet vents would be to do an analysis of the cask system Comment 15: A commenter stated that periodically surveyed or an optional with these measurements ‘‘to concrete temperature should be overpack air temperature program demonstrate that the measurements properly measured on a continuous would be implemented to verify validate the analytic methods’’ basis. The same commenter also stated continued operability of the heat described in Chapter 4 of Holtec’s Final that each cask should be tested due to removal system. Operating experience Safety Analysis Report (ADAMS possible defects or damage during with this cask system since that time Accession No. ML14086A412), loading, as well as differences in the has given the NRC no reason to change supporting its application for CoC No. types and ages of spent fuel. Because its initial position on the need for 1014. The NRC has reason to require a conditions change over time, monitoring constant temperature measurement. licensee to demonstrate that an analytic should be constant. Concerning the commenter’s method for thermal modeling of airflow NRC Response: The comment is not statement about the need for an up-to- through a cask is supported by real- within the scope of this rulemaking, date measurement device, the NRC has world measurements. In making this which is limited to the specific not specifically required the use of hot- demonstration, a licensee could ‘‘play revisions proposed in Amendment No. wire anemometer or any other airflow with numbers’’ if it were allowed to 10 to CoC No. 1014. The NRC agrees measurement technology. The applicant measure anywhere it chose, but that is that concrete temperatures are may propose the use of any technology not the case here. The licensee is important and should be properly it believes will measure airflow with required to take measurements at NRC- measured, but disagrees that continuous sufficient accuracy and reliability. The specified locations. The NRC made no changes to the rule measurement of these temperatures and NRC is not aware of any basis to as a result of these comments. constant monitoring are needed. prohibit the use of hot-wire anemometer technology for measuring airflow or Comment 19: Citing NRC regulations Continuous measurement and constant at 10 CFR 72.236, ‘‘Specific monitoring of temperatures are temperature. The NRC made no changes to the rule requirements for spent fuel storage cask unnecessary in an operating as a result of these comments. approval and fabrication,’’ one environment of very gradual Comment 17: The same commenter commenter alleged that Holtec violated temperature changes. Revision 1 of that provided Comment 16 objected that U.S. law because ‘‘the only protection NUREG–1536, ‘‘Standard Review Plan 1 Holtec and the NRC did not provide from lethal radiation leaks is the ⁄2 inch for Spent Fuel Dry Storage Systems at a adequate information on ‘‘other topics,’’ MPC, whereas ‘The spent fuel storage General License Facility’’ (ADAMS and that this must be presumed to cask must be designed to provide Accession No. ML101040620), notes diminish the safety of the ‘‘flimsy’’ redundant sealing of confinement that for storage systems with internal air Holtec cask system. systems.’ ’’ flow passages, the NRC has accepted NRC Response: The commenter did NRC Response: The comment is not periodic visual inspection of vents not specify any grounds for within the scope of this rulemaking, coupled with temperature pronouncing the HI–STORM 100 Cask which is limited to the specific measurements to verify proper thermal System flimsy, or any ‘‘other topics’’ for revisions proposed in Amendment No. performance and detect flow blockages. which additional information might be 10 to CoC No. 1014. The NRC also The inspections are to take place within considered adequate. disagrees with this comment. The MPC an interval that will allow sufficient The NRC made no changes to the rule does provide protection from radiation time for corrective actions to be taken as a result of this comment. leaks, but it is not the only protective before the limiting accident temperature Comment 18: A commenter barrier. Radiation shielding is also for spent fuel cladding is reached. The contended that ‘‘measurements are not provided by the HI–STORM 100 Cask inspection interval should be more supposed to validate methods outside of System overpack that is composed of frequent than the time interval required experiments testing theory,’’ and that inner and outer steel shells with the for the fuel to heat up to the established the requirement to ‘‘demonstrate’’ an annulus between them filled with accident temperature criteria, assuming airflow model with measurements concrete, which is the primary radiation a total blockage of all inlets and outlets. implies ‘‘fraudulent’’ intent to ‘‘play shielding material. If the commenter The NRC made no changes to the rule with numbers to get what [NRC] and/or was referring only to leakage of as a result of this comment. Holtec want’’ to show the safety of the radioactive materials from the MPC, Comment 16: A commenter storage cask system. however, Section 7.1 of the SER contended that all airflow and NRC Response: These comments are (ADAMS Accession No. ML003711865) temperature measurements should be not within the scope of this rulemaking, for the HI–STORM 100 Cask System made ‘‘constantly . . . not one time which is limited to the specific confirms the presence of redundant only,’’ and performed ‘‘on intake and revisions proposed in Amendment No. sealing of confinement systems in the output and within the annulus and with 10 to CoC No. 1014. The NRC also canister’s design:

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The [MPC] confinement boundary affected area must then be re-tested airflow measurements at the previously- includes the MPC shell, the bottom until the leakage rate acceptance specified locations. baseplate, the MPC lid (including the criterion is met. The NRC made no changes to the rule vent and drain port cover plates), the The NRC made no changes to the rule as a result of this comment. MPC closure ring, and the associated as a result of this comment. Comment 21: One commenter stated welds. . . . The MPC lid (with the vent Comment 20: Citing NRC regulations that the NRC has violated the Plain and drain port cover plates welded to at 10 CFR 72.236, ‘‘Specific Writing Act of 2010 by failing to make the lid) and closure ring are welded to requirements for spent fuel storage cask the topics associated with this the upper part of the MPC shell at the approval and fabrication,’’ a commenter rulemaking clear, and failing to ‘‘attach loading site. This provides redundant asserted that Holtec violated U.S. law . . . the relevant documents in an sealing of the confinement boundary. also because its storage cask is not orderly, clear manner.’’ . . . The redundant closures of the MPC designed to provide adequate heat NRC Response: The NRC disagrees satisfy the requirements of 10 CFR removal capacity without active cooling with these comments. The topics 72.236(e) for redundant sealing of systems, and ‘‘[t]he refusal to properly associated with this rulemaking must confinement systems. test [the cask’s heat removal capacity] necessarily address the CoC The MPC’s confinement design has appears intentional to avoid knowing if amendments requested by the applicant, multiple related purposes. The it properly removes heat.’’ and these are by nature highly technical. confinement design ensures that NRC Response: The comment is not The March 14, 2016 (81 FR 13265), potentially contaminated air is within the scope of this rulemaking, Federal Register notice of the direct contained within the MPC and that the which is limited to the specific final rule does, however, seek to explain MPC remains filled with helium revisions proposed in Amendment No. in language as non-technical as possible coolant, so that the MPC can fulfill a 10 to CoC No. 1014. The comment also the practical effects of the amendment third purpose: to keep outside air from does not explain how Holtec storage requests for the use of the Holtec HI– contacting the spent nuclear fuel for the casks are not designed to meet the 10 STORM 100 Cask System under licensed life of the system. CFR 72.236 requirement to provide Amendment No. 10 of CoC No. 1014. In In addition to the redundant barriers adequate heat removal capacity without general, the NRC strives to write agency to airborne radiation leakage in the active cooling systems. HI–STORM 100 documents in a clear, concise, well- design of the HI–STORM 100 MPC and Cask Systems have been deployed at organized manner that also follows cask system, there are procedural independent spent fuel storage other best practices appropriate to the requirements to ensure that the system installations for more than a decade subject and the intended audience. and its components function in without active cooling systems. As to the comment that documents operation as designed. In accordance The NRC disagrees with the comment. relevant to this rulemaking were not with the CoC itself (ADAMS Accession The NRC’s preliminary SER evaluated ‘‘attached . . . in an orderly, clear No. ML15331A307), the design, Holtec’s supporting thermal analysis for manner,’’ the NRC followed its normal purchase, fabrication, assembly, Amendment No. 10 to CoC No. 1014 process of providing the ADAMS inspection, testing, operation, and found that the HI–STORM 100 Cask accession numbers to referenced maintenance, repair, and modification System certification ‘‘continues to be documents so that interested persons of all structures, systems, and designed with a heat-removal capability may obtain access to the documents. If components that are important to safety, having verifiability and reliability the commenter was referring instead to both for the MPC and the system as a consistent with its importance to the table of references provided in the whole, must be conducted in safety.’’ The SER also found that spent Federal Register notice for the direct accordance with a Commission- fuel cladding continues to be protected final rule, the NRC also disagrees that approved quality assurance program against thermal degradation leading to the relevant documents were not that satisfies the applicable gross ruptures, and other cask presented in an orderly, clear manner. requirements of 10 CFR part 72, subpart component temperatures continue to be The order of the references starts with G. maintained below the allowable limits the applicant’s amendment request, The CoC also requires that when the for the accidents evaluated. moves to the proposed revised CoC and MPC shell is welded to its baseplate, the There has been no refusal to test the TS documents supporting it, and fabricator must perform a helium leak cask system’s heat removal capacity. concludes with the NRC’s response to test of the MPC weld’s confinement The CoC language has been revised to these submittals in the form of its SER using a helium mass spectrometer. This require CoC No. 1014, Amendment No. on the proposed revisions. weld leakage test must include the base 10, users to submit thermal validation The NRC made no changes to the rule metals of the MPC shell and baseplate. test and analysis results in a letter report as a result of these comments. Another helium leak test must be to the NRC within 180 days of either the Comment 22: One commenter stated performed on the base metal of the user’s loading of the first cask or that the percentage of the NRC’s budget fabricated MPC lid. Then, in the field, undertaking the first spent fuel transfer that must be recovered should be a helium leak test must be performed on operation with a cask fabricated to recovered in fines and not fees. the vent and drain port confinement Amendment No. 10 specifications. The NRC Response: The comment is not welds and cover plate base metal before revised condition also states, however, within the scope of this rulemaking, the loaded MPC can be emplaced within that for casks of the same system type, which is limited to the specific the concrete overpack. All MPC users may document in their 10 CFR revisions proposed in Amendment No. confinement boundary leakage rate tests 72.212 report a previously performed 10 to CoC No. 1014. Under the Omnibus must be performed in accordance with test and analysis that has demonstrated Budget Reconciliation Act of 1990, as ANSI N14.5 to ‘‘leaktight’’ criteria. If the adequate validation of the analytic amended, the NRC is required by law to user detects a leakage rate exceeding the thermal methods. The NRC will recover 90 percent of its budget through acceptance criteria, the user must evaluate whether this previous test and fees for licensing and other actions. determine the area of leakage and repair analysis continues to demonstrate Therefore, any change in this it to meet ASME Code Section III, adequate validation of thermal analysis requirement can only be achieved by an Subsection NB requirements. The methods in light of the uncertainty of act of Congress.

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The NRC made no changes to the rule 98124–2207; telephone: 206–544–5000, consequent loss of structural integrity of as a result of this comment. extension 1; fax: 206–766–5680; the airplane. In summary, the NRC did not receive Internet: https:// Comments any comments that warranted www.myboeingfleet.com.You may view withdrawal of the direct final rule. this referenced service information at We gave the public the opportunity to Therefore, none of these comments the FAA, Transport Airplane participate in developing this AD. The required a change in the rule’s effective Directorate, 1601 Lind Avenue SW., following presents the comments date of May 31, 2016. Renton, WA. For information on the received on the NPRM and the FAA’s response to each comment. Dated at Rockville, Maryland, this 28th day availability of this material at the FAA, of September, 2016 call 425–227–1221. It is also available Support for the NPRM on the Internet at http:// For the Nuclear Regulatory Commission. Boeing and the Airline Pilots Michael R. Johnson, www.regulations.gov by searching for and locating Docket No. FAA–2016– Association, International supported the Acting Executive Director for Operations. 5042. content of the NPRM. [FR Doc. 2016–24466 Filed 10–7–16; 8:45 am] Examining the AD Docket Effect of Winglets on Accomplishment BILLING CODE 7590–01–P of the Proposed Actions You may examine the AD docket on Aviation Partners Boeing stated that the Internet at http:// DEPARTMENT OF TRANSPORTATION accomplishing the supplemental type www.regulations.gov by searching for certificate (STC) ST00830SE does not and locating Docket No. FAA–2016– Federal Aviation Administration affect compliance with the actions 5042; or in person at the Docket specified in the NPRM. Management Facility between 9 a.m. 14 CFR Part 39 We agree with the commenter. We and 5 p.m., Monday through Friday, have redesignated paragraph (c) as (c)(1) [Docket No. FAA–2016–5042; Directorate except Federal holidays. The AD docket and added a new paragraph (c)(2) to this Identifier 2015–NM–140–AD; Amendment contains this AD, the regulatory AD to state that installation of STC 39–18680; AD 2016–20–14] evaluation, any comments received, and ST00830SE does not affect the ability to RIN 2120–AA64 other information. The address for the accomplish the actions required by this Docket Office (phone: 800–647–5527) is final rule. Therefore, for airplanes on Airworthiness Directives; The Boeing Docket Management Facility, U.S. which STC ST00830SE is installed, a Company Airplanes Department of Transportation, Docket ‘‘change in product’’ alternative method Operations, M–30, West Building of compliance (AMOC) approval request AGENCY: Federal Aviation Ground Floor, Room W12–140, 1200 is not necessary to comply with the Administration (FAA), DOT. New Jersey Avenue SE., Washington, requirements of 14 CFR 39.17. ACTION: Final rule. DC 20590. Request for Clarification of Extent of SUMMARY: We are adopting a new FOR FURTHER INFORMATION CONTACT: Boeing Organization Designation airworthiness directive (AD) for all The Gaetano Settineri, Aerospace Engineer, Authority (ODA) Boeing Company Model 737–600, –700, Airframe Branch, ANM–120S, FAA, Seattle Aircraft Certification Office Southwest Airlines (SWA) asked for –700C, –800, –900 and –900ER series clarification that the Boeing ODA airplanes. This AD was prompted by an (ACO), 1601 Lind Avenue SW., Renton, WA 98057–3356; phone: 425–917–6577; identified in paragraph (i)(3) of the evaluation by the design approval proposed AD can provide an AMOC for holder (DAH) indicating that certain fax: 425–917–6590; email: [email protected]. any ‘‘repair, modification, or alteration’’ fastener locations in the window corner that includes the authority to approve surround structure are subject to SUPPLEMENTARY INFORMATION: existing repairs in the inspection area widespread fatigue damage (WFD). This Discussion that inhibit accomplishment of the AD AD requires repetitive high frequency requirements as terminating action to eddy current (HFEC) inspections for We issued a notice of proposed paragraph (g) of the proposed AD. SWA cracking in certain fastener locations in rulemaking (NPRM) to amend 14 CFR also asked if the ODA has the authority the window corner surround structure, part 39 by adding an AD that would to provide alternative inspection and repair if necessary. We are issuing apply to all The Boeing Company Model procedures for repaired areas where the this AD to detect and correct fatigue 737–600, –700, –700C, –800, –900 and inspection in paragraph (g) of the cracking around certain fastener –900ER series airplanes. The NPRM proposed AD cannot be accomplished. locations that could cause multiple published in the Federal Register on Additionally, SWA asked that we clarify window corner skin cracks, which April 5, 2016 (81 FR 19512) (‘‘the that the Boeing ODA identified in could result in rapid decompression and NPRM’’). The NPRM was prompted by paragraph (i)(3) of the proposed AD is consequent loss of structural integrity of an evaluation by the DAH indicating able to issue an AMOC to the proposed the airplane. that certain fastener locations in the AD for an existing repair at the S–14 lap DATES: This AD is effective November window corner surround structure are joint (where the location of the repair 15, 2016. subject to WFD. The NPRM proposed to inhibits accomplishing the initial The Director of the Federal Register require repetitive HFEC inspections for inspection), provided the repair was approved the incorporation by reference cracking in certain fastener locations in approved by any FAA designation of a certain publication listed in this AD the window corner surround structure, authority, and there is a minimum of as of November 15, 2016. and repair if necessary. We are issuing three fastener rows above and below the ADDRESSES: For service information this AD to detect and correct fatigue lap joint. SWA stated that neither identified in this final rule, contact cracking around certain fastener Boeing Alert Service Bulletin 737– Boeing Commercial Airplanes, locations that could cause multiple 53A1351, dated July 8, 2015, nor the Attention: Data & Services Management, window corner skin cracks, which NPRM clearly state how to address P.O. Box 3707, MC 2H–65, Seattle, WA could result in rapid decompression and existing repairs that prevent

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accomplishment of the inspections Change to This AD We also determined that these specified in paragraph (g) of the changes will not increase the economic We have determined that the end proposed AD. level effect of the unsafe condition in burden on any operator or increase the We agree with the commenter that scope of this AD. clarification of the extent of the the NPRM should be changed to more authority of the Boeing ODA is closely match the service information. Related Service Information Under 1 necessary. The Boeing ODA has the Therefore, we have changed CFR Part 51 authority to evaluate existing repairs ‘‘. . . reduced structural integrity’’ to and provide alternative inspection ‘‘. . . loss of structural integrity’’ in the We reviewed Boeing Alert Service programs in the repaired area, including SUMMARY and SUPPLEMENTARY Bulletin 737–53A1351, dated July 8, authority to approve alternative INFORMATION sections and in paragraph 2015. The service information describes inspections as AMOCs if needed. (e) of this AD accordingly. procedures for HFEC inspections and We infer that SWA is also asking if Conclusion repair for cracking in certain fastener the Boeing ODA can issue a global locations in the window corner AMOC for the referenced repair at the We reviewed the relevant data, surround structure. This service S–14 lap joint. The Boeing ODA does considered the comments received, and information is reasonably available not have the authority to approve global determined that air safety and the because the interested parties have AMOCs. In addition, we have not public interest require adopting this AD access to it through their normal course received any information from Boeing with the changes described previously of business or by the means identified and minor editorial changes. We have that defines such a repair that would be in the ADDRESSES section. considered for a global AMOC. If Boeing determined that these minor changes: provides supporting data, we will • Are consistent with the intent that Costs of Compliance evaluate the data to determine if that was proposed in the NPRM for repair and any associated inspections correcting the unsafe condition; and We estimate that this AD affects 1,528 provide an acceptable level of safety for • Do not add any additional burden airplanes of U.S. registry. such an AMOC. We have not changed upon the public than was already We estimate the following costs to this AD in this regard. proposed in the NPRM. comply with this AD:

ESTIMATED COSTS

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

Inspection ...... 38 work-hours × $85 per hour $0 $3,230 per inspection cycle ... $4,935,440 per inspection = $3,230 per inspection cycle cycle.

We have received no definitive data Regulatory Findings Adoption of the Amendment that will enable us to provide cost Accordingly, under the authority estimates for the on-condition actions This AD will not have federalism implications under Executive Order delegated to me by the Administrator, specified in this AD. the FAA amends 14 CFR part 39 as 13132. This AD will not have a follows: Authority for This Rulemaking substantial direct effect on the States, on the relationship between the national Title 49 of the United States Code PART 39—AIRWORTHINESS government and the States, or on the DIRECTIVES specifies the FAA’s authority to issue distribution of power and rules on aviation safety. Subtitle I, responsibilities among the various ■ 1. The authority citation for part 39 section 106, describes the authority of levels of government. continues to read as follows: the FAA Administrator. Subtitle VII: Authority: 49 U.S.C. 106(g), 40113, 44701. Aviation Programs, describes in more For the reasons discussed above, I detail the scope of the Agency’s certify that this AD: § 39.13 [Amended] authority. (1) Is not a ‘‘significant regulatory ■ 2. The FAA amends § 39.13 by adding We are issuing this rulemaking under action’’ under Executive Order 12866, the following new airworthiness the authority described in Subtitle VII, (2) Is not a ‘‘significant rule’’ under directive (AD): Part A, Subpart III, Section 44701: DOT Regulatory Policies and Procedures 2016–20–14 The Boeing Company: ‘‘General requirements.’’ Under that (44 FR 11034, February 26, 1979), Amendment 39–18680; FAA–2016–5042; section, Congress charges the FAA with (3) Will not affect intrastate aviation Directorate Identifier 2015–NM–140–AD. promoting safe flight of civil aircraft in in Alaska, and (a) Effective Date air commerce by prescribing regulations (4) Will not have a significant This AD is effective November 15, 2016. for practices, methods, and procedures economic impact, positive or negative, the Administrator finds necessary for (b) Affected ADs on a substantial number of small entities None. safety in air commerce. This regulation under the criteria of the Regulatory is within the scope of that authority Flexibility Act. (c) Applicability because it addresses an unsafe condition (1) This AD applies to all The Boeing that is likely to exist or develop on List of Subjects in 14 CFR Part 39 Company Model 737–600, –700, –700C, products identified in this rulemaking –800, –900 and –900ER series airplanes, Air transportation, Aircraft, Aviation action. certificated in any category. safety, Incorporation by reference, (2) Installation of Supplemental Type Safety. Certificate (STC) ST00830SE (http://

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rgl.faa.gov/Regulatory_and_Guidance_ or local Flight Standards District Office, as Lind Avenue SW., Renton, WA. For Library/rgSTC.nsf/0/38B606833BBD appropriate. If sending information directly information on the availability of this 98B386257FAA00602538?Open to the manager of the ACO, send it to the material at the FAA, call 425–227–1221. Document&Highlight=st00830se) does not attention of the person identified in (5) You may view this service information affect the ability to accomplish the actions paragraph (j) of this AD. Information may be that is incorporated by reference at the required by this AD. Therefore, for airplanes emailed to: 9-ANM-Seattle-ACO-AMOC- National Archives and Records on which STC ST00830SE is installed, a [email protected]. Administration (NARA). For information on ‘‘change in product’’ alternative method of (2) Before using any approved AMOC, the availability of this material at NARA, call compliance (AMOC) approval request is not notify your appropriate principal inspector, 202–741–6030, or go to: http:// necessary to comply with the requirements of or lacking a principal inspector, the manager www.archives.gov/federal-register/cfr/ibr- 14 CFR 39.17. of the local flight standards district office/ locations.html. certificate holding district office. (d) Subject (3) An AMOC that provides an acceptable Issued in Renton, Washington, on September 28, 2016. Air Transport Association (ATA) of level of safety may be used for any repair, America Code 53, Fuselage. modification, or alteration required by this Dionne Palermo, AD if it is approved by the Boeing Acting Manager, Transport Airplane (e) Unsafe Condition Commercial Airplanes Organization Directorate, Aircraft Certification Service. This AD was prompted by an evaluation by Designation Authorization (ODA) that has [FR Doc. 2016–24197 Filed 10–7–16; 8:45 am] the design approval holder indicating that been authorized by the Manager, Seattle certain fastener locations in the window ACO, to make those findings. To be BILLING CODE 4910–13–P corner surround structure are subject to approved, the repair method, modification widespread fatigue damage. We are issuing deviation, or alteration deviation must meet this AD to detect and correct fatigue cracking the certification basis of the airplane and the DEPARTMENT OF HOMELAND around certain fastener locations that could approval must specifically refer to this AD. SECURITY cause multiple window corner skin cracks, (4) Except as required by paragraph (h) of which could result in rapid decompression this AD: For service information that Coast Guard and consequent loss of structural integrity of contains steps that are labeled as RC, the the airplane. provisions of paragraphs (i)(4)(i) and (i)(4)(ii) 33 CFR Part 117 of this AD apply. (f) Compliance (i) The steps labeled as RC, including [Docket No. USCG–2016–0866] Comply with this AD within the substeps under an RC step and any figures compliance times specified, unless already identified in an RC step, must be done to Drawbridge Operation Regulation; done. comply with the AD. If a step or substep is James River, Isle of Wight and labeled ‘‘RC Exempt,’’ then the RC (g) Repetitive Inspections and Repair Newport News, VA requirement is removed from that step or At the applicable time specified in substep. An AMOC is required for any AGENCY: Coast Guard, DHS. paragraph 1.E., ‘‘Compliance,’’ of Boeing deviations to RC steps, including substeps ACTION: Alert Service Bulletin 737–53A1351, dated Notice of temporary deviation and identified figures. from regulations; Cancellation. July 8, 2015: Do an external high frequency (ii) Steps not labeled as RC may be eddy current (HFEC) inspection for cracking deviated from using accepted methods in SUMMARY: of the skin around the fastener locations at The Coast Guard is canceling accordance with the operator’s maintenance the temporary deviation concerning the the upper forward and lower aft corners of or inspection program without obtaining each window between station (STA) 360 and approval of an AMOC, provided the RC steps, James River Bridge (US17) across the STA 540, as applicable, and at the lower including substeps and identified figures, can James River, mile 5.0, at Isle of Wight forward and upper aft corners of each still be done as specified, and the airplane and Newport News, VA. The deviation window between STA 727 and STA 887, in can be put back in an airworthy condition. was necessary to perform bridge accordance with the Accomplishment maintenance and repairs, which have (j) Related Information Instructions of Boeing Alert Service Bulletin been completed. The deviation allowed 737–53A1351, dated July 8, 2015. Repeat the For more information about this AD, the bridge to remain in the closed-to- inspection thereafter at the applicable times contact Gaetano Settineri, Aerospace specified in paragraph 1.E., ‘‘Compliance,’’ of Engineer, Airframe Branch, ANM–120S, navigation position. Boeing Alert Service Bulletin 737–53A1351, FAA, Seattle ACO, 1601 Lind Avenue SW., DATES: The temporary deviation dated July 8, 2015. If any crack is found Renton, WA 98057–3356; phone: 425–917– published on September 16, 2016, in the during any inspection, repair before further 6577; fax: 425–917–6590; email: Federal Register (81 FR 63700) is flight using a method approved in [email protected]. cancelled as of October 11, 2016. accordance with the procedures specified in ADDRESSES: paragraph (i) of this AD. (k) Material Incorporated by Reference The docket for this (1) The Director of the Federal Register deviation, [USCG–2016–0866] is (h) Exception to the Service Bulletin approved the incorporation by reference available at http://www.regulations.gov. Specifications (IBR) of the service information listed in this Type the docket number in the Although Boeing Alert Service Bulletin paragraph under 5 U.S.C. 552(a) and 1 CFR ‘‘SEARCH’’ box and click ‘‘SEARCH’’. 737–53A1351, dated July 8, 2015, specifies to part 51. Click on Open Docket Folder on the line contact Boeing for repair instructions, and (2) You must use this service information associated with this deviation. specifies that action as ‘‘RC’’ (Required for as applicable to do the actions required by FOR FURTHER INFORMATION CONTACT: Compliance), this AD requires repair before this AD, unless the AD specifies otherwise. If further flight using a method approved in (i) Boeing Alert Service Bulletin 737– you have questions on this cancelation, accordance with the procedures specified in 53A1351, dated July 8, 2015. call or email Mr. Hal R. Pitts, Bridge paragraph (i) of this AD. (ii) Reserved. Administration Branch Fifth District, (3) For service information identified in Coast Guard, telephone 757–398–6222, (i) Alternative Methods of Compliance this AD, contact Boeing Commercial (AMOCs) email [email protected]. Airplanes, Attention: Data & Services SUPPLEMENTARY INFORMATION: On (1) The Manager, Seattle Aircraft Management, P.O. Box 3707, MC 2H–65, Certification Office (ACO), FAA, has the Seattle, WA 98124–2207; telephone: 206– September 16, 2016, we published a authority to approve AMOCs for this AD, if 544–5000, extension 1; fax: 206–766–5680; temporary deviation entitled requested using the procedures found in 14 Internet: https://www.myboeingfleet.com. ‘‘Drawbridge Operation Regulation; CFR 39.19. In accordance with 14 CFR 39.19, (4) You may view this service information James River, Isle of Wight and Newport send your request to your principal inspector at FAA, Transport Airplane Directorate, 1601 News, VA’’ in the Federal Register (81

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FR 63700). The temporary deviation Express Contract 39 (MC2016–164 and Priority Mail Contract 238 (MC2016–193 concerned allowed the bridge to remain CP2016–238); July 19, 2016, Priority and CP2016–276); September 20, 2016, in the closed-to-navigation position to Mail & First-Class Package Service Priority Mail & First-Class Package facilitate repairs to the aerial electrical Contract 22 (MC2016–166 and CP2016– Service Contract 31 (MC2016–194 and cable connecting the north tower to the 240); July 19, 2016, Priority Mail & First- CP2016–277); September 20, 2016, First- south tower. This deviation from the Class Package Service Contract 23 Class Package Service Contract 61 operating regulations was authorized (MC2016–167 and CP2016–241); August (MC2016–195 and CP2016–278); under 33 CFR 117.35. 1, 2016, First-Class Package Service September 23, 2016, First-Class Package On September 26, 2016, The Virginia Contract 58 (MC2016–170 and CP2016– Service Contract 63 (MC2016–198 and Department of Transportation, that 248); August 1, 2016, First-Class CP2016–282); September 23, 2016, owns and operates the James River Package Service Contract 59 (MC2016– Priority Mail Contract 239 (MC2016–199 Bridge (US17), across the James River, 171 and CP2016–249); August 1, 2016, and CP2016–283); September 23, 2016, mile 5.0, at Isle of Wight and Newport Priority Mail Express Contract 40 First-Class Package Service Contract 62 News, VA, notified the Coast Guard that (MC2016–169 and CP2016–247); August (MC2016–197 and CP2016–281); repairs had been completed on 15, 2016, Priority Mail & First-Class September 27, 2016, Global Expedited September 24, 2016, and that the Package Service Contract 24 (MC2016– Package Services 7 Contracts (MC2016– temporary deviation was no longer 173 and CP2016–252); August 15, 2016, 196 and CP2016–280). needed. Priority Mail & First-Class Package FOR FURTHER INFORMATION CONTACT: Dated: October 5, 2016. Service Contract 25 (MC2016–174 and David A. Trissell, General Counsel, at Hal R. Pitts, CP2016–253); August 15, 2016, Priority 202–789–6800. SUPPLEMENTARY INFORMATION: Bridge Program Manager, Fifth Coast Guard Mail Express & Priority Mail Contract 30 This District. (MC2016–175 and CP2016–254); August document identifies updates to the market dominant and the competitive [FR Doc. 2016–24476 Filed 10–7–16; 8:45 am] 17, 2016, Inbound Market Dominant product lists, which appear as 39 CFR BILLING CODE 9110–04–P Registered Service Agreement 1 (MC2016–168 and R2016–6); August 23, Appendix A to Subpart A of Part 3020— 2016, Priority Mail & First-Class Package Market Dominant Product List and 39 CFR Appendix B to Subpart A of Part POSTAL REGULATORY COMMISSION Service Contract 26 (MC2016–177 and CP2016–256); August 23, 2016, First- 3020—Competitive Product List, 39 CFR Part 3020 Class Package Service Contract 60 respectively. Publication of the updated (MC2016–176 and CP2016–255); August product lists in the Federal Register is [Docket Nos. MC2010–21 and CP2010–36] 23, 2016, Priority Mail Contract 233 addressed in the Postal Accountability and Enhancement Act (PAEA) of 2006. Update to Product Lists (MC2016–179 and CP2016–258); August 23, 2016, Priority Mail Express Contract Authorization. The Commission AGENCY: Postal Regulatory Commission. 41 (MC2016–180 and CP2016–259); process for periodic publication of updates was established in Docket Nos. ACTION: Final rule. August 23, 2016, Priority Mail Contract 234 (MC2016–181 and CP2016–260); MC2010–21 and CP2010–36, Order No. SUMMARY: The Commission is updating August 24, 2016, Priority Mail Contract 445, April 22, 2010, at 8. the product lists. This action reflects a 232 (MC2016–178 and CP2016–257); Changes. The product lists are being publication policy adopted by August 25, 2016, Priority Mail Express updated by publishing replacements in Commission order. The referenced & Priority Mail Contract 31 (MC2016– their entirety of 39 CFR Appendix A to policy assumes periodic updates. The 182 and CP2016–262); August 25, 2016, Subpart A of Part 3020—Market updates are identified in the body of Priority Mail & First-Class Package Dominant Product List and 39 CFR this document. The product lists, which Service Contract 27 (MC2016–183 and Appendix B to Subpart A of Part 3020— are re-published in their entirety, CP2016–263); August 25, 2016, Priority Competitive Product List. The following include these updates. Mail & First-Class Package Service products are being added, removed, or moved within the product lists: DATES: Contract 28 (MC2016–184 and CP2016– Effective Date: October 11, 2016. 1. Priority Mail & First-Class Package Applicability Dates: July 6, 2016, 264); September 9, 2016, Priority Mail Service Contract 20 (MC2016–158 and Priority Mail & First-Class Package Express & Priority Mail Contract 33 CP2016–229) (Order No. 3414), added Service Contract 20 (MC2016–158 and (MC2016–186 and CP2016–267); July 6, 2016. CP2016–229); July 6, 2016, Priority Mail September 9, 2016, Priority Mail 2. Priority Mail Contract 228 Contract 228 (MC2016–157 and Express & Priority Mail Contract 32 (MC2016–157 and CP2016–228) (Order CP2016–228); July 7, 2016, Priority Mail (MC2016–185 and CP2016–266); No. 3415), added July 6, 2016. Express Contract 38 (MC2016–161 and September 9, 2016, Priority Mail 3. Priority Mail Express Contract 38 CP2016–232); July 7, 2016, Priority Mail Express & Priority Mail Contract 34 (MC2016–161 and CP2016–232) (Order Express, Priority Mail & First-Class (MC2016–187 and CP2016–268); No. 3416), added July 7, 2016. Package Service Contract 10 (MC2016– September 14, 2016, Priority Mail 4. Priority Mail Express, Priority Mail 160 and CP2016–231); July 7, 2016, Contract 236 (MC2016–191 and & First-Class Package Service Contract Priority Mail Contract 229 (MC2016–159 CP2016–274); September 14, 2016, 10 (MC2016–160 and CP2016–231) and CP2016–230); July 8, 2016, Priority Priority Mail Contract 237 (MC2016–192 (Order No. 3417), added July 7, 2016. Mail Contract 214 (MC2016–131 and and CP2016–275); September 14, 2016, 5. Priority Mail Contract 229 CP2016–167); July 13, 2016, Priority Priority Mail & First-Class Package (MC2016–159 and CP2016–230) (Order Mail Contract 230 (MC2016–162 and Service Contract 30 (MC2016–189 and No. 3418), added July 7, 2016. CP2016–235); July 13, 2016, Priority CP2016–272); September 14, 2016, 6. Priority Mail Contract 214 Mail Contract 231 (MC2016–163 and Priority Mail Contract 235 (MC2016–190 (MC2016–131 and CP2016–167) (Order CP2016–236); July 19, 2016, Priority and CP2016–273); September 14, 2016, No. 3419), added July 8, 2016. Mail & First-Class Package Service Priority Mail & First-Class Package 7. Priority Mail Contract 230 Contract 21 (MC2016–165 and CP2016– Service Contract 29 (MC2016–188 and (MC2016–162 and CP2016–235) (Order 239); July 19, 2016, Priority Mail CP2016–271); September 20, 2016, No. 3425), added July 13, 2016.

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8. Priority Mail Contract 231 27. Priority Mail & First-Class Package 2. Priority Mail Contract 61 (MC2013– (MC2016–163 and CP2016–236) (Order Service Contract 27 (MC2016–183 and 55 and CP2013–73) (Order No. 1790). No. 3426), added July 13, 2016. CP2016–263) (Order No. 3485), added 3. Priority Mail Contract 62 (MC2013– 9. Priority Mail & First-Class Package August 25, 2016. 56 and CP2013–74) (Order No. 1784). Service Contract 21 (MC2016–165 and 28. Priority Mail & First-Class Package 4. Priority Mail Express & Priority CP2016–239) (Order No. 3437), added Service Contract 28 (MC2016–184 and Mail Contract 14 (MC2013–58 and July 19, 2016. CP2016–264) (Order No. 3486), added CP2013–79) (Order No. 1831). 10. Priority Mail Express Contract 39 August 25, 2016. 5. Priority Mail Express & Priority (MC2016–164 and CP2016–238) (Order 29. Priority Mail Express & Priority Mail Contract 26 (MC2016–56 and No. 3438), added July 19, 2016. Mail Contract 33 (MC2016–186 and CP2016–71) (Order No. 2990). 11. Priority Mail & First-Class Package CP2016–267) (Order No. 3503), added 6. Parcel Select Contract 5 (MC2012– Service Contract 22 (MC2016–166 and September 9, 2016. 34 and CP2012–42) (Order No. 1416). CP2016–240) (Order No. 3439), added 30. Priority Mail Express & Priority 7. Parcel Select Contract 7 (MC2013– July 19, 2016. Mail Contract 32 (MC2016–185 and 59 and CP2013–80) (Order No. 1832). 12. Priority Mail & First-Class Package CP2016–266) (Order No. 3504), added 8. Priority Mail & First-Class Package Service Contract 23 (MC2016–167 and September 9, 2016. Service Contract 5 (MC2015–57 and CP2016–241) (Order No. 3440), added 31. Priority Mail Express & Priority CP2015–85) (Order No. 2560). July 19, 2016. Mail Contract 34 (MC2016–187 and The following market test has expired 13. First-Class Package Service CP2016–268) (Order No. 3508), added and is being deleted from the Contract 58 (MC2016–170 and CP2016– September 9, 2016. Competitive Product List: 248) (Order No. 3452), added August 1, 32. Priority Mail Contract 236 1. International Merchandise Return 2016. (MC2016–191 and CP2016–274) (Order Service Non-Published Rates (MT2013– 14. First-Class Package Service No. 3512), added September 14, 2016. 2) (Order No. 1806). Contract 59 (MC2016–171 and CP2016– 33. Priority Mail Contract 237 Updated product lists. The referenced 249) (Order No. 3453), added August 1, (MC2016–192 and CP2016–275) (Order changes to the product lists are 2016. No. 3513), added September 14, 2016. incorporated into 39 CFR Appendix A 15. Priority Mail Express Contract 40 34. Priority Mail & First-Class Package to Subpart A of Part 3020—Market (MC2016–169 and CP2016–247) (Order Service Contract 30 (MC2016–189 and Dominant Product List and 39 CFR No. 3454), added August 1, 2016. CP2016–272) (Order No. 3514), added Appendix B to Subpart A of Part 3020— 16. Priority Mail & First-Class Package September 14, 2016. Competitive Product List. Service Contract 24 (MC2016–173 and 35. Priority Mail Contract 235 List of Subjects in 39 CFR Part 3020 CP2016–252) (Order No. 3464), added (MC2016–190 and CP2016–273) (Order August 15, 2016. No. 3515), added September 14, 2016. Administrative practice and 17. Priority Mail & First-Class Package 36. Priority Mail & First-Class Package procedure, Postal Service. Service Contract 25 (MC2016–174 and Service Contract 29 (MC2016–188 and For the reasons discussed in the CP2016–253) (Order No. 3465), added CP2016–271) (Order No. 3516), added preamble, the Postal Regulatory August 15, 2016. September 14, 2016. Commission amends chapter III of title 18. Priority Mail Express & Priority 37. Priority Mail Contract 238 39 of the Code of Federal Regulations as Mail Contract 30 (MC2016–175 and (MC2016–193 and CP2016–276) (Order follows: CP2016–254) (Order No. 3466), added No. 3522), added September 20, 2016. August 15, 2016. 38. Priority Mail & First-Class Package PART 3020—PRODUCT LISTS 19. Inbound Market Dominant Service Contract 31 (MC2016–194 and Registered Service Agreement 1 CP2016–277) (Order No. 3523), added ■ 1. The authority citation for part 3020 (MC2016–168 and R2016–6) (Order No. September 20, 2016. continues to read as follows: 3471), added August 17, 2016. 39. First-Class Package Service Authority: 39 U.S.C. 503; 3622; 3631; 20. Priority Mail & First-Class Package Contract 61 (MC2016–195 and CP2016– 3642; 3682. Service Contract 26 (MC2016–177 and 278) (Order No. 3524), added September ■ 2. Revise Appendix A of Subpart A of CP2016–256) (Order No. 3476), added 20, 2016. Part 3020—Market Dominant Product August 23, 2016. 40. First-Class Package Service List to read as follows: 21. First-Class Package Service Contract 63 (MC2016–198 and CP2016– Contract 60 (MC2016–176 and CP2016– 282) (Order No. 3529), added September Appendix A to Subpart A of Part 255) (Order No. 3477), added August 23, 23, 2016. 3020—Market Dominant Product List 2016. 41. Priority Mail Contract 239 (An asterisk (*) indicates an organizational 22. Priority Mail Contract 233 (MC2016–199 and CP2016–283) (Order class or group, not a Postal Service product.) (MC2016–179 and CP2016–258) (Order No. 3533), added September 23, 2016. First-Class Mail * No. 3478), added August 23, 2016. 42. First-Class Package Service Single-Piece Letters/Postcards 23. Priority Mail Express Contract 41 Contract 62 (MC2016–197 and CP2016– Presorted Letters/Postcards (MC2016–180 and CP2016–259) (Order 281) (Order No. 3534), added September Flats No. 3479), added August 23, 2016. 23, 2016. Parcels 24. Priority Mail Contract 234 43. Global Expedited Package Services Outbound Single-Piece First-Class Mail (MC2016–181 and CP2016–260) (Order 7 Contracts (MC2016–196 and CP2016– International No. 3480), added August 23, 2016. 280) (Order No. 3542), added September Inbound Letter Post 25. Priority Mail Contract 232 27, 2016. Standard Mail (Commercial and Nonprofit) * (MC2016–178 and CP2016–257) (Order The following negotiated service High Density and Saturation Letters High Density and Saturation Flats/Parcels No. 3481), added August 24, 2016. agreements have expired and are being Carrier Route 26. Priority Mail Express & Priority deleted from the Competitive Product Letters Mail Contract 31 (MC2016–182 and List: Flats CP2016–262) (Order No. 3483), added 1. Priority Mail Contract 60 (MC2013– Parcels August 25, 2016. 54 and CP2013–70) (Order No. 1773). Every Door Direct Mail—Retail

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Periodicals * Priority Mail Express Contract 27 Priority Mail Contract 118 In-County Periodicals Priority Mail Express Contract 28 Priority Mail Contract 119 Outside County Periodicals Priority Mail Express Contract 29 Priority Mail Contract 120 Package Services * Priority Mail Express Contract 30 Priority Mail Contract 121 Alaska Bypass Service Priority Mail Express Contract 31 Priority Mail Contract 122 Bound Printed Matter Flats Priority Mail Express Contract 32 Priority Mail Contract 123 Bound Printed Matter Parcels Priority Mail Express Contract 33 Priority Mail Contract 124 Media Mail/Library Mail Priority Mail Express Contract 34 Priority Mail Contract 125 Special Services * Priority Mail Express Contract 35 Priority Mail Contract 126 Ancillary Services Priority Mail Express Contract 36 Priority Mail Contract 127 International Ancillary Services Priority Mail Express Contract 37 Priority Mail Contract 128 Address Management Services Priority Mail Express Contract 38 Priority Mail Contract 129 Caller Service Priority Mail Express Contract 39 Priority Mail Contract 130 Credit Card Authentication Priority Mail Express Contract 40 Priority Mail Contract 131 International Reply Coupon Service Priority Mail Express Contract 41 Priority Mail Contract 132 International Business Reply Mail Service Parcel Return Service Contract 5 Priority Mail Contract 133 Money Orders Parcel Return Service Contract 6 Priority Mail Contract 134 Post Office Box Service Parcel Return Service Contract 7 Priority Mail Contract 135 Customized Postage Parcel Return Service Contract 8 Priority Mail Contract 136 Stamp Fulfillment Services Parcel Return Service Contract 9 Priority Mail Contract 137 Negotiated Service Agreements * Parcel Return Service Contract 10 Priority Mail Contract 138 Domestic * Priority Mail Contract 24 Priority Mail Contract 139 PHI Acquisitions, Inc. Negotiated Service Priority Mail Contract 59 Priority Mail Contract 140 Agreement International * Priority Mail Contract 63 Priority Mail Contract 141 Inbound Market Dominant Multi-Service Priority Mail Contract 64 Priority Mail Contract 142 Agreements with Foreign Postal Priority Mail Contract 65 Priority Mail Contract 143 Operators 1 Priority Mail Contract 66 Priority Mail Contract 144 Inbound Market Dominant Expre´s Service Priority Mail Contract 67 Priority Mail Contract 145 Agreement 1 Priority Mail Contract 70 Priority Mail Contract 146 Inbound Market Dominant Registered Priority Mail Contract 71 Priority Mail Contract 147 Service Agreement 1 Priority Mail Contract 72 Priority Mail Contract 148 Nonpostal Services * Priority Mail Contract 73 Priority Mail Contract 149 Alliances with the Private Sector to Defray Priority Mail Contract 74 Priority Mail Contract 150 Cost of Key Postal Functions Priority Mail Contract 75 Priority Mail Contract 151 Philatelic Sales Priority Mail Contract 76 Priority Mail Contract 152 Market Tests * Priority Mail Contract 77 Priority Mail Contract 153 Priority Mail Contract 78 Priority Mail Contract 154 ■ 3. Revise and Appendix B of Subpart Priority Mail Contract 79 Priority Mail Contract 155 A of Part 3020—Competitive Product Priority Mail Contract 80 Priority Mail Contract 156 List to read as follows: Priority Mail Contract 81 Priority Mail Contract 157 Priority Mail Contract 82 Priority Mail Contract 158 Appendix B to Subpart A of Part 3020— Priority Mail Contract 83 Priority Mail Contract 159 Competitive Product List Priority Mail Contract 84 Priority Mail Contract 160 Priority Mail Contract 85 Priority Mail Contract 161 (An asterisk (*) indicates an organizational Priority Mail Contract 86 Priority Mail Contract 162 class or group, not a Postal Service product.) Priority Mail Contract 87 Priority Mail Contract 163 Domestic Products * Priority Mail Contract 88 Priority Mail Contract 164 Priority Mail Express Priority Mail Contract 89 Priority Mail Contract 165 Priority Mail Priority Mail Contract 90 Priority Mail Contract 166 Parcel Select Priority Mail Contract 91 Priority Mail Contract 167 Parcel Return Service Priority Mail Contract 92 Priority Mail Contract 168 First-Class Package Service Priority Mail Contract 93 Priority Mail Contract 169 Retail Ground Priority Mail Contract 94 Priority Mail Contract 170 International Products * Priority Mail Contract 95 Priority Mail Contract 171 Outbound International Expedited Services Priority Mail Contract 96 Priority Mail Contract 172 Inbound Parcel Post (at UPU rates) Priority Mail Contract 97 Priority Mail Contract 173 Outbound Priority Mail International Priority Mail Contract 98 Priority Mail Contract 174 International Priority Airmail (IPA) Priority Mail Contract 99 Priority Mail Contract 175 International Surface Air List (ISAL) Priority Mail Contract 100 Priority Mail Contract 176 International Direct Sacks—M-Bags Priority Mail Contract 101 Priority Mail Contract 177 Outbound Single-Piece First-Class Package Priority Mail Contract 102 Priority Mail Contract 178 International Service Priority Mail Contract 103 Priority Mail Contract 179 Negotiated Service Agreements * Priority Mail Contract 104 Priority Mail Contract 180 Domestic * Priority Mail Contract 105 Priority Mail Contract 181 Priority Mail Express Contract 8 Priority Mail Contract 106 Priority Mail Contract 182 Priority Mail Express Contract 16 Priority Mail Contract 107 Priority Mail Contract 183 Priority Mail Express Contract 17 Priority Mail Contract 108 Priority Mail Contract 184 Priority Mail Express Contract 18 Priority Mail Contract 109 Priority Mail Contract 185 Priority Mail Express Contract 19 Priority Mail Contract 110 Priority Mail Contract 186 Priority Mail Express Contract 20 Priority Mail Contract 111 Priority Mail Contract 187 Priority Mail Express Contract 21 Priority Mail Contract 112 Priority Mail Contract 188 Priority Mail Express Contract 22 Priority Mail Contract 113 Priority Mail Contract 189 Priority Mail Express Contract 23 Priority Mail Contract 114 Priority Mail Contract 190 Priority Mail Express Contract 24 Priority Mail Contract 115 Priority Mail Contract 191 Priority Mail Express Contract 25 Priority Mail Contract 116 Priority Mail Contract 192 Priority Mail Express Contract 26 Priority Mail Contract 117 Priority Mail Contract 193

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Priority Mail Contract 194 Priority Mail Express & Priority Mail Priority Mail & First-Class Package Service Priority Mail Contract 195 Contract 29 Contract 3 Priority Mail Contract 196 Priority Mail Express & Priority Mail Priority Mail & First-Class Package Service Priority Mail Contract 197 Contract 30 Contract 4 Priority Mail Contract 198 Priority Mail Express & Priority Mail Priority Mail & First-Class Package Service Priority Mail Contract 199 Contract 31 Contract 6 Priority Mail Contract 200 Priority Mail Express & Priority Mail Priority Mail & First-Class Package Service Priority Mail Contract 201 Contract 32 Contract 7 Priority Mail Contract 202 Priority Mail Express & Priority Mail Priority Mail & First-Class Package Service Priority Mail Contract 203 Contract 33 Contract 8 Priority Mail Contract 204 Priority Mail Express & Priority Mail Priority Mail & First-Class Package Service Priority Mail Contract 205 Contract 34 Contract 9 Priority Mail Contract 206 Parcel Select & Parcel Return Service Priority Mail & First-Class Package Service Priority Mail Contract 207 Contract 3 Contract 10 Priority Mail Contract 208 Parcel Select & Parcel Return Service Priority Mail & First-Class Package Service Priority Mail Contract 209 Contract 5 Contract 11 Priority Mail Contract 210 Parcel Select Contract 2 Priority Mail & First-Class Package Service Priority Mail Contract 211 Parcel Select Contract 8 Contract 12 Priority Mail Contract 212 Parcel Select Contract 9 Priority Mail & First-Class Package Service Priority Mail Contract 213 Parcel Select Contract 10 Contract 13 Priority Mail Contract 214 Parcel Select Contract 11 Priority Mail & First-Class Package Service Priority Mail Contract 215 Parcel Select Contract 12 Contract 14 Priority Mail Contract 216 Parcel Select Contract 13 Priority Mail & First-Class Package Service Priority Mail Contract 217 Parcel Select Contract 14 Contract 15 Priority Mail Contract 218 Parcel Select Contract 15 Priority Mail & First-Class Package Service Priority Mail Contract 219 Parcel Select Contract 16 Contract 16 Priority Mail Contract 220 Priority Mail—Non-Published Rates Priority Mail & First-Class Package Service Priority Mail Contract 221 Priority Mail—Non-Published Rates 1 Contract 17 Priority Mail Contract 222 First-Class Package Service Contract 35 Priority Mail & First-Class Package Service Priority Mail Contract 223 First-Class Package Service Contract 36 Contract 18 Priority Mail Contract 224 First-Class Package Service Contract 37 Priority Mail & First-Class Package Service First-Class Package Service Contract 38 Priority Mail Contract 225 Contract 19 First-Class Package Service Contract 39 Priority Mail Contract 226 Priority Mail & First-Class Package Service First-Class Package Service Contract 40 Priority Mail Contract 227 Contract 20 First-Class Package Service Contract 41 Priority Mail Contract 228 Priority Mail & First-Class Package Service First-Class Package Service Contract 42 Contract 21 Priority Mail Contract 229 First-Class Package Service Contract 43 Priority Mail & First-Class Package Service Priority Mail Contract 230 First-Class Package Service Contract 44 Contract 22 Priority Mail Contract 231 First-Class Package Service Contract 45 Priority Mail Contract 232 First-Class Package Service Contract 46 Priority Mail & First-Class Package Service Priority Mail Contract 233 First-Class Package Service Contract 47 Contract 23 Priority Mail Contract 234 First-Class Package Service Contract 48 Priority Mail & First-Class Package Service Priority Mail Contract 235 First-Class Package Service Contract 49 Contract 24 Priority Mail Contract 236 First-Class Package Service Contract 50 Priority Mail & First-Class Package Service Priority Mail Contract 237 First-Class Package Service Contract 51 Contract 25 Priority Mail Contract 238 First-Class Package Service Contract 52 Priority Mail & First-Class Package Service Priority Mail Contract 239 First-Class Package Service Contract 53 Contract 26 Priority Mail Express & Priority Mail First-Class Package Service Contract 54 Priority Mail & First-Class Package Service Contract 10 First-Class Package Service Contract 55 Contract 27 Priority Mail Express & Priority Mail First-Class Package Service Contract 56 Priority Mail & First-Class Package Service Contract 12 First-Class Package Service Contract 57 Contract 28 Priority Mail Express & Priority Mail First-Class Package Service Contract 58 Priority Mail & First-Class Package Service Contract 13 First-Class Package Service Contract 59 Contract 29 Priority Mail Express & Priority Mail First-Class Package Service Contract 60 Priority Mail & First-Class Package Service Contract 16 First-Class Package Service Contract 61 Contract 30 Priority Mail Express & Priority Mail First-Class Package Service Contract 62 Priority Mail & First-Class Package Service Contract 17 First-Class Package Service Contract 63 Contract 31 Priority Mail Express & Priority Mail Priority Mail Express, Priority Mail & First- Priority Mail & Parcel Select Contract 1 Contract 18 Class Package Service Contract 2 Outbound International * Priority Mail Express & Priority Mail Priority Mail Express, Priority Mail & First- Global Expedited Package Services (GEPS) Contract 19 Class Package Service Contract 3 Contracts Priority Mail Express & Priority Mail Priority Mail Express, Priority Mail & First- GEPS 3 Contract 20 Class Package Service Contract 4 GEPS 5 Priority Mail Express & Priority Mail Priority Mail Express, Priority Mail & First- GEPS 6 Contract 21 Class Package Service Contract 5 GEPS 7 Priority Mail Express & Priority Mail Priority Mail Express, Priority Mail & First- Global Bulk Economy (GBE) Contracts Contract 22 Class Package Service Contract 6 Global Plus Contracts Priority Mail Express & Priority Mail Priority Mail Express, Priority Mail & First- Global Plus 1C Contract 23 Class Package Service Contract 7 Global Plus 1D Priority Mail Express & Priority Mail Priority Mail Express, Priority Mail & First- Global Plus 2C Contract 24 Class Package Service Contract 8 Global Plus 3 Priority Mail Express & Priority Mail Priority Mail Express, Priority Mail & First- Global Reseller Expedited Package Contract 25 Class Package Service Contract 9 Contracts Priority Mail Express & Priority Mail Priority Mail Express, Priority Mail & First- Global Reseller Expedited Package Services Contract 27 Class Package Service Contract 10 1 Priority Mail Express & Priority Mail Priority Mail & First-Class Package Service Global Reseller Expedited Package Services Contract 28 Contract 2 2

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Global Reseller Expedited Package Services Premium Forwarding Service submitting comments. Once submitted, 3 Shipping and Mailing Supplies comments cannot be removed or edited Global Reseller Expedited Package Services Post Office Box Service from Regulations.gov. For either manner 4 Competitive Ancillary Services of submission, the EPA may publish any Global Expedited Package Services Nonpostal Services * (GEPS)—Non-Published Rates Advertising comment received to its public docket. Global Expedited Package Services Licensing of Intellectual Property other Do not submit electronically any (GEPS)—Non-Published Rates 2 than Officially Licensed Retail Products information you consider to be Global Expedited Package Services (OLRP) Confidential Business Information (CBI) (GEPS)—Non-Published Rates 3 Mail Service Promotion or other information whose disclosure is Global Expedited Package Services Officially Licensed Retail Products (OLRP) restricted by statute. Multimedia (GEPS)—Non-Published Rates 4 Passport Photo Service submissions (audio, video, etc.) must be Global Expedited Package Services Photocopying Service accompanied by a written comment. (GEPS)—Non-Published Rates 5 Rental, Leasing, Licensing or other Non- The written comment is considered the Global Expedited Package Services Sale Disposition of Tangible Property (GEPS)—Non-Published Rates 6 Training Facilities and Related Services official comment and should include Global Expedited Package Services USPS Electronic Postmark (EPM) Program discussion of all points you wish to (GEPS)—Non-Published Rates 7 Market Tests * make. The EPA will generally not Global Expedited Package Services Customized Delivery consider comments or comment (GEPS)—Non-Published Rates 8 Global eCommerce Marketplace (GeM) contents located outside of the primary Global Expedited Package Services submission (i.e. on the web, cloud, or Stacy L. Ruble, (GEPS)—Non-Published Rates 9 other file sharing system). For Global Expedited Package Services Secretary. additional submission methods, please (GEPS)—Non-Published Rates 10 [FR Doc. 2016–24511 Filed 10–7–16; 8:45 am] Priority Mail International Regional Rate contact the person identified in the FOR Boxes—Non-Published Rates BILLING CODE 7710–FW–P FURTHER INFORMATION CONTACT section. Outbound Competitive International For the full EPA public comment policy, Merchandise Return Service information about CBI or multimedia Agreement with Royal Mail Group, Ltd. ENVIRONMENTAL PROTECTION submissions, and general guidance on Priority Mail International Regional Rate AGENCY making effective comments, please visit Boxes Contracts http://www2.epa.gov/dockets/ Priority Mail International Regional Rate 40 CFR Part 52 commenting-epa-dockets. Boxes Contracts 1 Competitive International Merchandise [EPA–R09–OAR–2016–0367; FRL–9952–17– FOR FURTHER INFORMATION CONTACT: Return Service Agreements with Foreign Region 9] Kevin Gong, EPA Region IX, (415) 972– Postal Operators 3073, [email protected]. Competitive International Merchandise Approval of California Air Plan Return Service Agreements with Foreign Revisions, Butte County Air Quality SUPPLEMENTARY INFORMATION: Postal Operators 1 Management District Throughout this document, ‘‘we,’’ ‘‘us,’’ Competitive International Merchandise and ‘‘our’’ refer to the EPA. Return Service Agreements with Foreign AGENCY: Environmental Protection Postal Operators 2 Agency (EPA). Table of Contents Inbound International * ACTION: Direct final rule. I. The State’s Submittal International Business Reply Service A. What rule did the State submit? (IBRS) Competitive Contracts SUMMARY: The Environmental Protection B. Are there other versions of this rule? International Business Reply Service Agency (EPA) is taking direct final C. What is the purpose of the submitted Competitive Contract 1 International Business Reply Service action to approve a revision to the Butte rule revision? Competitive Contract 3 County Air Quality Management District II. The EPA’s Evaluation and Action Inbound Direct Entry Contracts with (BCAQMD) portion of the California A. How is the EPA evaluating the rule? Customers State Implementation Plan (SIP). This B. Does the rule meet the evaluation Inbound Direct Entry Contracts with revision concerns emissions of criteria? Foreign Postal Administrations particulate matter (PM) from open C. EPA recommendations to further improve the rule Inbound Direct Entry Contracts with burning. We are approving a local rule Foreign Postal Administrations D. Public comment and final action that regulates these emission sources III. Incorporation by Reference Inbound Direct Entry Contracts with under the Clean Air Act (CAA or the Foreign Postal Administrations 1 IV. Statutory and Executive Order Reviews Inbound EMS Act). Inbound EMS 2 DATES: This rule is effective on I. The State’s Submittal Inbound Air Parcel Post (at non-UPU rates) December 12, 2016 without further A. What rule did the State submit? Royal Mail Group Inbound Air Parcel Post notice, unless the EPA receives adverse Agreement comments by November 10, 2016. If we This action addresses BCAQMD Rule Inbound Competitive Multi-Service 300, ‘‘Open Burning Requirements, Agreements with Foreign Postal receive such comments, we will publish Operators a timely withdrawal in the Federal Prohibitions and Exemptions’’ as Inbound Competitive Multi-Service Register to notify the public that this amended by the district on August 27, Agreements with Foreign Postal direct final rule will not take effect. 2015 and submitted to the EPA on Operators 1 ADDRESSES: Submit your comments, March 11, 2016 by the California Air Special Services * identified by Docket ID No. EPA–R09– Resources Board. Address Enhancement Services OAR–2016–0367 at http:// On April 19, 2016, the EPA Greeting Cards, Gift Cards, and Stationery International Ancillary Services www.regulations.gov, or via email to determined that the submittal for International Money Transfer Service— Andrew Steckel, Rulemaking Office BCAQMD Rule 300 met the Outbound Chief at [email protected]. For completeness criteria in 40 CFR part 51 International Money Transfer Service— comments submitted at Regulations.gov, Appendix V, which must be met before Inbound follow the online instructions for formal EPA review.

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B. Are there other versions of this rule? Chico nonattainment area, which was object to this approval, so we are The EPA promulgated a limited classified as ‘‘nonattainment’’ for the finalizing it without proposing it in approval of an earlier version of Rule 2006 24-hour PM2.5 NAAQS on advance. However, in the Proposed 300 into the SIP on July 8, 2015 (80 FR November 13, 2009 (74 FR 58688). On Rules section of this Federal Register, 38966). The EPA also simultaneously September 10, 2013 (78 FR 55225), EPA we are simultaneously proposing promulgated a limited disapproval issued a determination that the area had approval of the same submitted rule. If because two provisions in the rule attained the 2006 24-hour PM2.5 we receive adverse comments by provided discretion to the District Air standard based on complete, quality- November 10, 2016, we will publish a Pollution Control Officer (APCO) to assured, and certified ambient air timely withdrawal in the Federal independently interpret the SIP without monitoring data for the 2010–2012 Register to notify the public that the explicit and replicable procedures monitoring period. Under EPA’s Clean direct final approval will not take effect within the rule. Data Policy and the regulations that and we will address the comments in a embody it (40 CFR 51.1004(c) for PM2.5), subsequent final action based on the C. What is the purpose of the submitted an EPA determination that an area is proposal. If we do not receive timely rule revision? attaining the relevant standard suspends adverse comments, the direct final PM, including PM equal to or less the area’s obligations to submit RACM approval will be effective without than 2.5 microns in diameter (PM2.5) for as long as the area continues to further notice on December 12, 2016. and PM equal to or less than 10 microns attain. Therefore, BCAQMD is not This will incorporate the rule into the in diameter (PM10), contributes to effects currently required to implement RACM federally enforceable SIP. that are harmful to human health and for PM2.5. If the Chico nonattainment III. Incorporation by Reference the environment, including premature area is redesignated to attainment, In this rule, the EPA is finalizing mortality, aggravation of respiratory and RACM requirements for PM2.5 will no cardiovascular disease, decreased lung longer apply. regulatory text that includes function, visibility impairment, and Guidance and policy documents that incorporation by reference. In damage to vegetation and ecosystems. we use to evaluate enforceability, accordance with requirements of 1 CFR Section 110(a) of the CAA requires revision/relaxation and rule stringency 51.5, the EPA is finalizing the States to submit regulations that control requirements for the applicable criteria incorporation by reference of the PM emissions. pollutants include the following: BCAQMD rule described in the BCAQMD Rule 300 controls PM amendments to 40 CFR part 52 set forth 1. ‘‘Issues Relating to VOC Regulation below. The EPA has made, and will emissions by establishing requirements Cutpoints, Deficiencies, and Deviations’’ on when and how to conduct various (‘‘the Bluebook,’’ U.S. EPA, May 25, 1988; continue to make, these documents types of open burning activities, revised January 11, 1990). available through www.regulations.gov including but not limited to agricultural 2. ‘‘Guidance Document for Correcting and at the EPA Region IX Office (please burning, non-agricultural burning (such Common VOC & Other Rule Deficiencies’’ contact the person identified in the FOR (‘‘the Little Bluebook’’, EPA Region 9, FURTHER INFORMATION CONTACT section of as land use conversion), and residential August 21, 2001). burning. The EPA finalized a limited this preamble for more information). approval of a previous version of this B. Does the rule meet the evaluation IV. Statutory and Executive Order rule because it is largely consistent with criteria? Reviews applicable CAA requirements. However, We believe this rule is consistent with Under the Clean Air Act, the the EPA simultaneously promulgated a the relevant policy and guidance Administrator is required to approve a limited disapproval of the rule for two regarding enforceability and SIP SIP submission that complies with the instances of APCO discretion that did relaxations. The TSD has more provisions of the Act and applicable not meet CAA requirements for information on our evaluation. federal regulations. 42 U.S.C. 7410(k); enforceability. BCAQMD’s 2015 rule 40 CFR 52.02(a). Thus, in reviewing SIP revision corrects the two deficiencies C. EPA Recommendations To Further Improve the Rule submissions, the EPA’s role is to identified in our previous action. The approve state choices, provided that EPA’s technical support document The TSD describes additional rule they meet the criteria of the Clean Air (TSD) has more information about this revisions that we recommend for the Act. Accordingly, this action merely rule. next time the local agency modifies the approves state law as meeting federal II. The EPA’s Evaluation and Action rule but are not currently the basis for requirements and does not impose rule disapproval. additional requirements beyond those A. How is the EPA evaluating the rule? D. Public Comment and Final Action imposed by state law. For that reason, SIP rules must be enforceable (see As authorized in section 110(k)(3) of this action: CAA section 110(a)(2)), must not • Is not a significant regulatory action the Act, the EPA is fully approving the interfere with applicable requirements subject to review by the Office of submitted rule because we believe it concerning attainment and reasonable Management and Budget under fulfills all relevant requirements.1 This further progress or other CAA Executive Orders 12866 (58 FR 51735, approval remedies both deficiencies requirements (see CAA section 110(l)), October 4, 1993) and 13563 (76 FR 3821, identified by our limited approval and and must not modify certain SIP control January 21, 2011); requirements in nonattainment areas limited disapproval action at 80 FR • does not impose an information without ensuring equivalent or greater 38966, and therefore terminates the collection burden under the provisions emissions reductions (see CAA section CAA sanction and Federal of the Paperwork Reduction Act (44 193). Implementation Plan clocks triggered by U.S.C. 3501 et seq.); Generally, SIP rules must implement that action. We do not think anyone will • is certified as not having a Reasonably Available Control Measures significant economic impact on a 1 Upon the effective date of this final action, (RACM) in moderate PM nonattainment BCAQMD Rule 300 would supersede existing substantial number of small entities areas (see CAA sections 172(c)(1) and BCAQMD Rule 300, approved at 80 FR 38966, in under the Regulatory Flexibility Act (5 189(a)(1)(C)). BCAQMD regulates the the applicable SIP. U.S.C. 601 et seq.);

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• does not contain any unfunded this final rule does not affect the finality Exemptions’’ amended on August 27, mandate or significantly or uniquely of this action for the purposes of judicial 2015. affect small governments, as described review nor does it extend the time * * * * * in the Unfunded Mandates Reform Act within which a petition for judicial [FR Doc. 2016–24498 Filed 10–7–16; 8:45 am] of 1995 (Public Law 104–4); review may be filed, and shall not BILLING CODE 6560–50–P • does not have Federalism postpone the effectiveness of such rule implications as specified in Executive or action. Parties with objections to this Order 13132 (64 FR 43255, August 10, direct final rule are encouraged to file a ENVIRONMENTAL PROTECTION 1999); comment in response to the parallel AGENCY • is not an economically significant notice of proposed rulemaking for this regulatory action based on health or action published in the Proposed Rules 40 CFR Part 52 safety risks subject to Executive Order section of today’s Federal Register, [EPA–R03–OAR–2016–0199; FRL–9953–74– 13045 (62 FR 19885, April 23, 1997); • rather than file an immediate petition Region 3] is not a significant regulatory action for judicial review of this direct final subject to Executive Order 13211 (66 FR rule, so that the EPA can withdraw this Approval and Promulgation of Air 28355, May 22, 2001); Quality Implementation Plans; District • direct final rule and address the is not subject to requirements of comment in the proposed rulemaking. of Columbia; Revision of Regulations Section 12(d) of the National This action may not be challenged later for Sulfur Content of Fuel Oil Technology Transfer and Advancement in proceedings to enforce its Act of 1995 (15 U.S.C. 272 note) because AGENCY: Environmental Protection requirements (see section 307(b)(2)). application of those requirements would Agency (EPA). be inconsistent with the Clean Air Act; List of Subjects in 40 CFR Part 52 ACTION: Direct final rule. and Environmental protection, Air • does not provide the EPA with the SUMMARY: The Environmental Protection pollution control, Incorporation by Agency (EPA) is taking direct final discretionary authority to address, as reference, Intergovernmental relations, appropriate, disproportionate human action to approve revisions to the Particulate matter, Reporting and District of Columbia state health or environmental effects, using recordkeeping requirements. practicable and legally permissible implementation plan (SIP). The revision methods, under Executive Order 12898 Dated: July 21, 2016. pertains to the update of the District of (59 FR 7629, February 16, 1994). Alexis Strauss, Columbia Municipal Regulations In addition, the SIP is not approved Acting Regional Administrator, Region IX. (DCMR) to lower the sulfur content of to apply on any Indian reservation land fuel oil. This action is being taken under Part 52, Chapter I, Title 40 of the Code the Clean Air Act (CAA). or in any other area where the EPA or of Federal Regulations is amended as DATES: This rule is effective on an Indian tribe has demonstrated that a follows: tribe has jurisdiction. In those areas of December 12, 2016 without further Indian country, the rule does not have PART 52—APPROVAL AND notice, unless EPA receives adverse tribal implications and will not impose PROMULGATION OF written comment by November 10, substantial direct costs on tribal IMPLEMENTATION PLANS 2016. If EPA receives such comments, it governments or preempt tribal law as will publish a timely withdrawal of the specified by Executive Order 13175 (65 ■ 1. The authority citation for part 52 direct final rule in the Federal Register FR 67249, November 9, 2000). continues to read as follows: and inform the public that the rule will The Congressional Review Act, 5 Authority: 42 U.S.C. 7401 et seq. not take effect. U.S.C. 801 et seq., as added by the Small ADDRESSES: Submit your comments, Business Regulatory Enforcement Subpart F—California identified by Docket ID No. EPA–R03– Fairness Act of 1996, generally provides OAR–2016–0199 at http:// ■ that before a rule may take effect, the 2. Section 52.220 is amended by www.regulations.gov, or via email to agency promulgating the rule must adding paragraphs (c)(423)(i)(G)(2) and [email protected]. For comments submit a rule report, which includes a (c)(474)(i)(C)(1) to read as follows: submitted at Regulations.gov, follow the copy of the rule, to each House of the § 52.220 Identification of plan. online instructions for submitting comments. Once submitted, comments Congress and to the Comptroller General * * * * * of the United States. The EPA will (c) * * * cannot be edited or removed from submit a report containing this action (423) * * * Regulations.gov. For either manner of and other required information to the (i) * * * submission, EPA may publish any U.S. Senate, the U.S. House of (G) * * * comment received to its public docket. Representatives, and the Comptroller (2) Previously approved on July 8, Do not submit electronically any General of the United States prior to 2015 in paragraph (c)(423)(i)(G)(1) of information you consider to be publication of the rule in the Federal this section and now deleted with confidential business information (CBI) Register. A major rule cannot take effect replacement in paragraph or other information whose disclosure is until 60 days after it is published in the (c)(474)(i)(C)(1), Rule 300, ‘‘Open restricted by statute. Multimedia Federal Register. This action is not a Burning Requirements, Prohibitions and submissions (audio, video, etc.) must be ‘‘major rule’’ as defined by 5 U.S.C. Exemptions,’’ approved on February 24, accompanied by a written comment. 804(2). 2011. The written comment is considered the Under section 307(b)(1) of the Clean * * * * * official comment and should include Air Act, petitions for judicial review of (474) * * * discussion of all points you wish to this action must be filed in the United (i) * * * make. EPA will generally not consider States Court of Appeals for the (C) Butte County Air Quality comments or comment contents located appropriate circuit by December 12, Management District outside of the primary submission (i.e. 2016. Filing a petition for (1) Rule 300, ‘‘Open Burning on the web, cloud, or other file sharing reconsideration by the Administrator of Requirements, Prohibitions and system). For additional submission

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methods, please contact the person meeting the national goal (‘‘regional oils and prohibits combustion of No. 5 identified in the FOR FURTHER haze SIPs’’). The District’s regional haze and heavier fuel oils in the District. INFORMATION CONTACT section. For the program to address visibility Chapter 8 also includes the full EPA public comment policy, impairment requirements in Class I aforementioned compliance provision information about CBI or multimedia areas was fully approved into the and definitions related to reporting and submissions, and general guidance on District’s SIP by EPA on February 2, recordkeeping requirements.3 making effective comments, please visit 2012. See 77 FR 5191.2 The District has By reducing the sulfur in fuel oils, http://www2.epa.gov/dockets/ submitted revised regulations for SIP sulfur oxide emissions and PM2.5 commenting-epa-dockets. approval to implement its low sulfur emissions will be reduced, which will FOR FURTHER INFORMATION CONTACT: fuel oil program. improve visibility while also helping Asrah Khadr, (215) 814–2071, or by the District to maintain the NAAQS for II. Summary of SIP Revision and EPA SO and PM . EPA believes these email at [email protected]. Analysis 2 2.5 SUPPLEMENTARY INFORMATION: On regulations strengthen the District’s SIP. January 20, 2016, the District of The SIP revision consists of revisions EPA notes that existing provisions and Columbia (the District) through the to the DCMR Chapters 1, 5, and 8 of the adoption of a low sulfur fuel oil District of Columbia Department of Title 20. These revisions to the DCMR program in the District will lead to SO2 Energy and Environment submitted a reduce the allowable sulfur content of emission reductions and provide revision to the District’s SIP. The SIP fuel oils that are used in oil-burning additional SO2 and PM2.5 emission revision consists of revisions to the combustion units in the District. These reductions from the District to achieve DCMR for sulfur content of fuel oil revisions require that the sulfur content further reasonable progress towards which is used for combustion. The of number 2 (No. 2) fuel oil be no greater reducing regional haze in Class I areas revisions to the DCMR reduce the sulfur than 500 parts per million (ppm); the which may be impacted by emissions content of fuel oil that can be sulfur content of No. 4 fuel oil be no from the District. combusted within the District and greater than 2,500 ppm; and prohibit the use of No. 5 and heavier fuel oils in the III. Final Action prohibit the combustion of certain District. Additionally, beginning July 1, EPA is approving revisions to the higher sulfur content fuel oils. 2018, the sulfur content of No. 2 fuel DCMR Chapters 1, 5, and 8 of Title 20 I. Background can be no greater than 15 ppm. Any fuel as meeting the requirements of the CAA The combustion of fuel oil which oil stored by the ultimate consumer in in section 110 with limits on sulfur contains sulfur leads to emissions of the District prior to the applicable content in fuels to be combusted within compliance date may be used after the the District. EPA is approving the fine particulate matter (PM2.5) and sulfur applicable compliance date. The amendments to the District’s regulations dioxide (SO2), which is a precursor to revisions also include changes to for fuel oil sulfur limits for combustion PM2.5. In addition, SO2 oxidizes to form sulfates, which are one of the largest reporting and recordkeeping units. EPA is publishing this rule contributors to the formation of regional requirements related to the use and without prior proposal because EPA haze. Sulfates cause visibility storage of the aforementioned fuel oils. views this as a noncontroversial impairment, also known as regional Definitions for terminology which relate amendment and anticipates no adverse comment. However, in the ‘‘Proposed haze, by the scattering and absorption of to reporting and recordkeeping Rules’’ section of today’s Federal sunlight by fine particles. Visibility requirements were added. Register, EPA is publishing a separate impairment reduces the clarity, color, The updates to Chapter 1 include document that will serve as the proposal and visible distance that one can see. amendments to the definitions of to approve the SIP revision if adverse The District asserts these regulations American Standards of Testing comments are filed. This rule will be will decrease SO emissions in the Materials (ASTM) and distillate oil. The 2 effective on December 12, 2016 without District from certain fuel combustion revision to Chapter 5 includes updates further notice unless EPA receives sources and therefore strengthen the to the sampling and testing practices for adverse comment by November 10, District’s SIP. The reduction to SO fuel oils. The amended Chapter 5 2 2016. If EPA receives adverse comment, emissions helps the District to maintain regulations require the use of various ASTM methods for the sampling of EPA will publish a timely withdrawal in the national ambient air quality the Federal Register informing the standards (NAAQS) for SO and PM . petroleum; an ASTM standard for the 2 2.5 determination of fuel oil grade; and public that the rule will not take effect. Additional SO2 emission reductions and EPA will address all public comments subsequent reductions in sulfates from various ASTM methods for the determination of sulfur content in fuel in a subsequent final rule based on the District sources combusting lower sulfur proposed rule. EPA will not institute a fuel will assist the District in achieving oil. Chapter 8 includes the revised sulfur content for No. 2 and No. 4 fuel second comment period on this action. further reasonable progress towards Any parties interested in commenting reducing regional haze. Under section 2 The District’s regional haze SIP addressing the must do so at this time. Please note that 169A of the CAA, it is a national goal planning period from 2008 to 2018 is consistent if EPA receives adverse comment on an to remedy and prevent regional haze in with EPA’s requirements in 40 CFR 51.308 and 1 amendment, paragraph, or section of any Class I areas. Section 169A 51.309. The SIP addressed contribution to visibility this rule and if that provision may be requires states which contain Class I impairment related to emissions of PM2.5 and its precursors, and included measures to address severed from the remainder of the rule, areas and states from which emissions emissions that would interfere with reasonable EPA may adopt as final those provisions may reasonably be anticipated to cause progress goals of neighboring states set to protect of the rule that are not the subject of an or contribute to visibility impairment in Class I areas. During the development of the first adverse comment. Class I areas to submit SIP revisions to round of regional haze SIPs, the regional planning organization for the Northeastern and Mid-Atlantic make reasonable progress toward states, Mid-atlantic/Northeast Visibility Union 3 Chapter 8 also includes provisions allowing (MANE–VU), established a strategy for these states waiver of fuel oil limits when EPA has granted fuel 1 Class I areas are areas of national parks, to meet the requirements of reasonable progress waivers. Chapter 8 also addresses fuel oil sulfur wilderness areas or other areas of national goals by implementing certain measures, including limits when a person, owner, or operator of a importance that have visibility protection pursuing a low sulfur fuel oil strategy to reduce stationary source employs equipment or a process requirements. sulfur content in fuels by 2018. to reduce sulfur emissions from burning fuel oil.

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IV. Incorporation by Reference affect small governments, as described action must be filed in the United States In this rule, EPA is finalizing in the Unfunded Mandates Reform Act Court of Appeals for the appropriate of 1995 (Public Law 104–4); circuit by December 12, 2016. Filing a regulatory text that includes • incorporation by reference. In Does not have federalism petition for reconsideration by the accordance with requirements of 1 CFR implications as specified in Executive Administrator of this final rule does not 51.5, EPA is finalizing the incorporation Order 13132 (64 FR 43255, August 10, affect the finality of this action for the by reference of the DCMR Chapters 1, 5, 1999); purposes of judicial review nor does it • and 8 of Title 20. Therefore, these Is not an economically significant extend the time within which a petition materials have been approved by EPA regulatory action based on health or for judicial review may be filed, and for inclusion in the SIP, have been safety risks subject to Executive Order shall not postpone the effectiveness of incorporated by reference by EPA into 13045 (62 FR 19885, April 23, 1997); such rule or action. Parties with • that plan, are fully Federally enforceable Is not a significant regulatory action objections to this direct final rule are under sections 110 and 113 of the CAA subject to Executive Order 13211 (66 FR encouraged to file a comment in as of the effective date of the final 28355, May 22, 2001); response to the parallel notice of • rulemaking of EPA’s approval, and will Is not subject to requirements of proposed rulemaking for this action be incorporated by reference by the section 12(d) of the National published in the proposed rules section Director of the Federal Register in the Technology Transfer and Advancement of today’s Federal Register, rather than next update of the SIP compilation.4 Act of 1995 (15 U.S.C. 272 note) because file an immediate petition for judicial EPA has made, and will continue to application of those requirements would review of this direct final rule, so that make, these materials generally be inconsistent with the CAA; and EPA can withdraw this direct final rule available through www.regulations.gov • Does not provide EPA with the and address the comment in the and/or at the EPA Region III Office discretionary authority to address, as proposed rulemaking action. This action (please contact the person identified in appropriate, disproportionate human which proposes to approve revisions to the ‘‘For Further Information Contact’’ health or environmental effects, using the District of Columbia’s regulations to section of this preamble for more practicable and legally permissible lower the sulfur content of fuel oil may information). methods, under Executive Order 12898 not be challenged later in proceedings to (59 FR 7629, February 16, 1994). enforce its requirements. (See section V. Statutory and Executive Order In addition, this rule does not have 307(b)(2)). Reviews tribal implications as specified by A. General Requirements Executive Order 13175 (65 FR 67249, List of Subjects in 40 CFR Part 52 November 9, 2000), because the SIP is Under the CAA, the Administrator is Environmental protection, Air not approved to apply in Indian country required to approve a SIP submission pollution control, Incorporation by located in the state, and EPA notes that that complies with the provisions of the reference, Intergovernmental relations, it will not impose substantial direct CAA and applicable Federal regulations. Particulate matter, Reporting and costs on tribal governments or preempt 42 U.S.C. 7410(k); 40 CFR 52.02(a). recordkeeping requirements, Sulfur tribal law. Thus, in reviewing SIP submissions, oxides. EPA’s role is to approve state choices, B. Submission to Congress and the Dated: September 23, 2016. provided that they meet the criteria of Comptroller General the CAA. Accordingly, this action Shawn M. Garvin, The Congressional Review Act, 5 merely approves state law as meeting Regional Administrator, Region III. federal requirements and does not U.S.C. 801 et seq., as added by the Small impose additional requirements beyond Business Regulatory Enforcement 40 CFR part 52 is amended as follows: those imposed by state law. For that Fairness Act of 1996, generally provides PART 52—APPROVAL AND reason, this action: that before a rule may take effect, the PROMULGATION OF • Is not a ‘‘significant regulatory agency promulgating the rule must action’’ subject to review by the Office submit a rule report, which includes a IMPLEMENTATION PLANS of Management and Budget under copy of the rule, to each House of the Executive Orders 12866 (58 FR 51735, Congress and to the Comptroller General ■ 1. The authority citation for part 52 October 4, 1993) and 13563 (76 FR 3821, of the United States. EPA will submit a continues to read as follows: January 21, 2011); report containing this action and other Authority: 42 U.S.C. 7401 et seq. • Does not impose an information required information to the U.S. Senate, collection burden under the provisions the U.S. House of Representatives, and Subpart J—District of Columbia of the Paperwork Reduction Act (44 the Comptroller General of the United U.S.C. 3501 et seq.); States prior to publication of the rule in ■ 2. In § 52.470, the table in paragraph • Is certified as not having a the Federal Register. A major rule (c) is amended by revising the entries significant economic impact on a cannot take effect until 60 days after it ‘‘Section 199’’, ‘‘Sections 502.1 through substantial number of small entities is published in the Federal Register. 502.15’’, ‘‘Section 801’’, and ‘‘Section under the Regulatory Flexibility Act (5 This action is not a ‘‘major rule’’ as 899’’ to read as follows: U.S.C. 601 et seq.); defined by 5 U.S.C. 804(2). • Does not contain any unfunded C. Petitions for Judicial Review § 52.470 Identification of plan. mandate or significantly or uniquely * * * * * Under section 307(b)(1) of the CAA, 4 62 FR 27968 (May 22, 1997). petitions for judicial review of this (c) * * *

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EPA-APPROVED REGULATIONS AND STATUTES IN THE DISTRICT OF COLUMBIA SIP

State State citation Title/subject effective EPA approval date Additional explanation date

District of Columbia Municipal Regulations (DCMR), Title 20—Environment

Chapter 1 General

******* Section 199 ...... Definitions and Abbreviations 08/16/15 10/11/16, [Insert Federal Reg- Added two new definitions. ister citation].

*******

Chapter 5 Source Monitoring and Testing

******* Sections 502.1 through 502.15 Sampling, Tests, and Meas- 08/16/15 10/11/16, [Insert Federal Reg- Updates to sampling and test- urements. ister citation]. ing practices for fuel oils. Exceptions: Paragraphs 502.11, 502.12 and 502.14 are not part of the SIP.

*******

Chapter 8 Asbestos, Sulfur and Nitrogen Oxides

Section 801 ...... Sulfur Content of Fuel Oils ..... 08/16/15 10/11/16, [Insert Federal Reg- Updates to the sulfur content ister citation]. of No. 2 and No.4 fuel oils and the prohibition of the use of No. 5 fuel oil.

******* Section 899 ...... Definitions and Abbreviations 08/16/15 10/11/16, [Insert Federal Reg- Addition of new definitions that ister citation]. relate to the handling and storage of fuel oil.

*******

* * * * * ‘‘Prevention of Significant Deterioration instructions for submitting comments. [FR Doc. 2016–24372 Filed 10–7–16; 8:45 am] of Air Quality’’; and chapter 22, Once submitted, comments cannot be BILLING CODE 6560–50–P ‘‘Incinerators; Emission Standards’’. edited or removed from Regulations.gov. This amendment makes the state EPA may publish any comment received regulation consistent with the National to its public docket. Do not submit ENVIRONMENTAL PROTECTION Ambient Air Quality Standards electronically any information you AGENCY (NAAQS) for particulate matter 10 consider to be Confidential Business micrometers or less (PM10), fine Information (CBI) or other information 40 CFR Part 52 particulate matter 25 micrometers or whose disclosure is restricted by statute. [EPA–R07–OAR–2016–0556; FRL–9953–61– less (PM2.5), Sulfur dioxide, Nitrogen Multimedia submissions (audio, video, Region 7] dioxide, Carbon monoxide, Ozone, and etc.) must be accompanied by a written Lead, as of the date of the state comment. The written comment is Approval of Nebraska’s Air Quality submittal. This action also makes considered the official comment and Implementation Plans formatting and grammatical corrections should include discussion of all points to title 129, chapters 19 and 22. you wish to make. EPA will generally AGENCY: Environmental Protection not consider comments or comment Agency (EPA). DATES: This direct final rule will be effective December 12, 2016, without contents located outside of the primary ACTION: Direct final rule. further notice, unless EPA receives submission (i.e. on the Web, cloud, or other file sharing system). For SUMMARY: The Environmental Protection adverse comment by November 10, Agency (EPA) is taking direct final 2016. If EPA receives adverse comment, additional submission methods, the full action to approve revisions to the State we will publish a timely withdrawal of EPA public comment policy, Implementation Plan (SIP) for the State the direct final rule in the Federal information about CBI or multimedia of Nebraska as submitted on March 6, Register informing the public that the submissions, and general guidance on 2014, and July 14, 2014. This action will rule will not take effect. making effective comments, please visit http://www2.epa.gov/dockets/ amend the SIP to include revisions to ADDRESSES: Submit your comments, title 129 of the Nebraska Air Quality identified by Docket ID No. EPA–R07– commenting-epa-dockets. Regulations, chapter 4, ‘‘Ambient Air OAR–2016–0556, to http:// FOR FURTHER INFORMATION CONTACT: Greg Quality Standards’’; chapter 19, www.regulations.gov. Follow the online Crable, Environmental Protection

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Agency, Air Planning and Development SIP. However, in the ‘‘Proposed Rules’’ Management and Budget under Branch, 11201 Renner Boulevard, section of this Federal Register, we are Executive Orders 12866 (58 FR 51735, Lenexa, Kansas 66219 at 913–551–7391, publishing a separate document that October 4, 1993) and 13563 (76 FR 3821, or by email at [email protected]. will serve as the proposed rule to revise January 21, 2011); SUPPLEMENTARY INFORMATION: title 129 of the Nebraska Air Quality • Does not impose an information Throughout this document ‘‘we,’’ ‘‘us,’’ Regulations, chapters 4, 19 and 22 if collection burden under the provisions and ‘‘our’’ refer to EPA. This section adverse comments are received on this of the Paperwork Reduction Act (44 provides additional information by direct final rule. We will not institute a U.S.C. 3501 et seq.); addressing the following: second comment period on this action. • Is certified as not having a significant economic impact on a I. What is being addressed in this document? Any parties interested in commenting II. Have the requirements for approval of a must do so at this time. For further substantial number of small entities SIP revision been met? information about commenting on this under the Regulatory Flexibility Act (5 III. What action is EPA taking? rule, see the ADDRESSES section of this U.S.C. 601 et seq.); document. If EPA receives adverse • Does not contain any unfunded I. What is being addressed in this comment, we will publish a timely mandate or significantly or uniquely document? withdrawal in the Federal Register affect small governments, as described EPA is approving revisions into the informing the public that this direct in the Unfunded Mandates Reform Act SIP to include amendments to title 129 final rule will not take effect. We will of 1995 (Pub. L. 104–4); of the Nebraska Air Quality Regulations address all public comments in any • Does not have Federalism as they apply to chapter 4, ‘‘Ambient subsequent final rule based on the implications as specified in Executive Air Quality Standards’’; chapter 19, proposed rule. Order 13132 (64 FR 43255, August 10, ‘‘Prevention of Significant Deterioration 1999); of Air Quality’’; and chapter 22, Incorporation by Reference • Is not an economically significant ‘‘Incinerators; Emission Standards’’. In this rule, EPA is finalizing regulatory action based on health or Chapter 4 is amended making it regulatory text that includes safety risks subject to Executive Order consistent with the Federal standards incorporation by reference. In 13045 (62 FR 19885, April 23, 1997); found at 40 CFR part 50, in regards to accordance with requirements of 1 CFR • Is not a significant regulatory action the NAAQS for all six criteria air 51.5, EPA is finalizing the incorporation subject to Executive Order 13211 (66 FR pollutants, as of July 14, 2014. The by reference of the Nebraska Regulations 28355, May 22, 2001); • amendments submitted on March 6, described in the direct final Is not subject to requirements of 2014, make formatting and grammatical amendments to 40 CFR part 52 set forth Section 12(d) of the National corrections to chapters 19 and 22. For below. Therefore, these materials have Technology Transfer and Advancement additional information on the revisions been approved by EPA for inclusion in Act of 1995 (15 U.S.C. 272 note) because to chapter 4, 19 and 22 see the detailed the State implementation plan, have application of those requirements would discussion table in the docket. been incorporated by reference by EPA be inconsistent with the CAA; and into that plan, are fully Federally • Does not provide EPA with the II. Have the requirements for approval enforceable under sections 110 and 113 discretionary authority to address, as of a SIP revision been met? of the CAA as of the effective date of the appropriate, disproportionate human The state submittal has met the public final rulemaking of EPA’s approval, and health or environmental effects, using notice requirements for SIP submissions will be incorporated by reference by the practicable and legally permissible in accordance with 40 CFR 51.102. The Director of the Federal Register in the methods, under Executive Order 12898 submittal also satisfied the next update to the SIP compilation.1 (59 FR 7629, February 16, 1994). completeness criteria of 40 CFR part 51, EPA has made, and will continue to The SIP is not approved to apply on appendix V. In addition, the revision make, these documents generally any Indian reservation land or in any meets the substantive SIP requirements available electronically through other area where EPA or an Indian tribe of the CAA, including section 110 and www.regulations.gov and at the has demonstrated that a tribe has implementing regulations. appropriate EPA office (see the jurisdiction. In those areas of Indian country, the rule does not have tribal III. What action is EPA taking? ADDRESSES section of this preamble for more information). implications and will not impose EPA is approving the state’s request substantial direct costs on tribal submitted on July 14, 2014, to revise the Statutory and Executive Order Reviews governments or preempt tribal law as SIP to include revisions to the National Under the Clean Air Act (CAA), the specified by Executive Order 13175 (65 Ambient Air Quality Standards for all Administrator is required to approve a FR 67249, November 9, 2000). six criteria pollutants consistent with SIP submission that complies with the The Congressional Review Act, 5 the Federal standards, as of the date of provisions of the Act and applicable U.S.C. 801 et seq., as added by the Small the state’s submittal. Per the state’s Federal regulations. 42 U.S.C. 7410(k); Business Regulatory Enforcement March 6, 2014, submittal EPA is also 40 CFR 52.02(a). Thus, in reviewing SIP Fairness Act of 1996, generally provides approving minor formatting and submissions, EPA’s role is to approve that before a rule may take effect, the grammatical corrections to chapters 19 state choices, provided that they meet agency promulgating the rule must and 22. the criteria of the CAA. Accordingly, submit a rule report, which includes a We are publishing this direct final this action merely approves state law as copy of the rule, to each House of the rule without a prior proposed rule meeting Federal requirements and does Congress and to the Comptroller General because we view this as a not impose additional requirements of the United States. EPA will submit a noncontroversial action and anticipate beyond those imposed by state law. For report containing this action and other no adverse comment. EPA does not that reason, this action: required information to the U.S. Senate, anticipate adverse comment because the • Is not a significant regulatory action the U.S. House of Representatives, and revisions to the existing rules are subject to review by the Office of the Comptroller General of the United routine and consistent with the Federal States prior to publication of the rule in regulations, thereby, strengthening the 1 62 FR 27968 (May 22, 1997). the Federal Register. A major rule

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cannot take effect until 60 days after it enforce its requirements. (See section PART 52—APPROVAL AND is published in the Federal Register. 307(b)(2).) PROMULGATION OF This action is not a ‘‘major rule’’ as List of Subjects in 40 CFR Part 52 IMPLEMENTATION PLANS defined by 5 U.S.C. 804(2). Environmental protection, Air ■ 1. The authority citation for part 52 Under section 307(b)(1) of the CAA, pollution control, Carbon monoxide, petitions for judicial review of this Incorporation by reference, continues to read as follows: action must be filed in the United States Intergovernmental relations, Lead, Authority: 42 U.S.C. 7401 et seq. Court of Appeals for the appropriate Nitrogen dioxide, Ozone, Particulate circuit by December 12, 2016. Filing a matter, Reporting and recordkeeping Subpart CC—Nebraska petition for reconsideration by the requirements, Sulfur dioxide, Volatile Administrator of this final rule does not organic compounds. ■ 2. Section 52.1420(c) is amended by affect the finality of this action for the Dated: September 27, 2016. revising entries for 129–4, 129–19 and purposes of judicial review nor does it 129–22 to read as follows: extend the time within which a petition Mike Brincks, for judicial review may be filed, and Acting Regional Administrator, Region 7. § 52.1420 Identification of plan. shall not postpone the effectiveness of For the reasons stated in the * * * * * such rule or action. This action may not preamble, EPA amends 40 CFR part 52 be challenged later in proceedings to as set forth below: (c) * * *

EPA-APPROVED NEBRASKA REGULATIONS

State effective Nebraska citation Title date EPA Approval date Explanation

STATE OF NEBRASKA

Department of Environmental Quality

Title 129—Nebraska Air Quality Regulations

******* 129–4 ...... Ambient Air Quality 5/13/14 10/11/16, [Insert Federal This revision to Chapter 4 amends the ambient air Standards. Register citation]. quality standards for PM10, PM2.5, SO2, NO2, CO, O3, and Pb making them consistent with Na- tional Ambient Air Quality Standards (NAAQS) found at 40 CFR part 50, as of the date of the state’s submittal, July 14, 2014.

******* 129–19 ...... Prevention of Significant 12/9/13 10/11/16, [Insert Federal Deterioration of Air Register citation]. Quality.

******* 129–22 ...... Incinerators; Emission 12/9/13 10/11/16, [Insert Federal Standards. Register citation].

*******

* * * * * ACTION: Direct final rule. one statement on incinerators in the [FR Doc. 2016–23975 Filed 10–7–16; 8:45 am] approved SIP and Operating Permits SUMMARY: BILLING CODE 6560–50–P Environmental Protection Program is removed by the submission. Agency (EPA) is taking direct final This statement applied the ‘‘Operating action to approve revisions to Missouri’s Permits’’ rule to all incinerators within State Implementation Plan (SIP), ENVIRONMENTAL PROTECTION the State. Any permittees with Operating Permits Program, and 112(l) AGENCY incinerators already required to have Plan. The April 6, 2016, request from either Intermediate State Operating 40 CFR Parts 52 and 70 Missouri revises fees for permitting services provided by the air quality Permits or part 70 Operating Permits program, including construction permit will still have the same permitting [EPA–R07–OAR–2016–0571; FRL–9953–77– requirements. This revision does not Region 7] applications and operating permit applications. Missouri also removed the exempt any incinerators from Approval of Missouri’s Air Quality basic operating permit requirement in appropriate permitting. Likewise, any Implementation Plans, Operating their ‘‘Operating Permits’’ rule for future permittees with incinerators Permits Program, and 112(l) Plan; incinerators with emissions less than under the former version of the SIP and Construction Permits Required the de minimis levels. While EPA has Operating Permits Program would have never approved the basic operating required either an Intermediate State AGENCY: Environmental Protection permit program into Missouri’s SIP or Operating Permit or a part 70 Operating Agency (EPA). Missouri’s Operating Permits Program, Permit will still have the same

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permitting requirement under the Operating Permits. Missouri’s revisions ($50/hr) to seventy-five dollars per hour revised SIP and Operating Permits increase fees for permitting services ($75/hr). The initial and renewal Program. Finally the submission from provided by the air quality program, Intermediate State Operating Permit and Missouri makes non-substantive style including construction permit part 70 Operating Permit filing fees changes. applications and operating permit increased from a flat one hundred dollar DATES: This direct final rule will be applications. Missouri also removed the ($100) fee to a variable fee based on effective December 12, 2016, without basic operating permit requirement, number of units and additional further notice, unless EPA receives under 10 CSR 10–6.065, for incinerators complexity. The operating permit filing adverse comment by November 10, with emissions less than the de minimis fees have a cap of six thousand dollars 2016. If EPA receives adverse comment, levels. While EPA has never approved ($6,000). we will publish a timely withdrawal of the basic operating permit program into Specifically, revisions in the SIP add the direct final rule in the Federal the Missouri’s SIP or Missouri’s new fee tables within the following rule Register informing the public that the Operating Permits Program, one sections: rule will not take effect. statement on incinerators, 10 CSR • 10 CSR 10–6.060(10)—Permit Fees 6.065(1)(B), in the approved SIP and ADDRESSES: and Amendments; Submit your comments, Operating Permits Program is removed • 10 CSR 10–6.065(5)—Intermediate identified by Docket ID No. EPA–R07– by the submission. This statement OAR–2016–0571, to http:// State Operating Permits; and applied 10 CSR 10–6.065 to all • www.regulations.gov. Follow the online incinerators within the State. Any 10 CSR 10–6.065(6)—Part 70 instructions for submitting comments. Permittees with incinerators already Operating Permits. Once submitted, comments cannot be required to have either Intermediate Revisions in the SIP amend the edited or removed from Regulations.gov. State Operating Permits or part 70 following rules to reference the new fee EPA may publish any comment received Operating Permits will still have the tables as follows: to its public docket. Do not submit same permitting requirements. This • 10 CSR 10–6.060(4)—Portable electronically any information you revision does not exempt any Equipment; consider to be Confidential Business incinerators from appropriate • 10 CSR 10–6.060(10)(A)—Permit Information (CBI) or other information permitting. Likewise, any future Fees and Amendments; and whose disclosure is restricted by statute. permittees with incinerators under the • 10 CSR 10–6.060(12)(A)—Appendix Multimedia submissions (audio, video, former version of the SIP and Operating A, Permit Review Procedures. etc.) must be accompanied by a written Permits Program would have required Revision in the SIP remove the comment. The written comment is either an Intermediate State Operating considered the official comment and blanket applicability of operating Permits or a part 70 Operating Permits permits to incinerators as follows: should include discussion of all points will still have the same permitting • 10 CSR 10–6.065(1)(B)— you wish to make. EPA will generally requirement under the revised SIP and Applicability, Incinerators. not consider comments or comment Operating Permits Program. Finally the contents located outside of the primary submission from Missouri makes non- Revisions in the SIP also make non- submission (i.e. on the Web, cloud, or substantive style changes. substantive style changes throughout. other file sharing system). For Details of Missouri’s SIP revisions can additional submission methods, the full II. What Part 52 revision is EPA be found in the Technical Support EPA public comment policy, approving? Document located in this docket. information about CBI or multimedia The revisions increase the fees II. What Part 70 revision is EPA submissions, and general guidance on charged for construction and operating approving? making effective comments, please visit permits. After stakeholder outreach, http://www2.epa.gov/dockets/ Missouri has increased fees in order to The initial and renewal Intermediate commenting-epa-dockets. ensure that the department can continue State Operating Permit and part 70 FOR FURTHER INFORMATION CONTACT: Jed to provide services and to keep the Air Operating Permit filing fees increased D. Wolkins, Environmental Protection program solvent. The De minimis, the from a flat one hundred dollar ($100) fee Agency, Air Planning and Development Minor, and the Temporary/Pilot to a variable fee based on number of Branch, 11201 Renner Boulevard, construction permit filing fees increased units and additional complexity. The Lenexa, Kansas 66219 at 913–551–7588, from one hundred dollars ($100) to two filing fee has a cap of six thousand or by email at [email protected]. hundred fifty dollars ($250). The New dollars ($6,000). SUPPLEMENTARY INFORMATION: Source Review (NSR), the Prevention of Revisions in part 70 add new fee Throughout this document ‘‘we,’’ ‘‘us,’’ Significant Deterioration (PSD), the tables within the following rule and ‘‘our’’ refer to EPA. This section Hazardous Air Pollutants (HAP), and sections: provides additional information by the Initial Plantwide applicability limit • 10 CSR 10–6.065(5)—Intermediate addressing the following: (PAL) construction permit filing fees State Operating Permits; and increased from one hundred dollars • 10 CSR 10–6.065(6)—Part 70 I. What is being addressed in this document? ($100) to five thousand dollars ($5,000). Operating Permits. II. What part 52 revision is EPA approving? The Renewal PAL construction permit III. What part 70 Revision is EPA approving? filing fee increased from one hundred Revision in the SIP remove the IV. What 112(l) revision is EPA approving? blanket applicability of operating V. Have the requirements for approval of a dollars ($100) to two thousand five hundred dollars ($2,500). The Portable permits to incinerators as follows: SIP revision been met? • VI. What action is EPA taking? Source Relocation Request construction 10 CSR 10–6.065(1)(B)— permit filing fee increased from two Applicability, Incinerators. I. What is being addressed in this hundred dollars ($200) to three hundred Revisions in the SIP also make non- document? dollars ($300). The processing fees for substantive style changes throughout. The submission from Missouri revises all types of construction permits, except Details of Missouri’s part 70 revisions 10 CSR 10–6.060, Construction Permits the Portable Source Relocation Request, can be found in the Technical Support Required, and 10 CSR 10–6.065, increased from fifty dollars per hour Document located in this docket.

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IV. What 112(l) revision is EPA noncontroversial action and anticipate is also not subject to Executive Order approving? no adverse comment. The Missouri 13211, ‘‘Actions Concerning Regulations Missouri’s submission indicated that conducted outreach with stakeholders That Significantly Affect Energy Supply, the revisions made to 10 CSR 10–6.065 prior to proposing the rule changes; and, Distribution, or Use’’ (66 FR 28355, May ‘‘include any revisions necessary to conducted public notice on the rule 22, 2001). This action merely approves changes. The Missouri received state law as meeting Federal retain 112(l) approval under the Clean substantive comments on one topic, the requirements and imposes no additional Air Act.’’ The John S. Seitz Memo of fee for PAL renewal. Missouri revised requirements beyond those imposed by April 13, 1993, titled ‘‘Title V Program the fee based on those comments. Based state law. Accordingly, the Approval Criteria for Section 112 on the rulemaking history, we do not Administrator certifies that this Activities,’’ provides guidance on anticipate adverse comments. However, rulemaking will not have a significant revisions to state Title V programs and in the ‘‘Proposed Rules’’ section of this economic impact on a substantial how they intersect with section 112 Federal Register, we are publishing a number of small entities under the requirements. It states, ‘‘As for part 70 separate document that will serve as the Regulatory Flexibility Act (5 U.S.C. 601 program revisions, no formal proposed rule to approve the SIP and et seq.). Because this rulemaking would amendment to the initial title V program Operating Permit Program if adverse approve pre-existing requirements should typically be needed with respect comments are received on this direct under state law and does not impose to section 112 requirements taking effect final rule. We will not institute a second any additional enforceable duty beyond after the effective date of the program. comment period on this action. Any that required by state law, it does not The State’s up-front commitment and parties interested in commenting must contain any unfunded mandate or demonstrations (i.e., legal authorities do so at this time. For further significantly or uniquely affect small and mechanisms to adopt additional information about commenting on this governments, as described in the section 112 requirements) coupled with rule, see the ADDRESSES section of this Unfunded Mandates Reform Act of 1995 EPA’s ability to review individual document. If EPA receives adverse (Pub. L. 104–4). permits and to audit part 70 programs comment, we will publish a timely The SIP is not approved to apply on periodically should provide reasonable withdrawal in the Federal Register any Indian reservation land or in any assurance of adequate State informing the public that this direct other area where EPA or an Indian tribe implementation.’’ The guidance further final rule will not take effect. We will has demonstrated that a tribe has explains that, ‘‘The State, however, address all public comments in any jurisdiction. In those areas of Indian remains responsible for maintaining and subsequent final rule based on the country, the rule does not have tribal enhancing as necessary its authority to proposed rule. implications and will not impose implement section 112, including any substantial direct costs on tribal new regulations. In light of the Incorporation by Reference governments or preempt tribal law as demonstrations and/or commitments In this rule, EPA is finalizing specified by Executive Order 13175 (65 required for part 70 approval, the EPA regulatory text that includes FR 67249, November 9, 2000). will presume that a State’s request for incorporation by reference. In This action also does not have approval of its operating permits accordance with requirements of 1 CFR Federalism implications because it does program will be an implicit request 51.5, EPA is finalizing the incorporation not have substantial direct effects on the under section 112(l) for delegation of by reference of Missouri Construction States, on the relationship between the authority to implement Federally- Permit Required Rule, 10 CSR 10–6.060, national government and the States, or promulgated section 112 requirements and Operating Permit Rule, 10 CSR 10– on the distribution of power and in the same form in which EPA issues 6.065. Therefore, these materials have responsibilities among the various them.’’ Our September 25, 1995, 112(l) been approved by EPA for inclusion in levels of government, as specified in delegation to Missouri remains in effect. the State implementation plan, have Executive Order 13132 (64 FR 43255, August 10, 1999). Thus Executive Order V. Have the requirements for approval been incorporated by reference by EPA 13132 does not apply to this action. of a SIP revision been met? into that plan, are fully Federally enforceable under sections 110 and 113 This action merely approves a state rule The state submission has met the of the CAA as of the effective date of the implementing a Federal standard, and public notice requirements for SIP final rulemaking of EPA’s approval, and does not alter the relationship or the submissions in accordance with 40 CFR will be incorporated by reference by the distribution of power and 51.102. The State of Missouri provided Director of the Federal Register in the responsibilities established in the CAA. the rule changes for public notice on next update to the SIP compilation.1 This rulemaking also is not subject to September 29, 2016. The State of EPA has made, and will continue to Executive Order 13045, ‘‘Protection of Missouri held a public hearing on the make, these documents generally Children from Environmental Health rule changes on October 29, 2016. The available electronically through Risks and Safety Risks’’ (62 FR 19885, submission also satisfied the www.regulations.gov and at the April 23, 1997) because it approves a completeness criteria of 40 CFR part 51, appropriate EPA office (see the state rule implementing a Federal appendix V. In addition, as explained ADDRESSES section of this preamble for standard. above and in more detail in the more information). In reviewing SIP submissions, EPA’s technical support document which is role is to approve state choices, part of this docket, the revision meets Statutory and Executive Order Reviews provided that they meet the criteria of the substantive SIP requirements of the Under Executive Order 12866 (58 FR the CAA. In this context, in the absence CAA, including section 110 and 51735, October 4, 1993), this action is of a prior existing requirement for the implementing regulations. not a ‘‘significant regulatory action’’ and State to use voluntary consensus therefore is not subject to review under standards (VCS), EPA has no authority VI. What action is EPA taking? Executive Orders 12866 and 13563 (76 to disapprove a state submission for We are publishing this direct final FR 3821, January 21, 2011). This action failure to use VCS. It would thus be rule without a prior proposed rule inconsistent with applicable law for because we view this as a 1 62 FR 27968 (May 22, 1997). EPA when it reviews a state submission,

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to use VCS in place of a state Under section 307(b)(1) of the CAA, Reporting and recordkeeping submission that otherwise satisfies the petitions for judicial review of this requirements, Sulfur oxides, Volatile provisions of the CAA. Thus, the action must be filed in the United States organic compounds. Court of Appeals for the appropriate requirements of section 12(d) of the 40 CFR Part 70 National Technology Transfer and circuit by December 12, 2016. Filing a Advancement Act of 1995 (15 U.S.C. petition for reconsideration by the Administrative practice and 272 note) do not apply. This action does Administrator of this final rule does not procedure, Air pollution control, not impose an information collection affect the finality of this rule for the Intergovernmental relations, Operating burden under the provisions of the purposes of judicial review nor does it permits, Reporting and recordkeeping Paperwork Reduction Act of 1995 (44 extend the time within which a petition requirements. for judicial review may be filed, and U.S.C. 3501 et seq.). Burden is defined Dated: September 27, 2016. at 5 CFR 1320.3(b). shall not postpone the effectiveness of such rule or action. Parties with Mike Brincks, The Congressional Review Act, 5 objections to this direct final rule are Acting Regional Administrator, Region 7. U.S.C. 801 et seq., as added by the Small encouraged to file a comment in For the reasons stated in the Business Regulatory Enforcement response to the parallel notice of Fairness Act of 1996, generally provides preamble, EPA amends 40 CFR parts 52 proposed rulemaking for this action and 70 as set forth below: that before a rule may take effect, the published in the proposed rules section agency promulgating the rule must of this Federal Register, rather than file PART 52—APPROVAL AND submit a rule report, which includes a an immediate petition for judicial PROMULGATION OF copy of the rule, to each House of the review of this direct final rule, so that IMPLEMENTATION PLANS Congress and to the Comptroller General EPA can withdraw this direct final rule of the United States. EPA will submit a and address the comment in the final ■ 1. The authority citation for part 52 report containing this proposed rule and rulemaking. This action may not be continues to read as follows: other required information to the U.S. challenged later in proceedings to Senate, the U.S. House of enforce its requirements. (See section Authority: 42 U.S.C. 7401 et seq. Representatives, and the Comptroller 307(b)(2).) Subpart AA—Missouri General of the United States prior to List of Subjects publication of the rule in the Federal ■ 2. Section 52.1320(c) is amended by Register. 40 CFR Part 52 revising the entries for 10–6.060 and A major rule cannot take effect until Environmental protection, Air 10–6.065 to read as follows: 60 days after it is published in the pollution control, Carbon monoxide, Federal Register. This action is not a Incorporation by reference, § 52.1320 Identification of plan. ‘‘major rule’’ as defined by 5 U.S.C. Intergovernmental relations, Nitrogen * * * * * 804(2). dioxide, Ozone, Particulate matter, (c) * * *

EPA-APPROVED MISSOURI REGULATIONS

State Missouri citation Title effective date EPA Approval date Explanation

Missouri Department of Natural Resources

*******

Chapter 6—Air Quality Standards, Definitions, Sampling and Reference Methods, and Air Pollution Control Regulations for the State of Missouri

******* 10–6.060 ...... Construction Per- 3/30/16 10/11/16 and [Insert —Provisions of the 2010 PM2.5 PSD—Increments, SILs and mits Required. Federal Register SMCs rule (75 FR 64865, October 20, 2010) relating to citation]. SILs and SMCs that were affected by the January 22, 2013 U.S. Court of Appeals decision are not SIP ap- proved. —Provisions of the 2002 NSR reform rule relating to the Clean Unit Exemption, Pollution Control Projects, and ex- emption from recordkeeping provisions for certain sources using the actual-to-projected-actual emissions projections test are not SIP approved. —In addition, we have not approved Missouri’s rule incor- porating EPA’s 2007 revision of the definition of ‘‘chem- ical processing plants’’ (the ‘‘Ethanol Rule,’’ 72 FR 24060 (May 1, 2007) or EPA’s 2008 ‘‘fugitive emissions rule,’’ 73 FR 77882 (December 19, 2008). —Although exemptions previously listed in 10 CSR 10– 6.060 have been transferred to 10 CSR 10–6.061, the Federally-approved SIP continues to include the following exemption, ‘‘Livestock and livestock handling systems from which the only potential contaminant is odorous gas.’’

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EPA-APPROVED MISSOURI REGULATIONS—Continued

State Missouri citation Title effective date EPA Approval date Explanation

—Section 9, pertaining to hazardous air pollutants, is not SIP approved. —The phrase ‘‘including the revision published at 75 FR 31606–07 (effective August 2, 2010)’’ in subsection (8)(A) is not SIP approved.

******* 10–6.065 ...... Operating Permits .. 3/30/16 10/11/16 and [Insert Section (4) Basic State Operating Permits, has not been Federal Register approved as part of the SIP. Subparagraphs (2)(A)2.A., citation]. (2)(A)2.B., and the words ‘‘except that’’ in paragraph (2)(A)2 have not been approved as part of the SIP.

*******

* * * * * SUMMARY: This determination of For more information on the Agency’s acceptability expands the list of process for administering the SNAP PART 70—STATE OPERATING PERMIT acceptable substitutes pursuant to the program or criteria for the evaluation of PROGRAMS U.S. Environmental Protection Agency’s substitutes, refer to the initial SNAP (EPA) Significant New Alternatives rulemaking published in the Federal ■ 3. The authority citation for part 70 Policy (SNAP) program. This action lists Register on March 18, 1994 (59 FR continues to read as follows: as acceptable additional substitutes for 13044). Notices and rulemakings under Authority: 42 U.S.C. 7401 et seq. use in the refrigeration and air the SNAP program, as well as other EPA ■ 4. Amend Appendix A to part 70 by conditioning sector and fire suppression publications on protection of adding paragraph (gg) under Missouri to and explosion protection sectors. stratospheric ozone, are available at read as follows: DATES: This determination is effective EPA’s Ozone Layer Protection Web site on October 11, 2016. at www.epa.gov/ozone-layer-protection Appendix A to Part 70—Approval including the SNAP portion at ADDRESSES: EPA established a docket Status of State and Local Operating www.epa.gov/snap/. Permits Programs for this action under Docket ID No. EPA–HQ–OAR–2003–0118 SUPPLEMENTARY INFORMATION: * * * * * (continuation of Air Docket A–91–42). Table of Contents Missouri All electronic documents in the docket I. Listing of New Acceptable Substitutes * * * * * are listed in the index at A. Refrigeration and Air Conditioning (gg) The Missouri Department of Natural www.regulations.gov. Although listed in B. Fire Suppression and Explosion Resources submitted revisions to Missouri the index, some information is not Protection rule 10 CSR 10–6.065, ‘‘Operating Permits’’ publicly available, i.e., Confidential II. Section 612 Program on April 6, 2016. We are approving this rule Business Information (CBI) or other A. Statutory Requirements and Authority except for Section (4) which relates to the information whose disclosure is for the SNAP Program State Basic Operating Permits; Subparagraph restricted by statute. Publicly available B. EPA’s Regulations Implementing (2)(A)2.A.; Subparagraph(2)(A)2.B.; and the docket materials are available either Section 612 words ‘‘except that’’ in Paragraph (2)(A)2. C. How the Regulations for the SNAP The state effective date is March 30, 2016. electronically at www.regulations.gov or Program Work This revision is effective December 12, 2016. in hard copy at the EPA Air Docket D. Additional Information About the SNAP * * * * * (Nos. A–91–42 and EPA–HQ–OAR– Program Appendix A: Summary of Decisions for New [FR Doc. 2016–24375 Filed 10–7–16; 8:45 am] 2003–0118), EPA Docket Center (EPA/ DC), William J. Clinton West, Room Acceptable Substitutes BILLING CODE 6560–50–P 3334, 1301 Constitution Avenue NW., I. Listing of New Acceptable Substitutes Washington, DC 20460. The Public Reading Room is open from 8:30 a.m. to This action presents EPA’s most ENVIRONMENTAL PROTECTION recent decision to list as acceptable AGENCY 4:30 p.m., Monday through Friday, excluding legal holidays. The telephone several substitutes in the refrigeration 40 CFR Part 82 number for the Public Reading Room is and air conditioning and fire (202) 566–1744, and the telephone suppression and explosion protection number for the Air Docket is (202) 566– sectors. New substitutes are: [EPA–HQ–OAR–2003–0118; FRL–9953–72– • R-448A in retail food refrigeration— OAR] 1742. refrigerated food processing and FOR FURTHER INFORMATION CONTACT: dispensing equipment; RIN 2060–AG12 Gerald Wozniak by telephone at (202) • R-449A in retail food refrigeration— 343–9624, by email at wozniak.gerald@ refrigerated food processing and Protection of Stratospheric Ozone: epa.gov, or by mail at U.S. Determination 32 for Significant New dispensing equipment; Environmental Protection Agency, Mail • R-449B in several refrigeration end- Alternatives Policy Program Code 6205T, 1200 Pennsylvania Avenue uses; and • AGENCY: Environmental Protection NW., Washington, DC 20460. Overnight trans-1-chloro-3,3,3,-trifluoroprop- Agency (EPA). or courier deliveries should be sent to 1-ene in total flooding fire suppression. the office location at 1201 Constitution For copies of the full list of acceptable ACTION: Determination of acceptability. Avenue NW., Washington, DC 20004. substitutes for ozone depleting

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substances (ODS) in all industrial No 754–12–1); and 7 percent HFO- potential health effects are common to sectors, visit the SNAP portion of EPA’s 1234ze(E), which is also known as many refrigerants. Ozone Layer Protection Web site at trans-1,3,3,3-tetrafluoroprop-1-ene (CAS The American Industrial Hygiene www.epa.gov/snap/substitutes-sector. Reg. No. 29118–24–9). Association (AIHA) has established Substitutes listed as unacceptable; You may find the redacted Workplace Environmental Exposure acceptable, subject to narrowed use submission in Docket EPA–HQ–OAR– Levels (WEELs) of 1,000 ppm as an 8- limits; or acceptable, subject to use 2003–0118 at www.regulations.gov hr time-weighted average (TWA) for conditions are also listed in the under the name, ‘‘Solstice® N-40 (R- HFC-32, HFC-125, and HFC-134a; 500 appendices to 40 CFR part 82, subpart 448A) SNAP Information Notice.’’ EPA ppm for HFO-1234yf; and 800 ppm for G. performed assessments to examine the HFO-1234ze(E), the components of R- The sections below discuss each health and environmental risks of this 448A. The manufacturer of R-448A substitute listing in detail. Appendix A substitute. These assessments are recommends an acceptable exposure contains tables summarizing today’s available in Docket EPA–HQ–OAR– limit (AEL) of 890 ppm on an 8-hour listing decisions for these new 2003–0118 under the following name: TWA for the blend. EPA anticipates that substitutes. The statements in the • ‘‘Risk Screen on Substitutes in Retail users will be able to meet the AIHA ‘‘Further Information’’ column in the Food Refrigeration Substitute: R-448A WEELs and manufacturer’s AEL, and tables provide additional information, (Solstice® N-40)’’ address potential health risks by but are not legally binding under section following requirements and 612 of the Clean Air Act (CAA). In EPA previously listed R-448A as an acceptable refrigerant in a number of recommendations in the manufacturer’s addition, the ‘‘Further Information’’ safety data sheet (SDS), in the American column may not include a other refrigeration and air conditioning end-uses (e.g., July, 16, 2015, 80 FR Society for Heating, Refrigerating, and comprehensive list of other legal Air-Conditioning Engineers (ASHRAE) obligations you may need to meet when 42053). Standard 15, and other safety using the substitute. Although you are Environmental information: R-448A precautions common to the refrigeration not required to follow recommendations has an ODP of zero. Its components, and air conditioning industry. in the ‘‘Further Information’’ column of HFC-32, HFC-125, HFC-134a, HFO- the table to use a substitute consistent 1234yf, and HFO-1234ze(E) have a 100- Comparison to other substitutes in with section 612 of the CAA, some of year integrated global warming this end-use: R-448A has an ODP of 4 these statements may refer to obligations potentials (100-yr GWPs) of 675; 3,500; zero, comparable to or lower than that are enforceable or binding under 1,430; one to four; 12 and one to six; 3 other listed substitutes in this end-use, federal or state programs other than the respectively. If these values are with ODPs ranging from zero to 0.098. SNAP program. In many instances, the weighted by mass percentage, then R- R-448A’s GWP of about 1,390 is information simply refers to standard 448A has a GWP of about 1,390. The comparable to or lower than that of operating practices in existing industry components of R-448A are excluded HFC-134a with a GWP of 1,430 and a standards and/or building codes. When from the definition of volatile organic number of HFC blends in this end-use. using these substitutes, EPA strongly compound (VOC) under CAA R-448A’s GWP of about 1,390 is higher encourages you to apply the information regulations (see 40 CFR 51.100(s)) than those of some other acceptable in this column. Many of these addressing the development of State substitutes in this end-use, including recommendations, if adopted, would Implementation Plans (SIPs) to attain ammonia vapor compression with a not require significant changes to and maintain the National Ambient Air secondary loop, CO2, R-450A, R-513A, existing operating practices. Quality Standards (NAAQS). Knowingly and certain blends with GWPs ranging You can find submissions to EPA for venting or releasing this refrigerant from zero to 920; of these substitutes, the substitutes listed in this document, blend is limited by the venting ammonia and CO2 are not listed as as well as other materials supporting the prohibition under section 608(c)(2) of acceptable for use in retrofit equipment. decisions in this action, in Docket EPA– the CAA, codified at 40 CFR We note that R-448A has a GWP toward HQ–OAR–2003–0118 at 82.154(a)(1). the higher end of the scale of acceptable www.regulations.gov. Flammability information: R-448A, as alternatives in this end-use. This end- formulated and even considering the use is a subset of retail food refrigeration A. Refrigeration and Air Conditioning worst-case of fractionation for and in some instances the equipment in 1. R-448A flammability, is not flammable. this end use has specialized technical EPA’s decision: EPA finds R-448A Toxicity and exposure data: Potential requirements that may limit or prevent acceptable as a substitute for use in: health effects of exposure to this use of acceptable substitutes with lower • Retail food refrigeration—refrigerated substitute include drowsiness or GWPs. In this end-use, we are not aware food processing and dispensing dizziness. The substitute may also of significant success in the United equipment (new and retrofit irritate the skin or eyes or cause States using alternatives with GWPs equipment) frostbite. At sufficiently high significantly lower than that for R-448A. concentrations, the substitute may cause However, if it is demonstrated in the R-448A, marketed under the trade ® irregular heartbeat. The substitute could future that lower GWP alternatives— name Solstice N-40, is a weighted cause asphyxiation if air is displaced by either those currently listed or new blend of 26 percent HFC-32, which is vapors in a confined space. These alternatives added to the list in the also known as difluoromethane (CAS future—can be used in this end-use, Reg. No. 75–10–5); 26 percent HFC-125, 1 Hodnebrog et al., 2013. Op. cit. EPA may evaluate whether those which is also known as 1,1,1,2,2- 2 Nielsen, O. J., Javadi, M. S., Sulbaek Andersen, alternatives pose lower overall risk than pentafluoroethane (CAS Reg. No. 354– M. P., Hurley, M. D., Wallington, T. J., Singh, R. R-448A and other listed substitutes with 33–6); 21 percent HFC-134a, which is Atmospheric chemistry of CF3CF=CH2: Kinetics and similar GWPs. also known as 1,1,1,2-tetrafluoroethane mechanisms of gas-phase reactions with Cl atoms, OH radicals, and O3. Chemical Physics Letters 439, (CAS Reg. No. 811–97–2); 20 percent 18–22, 2007. 4 This is in contrast to the historically used ODS HFO-1234yf, which is also known as 3 Hodnebrog et al., 2013 and Javadi et al., 2008. CFC–12, R-502A, and HCFC–22 with ODPs ranging 2,3,3,3-tetrafluoroprop-1-ene (CAS Reg. Op. cit. from 0.055 to 1.0.

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Flammability and toxicity risks are The components of R-449A are technical requirements that may limit or comparable to or lower than excluded from the definition of VOC prevent use of acceptable substitutes flammability and toxicity risks of other under CAA regulations (see 40 CFR with lower GWPs. In this end-use, we available substitutes in the same end- 51.100(s)) addressing the development are not aware of significant success in use. Flammability risks are low, as of SIPs to attain and maintain the the United States using alternatives with discussed above. Toxicity risks can be NAAQS. Knowingly venting or releasing GWPs significantly lower than that for minimized by use consistent with the this refrigerant blend is limited by the R-449A. However, if it is demonstrated AIHA WEELs, ASHRAE 15 and other venting prohibition under section in the future that lower GWP industry standards, recommendations in 608(c)(2) of the CAA, codified at 40 CFR alternatives—either those currently the SDS, and other safety precautions 82.154(a)(1). listed or new alternatives added to the common in the refrigeration and air Flammability information: R-449A, as list in the future—can be used in this conditioning industry. formulated and even considering the end-use, EPA may evaluate whether EPA finds R-448A acceptable in the worst-case of fractionation for those alternatives pose lower overall end-use listed above, because the flammability, is not flammable. risk than R-449A and other listed overall environmental and human Toxicity and exposure data: Potential substitutes with similar GWPs. health risk posed by R-448A is lower health effects of exposure to this Flammability and toxicity risks are than or comparable to the risks posed by substitute include drowsiness or comparable to or lower than other available substitutes in the same dizziness. The substitute may also flammability and toxicity risks of other end-use. irritate the skin or eyes or cause available substitutes in the same end- frostbite. At sufficiently high use. Flammability risks are low, as 2. R-449A concentrations, the substitute may cause discussed above. Toxicity risks can be EPA’s decision: EPA finds R-449A irregular heartbeat. The substitute could minimized by use consistent with the acceptable as a substitute for use in: cause asphyxiation if air is displaced by AIHA WEELs, ASHRAE 15 and other • Retail food refrigeration—refrigerated vapors in a confined space. These industry standards, recommendations in food processing and dispensing potential health effects are common to the SDS, and other safety precautions equipment (new and retrofit many refrigerants. common in the refrigeration and air equipment) The AIHA has established WEELs of conditioning industry. 1,000 ppm as an 8-hr TWA for HFC-32, EPA finds R-449A acceptable in the R-449A, marketed under the trade HFC-125, and HFC-134a; and 500 ppm end-use listed above, because the name Opteon® XP 40, is a weighted for HFO-1234yf, the components of R- overall environmental and human blend of 24.3 percent HFC-32, which is 449A. The manufacturer of R-449A health risk posed by R-449A is lower also known as difluoromethane (CAS recommends an AEL of 830 ppm on an than or comparable to the risks posed by Reg. No. 75–10–5); 24.7 percent HFC- 8-hour TWA for the blend. EPA other available substitutes in the same 125, which is also known as 1,1,1,2,2- anticipates that users will be able to end-use. pentafluoroethane (CAS Reg. No. 354– meet each of the AIHA WEELs and the 33–6); 25.7 percent HFC-134a, which is 3. R-449B manufacturer’s AEL and address also known as 1,1,1,2-tetrafluoroethane potential health risks by following EPA’s decision: EPA finds R-449B (CAS Reg. No. 811–97–2); and 25.3 requirements and recommendations in acceptable as a substitute for use in: percent HFO-1234yf, which is also • the SDS, in ASHRAE 15, and other Commercial ice machines (new and known as 2,3,3,3-tetrafluoroprop-1-ene safety precautions common to the retrofit equipment) (CAS Reg. No. 754–12–1). • refrigeration and air conditioning Refrigerated transport (new and You may find the redacted retrofit equipment) submission in Docket EPA–HQ–OAR– industry. • Comparison to other substitutes in Retail food refrigeration—refrigerated 2003–0118 at www.regulations.gov these end-uses: R-449A has an ODP of food processing and dispensing under the name, ‘‘Opteon® XP 40 (R- zero, comparable 6 to or lower than the equipment (new and retrofit 449A) SNAP Information Notice.’’ EPA other listed substitutes in this end-use, equipment) performed assessments to examine the • Retail food refrigeration-low- with ODPs ranging from zero to 0.098. health and environmental risks of this R-449A’s GWP of about 1,400 is temperature stand-alone equipment substitute. These assessments are (i.e., equipment designed to maintain comparable to or lower than that of ° ° available in Docket EPA–HQ–OAR– HFC-134a with a GWP of 1,430 and a internal temperatures at 32 F (0 C) or 2003–0118 under the following name: number of HFC blends in this end-use. below) (new and retrofit) • • Retail food refrigeration—supermarket ‘‘Risk Screen on Substitutes in Retail R-449A’s GWP of about 1,400 is higher systems and remote condensing units Food Refrigeration Substitute: R-449A than those of some other acceptable ® (new and retrofit) (Opteon XP40)’’ substitutes in this end-use, including EPA previously listed R-449A as an ammonia vapor compression with a R-449B, marketed under the trade name Forane® 449B, is a weighted blend acceptable refrigerant in a number of secondary loop, CO2, R-450A, R-513A, other refrigeration and air conditioning and certain blends, with GWPs ranging of 25.2 percent HFC-32, which is also known as difluoromethane (CAS Reg. end-uses (e.g., July, 16, 2015, 80 FR from zero to 920. Ammonia and CO2 are 42053). not listed as acceptable for use in No. 75–10–5); 24.3 percent HFC-125, Environmental information: R-449A retrofit equipment. We note that R-449A which is also known as 1,1,1,2,2- has an ODP of zero. Its components, has a GWP toward the higher end of the pentafluoroethane (CAS Reg. No. 354– HFC-32, HFC-125, HFC-134a, and HFO- scale of acceptable alternatives in this 33–6); 27.3 percent HFC-134a, which is 1234yf have GWPs of 675; 3,500; 1,430; end-use. This end-use is a subset of also known as 1,1,1,2-tetrafluoroethane and one to four,5 respectively. If these retail food refrigeration with equipment (CAS Reg. No. 811–97–2); and 23.2 values are weighted by mass percentage, that in some instances has specialized percent HFO-1234yf, which is also then R-449A has a GWP of about 1,400. known as 2,3,3,3-tetrafluoroprop-1-ene 6 This is in contrast to the historically used ODS (CAS Reg. No. 754–12–1). 5 Hodnebrog et al., 2013 and Nielsen et al., 2007. CFC–12, R-502A, and HCFC–22 with ODPs ranging You may find the redacted Op. cit. from 0.055 to 1.0. submission in Docket EPA–HQ–OAR–

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2003–0118 at www.regulations.gov requirements and recommendations in that in some instances has specialized under the name, ‘‘Forane® 449B (R- the SDS, in ASHRAE 15, and other technical requirements that may limit or 449B) SNAP Information Notice.’’ EPA safety precautions common to the prevent use of acceptable substitutes performed assessments to examine the refrigeration and air conditioning with lower GWPs. In this end-use, we health and environmental risks of this industry. are not aware of significant success in substitute. These assessments are Comparison to other substitutes in the United States using alternatives with available in Docket EPA–HQ–OAR– these end-uses: R-449B has an ODP of GWPs significantly lower than that for 2003–0118 under the following names: zero, comparable 8 to or lower than the R-449B. However, if it is demonstrated • Risk Screen on Substitutes in other listed substitutes in these end- in the future that lower GWP Commercial Ice Machines uses, with ODPs ranging from zero to alternatives—either those currently Substitute: R-449B (Forane® 449B)’’ 0.098. listed or new alternatives added to the • ‘‘Risk Screen on Substitutes in For commercial ice machines, many list in the future—can be used in this Refrigerated Transport substitutes listed as acceptable have end-use, EPA may evaluate whether Substitute: R-449B (Forane® 449B)’’ comparable or higher GWPs than R- those alternatives pose lower overall • ‘‘Risk Screen on Substitutes in Retail 449B’s GWP of about 1,410, such as risk than R-449B and other listed Food Refrigeration HFC-134a, R-404A, R-448A, R-449A, substitutes with similar GWPs. Substitute: R-449B (Forane® 449B)’’ and other HFC refrigerant blends, with R-449B’s GWP of about 1,410 is • ‘‘Risk Screen on Substitutes in Retail GWPs ranging from 1,390 to comparable to or lower than a number Food Refrigeration—Refrigerated approximately 3,990; other substitutes of other substitutes listed as acceptable Food Processing and Dispensing listed as acceptable substitutes for in retail food refrigeration—supermarket Equipment commercial ice machines have a lower systems and remote condensing units, ® Substitute: R-449B (Forane 449B)’’ GWP including ammonia absorption, including HFC-134a, R–407A, R-448A, Environmental information: R-449B ammonia vapor compression, Stirling R-449A, and other HFC refrigerant has an ODP of zero. Its components, cycle, propane,9 R-450A, and R-513A blends, with GWPs ranging from 1,390 HFC-32, HFC-125, HFC-134a, and HFO- with GWPs ranging from zero to about to approximately 2,110. R-449B’s GWP 1234yf have GWPs of 675; 3,500; 1,430; 630. of about 1,410 is higher than the GWP and one to four,7 respectively. If these In refrigerated transport, many of some other acceptable substitutes in values are weighted by mass percentage, substitutes listed as acceptable have retail food refrigeration-supermarket then R-449B has a GWP of about 1,410. comparable or higher GWPs than R- refrigeration systems and remote The components of R-449B are excluded 449B’s GWP of about 1,410, such as condensing units, including CO2, R- from the definition of VOC under CAA HFC-134a, R-404A, R-448A, R-449A, 450A, and R-513A with GWPs ranging regulations (see 40 CFR 51.100(s)) and other HFC refrigerant blends, with from zero to about 630. addressing the development of SIPs to GWPs ranging from 1,390 to R-449B’s GWP of about 1,410 is attain and maintain the NAAQS. approximately 3,990; other substitutes comparable to the GWP of substitutes Knowingly venting or releasing this listed as acceptable substitutes for listed as acceptable for retail food refrigerant blend is limited by the refrigerated transport have a lower GWP refrigeration-low-temperature stand- venting prohibition under section including R-450A, R-513A, CO2, direct alone equipment, including the HFO/ 608(c)(2) of the CAA, codified at 40 CFR nitrogen expansion, and Stirling cycle, HFC blends R-448A and R-449A with 82.154(a)(1). with GWPs ranging from zero to about GWPs of 1,390 and 1,400, HFC-134a Flammability information: R-449B, as 630. with a GWP of 1,430, as well as other formulated and even considering the R-449B’s GWP of about 1,410 is HFC blends. R-449B’s GWP of about worst-case of fractionation for comparable to or lower than that of 1,410 is higher than the GWP of some flammability, is not flammable. HFC-134a and a number of HFC and other listed substitutes in this end-use, Toxicity and exposure data: Potential HFC/HFO blends in retail food including CO2, propane, isobutane, R– health effects of exposure to this refrigeration—refrigerated food 441A, R-450A, and R-513A, with GWPs substitute include drowsiness or processing and dispensing equipment. ranging from one to approximately dizziness. The substitute may also R-449B’s GWP of about 1,410 is higher 630.10 We note that R-449B has a GWP irritate the skin or eyes or cause than those of some other acceptable toward the higher end of the scale of frostbite. At sufficiently high substitutes in new retail food acceptable alternatives in the retail food concentrations, the substitute may cause refrigeration—refrigerated food refrigeration—low temperature stand- irregular heartbeat. The substitute could processing and dispensing equipment, alone equipment end-use. This end-use cause asphyxiation if air is displaced by including ammonia vapor compression is a subset of retail food refrigeration vapors in a confined space. These with a secondary loop, CO2, R-450A, R- with equipment that in some instances potential health effects are common to 513A, and certain blends, with GWPs have specialized technical requirements many refrigerants. ranging from zero to 920. Ammonia and that may limit use of acceptable The AIHA has established WEELs of CO2 are not listed as acceptable for use substitutes with lower GWPs. In this 1,000 ppm as an 8-hr TWA for HFC-32, in retrofit equipment. We note that R- end-use, we are not aware of significant HFC-125, and HFC-134a; and 500 ppm 449B has a GWP toward the higher end success in the United States using for HFO-1234yf, the components of R- of the scale of acceptable alternatives in alternatives with GWPs significantly 449B. The manufacturer of R-449B this end-use. This end-use is a subset of lower than that for R-449B. However, if recommends an AEL of 865 ppm on an retail food refrigeration with equipment it is demonstrated in the future that 8-hour TWA for the blend. EPA lower GWP alternatives—either those anticipates that users will be able to 8 This is in contrast to the historically used ODS currently listed or new alternatives meet each of the AIHA WEELs and the CFC–12, R-502A, and HCFC–22 with ODPs ranging manufacturer’s AEL and address from 0.055 to 1.0. 10 Propane (R–290), isobutane (R–600a), and R– 9 Propane (R–290) is listed as acceptable, subject 441A are acceptable, subject to use conditions, in potential health risks by following to use conditions, in this end-use. This substitute this end-use. These three substitutes are subject to is subject to a use condition restricting charge sizes a use condition restricting charge sizes to 150 g or 7 Hodnebrog et al., 2013 and Nielsen et al., 2007. to 150 g or less and thus may limit its use for less and thus may limit their use for equipment that Op. cit. equipment that requires larger charge sizes. requires larger charge sizes.

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added to the list in the future—can be adhesives coatings, and inks (e.g., latest edition of the National Fire used in this end-use, EPA may evaluate August 10, 2012, 77 FR 47768; October Protection Association (NFPA) 2001 whether those alternatives pose lower 21, 2014, 79 FR 62863). Standard for Clean Agent Fire overall risk than R-449B and other listed Environmental information: Solstice® Extinguishing Systems and substitutes with similar GWPs. FS has an ODP of 0.00024– Underwriters’ Laboratories (UL) 2166) Flammability and toxicity risks are 0.001512.11 12 13 The submitter indicates are adhered to, exposure to the comparable to or lower than that Solstice® FS has a GWP of 4.7–7 substitute is not likely. In the event of flammability and toxicity risks of other and an atmospheric lifetime of an accidental release of the substitute available substitutes in the same end- approximately 26 days. Solstice® FS is from the total flooding system, potential use. Flammability risks are low, as excluded from the definition of VOC acute exposures may be of concern, discussed above. Toxicity risks can be under CAA regulations (see 40 CFR primarily cardiac sensitization. The minimized by use consistent with the 51.100(s)). manufacturer’s maximum design AIHA WEELs, ASHRAE 15 and other Flammability information: Solstice® concentration of 6.8 percent covering industry standards, recommendations in FS is not flammable. Class C hazards (energized electrical the SDS, and other safety precautions Toxicity and exposure data: Potential fires) is significantly below the common in the refrigeration and air health effects of this substitute include cardiotoxic NOAEL of 10 percent. conditioning industry. serious eye irritation, skin irritation, and Appropriate protective measures should EPA finds R-449B acceptable in the frostbite. It may cause central nervous be taken and proper training end-uses listed above, because the system effects such as drowsiness and administered for the manufacture, overall environmental and human dizziness. The substitute could cause clean-up and disposal of this product health risk posed by R-449B is lower asphyxiation if air is displaced by and for the installation and maintenance than or comparable to the risks posed by vapors in a confined space. The of the total flooding systems using this other available substitutes in the same potential health effects of Solstice® FS product. end-uses. are unlikely to occur when following NFPA 2001 provides that in the case good industrial hygiene practices and of accidental release in normally B. Fire Suppression and Explosion the personnel protective equipment occupied spaces, required engineering Protection (PPE) and engineering control (e.g., controls as specified in NFPA 2001 1. Trans-1-chloro-3,3,3-trifluoroprop-1- ventilation) recommendations outlined should be employed to limit personnel ene (Solstice® FS) in the Safety Data Sheet (SDS) for exposure to clean agent discharges. ® Specifically, audible and visual pre- EPA’s decision: EPA finds trans-1- Solstice FS. discharge alarms and a 30–60 second chloro-3,3,3-trifluoroprop-1-ene To assess potential health risks from time delay should be employed within acceptable as a substitute for use in: exposure to this substitute, EPA considered both occupational and end- the protected space to indicate the • Total flooding uses in both normally user exposure. We evaluated potential operation of the system and pending occupied and unoccupied spaces. risks from chronic occupational discharge to ensure egress for all Trans-1-chloro-3,3,3-trifluoroprop-1- exposure, such as during manufacture, personnel prior to activation. ene ((E)-1-chloro-3,3,3-trifluoroprop-1- installation, and servicing. The AIHA EPA’s evaluation indicates that the ® ene, CAS Reg. No. 102687–65–0) is a has established a WEEL of 800 ppm for use of Solstice FS is not expected to chlorofluoroalkene marketed under the trans-1-chloro-3,3,3,-trifluoroprop-1- pose a significant toxicity risk to trade name Solstice® FS for this end- personnel or the general population. In ® ene. The WEEL represents the use. Solstice FS is proposed for use in maximum 8-hour TWA at which a addition, the risks it may pose after applications including data centers, worker can be exposed regularly exposure are common to many total telecommunication centers, power without adverse effects. The Solstice® flooding agents, including those already plants, manufacturing plants, historical FS cylinder filling process utilizes quick listed as acceptable under SNAP for this buildings, warehouses, and engine coupling devices to transfer the same end-use. EPA evaluated the risks nacelles and auxiliary power units associated with potential exposures to substitute from a storage supply to the ® (APUs) aboard aircraft. agent container, which minimizes agent Solstice FS during production You may find the redacted release and keeps potential exposures to operations as well as in the case of an submission in Docket item EPA–HQ– levels significantly below the 8-hour inadvertent discharge of the system OAR–2003–0118–0285 in Docket EPA– WEEL. during maintenance activities on the fire HQ–OAR–2003–0118 at During installation or servicing of extinguishing system. EPA’s review of ® www.regulations.gov. EPA has Solstice® FS total flooding systems, if the human health impacts of Solstice performed an assessment to examine the the proper instructions on system FS, including the summary of available health and environmental risks of this installation and servicing included in toxicity studies, is in the docket for this 14 substitute. This assessment is available manuals for the Solstice® FS systems action (EPA–HQ–OAR–2003–0118). in docket EPA–HQ–OAR–2003–0118 and relevant industry standards (i.e., Protective gloves and tightly sealed under the name, ‘‘Risk Screen on goggles should be worn for installation Substitutes for Total Flooding Systems 11 The lower bound of the range reflects ODP and servicing activities, to protect in Normally Occupied and Unoccupied values for surface emissions. The upper bound of workers in any event of potential Spaces—Substitute: Trans-1-Chloro- the range takes into account predicted ODP values discharge of the proposed substitute, 3,3,3,-trifluoroprop-1-ene (Solstice® for higher altitude emissions at various latitudes. accidental or otherwise. Filling or 12 FS).’’ Wang D., Olsen S., Wuebbles D. 2011. servicing operations should be ‘‘Preliminary Report: Analyses of tCFP’s Potential We have previously listed trans-1- Impact on Atmospheric Ozone.’’ Department of performed in well-ventilated areas. chloro-3,3,3-trifluoroprop-1-ene as a Atmospheric Sciences. University of Illinois, refrigerant for use in new equipment in Urbana, IL. September 26, 2011. 14 ICF, 2016. Significant New Alternatives Policy centrifugal chillers and non-mechanical 13 Patten and Wuebbles, 2010. ‘‘Atmospheric Program. Fire Extinguishing and Explosion Lifetimes and Ozone Depletion Potentials of trans- Prevention Sector. Risk Screen on Substitutes for heat transfer, as a foam blowing agent, 1-chloro-3,3,3-trichloropropylene and trans-1,2- Total Flooding Systems in Normally Occupied and as a cleaning solvent, as an aerosol dichloroethylene in a three-dimensional model.’’ Unoccupied Spaces—Substitute: Trans-1-Chloro- solvent, and as a carrier solvent in Atmos. Chem. Phys., 10, 10867–10874, 2010. 3,3,3,-trifluoroprop-1-ene (Solstice® FS).

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Toxicity risks can be minimized by use • Safety features that are typical of alternative that (1) reduces the overall consistent with NFPA 2001 standard, total flooding systems such as pre- risk to human health and the recommendations in the SDS, and other discharge alarms, time delays, and environment, and (2) is currently or safety precautions common in the fire system abort switches should be potentially available. suppression industry. In the ‘‘Further provided, as directed by applicable 2. Listing of Unacceptable/Acceptable Information’’ column of the listing for OSHA regulations and NFPA standards. Substitutes total flooding agents, EPA is providing Comparison to other substitutes in the following additional information for these end-uses: Solstice® FS has an ODP Section 612(c) requires EPA to establishments manufacturing, of 0.00024–0.001512 which is publish a list of the substitutes installing and maintaining equipment comparable to or lower than the ODP of unacceptable for specific uses and to using this agent: other acceptable total flooding agents publish a corresponding list of • In the case that Solstice® FS is with ODPs that range from zero to 0.048. acceptable alternatives for specific uses. inhaled, person(s) should be Solstice® FS’s GWP of 4.7–7 is The list of ‘‘acceptable’’ substitutes is immediately removed and exposed to significantly lower than that of some of found at www.epa.gov/snap/substitutes- fresh air; if breathing is difficult, the other alternatives listed as sector and the lists of ‘‘unacceptable,’’ person(s) should seek medical attention. acceptable total flooding agents- such as ‘‘acceptable subject to use conditions,’’ • Eye wash and quick drench HFC-227ea, other HFCs, the H-Galden and ‘‘acceptable subject to narrowed use facilities should be available. In case of hydrofluoropolyethers, and some HCFC limits’’ substitutes are found in the ocular exposure, person(s) should fire suppressants, with GWPs which appendices to 40 CFR part 82 subpart G. immediately flush the eyes, including range from about 1,550 to 14,800. Other 3. Petition Process under the eyelids, with water for 15 acceptable substitutes in this end-use minutes; should frostbite occur, affected have comparable GWPs ranging from Section 612(d) grants the right to any areas should be rinsed with lukewarm zero to one, such as water, C6- person to petition EPA to add a water, and medical attention should be perfluoroketone, and inert gases. Like a substance to, or delete a substance from, sought if irritation develops or persists. number of other acceptable substitutes the lists published in accordance with • In the case of dermal exposure, the in this end-use, Solstice® FS is excluded section 612(c). The Agency has 90 days SDS recommends that person(s) should from the definition of VOC under CAA to grant or deny a petition. Where the immediately wash the affected area with regulations (see 40 CFR 51.100(s). Agency grants the petition, EPA must water and remove all contaminated The toxicity risks due to inhalation publish the revised lists within an clothing to avoid irritation; should exposure are common to many total additional six months. frostbite occur, bathe (do not rub) the flooding agents, including those already 4. 90-Day Notification affected area with lukewarm, no hot, listed as acceptable under SNAP for this water. If water is not available, cover the same end-use, such as C6- Section 612(e) directs EPA to require affected area with a clean soft cloth; and perfluoroketone. Solstice® FS is any person who produces a chemical medical attention should be sought if nonflammable, as are all other available substitute for a class I substance to irritation develops or persists. total flooding agents. notify the Agency not less than 90 days • Although unlikely, in case of ® before new or existing chemicals are ® EPA finds Solstice FS acceptable in ingestion of Solstice FS, the person(s) the end-use listed above, because the introduced into interstate commerce for should drink a cup of water, if fully overall environmental and human significant new uses as substitutes for a conscious, and consult a physician health risk posed by Solstice® FS is class I substance. The producer must immediately. also provide the Agency with the • lower than or comparable to the risks Manufacturing space should be posed by other available substitutes in producer’s unpublished health and equipped with engineering controls, the same end-use. safety studies on such substitutes. specifically an adequate exhaust ventilation system, to effectively II. Section 612 Program 5. Outreach Section 612(b)(1) states that the mitigate potential occupational A. Statutory Requirements and Administrator shall seek to maximize exposure. Authority for the SNAP Program • Employees responsible for chemical the use of federal research facilities and processing should wear the appropriate Section 612 of the CAA requires EPA resources to assist users of class I and personnel protective equipment (PPE), to develop a program for evaluating II substances in identifying and such as protective gloves, tightly sealed alternatives to ozone-depleting developing alternatives to the use of goggles, protective work clothing, and substances. EPA refers to this program such substances in key commercial suitable respiratory protection in case of as the Significant New Alternatives applications. accidental release or insufficient Policy (SNAP) program. The major 6. Clearinghouse ventilation. provisions of section 612 are: • All spills should be cleaned up Section 612(b)(4) requires the Agency 1. Rulemaking immediately in accordance with good to set up a public clearinghouse of industrial hygiene practices. Section 612(c) requires EPA to alternative chemicals, product • Training for safe handling promulgate rules making it unlawful to substitutes, and alternative procedures should be provided to all replace any class I substance (CFC, manufacturing processes that are employees that would be likely to halon, carbon tetrachloride, methyl available for products and handle containers of the agent or chloroform, methyl bromide, manufacturing processes which use extinguishing units filled with the hydrobromofluorocarbon, and class I and II substances. agent. chlorobromomethane) or class II • This agent should be used in substance (HCFC) with any substitute B. EPA’s Regulations Implementing accordance with the safety guidelines in that the Administrator determines may Section 612 the latest edition of the NFPA 2001 present adverse effects to human health On March 18, 1994, EPA published Standard for Clean Agent Fire or the environment where the the initial SNAP rule (59 FR 13044) Extinguishing Systems. Administrator has identified an which established the process for

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administering the SNAP program and The Agency has identified four describes these substitutes as issued EPA’s first lists identifying possible decision categories for ‘‘acceptable subject to narrowed use acceptable and unacceptable substitutes substitute submissions: Acceptable; limits.’’ A person using a substitute that in the major industrial use sectors acceptable subject to use conditions; is acceptable subject to narrowed use (subpart G of 40 CFR part 82). These acceptable subject to narrowed use limits in applications and end-uses that sectors are the following: Refrigeration limits; and unacceptable (40 CFR are not consistent with the narrowed and air conditioning; foam blowing; 82.180(b)).17 Use conditions and use limit is using the substitute in solvents cleaning; fire suppression and narrowed use limits are both considered violation of section 612 of the CAA and explosion protection; sterilants; ‘‘use restrictions’’ and are explained EPA’s SNAP regulations (40 CFR aerosols; adhesives, coatings and inks; below. Substitutes that are deemed 82.174(c)). and tobacco expansion. These sectors acceptable without use conditions may The section 612 mandate for EPA to comprise the principal industrial sectors be used for all applications within the prohibit the use of a substitute that may that historically consumed the largest relevant end-uses within the sector and present risk to human health or the volumes of ODS. without limits under SNAP on how they environment where a lower risk may be used. Substitutes that are alternative is available or potentially Section 612 of the CAA requires EPA 20 to list as acceptable those substitutes acceptable subject to use restrictions available provides EPA with the that do not present a significantly may be used only in accordance with authority to change the listing status of greater risk to human health and the those restrictions. Substitutes that are a particular substitute if such a change environment as compared with other found to be unacceptable may not be is justified by new information or substitutes that are currently or used after the date specified in the changed circumstance. As described in this document and potentially available. rulemaking adding such substitute to the list of unacceptable substitutes.18 elsewhere, including the initial SNAP C. How the Regulations for the SNAP After reviewing a substitute, the rule published in the Federal Register at Program Work Agency may make a determination that 59 FR 13044 on March 18, 1994, the SNAP program evaluates substitutes Under the SNAP regulations, anyone a substitute is acceptable only if certain conditions in the way that the substitute within a comparative risk framework. who plans to market or produce a The SNAP program compares new substitute to replace a class I substance is used are met to minimize risks to human health and the environment. substitutes both to the ozone-depleting or class II substance in one of the eight substances being phased out under the major industrial use sectors must EPA describes such substitutes as ‘‘acceptable subject to use conditions.’’ Montreal Protocol on Substances that provide the Agency with notice and the Deplete the Ozone Layer and the CAA, required health and safety information Entities that use these substitutes without meeting the associated use and to other available or potentially on the substitute at least 90 days before available alternatives for the same end- introducing it into interstate commerce conditions are in violation of EPA’s SNAP regulations (40 CFR 82.174(c)). uses. The environmental and health risk for significant new use as an alternative factors that the SNAP program considers (40 CFR 82.176(a)). While this For some substitutes, the Agency may include ozone depletion potential, requirement typically applies to permit a narrowed range of use within flammability, toxicity, occupational and chemical manufacturers as the entity an end-use or sector. For example, the consumer health and safety, as well as likely to be planning to introduce the Agency may limit the use of a substitute contributions to global warming and 15 substitute into interstate commerce, it to certain end-uses or specific other environmental factors. may also apply to importers, applications within an industry sector. Environmental and human health formulators, equipment manufacturers, The Agency generally requires a user of exposures can vary significantly 16 and end users when they are a substitute subject to narrowed use depending on the particular application responsible for introducing a substitute limits to demonstrate that no other of a substitute—and over time, into commerce. The 90-day SNAP acceptable substitutes are available for 19 information applicable to a substitute review process begins once EPA their specific application. EPA can change. This approach does not receives the submission and determines imply fundamental tradeoffs with that the submission includes complete 17 The SNAP regulations also include ‘‘pending,’’ referring to submissions for which EPA has not respect to different types of risk, either and adequate data (40 CFR 82.180(a)). reached a determination, under this provision. to the environment or to human health. The CAA and the SNAP regulations, 40 18 As defined at 40 CFR 82.172, ‘‘use’’ means any Over the past twenty years, the menu of CFR 82.174(a), prohibit use of a use of a substitute for a Class I or Class II ozone- substitutes has become much broader substitute earlier than 90 days after depleting compound, including but not limited to and a great deal of new information has notice has been provided to the agency. use in a manufacturing process or product, in consumption by the end-user, or in intermediate been developed on many substitutes. uses, such as formulation or packaging for other Because the overall goal of the SNAP 15 As defined at 40 CFR 82.104, ‘‘interstate subsequent uses. This definition of use program is to ensure that substitutes commerce’’ means the distribution or transportation encompasses manufacturing process of products of any product between one state, territory, both for domestic use and for export. Substitutes listed as acceptable do not pose possession or the District of Columbia, and another manufactured within the United States exclusively state, territory, possession or the District of for export are subject to SNAP requirements since improved servicing infrastructure in a destination Columbia, or the sale, use or manufacture of any the definition of use in the rule includes use in the country for MVAC in vehicles destined for export. product in more than one state, territory, possession manufacturing process, which occurs within the 20 In addition to acceptable commercially or District of Columbia. The entry points for which United States. available substitutes, the SNAP program may a product is introduced into interstate commerce 19 In the case of the July 20, 2015, final rule, EPA consider potentially available substitutes. The are the release of a product from the facility in established narrowed use limits for certain SNAP program’s definition of ‘‘potentially which the product was manufactured, the entry into substitutes over a limited period of time for specific available’’ is ‘‘any alternative for which adequate a warehouse from which the domestic manufacturer MVAC and foam applications, on the basis that health, safety, and environmental data, as required releases the product for sale or distribution, and at other acceptable alternatives would not be available for the SNAP notification process, exist to make a the site of United States Customs clearance. for those specific applications within broader end- determination of acceptability, and which the 16 As defined at 40 CFR 82.172, ‘‘end-use’’ means uses, but acceptable alternatives were expected to agency reasonably believes to be technically processes or classes of specific applications within become available over time, e.g., after military feasible, even if not all testing has yet been major industrial sectors where a substitute is used qualification testing for foam blowing agents in completed and the alternative is not yet produced to replace an ODS. military applications or after development of or sold.’’ (40 CFR 82.172).

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significantly greater risk to human 13044; March 18, 1994), EPA does not would not require the affected user to health and the environment than other believe that rulemaking procedures are make significant changes in existing available substitutes, the SNAP criteria necessary to list alternatives that are operating practices. should be informed by our current acceptable without restrictions because D. Additional Information About the overall understanding of environmental such listings neither impose any SNAP Program and human health impacts and our sanction nor prevent anyone from using experience with and current knowledge a substitute. For copies of the comprehensive about available and potentially available Many SNAP listings include SNAP lists of substitutes or additional substitutes. Over time, the range of ‘‘comments’’ or ‘‘further information’’ to information on SNAP, refer to EPA’s substitutes reviewed by SNAP has provide additional information on Ozone Depletion Web site at: changed, and, at the same time, substitutes. Since this additional www.epa.gov/snap. For more scientific approaches have evolved to information is not part of the regulatory information on the agency’s process for more accurately assess the potential decision, these statements are not administering the SNAP program or environmental and human health binding for use of the substitute under criteria for evaluation of substitutes, impacts of these chemicals and the SNAP program. However, regulatory refer to the initial SNAP rulemaking alternative technologies. The Agency requirements so listed are binding under published March 18, 1994 (59 FR publishes its SNAP program decisions other regulatory programs (e.g., worker 13044), codified at 40 CFR part 82, in the Federal Register. EPA uses protection regulations promulgated by subpart G. SNAP decisions and the notice-and-comment rulemaking to OSHA). The ‘‘further information’’ appropriate Federal Register citations place any alternative on the list of classification does not necessarily are found at: www.epa.gov/snap/snap- prohibited substitutes, to list a include all other legal obligations regulations. substitute as acceptable only subject to pertaining to the use of the substitute. List of Subjects in 40 CFR Part 82 use conditions or narrowed use limits, While the items listed are not legally or to remove a substitute from either the binding under the SNAP program, EPA Environmental protection, list of prohibited or acceptable encourages users of substitutes to apply Administrative practice and procedure, substitutes. all statements in the ‘‘further Air pollution control, Reporting and In contrast, EPA publishes ‘‘notices of information’’ column in their use of recordkeeping requirements. acceptability’’ or ‘‘determinations of these substitutes. In many instances, the Date: September 28, 2016. acceptability,’’ to notify the public of information simply refers to sound Sarah Dunham, substitutes that are deemed acceptable operating practices that have already Director, Office of Atmospheric Programs. with no restrictions. As described in the been identified in existing industry and/ preamble to the rule initially or building codes or standards. Thus Appendix A: Summary of Decisions for implementing the SNAP program (59 FR many of the statements, if adopted, New Acceptable Substitutes

REFRIGERATION AND AIR CONDITIONING

End-use Substitute Decision Further information 1

Commercial ice ma- R-449B (Forane® Acceptable ...... R-449B has a 100-year global warming potential (GWP) of approxi- chines (new and ret- 449B). mately 1,410. This substitute is a blend of HFC-32, which is also rofit equipment). known as difluoromethane (CAS Reg. No. 75–10–5); HFC-125, which is also known as 1,1,1,2,2-pentafluoroethane (CAS Reg. No. 354–33–6); HFC-134a, which is also known as 1,1,1,2- tetrafluoroethane (CAS Reg. No. 811–97–2); and HFO-1234yf, which is also known as 2,3,3,3-tetrafluoroprop-l-ene (CAS Reg. No. 754–12–1). The blend is nonflammable. The American Industrial Hygiene Association (AIHA) has established workplace environmental exposure limits (WEELs) of 1,000 ppm (8-hr time weighted average (TWA)) for HFC-32, HFC-125, and HFC-134a; and 500 ppm for HFO-1234yf. The manufacturer rec- ommends an acceptable exposure level (AEL) for the workplace for R-449B of 865 ppm (8-hr TWA). Refrigerated transport R-449B (Forane® Acceptable ...... R-449B has a 100-year GWP of approximately 1,410. This sub- (new and retrofit 449B). stitute is a blend of HFC-32, which is also known as equipment). difluoromethane (CAS Reg. No. 75–10–5); HFC-125, which is also known as 1,1,1,2,2-pentafluoroethane (CAS Reg. No. 354– 33–6); HFC-134a, which is also known as 1,1,1,2- tetrafluoroethane (CAS Reg. No. 811–97–2); and HFO-1234yf, which is also known as 2,3,3,3-tetrafluoroprop-l-ene (CAS Reg. No. 754–12–1). The blend is nonflammable. The AIHA has established WEELs of 1,000 ppm (8-hr TWA) for HFC-32, HFC-125, and HFC-134a; and 500 ppm for HFO-1234yf. The manufacturer recommends an AEL for the workplace for R- 449B of 865 ppm (8-hr TWA).

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REFRIGERATION AND AIR CONDITIONING—Continued

End-use Substitute Decision Further information 1

Retail food refrigeration R-448A (Solstice® N- Acceptable ...... R-448A has a 100-yr GWP of approximately 1,390. This substitute (new and retrofit re- 40). is a blend of HFC-32, which is also known as difluoromethane frigerated food proc- (CAS Reg. No. 75–10–5); HFC-125, which is also known as essing and dis- 1,1,1,2,2-pentafluoroethane (CAS Reg. No. 354–33–6); HFC- pensing equipment). 134a, which is also known as 1,1,1,2-tetrafluoroethane (CAS Reg. No. 811–97–2); HFO-1234yf, which is also known as 2,3,3,3- tetrafluoro-prop-l-ene (CAS Reg. No. 754–12–1); and HFO- 1234ze(E), which is also known as trans-1,3,3,3-tetrafluoroprop-l- ene (CAS Reg. No. 29118–24–9). The blend is nonflammable. The AIHA has established WEELs of 1,000 ppm (8-hr TWA) for HFC-32, HFC-125, and HFC-134a; 500 ppm for HFO-1234yf; and 800 ppm for HFO-1234ze(E). The manufacturer recommends an AEL for the workplace for R-448A of 890 ppm (8-hr TWA). Retail food refrigeration R-449A (Opteon® XP Acceptable ...... R-449A has a 100-year GWP of approximately 1,400. This sub- (new and retrofit re- 40). stitute is a blend of HFC-32, which is also known as frigerated food proc- difluoromethane (CAS Reg. No. 75–10–5); HFC-125, which is essing and dis- also known as 1,1,1,2,2-pentafluoroethane (CAS Reg. No. 354– pensing equipment). 33–6); HFC-134a, which is also known as 1,1,1,2- tetrafluoroethane (CAS Reg. No. 811–97–2); and HFO-1234yf, which is also known as 2,3,3,3-tetrafluoroprop-l-ene (CAS Reg. No. 754–12–1). The blend is nonflammable. The AIHA has established WEELs of 1,000 ppm (8-hr TWA) for HFC-32, HFC-125, and HFC-134a; and 500 ppm for HFO-1234yf. The manufacturer recommends an AEL for the workplace for R- 449A of 830 ppm (8-hr TWA). Retail food refrigeration R-449B (Forane® Acceptable ...... R-449B has a 100-year GWP of approximately 1,410. This sub- (new and retrofit re- 449B). stitute is a blend of HFC-32, which is also known as frigerated food proc- difluoromethane (CAS Reg. No. 75–10–5); HFC-125, which is essing and dis- also known as 1,1,1,2,2-pentafluoroethane (CAS Reg. No. 354– pensing equipment). 33–6); HFC-134a, which is also known as 1,1,1,2- tetrafluoroethane (CAS Reg. No. 811–97–2); and HFO-1234yf, which is also known as 2,3,3,3-tetrafluoroprop-l-ene (CAS Reg. No. 754–12–1). The blend is nonflammable. The AIHA has established WEELs of 1,000 ppm (8-hr TWA) for HFC-32, HFC-125, and HFC-134a; and 500 ppm for HFO-1234yf. The manufacturer recommends an AEL for the workplace for R- 449B of 865 ppm (8-hr TWA). Retail food refrigeration R-449B (Forane® Acceptable ...... R-449B has a 100-year GWP of approximately 1,410. This sub- (supermarket sys- 449B). stitute is a blend of HFC-32, which is also known as tems, remote con- difluoromethane (CAS Reg. No. 75–10–5); HFC-125, which is densing units, and also known as 1,1,1,2,2-pentafluoroethane (CAS Reg. No. 354– low-temperature 2 33–6); HFC-134a, which is also known as 1,1,1,2- stand-alone equip- tetrafluoroethane (CAS Reg. No. 811–97–2); and HFO-1234yf, ment only, new and which is also known as 2,3,3,3-tetrafluoroprop-l-ene (CAS Reg. retrofit equipment). No. 754–12–1). The blend is nonflammable. The AIHA has established WEELs of 1,000 ppm (8-hr TWA) for HFC-32, HFC-125, and HFC-134a; and 500 ppm for HFO-1234yf. The manufacturer recommends an AEL for the workplace for R- 449B of 865 ppm (8-hr TWA). 1 Observe recommendations in the manufacturer’s SDS and guidance for all listed refrigerants. 2 ‘‘Low-temperature’’ refers to equipment that maintains food or beverages at temperatures at or below 32 °F (0 °C). See appendix U to 40 CFR part 82, subpart G.

FIRE SUPPRESSION AND EXPLOSION PROTECTION

End-use Substitute Decision Further information

Total flooding ...... Trans-1-chloro-3,3,3- Acceptable ...... Use of this agent should be in accordance with the safety guidelines trifluoroprop-1-ene in the latest edition of the National Fire Protection Association (Solstice® FS). (NFPA) 2001 Standard on Clean Agent Fire Extinguishing Sys- tems. Safety features that are typical of total flooding systems such as pre-discharge alarms, time delays, and system abort switches should be provided, as directed by applicable OSHA reg- ulations and NFPA standards. For establishments manufacturing, installing and maintaining equip- ment using this agent, EPA recommends the following:

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FIRE SUPPRESSION AND EXPLOSION PROTECTION—Continued

End-use Substitute Decision Further information

• In the case that Solstice® FS is inhaled, person(s) should be immediately removed and exposed to fresh air; if breathing is dif- ficult, person(s) should seek medical attention; • Eye wash and quick drench facilities should be available. In case of ocular exposure, person(s) should immediately flush the eyes, including under the eyelids, with water for 15 minutes; should frostbite occur, affected areas should be rinsed with lukewarm water, and medical attention should be sought if irritation develops or persists; • In the case of dermal exposure, the SDS recommends that per- son(s) should immediately wash the affected area with water and re- move all contaminated clothing to avoid irritation; should frostbite occur, bathe (do not rub) the affected area with lukewarm, no hot, water. If water is not available, cover the affected area with a clean soft cloth; and medical attention should be sought if irritation devel- ops or persists. • Although unlikely, in case of ingestion of Solstice® FS, the per- son(s) should drink a cup of water, if fully conscious, and consult a physician immediately; • Manufacturing space should be equipped with engineering con- trols, specifically an adequate exhaust ventilation system, to effec- tively mitigate potential occupational exposure; • Employees responsible for chemical processing should wear the appropriate personal protective equipment (PPE), such as pro- tective gloves, tightly sealed goggles, protective work clothing, and suitable respiratory protection in case of accidental release or insuf- ficient ventilation; • All spills should be cleaned up immediately in accordance with good industrial hygiene practices;\ • Training for safe handling procedures should be provided to all employees that would be likely to handle containers of the agent or extinguishing units filled with the agent; See additional comments 1, 2, 3, 4, 5. 1. The EPA recommends that users consult Section VIII of the OSHA Technical Manual for information on selecting the appropriate types of personal protective equipment for all listed fire suppression agents. The EPA has no intention of duplicating or displacing OSHA coverage related to the use of personal protective equipment (e.g., respiratory protection), fire protection, hazard communication, worker training or any other oc- cupational safety and health standard with respect to halon substitutes. 2. Use of all listed fire suppression agents should conform to relevant OSHA requirements, including 29 CFR part 1910, subpart L, sections 1910.160 and 1910.162. 3. Per OSHA requirements, protective gear (SCBA) should be available in the event personnel should reenter the area. 4. Discharge testing should be strictly limited to that which is essential to meet safety or performance requirements. 5. The agent should be recovered from the fire protection system in conjunction with testing or servicing, and recycled for later use or destroyed.

[FR Doc. 2016–24381 Filed 10–7–16; 8:45 am] DATES: This regulation is effective Docket is (703) 305–5805. Please review BILLING CODE 6560–50–P October 11, 2016. Objections and the visitor instructions and additional requests for hearings must be received information about the docket available on or before December 12, 2016, and at http://www.epa.gov/dockets. ENVIRONMENTAL PROTECTION must be filed in accordance with the FOR FURTHER INFORMATION CONTACT: AGENCY instructions provided in 40 CFR part Susan Lewis, Registration Division 178 (see also Unit I.C. of the 40 CFR Part 180 (7505P), Office of Pesticide Programs, SUPPLEMENTARY INFORMATION). Environmental Protection Agency, 1200 [EPA–HQ–OPP–2014–0285; FRL–9945–37] ADDRESSES: The docket for this action, Pennsylvania Ave. NW., Washington, identified by docket identification (ID) DC 20460–0001; main telephone Mandestrobin; Pesticide Tolerances number EPA–HQ–OPP–2014–0285, is number: (703) 305–7090; email address: AGENCY: Environmental Protection available at http://www.regulations.gov [email protected]. or at the Office of Pesticide Programs Agency (EPA). SUPPLEMENTARY INFORMATION: ACTION: Final rule. Regulatory Public Docket (OPP Docket) in the Environmental Protection Agency I. General Information SUMMARY: This regulation establishes Docket Center (EPA/DC), West William A. Does this action apply to me? tolerances for residues of S–2200 (here Jefferson Clinton Bldg., Rm. 3334, 1301 after referred to within this document as Constitution Ave. NW., Washington, DC You may be potentially affected by mandestrobin) in or on multiple 20460–0001. The Public Reading Room this action if you are an agricultural commodities which are identified and is open from 8:30 a.m. to 4:30 p.m., producer, food manufacturer, or discussed later in this document. Valent Monday through Friday, excluding legal pesticide manufacturer. The following U.S.A., Corporation requested these holidays. The telephone number for the list of North American Industrial tolerances under the Federal Food, Public Reading Room is (202) 566–1744, Classification System (NAICS) codes is Drug, and Cosmetic Act (FFDCA). and the telephone number for the OPP not intended to be exhaustive, but rather

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provides a guide to help readers • Hand Delivery: To make special give special consideration to exposure determine whether this document arrangements for hand delivery or of infants and children to the pesticide applies to them. Potentially affected delivery of boxed information, please chemical residue in establishing a entities may include: follow the instructions at http:// tolerance and to ‘‘ensure that there is a • Crop production (NAICS code 111). www.epa.gov/dockets/contacts.html. reasonable certainty that no harm will • Animal production (NAICS code Additional instructions on commenting result to infants and children from 112). or visiting the docket, along with more aggregate exposure to the pesticide • Food manufacturing (NAICS code information about dockets generally, is chemical residue. . . .’’ 311). available at http://www.epa.gov/ Consistent with FFDCA section • Pesticide manufacturing (NAICS dockets. 408(b)(2)(D), and the factors specified in code 32532). FFDCA section 408(b)(2)(D), EPA has II. Summary of Petitioned-for reviewed the available scientific data B. How can I get electronic access to Tolerances and other relevant information in other related information? In the Federal Register of December support of this action. EPA has 17, 2014 (79 FR 75107) (FRL–9918–90), You may access a frequently updated sufficient data to assess the hazards of EPA issued a document pursuant to electronic version of 40 CFR part 180 and to make a determination on FFDCA section 408(d)(3), 21 U.S.C. through the Government Printing aggregate exposure for mandestrobin 346a(d)(3), announcing the filing of a Office’s e-CFR site at http:// including exposure resulting from the pesticide petition (PP 3F8224) by Valent www.ecfr.gov/cgi-bin/text- tolerances established by this action. U.S.A., Corporation,1600 Riviera Ave., idx?&c=ecfr&tpl=/ecfrbrowse/Title40/ EPA’s assessment of exposures and risks Suite 200, Walnut Creek, California, 40tab_02.tpl. associated with mandestrobin as 94596. The petition requested that 40 follows. C. How can I file an objection or hearing CFR 180 be amended by establishing request? tolerances for residues of the fungicide A. Toxicological Profile mandestrobin, (2-[(2,5- EPA has evaluated the available Under FFDCA section 408(g), 21 dimethylphenoxy)methyl]-a-methoxy- toxicity data and considered its validity, U.S.C. 346a, any person may file an N-methyl-benzeneacetamide), in or on completeness, and reliability as well as objection to any aspect of this regulation small fruit vine climbing except fuzzy the relationship of the results of the and may also request a hearing on those kiwifruit crop subgroup 13–07F, fruit at studies to human risk. EPA has also objections. You must file your objection 5 parts per million (ppm), juice at 7 considered available information or request a hearing on this regulation ppm, and dried fruit at 10 ppm; low concerning the variability of the in accordance with the instructions growing berry subgroup 13–07G, fruit at sensitivities of major identifiable provided in 40 CFR part 178. To ensure 3 ppm; and rapeseed crop subgroup subgroups of consumers, including proper receipt by EPA, you must 20A, seed at 0.6 ppm. That document infants and children. identify docket ID number EPA–HQ– referenced a summary of the petition The main target organs for OPP–2014–0285 in the subject line on prepared by Valent U.S.A. Corporation, mandestrobin toxicity in all mammalian the first page of your submission. All the registrant, which is available to the species tested are the liver and gall objections and requests for a hearing public in the docket, http:// bladder with effects ranging from must be in writing, and must be www.regulations.gov. There were no hepatocyte hypertrophy and increased received by the Hearing Clerk on or comments received in response to the liver weight (usually considered not before December 12, 2016. Addresses for notice of filing. adverse in the absence of corroborative mail and hand delivery of objections Based upon review of the data hepatic enzyme changes or and hearing requests are provided in 40 supporting the petition, EPA lowered histopathology) to centrilobular CFR 178.25(b). the requested tolerance levels for grape, degeneration, hepatocyte and bile duct In addition to filing an objection or raisin. Tolerances for juice and dried pigmentation, periductular hearing request with the Hearing Clerk fruit are not required. At this time, EPA inflammation and gall stones. Dogs were as described in 40 CFR part 178, please is not granting a tolerance for rapeseed more sensitive to the adverse liver submit a copy of the filing (excluding crop group 20A. The reason for these effects than rats; mice showed only non- any Confidential Business Information changes is explained in Unit IV.C. adverse liver effects. (CBI)) for inclusion in the public docket. Thyroid effects were observed in rats III. Aggregate Risk Assessment and Information not marked confidential (increased weight, follicular cell Determination of Safety pursuant to 40 CFR part 2 may be hypertrophy, decreased serum hormone disclosed publicly by EPA without prior Section 408(b)(2)(A)(i) of FFDCA levels) at higher doses than early signs notice. Submit the non-CBI copy of your allows EPA to establish a tolerance (the of liver effects suggesting that effects in objection or hearing request, identified legal limit for a pesticide chemical the thyroid may be secondary to liver by docket ID number EPA–HQ–OPP– residue in or on a food) only if EPA effects. 2014–0285, by one of the following determines that the tolerance is ‘‘safe.’’ Gonadal effects were observed at methods: Section 408(b)(2)(A)(ii) of FFDCA higher doses than the liver effects, and • Federal eRulemaking Portal: http:// defines ‘‘safe’’ to mean that ‘‘there is a were more evident in dogs (immature www.regulations.gov. Follow the online reasonable certainty that no harm will prostate and/or testes, low sperm count, instructions for submitting comments. result from aggregate exposure to the immature ovaries, decrease uterus Do not submit electronically any pesticide chemical residue, including weight) but equivocal and/or not information you consider to be CBI or all anticipated dietary exposures and all adverse in rats. Gonadal effects did not other information whose disclosure is other exposures for which there is affect the reproductive capacity of rats. restricted by statute. reliable information.’’ This includes No developmental effects were • Mail: OPP Docket, Environmental exposure through drinking water and in observed in rats or rabbits, and no Protection Agency Docket Center (EPA/ residential settings, but does not include adverse reproductive, immunotoxic, or DC), (28221T), 1200 Pennsylvania Ave. occupational exposure. Section neurotoxic effects were observed in any NW., Washington, DC 20460–0001. 408(b)(2)(C) of FFDCA requires EPA to of the studies. No adverse effects were

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seen in a route-specific dermal toxicity (Milo), and Legume Vegetables (Crop are identified (the LOAEL). Uncertainty/ study. Mutagenicity studies were Group 6C) (Except Cowpea and Field safety factors are used in conjunction negative. There is no evidence of Pea) at page 18 in docket ID number with the POD to calculate a safe carcinogenicity because there was no EPA–HQ–OPP–2014–0285. exposure level—generally referred to as increase in tumor incidence in rat and a population-adjusted dose (PAD) or a B. Toxicological Points of Departure/ mouse long-term studies. The Agency reference dose (RfD)—and a safe margin Levels of Concern classified mandestrobin as ‘‘not likely to of exposure (MOE). For non-threshold be a human carcinogen’’. Once a pesticide’s toxicological risks, the Agency assumes that any Specific information on the studies profile is determined, EPA identifies amount of exposure will lead to some received and the nature of the toxic toxicological points of departure (POD) degree of risk. Thus, the Agency effects caused by mandestrobin as well and levels of concern to use in estimates risk in terms of the probability as the no-observed-adverse-effect-level evaluating the risk posed by human of an occurrence of the adverse effect (NOAEL) and the lowest-observed- exposure to the pesticide. For hazards expected in a lifetime. For more adverse-effect-level (LOAEL) from the that have a threshold below which there information on the general principles toxicity studies can be found at http:// is no appreciable risk, the toxicological EPA uses in risk characterization and a www.regulations.gov in: Mandestrobin. POD is used as the basis for derivation complete description of the risk Human Health Risk Assessment for of reference values for risk assessment. assessment process, see http:// Proposed Foliar Uses on Small Fruit PODs are developed based on a careful www.epa.gov/pesticides/factsheets/ Vine Climbing (Except Fuzzy Kiwifruit) analysis of the doses in each riskassess.htm. (Subgroup 13–07F), Low Growing Berry toxicological study to determine the A summary of the toxicological (Subgroup 13–07G) (Except Cranberry), dose at which no adverse effects are endpoints for mandestrobin used for Turf, and Seed Treatment Uses on Corn observed (the NOAEL) and the lowest human risk assessment is shown in (Field, Pop, Sweet), Sorghum Grain dose at which adverse effects of concern Table 1.

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

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

Acute dietary (General popu- No toxicity was observed that could be attributed to a single exposure. lation including infants and children).

Chronic dietary (All populations) NOAEL = 92 mg/kg/ Chronic RfD = 0.92 Chronic Toxicity—Dog LOAEL = 181 mg/kg/day based on inci- day. mg/kg/day. dence of liver centrilobular degeneration, cPAD = 0.92 mg/kg/ hepatocytehypertrophy, hepatocyte pigment, and elevated day serum ALP and ALT. Incidental Oral Short-Term (1– UFA = 10× ...... LOC for MOE <100 Additional supportive study: Subchronic Toxicity—Dog NOAEL 30 days) and Intermediate- = 91 mg/kg/day Term (1–6 months). LOAEL = 268 mg/kg/day based on incidence of liver centrilobular degeneration in both sexes and elevated serum ALP in females. Inhalation Short-Term (1–30 UFH = 10× ...... days) and Intermediate-Term FQPA SF = 1× (1–6 months).

Dermal Short-Term (1–30 days) No hazard was identified for dermal exposure; therefore a quantitative dermal assessment is not needed. and Intermediate-Term (1–6 months), all populations.

Cancer (Oral, dermal, inhala- Not likely a human carcinogen. tion).

NOAEL = no observed adverse effect level. LOAEL = lowest observed adverse effect level. UF = uncertainty factor. UFA = extrapolation from animal to human (interspecies). UFH = potential variation in sensitivity among members of the human population (intraspecies). FQPA SF = FQPA Safety Factor. PAD = population adjusted dose (a = acute, c = chronic). RfD = reference dose. MOE = margin of exposure. LOC = level of concern. ALP = alkaline phosphatase. ALT = alanine aminotransferase.

C. Exposure Assessment are performed for a food-use pesticide, from the U.S. Department of if a toxicological study has indicated the Agriculture’s (USDA’s) National Health 1. Dietary exposure from food and possibility of an effect of concern and Nutrition Examination Survey, feed uses. In evaluating dietary occurring as a result of a 1-day or single What We Eat in America, (NHANES/ exposure to mandestrobin, EPA exposure. No such effects were WWEIA). As to residue levels in food, considered exposure from the identified in the toxicological studies EPA assumed tolerance-level residues, petitioned-for tolerances only as there for mandestrobin; therefore, a 100 percent crops treated (PCT), and are no existing mandestrobin tolerances. quantitative acute dietary exposure default processing factors for all EPA assessed dietary exposures from assessment is unnecessary. proposed commodities. mandestrobin in food as follows: ii. Chronic exposure. In conducting iii. Cancer. Based on the data i. Acute exposure. Quantitative acute the chronic dietary exposure assessment summarized in Unit III.A., EPA has dietary exposure and risk assessments EPA used the food consumption data concluded that mandestrobin does not

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pose a cancer risk to humans. Therefore, standard-operating-procedures- adequately protected if the FQPA SF a dietary exposure assessment for the residential-pesticide. were reduced to 1X. That decision is purpose of assessing cancer risk is 4. Cumulative effects from substances based on the following findings: unnecessary. with a common mechanism of toxicity. i. The toxicity database for the iv. Anticipated residue and PCT Section 408(b)(2)(D)(v) of FFDCA mandestrobin tolerances being information. EPA did not use requires that, when considering whether established is complete. anticipated residue or PCT information to establish, modify, or revoke a ii. There is no indication that in the dietary assessment for tolerance, the Agency consider mandestrobin is a neurotoxic chemical mandestrobin. Tolerance-level residues ‘‘available information’’ concerning the and there is no need for a and 100 PCT were assumed for all food cumulative effects of a particular developmental neurotoxicity study or commodities. pesticide’s residues and ‘‘other additional UFs to account for 2. Dietary exposure from drinking substances that have a common neurotoxicity. water. The Agency used screening-level mechanism of toxicity.’’ iii. There is no evidence that water exposure models in the dietary EPA has not found mandestrobin to mandestrobin results in increased exposure analysis and risk assessment share a common mechanism of toxicity susceptibility in in utero rats or rabbits for mandestrobin in drinking water. with any other substances, and in the prenatal developmental studies or These simulation models take into mandestrobin does not appear to in young rats in the 2-generation account data on the physical, chemical, produce a toxic metabolite produced by reproduction study. and fate/transport characteristics of other substances. For the purposes of iv. There are no residual uncertainties mandestrobin. Further information this tolerance action, therefore, EPA has identified in the exposure databases. regarding EPA drinking water models assumed that mandestrobin does not The dietary food exposure assessments used in pesticide exposure assessment have a common mechanism of toxicity were performed based on 100 PCT and can be found at http://www2.epa.gov/ with other substances. For information tolerance-level residues. EPA made pesticide-science-and-assessing- regarding EPA’s efforts to determine conservative (protective) assumptions in pesticide-risks/about-water-exposure- which chemicals have a common the ground and surface water modeling models-used-pesticide. mechanism of toxicity and to evaluate used to assess exposure to mandestrobin Based on the First Index Reservoir the cumulative effects of such in drinking water. EPA used similarly Screening Tool (FIRST) and Pesticide chemicals, see EPA’s Web site at http:// conservative assumptions to assess post- Root Zone Model Ground Water (PRZM www2.epa.gov/pesticide-science-and- application exposure of children as well GW), the estimated drinking water assessing-pesticide-risks/cumulative- as incidental oral exposure of toddlers. concentrations (EDWCs) of assessment-risk-pesticides. These assessments will not mandestrobin for chronic exposures for underestimate the exposure and risks D. Safety Factor for Infants and non-cancer assessments are estimated to posed by mandestrobin. be 38 parts per billion (ppb) for surface Children water and 3.9 ppb for ground water. 1. In general. Section 408(b)(2)(C) of E. Aggregate Risks and Determination of Modeled estimates of drinking water FFDCA provides that EPA shall apply Safety concentrations were directly entered an additional tenfold (10X) margin of EPA determines whether acute and into the dietary exposure model. For safety for infants and children in the chronic dietary pesticide exposures are chronic dietary risk assessment, the case of threshold effects to account for safe by comparing aggregate exposure water concentration of value 38 ppb was prenatal and postnatal toxicity and the estimates to the acute PAD (aPAD) and used to assess the contribution to completeness of the database on toxicity chronic PAD (cPAD). For linear cancer drinking water. and exposure unless EPA determines risks, EPA calculates the lifetime 3. From non-dietary exposure. The based on reliable data that a different probability of acquiring cancer given the term ‘‘residential exposure’’ is used in margin of safety will be safe for infants estimated aggregate exposure. Short-, this document to refer to non- and children. This additional margin of intermediate-, and chronic-term risks occupational, non-dietary exposure safety is commonly referred to as the are evaluated by comparing the (e.g., for lawn and garden pest control, FQPA Safety Factor (SF). In applying estimated aggregate food, water, and indoor pest control, termiticides, and this provision, EPA either retains the residential exposure to the appropriate flea and tick control on pets). default value of 10X, or uses a different PODs to ensure that an adequate MOE Mandestrobin is currently proposed for additional safety factor when reliable exists. use on turf at golf courses, sod farms, data available to EPA support the choice 1. Acute risk. An acute aggregate risk recreational/athletic fields, and of a different factor. assessment takes into account acute residential/commercial lawns. EPA 2. Prenatal and postnatal sensitivity. exposure estimates from dietary assessed residential exposure using the There is no evidence of sensitivity/ consumption of food and drinking following scenarios. For residential susceptibility in the offspring following water. No adverse effect resulting from handlers, the worst-case scenario was mandestrobin exposure, including a single oral exposure was identified determined to be short-term inhalation developmental toxicity studies in rats and no acute dietary endpoint was exposures to adults from mixing, and rabbits, and a 2-generation selected. Therefore, mandestrobin is not loading, and applying mandestrobin to reproductive study in rats. Although expected to pose an acute risk. turf. For post-application exposures, the pup weights were decreased in the rat 2. Chronic risk. Using the exposure worst-case scenario was determined to reproductive study, this change was assumptions described in this unit for be short-term post-application observed at the same dose as maternal chronic exposure, EPA has concluded incidental oral exposure to children liver effects, which included periportal/ that chronic exposure to mandestrobin from hand-to-mouth activities on turf. bile duct pigment, periductular from food and water will utilize 2.6% of Further information regarding EPA inflammatory cell infiltration, and bile the cPAD for children 1–2 years old, the standard assumptions and generic duct proliferation. population group receiving the greatest inputs for residential exposures may be 3. Conclusion. EPA has determined exposure. Based on the explanation in found at http://www2.epa.gov/pesticide- that reliable data show the safety of Unit III.C.3., regarding residential use science-and-assessing-pesticide-risks/ infants and children would be patterns, chronic residential exposure to

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residues of mandestrobin is not B. International Residue Limits the residues that would be found on the expected. In making its tolerance decisions, EPA day of harvest. This ensures that the 3. Short-term risk. Short-term seeks to harmonize U.S. tolerances with Agency has set a tolerance high enough aggregate exposure takes into account international standards whenever to cover residues expected in/on the short-term residential exposure plus possible, consistent with U.S. food commodity of interest. Accordingly, chronic exposure to food and water safety standards and agricultural EPA has not made a determination with (considered to be a background practices. EPA considers the regard to this petitioned-for tolerance at this time. exposure level). Mandestrobin could international maximum residue limits result in short-term residential (MRLs) established by the Codex V. Conclusion exposure, and the Agency has Alimentarius Commission (Codex), as Therefore, tolerances are established determined that it is appropriate to required by FFDCA section 408(b)(4). aggregate chronic exposure through food for residues of mandestrobin, 2-[(2,5- The Codex Alimentarius is a joint dimethylphenoxy)methyl]-a-methoxy- and water with short-term residential United Nations Food and Agriculture exposures to mandestrobin. N-methylbenzeneacetamide, in or on Organization/World Health berry, low growing, subgroup 13–07G, Using the exposure assumptions Organization food standards program, described in this unit for short-term except cranberry at 3.0 ppm; fruit, small and it is recognized as an international vine climbing, except fuzzy kiwifruit, exposures, EPA has concluded the food safety standards-setting combined short-term food, water, and subgroup 13–07F at 5.0 ppm; grape, organization in trade agreements to raisin at 7.0 ppm. residential exposures result in aggregate which the United States is a party. EPA MOEs of 19,000 for adults and 2,900 for may establish a tolerance that is VI. Statutory and Executive Order children 1–2 years old. Because EPA’s different from a Codex MRL; however, Reviews level of concern for mandestrobin is a FFDCA section 408(b)(4) requires that This action establishes tolerances MOE of 100 or below, these MOEs are EPA explain the reasons for departing under FFDCA section 408(d) in not of concern. from the Codex level. response to a petition submitted to the 4. Intermediate-term risk. The Codex has not established a MRL Agency. The Office of Management and Intermediate-term aggregate exposure for mandestrobin. Budget (OMB) has exempted these types takes into account intermediate-term of actions from review under Executive residential exposure plus chronic C. Revisions to Petitioned-for Tolerances Order 12866, entitled ‘‘Regulatory exposure to food and water (considered Based on an analysis of residue levels Planning and Review’’ (58 FR 51735, to be a background exposure level). from crop field trials, EPA is October 4, 1993). Because this action Since the short-and intermediate-term establishing a tolerance for grape, raisin has been exempted from review under PODs are the same and short-term at 7 ppm, rather than the requested level Executive Order 12866, this action is exposure estimates are greater than their of 10 ppm. The highest average field not subject to Executive Order 13211, intermediate-term counterparts, the trial (HAFT) for grape and the entitled ‘‘Actions Concerning short-term aggregate risk assessment is processing factor for raisins supports a Regulations That Significantly Affect protective of the intermediate-term 7 ppm tolerance. Energy Supply, Distribution, or Use’’ (66 aggregate exposure. Therefore a separate The petitioner requested tolerances FR 28355, May 22, 2001) or Executive intermediate-term aggregate assessment for juice and dried fruit covered under Order 13045, entitled ‘‘Protection of is not necessary. crop subgroup 13–07F, small fruit. The Children from Environmental Health 5. Aggregate cancer risk for U.S. available processing data for grape, the Risks and Safety Risks’’ (62 FR 19885, population. Based on the lack of representative commodity for subgroup April 23, 1997). This action does not evidence of carcinogenicity in two 13–07F, indicates that residues in juice contain any information collections adequate rodent carcinogenicity studies, will be covered by the tolerance being subject to OMB approval under the mandestrobin is not expected to pose a established for subgroup 13–07F. At this Paperwork Reduction Act (PRA) (44 cancer risk to humans. time, the Agency is not aware of any U.S.C. 3501 et seq.), nor does it require 6. Determination of safety. Based on dried commodities derived from crops any special considerations under these risk assessments, EPA concludes in subgroup 13–07F other than raisin, Executive Order 12898, entitled that there is a reasonable certainty that for which the Agency is establishing a ‘‘Federal Actions to Address no harm will result to the general separate tolerance, as indicated in the Environmental Justice in Minority population, or to infants and children paragraph above. Populations and Low-Income from aggregate exposure to After the petitioner submitted its Populations’’ (59 FR 7629, February 16, mandestrobin residues. petition for tolerances on subgroup 13– 1994). IV. Other Considerations 07G, it withdrew its request to include Since tolerances and exemptions that cranberry; therefore, the Agency is only are established on the basis of a petition A. Analytical Enforcement Methodology establishing tolerances for subgroup 13– under FFDCA section 408(d), such as Adequate enforcement methodology 07G, except cranberry. the tolerances in this final rule, do not (RM–48C–2A, which uses high At this time, EPA is not establishing require the issuance of a proposed rule, performance liquid chromatography a tolerance for rapeseed subgroup 20A. the requirements of the Regulatory with tandem mass spectrometry (HPLC/ The full three year freezer storage Flexibility Act (RFA) (5 U.S.C. 601 et MS–MS)) is available to enforce the stability data (OPPTS guideline number seq.), do not apply. tolerance expression. 860.1380) for crop field trial data are This action directly regulates growers, The method may be requested from: needed to support tolerances. These food processors, food handlers, and food Chief, Analytical Chemistry Branch, data are required since samples from retailers, not States or tribes, nor does Environmental Science Center, 701 crop field trials are often stored for a this action alter the relationships or Mapes Rd., Ft. Meade, MD 20755–5350; number of years prior to analysis. distribution of power and telephone number: (410) 305–2905; Therefore, it is a requirement to ensure responsibilities established by Congress email address: residuemethods@ that the residues that are found multiple in the preemption provisions of FFDCA epa.gov. years later are actually representative of section 408(n)(4). As such, the Agency

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has determined that this action will not commodities in the table below. ADDRESSES: This final rule and the PDM have a substantial direct effect on States Compliance with the tolerance levels plan are available on the Internet at or tribal governments, on the specified below is to be determined by http://www.regulations.gov at Docket relationship between the national measuring only mandestrobin, 2-[(2,5- Number FWS–R4–ES–2014–0054. government and the States or tribal dimethylphenoxy)methyl]-a-methoxy- Comments and materials received, as governments, or on the distribution of N-methylbenzeneacetamide. well as supporting documentation used power and responsibilities among the in the preparation of this rule, will be various levels of government or between Commodity Parts per available for public inspection by the Federal Government and Indian million appointment, during normal business tribes. Thus, the Agency has determined Berry, low growing, subgroup hours, at the Service’s Kentucky that Executive Order 13132, entitled 13–07G, except cranberry .... 3.0 Ecological Services Field Office, 330 ‘‘Federalism’’ (64 FR 43255, August 10, Fruit, small vine climbing, ex- West Broadway, Suite 265, Frankfort, 1999) and Executive Order 13175, cept fuzzy kiwifruit, subgroup KY 40601. entitled ‘‘Consultation and Coordination 13–07F ...... 5.0 FOR FURTHER INFORMATION CONTACT: with Indian Tribal Governments’’ (65 FR Grape, raisin ...... 7.0 Virgil Lee Andrews, Jr., Field 67249, November 9, 2000) do not apply Supervisor, U.S. Fish and Wildlife to this action. In addition, this action (b) Section 18 emergency exemptions. Service, Kentucky Ecological Services does not impose any enforceable duty or [Reserved] Field Office, 330 West Broadway, Suite contain any unfunded mandate as (c) Tolerances with regional 265, Frankfort, KY 40601; telephone described under Title II of the Unfunded registrations. [Reserved] (502) 695–0468. Individuals who are Mandates Reform Act (UMRA) (2 U.S.C. (d) Indirect or inadvertent tolerances. hearing-impaired or speech-impaired 1501 et seq.). [Reserved] may call the Federal Information Relay This action does not involve any [FR Doc. 2016–24492 Filed 10–7–16; 8:45 am] Service at (800) 877–8339 for TTY technical standards that would require BILLING CODE 6560–50–P assistance 24 hours a day, 7 days a Agency consideration of voluntary week. consensus standards pursuant to section SUPPLEMENTARY INFORMATION: 12(d) of the National Technology DEPARTMENT OF THE INTERIOR Transfer and Advancement Act Executive Summary (NTTAA) (15 U.S.C. 272 note). Fish and Wildlife Service This document contains: (1) A final VII. Congressional Review Act rule to remove Solidago albopilosa from 50 CFR Part 17 Pursuant to the Congressional Review the Federal List of Endangered and Act (5 U.S.C. 801 et seq.), EPA will Threatened Plants at 50 CFR 17.12(h); [Docket No. FWS–R4–ES–2014–0054; and (2) a notice of availability of a final submit a report containing this rule and FXES11130900000 167 FF09E42000] other required information to the U.S. PDM plan. Senate, the U.S. House of RIN 1018–BA46 Species addressed—Solidago Representatives, and the Comptroller albopilosa (white-haired goldenrod) is General of the United States prior to Endangered and Threatened Wildlife an upright, herbaceous plant with soft, publication of the rule in the Federal and Plants; Removal of Solidago white hairs covering its leaves and Register. This action is not a ‘‘major albopilosa (White-haired Goldenrod) stems (Andreasen and Eshbaugh 1973, rule’’ as defined by 5 U.S.C. 804(2). From the Federal List of Endangered p. 123). The species produces clusters of and Threatened Plants small, fragrant, yellow flowers from List of Subjects in 40 CFR Part 180 September to November. S. albopilosa is AGENCY: Fish and Wildlife Service, Environmental protection, restricted to sandstone rock shelters or Interior. Administrative practice and procedure, rocky ledges of a highly dissected region Agricultural commodities, Pesticides ACTION: Final rule and notice of known as the Red River Gorge in and pests, Reporting and recordkeeping availability of final post-delisting Menifee, Powell, and Wolfe Counties, requirements. monitoring plan. KY. The Service listed Solidago albopilosa Dated: September 30, 2016. SUMMARY: We, the U.S. Fish and as a threatened species under the Jack E. Housenger, Wildlife Service (Service), are removing Endangered Species Act of 1973, as Director, Office of Pesticide Programs. the plant Solidago albopilosa (white- amended (Act; 16 U.S.C. 1531 et seq.), haired goldenrod) from the Federal List Therefore, 40 CFR chapter I is primarily because of its limited range of Endangered and Threatened Plants. amended as follows: and threats associated with ground This action is based on a thorough disturbance and trampling caused by PART 180—[AMENDED] review of the best available scientific unlawful archaeological activities and and commercial information, which recreational activities such as camping, ■ 1. The authority citation for part 180 indicates that the threats to this species hiking, and rock climbing (53 FR 11612, continues to read as follows: have been eliminated or reduced to the April 7, 1988). Other identified threats Authority: 21 U.S.C. 321(q), 346a and 371. point that the species no longer meets included the inadequacy of regulatory the definition of an endangered or ■ mechanisms and minor vegetational 2. Add § 180.690 to subpart C to read threatened species under the as follows: changes in the surrounding forest. Endangered Species Act of 1973, as When the recovery plan for S. § 180.690 Mandestrobin; tolerances for amended. This rule also announces the albopilosa (white-haired goldenrod) residues. availability of a final post-delisting (Recovery Plan) was completed in 1993, (a) General. Tolerances are monitoring (PDM) plan for white-haired the Service knew of 90 extant established for residues of goldenrod. occurrences of S. albopilosa (Service mandestrobin, including its metabolites DATES: This rule is effective on 1993, p. 2), containing an estimated and degradates, in or on the November 10, 2016. 45,000 stems (each individual plant can

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have multiple stems (or branches); stem Plants, based on the reduction or Species Information counts have been the focus of most removal of threats. The following section contains survey efforts, rather than the number of Basis for the Regulatory Action— information updated from that individual plants, which is often not Under the Act, we may determine that presented in the proposed rule. discernable) (Service 1993, p. 2). The a species is an endangered or threatened Species Description and Life Recovery Plan defined an occurrence as species because of one or more of the History—Solidago albopilosa (Braun a ‘‘discrete group of plants beneath a five factors described in section 4(a)(1) 1942) is an upright to slightly arching, single rock shelter or on a single rock of the Act. We must consider the same herbaceous, perennial plant that attains ledge.’’ All of these locations were factors in removing a species from the a height of 30 to 100 centimeters (12 to situated within the proclamation List (delisting). Further, we may delist 39 inches). The species is commonly boundary of the Daniel Boone National a species if the best scientific and multi-stemmed because it produces Forest (DBNF), and 69 occurrences (77 commercial data indicate the species is rhizomes (horizontal, usually percent) were in Federal ownership. neither a threatened species nor an underground stems) that often root Currently, 117 extant occurrences of endangered species for one or more of below and produce new stems above. S. albopilosa are known, containing an the following reasons: (1) the species is Because of this, the number of plants at estimated 174,000 stems. All extant extinct; (2) the species has recovered a single site is often not discernable occurrences continue to be located and is no longer threatened or from above ground stem distributions. within the proclamation boundary of endangered; or (3) the original scientific The long, soft, white hairs that cover the the DBNF, and 111 occurrences (95 data used at the time the species was leaves and stems are the species’ most percent) are in Federal ownership and classified were in error. Here, in distinguishing characteristic (Andreasen receive management and protection addition to the application of the five and Eshbaugh 1973, p. 123). The through DBNF’s Land and Resource factors, we are delisting the species alternate leaves of S. albopilosa are Management Plan (LRMP) (U.S. Forest based on recovery. widest at their base and are prominently Service (USFS) 2004, pp. 1.1–1.10). We veined with a dark-green upper surface consider 81 of the extant occurrences We reviewed the best available and a pale underside. They vary in (69 percent) to be stable, meaning no scientific and commercial information length from 6 to 10 centimeters (2.5 to change has been detected in their pertaining to the five threat factors for 4.0 inches), with the larger leaves closer general rank or status over the last 12 white-haired goldenrod. All 4 peer to the base of the stem. Hairs cover both years. We consider 46 of the 81 stable reviewers and 7 of 10 public surfaces of the leaves and are most occurrences to be adequately protected commenters supported the proposed dense along the veins. The stem is and self-sustaining as defined by the action to delist white-haired goldenrod. cylindrical and densely covered with Recovery Plan, and these occurrences Our results are summarized as follows: fine white hairs. Axillary (positioned account for approximately 131,000 • We consider Solidago albopilosa to along the main axis of the plant) clusters stems, or about 75 percent of the be recovered because all substantial of small, fragrant, yellow flowers begin species’ total number. threats to this species have been blooming in late August. The flower Over the past 12 years, the Service has eliminated or reduced and adequate heads are composed of three to five ray worked closely with the Kentucky State regulatory mechanisms exist. florets (small flowers in the marginal Nature Preserves Commission (KSNPC) • The species has met all recovery part of the flower head) and more than and DBNF on the management and criteria as outlined in the Recovery Plan 15 disk florets (small flowers in the protection of the species. Management (there is a sufficient number of distinct, central part of the flower head). The ray activities have included trail diversion stable, self-sustaining, and adequately florets are about 6 mm long (0.24 inch), (away from S. albopilosa occurrences), protected occurrences). and the disk flowers are about 3 mm installation of protective fencing, and long (0.12 inch). The pale-brown, placement of informational signs in rock Previous Federal Actions pubescent, oblong achenes (dry single- shelters, along trails, and at trailheads. seed fruits) appear in October (Braun These activities and other management Please refer to the proposed rule to 1942, pp. 1–4; Andreasen and Eshbaugh actions included in the DBNF’s LRMP remove Solidago albopilosa from the 1973, p. 123; Service 1993, p. 1). (USFS 2004, pp. 3.5–3.8) have assisted Federal List of Endangered and Solidago albopilosa flowers from in recovery of the species. Furthermore, Threatened Plants (80 FR 52717, September through November and sets a new cooperative management September 1, 2015) for a detailed fruit in mid-October through December. agreement among the Service, DBNF, description of previous Federal actions The flowers are visited by bees and KSNPC, which was signed on concerning this species. We reopened (Families Apidae and Halictidae), moths August 29, 2016, will assist in the long- the comment period for the proposed (Order Lepidoptera), and syrphid flies term protection of the species. rule on February 26, 2016 (81 FR 9798), (Family Syrphidae), which are likely Considering the number of stable, in order to conduct peer review and attracted by the fragrant, yellow flowers self-sustaining, protected occurrences, provide interested parties an additional (Braun 1942, pp. 1–4; Service 1993, p. the management and protection of opportunity to comment on the 6). Viability of the species’ pollen is habitats provided by DBNF’s LRMP and proposed rule and draft post-delisting reported to be high (Andreason and the new cooperative management monitoring plan. We requested that all Eshbaugh 1973, pp. 129–130). Seeds are agreement, and the lack of significant interested parties submit written most likely dispersed by wind, but threats to the species or its habitats, we comments by March 28, 2016. germination rates and the extent of conclude that Solidago albopilosa no Background vegetative reproduction in the wild are longer meets the definition of a unknown (Service 1993, p. 6). Seedlings threatened species under the Act. It is our intent to discuss in this final are observed frequently in the wild, but Purpose of the Regulatory Action— rule only those topics directly relevant the percentage of seeds that germinate The purpose of this action is to remove to the removal of Solidago albopilosa in the wild is unknown (Taylor 2016, Solidago albopilosa from the Federal from the Federal List of Endangered and U.S. Forest Service, pers. comm.). List of Endangered and Threatened Threatened Plants. Germination of seed collected from the

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wild has high viability in the laboratory as the Red River Gorge in Menifee, fourleaf yam (Dioscorea quaternata), (near 100 percent), and plants grow Powell, and Wolfe Counties, KY intermediate woodfern (Dryopteris readily from seed (Taylor 2016, pers. (Service 1993, p. 2; White and Drozda intermedia), Indian cucumber-root comm.). 2006, p. 124). The Red River Gorge is (Medeola virginiana), Japanese stilt Braun (1942, pp. 1–4) described S. well known for its scenic beauty and grass (Microstegium vimineum; albopilosa based on specimens outdoor recreational opportunities, and invasive, non-native), Christmas fern discovered in the summer of 1940 in the much of the area is located within the (Polystichum acrostichoides), Red River Gorge area of Menifee County, DBNF, an approximate 2,860-km2 rhododendron (Rhododendron KY. S. albopilosa is in the family (706,000-acre) area in eastern Kentucky maximum), and little mountain Asteraceae, and there are no synonyms that is managed by the U.S. Forest meadow-rue (Thalicturm mirabile) for the species. Andreasen and Service (White and Drozda 2006, p. (Braun 1942, pp. 1–4; Andreason and Eshbaugh (1973, pp. 126–128) studied 124). The Red River Gorge lies within Eshbaugh 1973, p. 128; Kral 1983, p. variation among four separate the Northern Forested Plateau 1253; Campbell et al. 1989, p. 40; White occurrences (populations) of S. Escarpment of the Western Allegheny and Drozda 2006, p. 124). Associated albopilosa in Menifee and Powell Plateau ecoregion (Woods et al. 2002, p. woody species of the mixed mesophytic Counties. Their population analysis of 1). The hills and ridges of this region are forest adjacent to S. albopilosa characteristics such as plant height, leaf characterized as rugged and highly occurrences include red maple (Acer length and width, stem pubescence, and dissected, with erosion-resistant, rubrum), sugar maple (Acer saccharum), number of ray flowers per head showed Pennsylvanian quartzose sandstone American beech (Fagus grandifolia), that some morphological characteristics (contains 90 percent quartz) capping the American holly (Ilex opaca), mountain (e.g., plant height, leaf shape and size, ridges and exposed layers of laurel (Kalmia latifolia), tulip poplar stem pubescence) can vary widely Mississippian limestone, shale, and (Liriodendron tulipifera), bigleaf between populations. siltstone on lower slopes and in the magnolia (Magnolia macrophylla), Solidago albopilosa can be valleys. umbrella magnolia (M. tripetala), black distinguished from its closest relative, S. Solidago albopilosa occurs on the gum (Nyssa sylvatica), oaks (Quercus flexicaulis (broad-leaf goldenrod), by its floors of sandstone rock shelters spp.), basswood (Tilia americana), and shorter height, smaller and thinner (natural, shallow, cave-like formations) eastern hemlock (Tsuga canadensis) leaves, and generally downy (hairy) and on sheltered cliffs (cliffs with (Andreason and Eshbaugh 1973, p. 128; appearance (the leaves of S. flexicaulis overhanging ledges) at elevations Kral 1983, p. 1253; Campbell et al. 1989, have a slick, smooth appearance) between 243 and 396 m (800 and 1,300 p. 40). (Medley 1980, p. 6). The two species ft) (Andreasen and Eshbaugh 1973; When the Recovery Plan was also differ in habitat preference. S. Service 1993, p. 5). The species may completed in 1993, 90 extant albopilosa is restricted to sandstone also be found on ledges or vertical walls occurrences were known (Service 1993, rock shelters or ledges, while S. of these habitats, but, regardless of the p. 2), containing an estimated 45,000 flexicaulis is a woodland species that specific location, S. albopilosa is stems (Service 1993, p. 2). All of these occurs on the forest floor. Esselman and restricted to areas of partial shade locations were situated within the Crawford (1997, pp. 245–256) used behind the dripline (53 FR 11612; April proclamation boundary of the DBNF, molecular and morphological analyses 7, 1988) and typically does not grow in and 69 occurrences (approximately 76 to examine the relationship between S. the deepest part of rock shelters (Harker percent) were located on Federal lands. albopilosa and S. flexicaulis. They et al. 1981, p. 4). Campbell et al. (1989, The remaining occurrences (21) were concluded that S. albopilosa is most p. 40) noted that this plant species is located on private property. Rather than closely related to S. flexicaulis; known from all possible moisture try to determine what constituted a however, there was no evidence that regimes and aspects in these habitats, population, the Recovery Plan (Service either S. flexicaulis or S. caesia (wreath but plants on northern exposures 1993, p. 1) used ‘‘occurrence,’’ defining or blue-stemmed goldenrod) is a parent appeared to be smaller than average. it as a ‘‘discrete group of plants beneath or has a recent close relationship with Seven of nine occurrences examined by a single rock shelter or on a single rock S. albopilosa as was previously Nieves and Day (2014, pp. 8–9) were ledge.’’ In making this definition, the speculated by Braun (1942, pp. 1–4). located in easterly or northerly facing Service (1993, p. 6) explained that Esselman and Crawford (1997, pp. 245– shelters, which receive minimal direct pollinators (bees and syrphid flies) 256) also examined genetic diversity sunlight. Nieves and Day examined only likely carried pollen between rock within the species S. albopilosa (using a small percentage of the species’ 117 shelters and may even move between Random Amplified Polymorphic DNA known occurrences (8 percent), so adjacent ravines. If there were sufficient and isozyme markers) and reported further study is required to determine gene flow between occurrences via genetic variation both within and the importance of the solar aspect on the pollinators, clusters of nearby rock between populations (genetic diversity species’ biology and distribution. Ten shelters or adjacent ravines could is widely spread among populations, rock shelter habitats examined by comprise a population. However, and populations are not very genetically Nieves and Day (2014, p. 7) were without additional research, it was homogenous). The highest level of significantly cooler and more humid impossible to determine the species’ genetic diversity was observed among than the surrounding environment actual population boundaries. (across) versus within populations. (areas outside and above the rock Subsequently, the KSNPC completed Consequently, Esselman and Crawford shelter), but the species’ requirements surveys in 1996, 1999, 2002, 2004, and (1997, pp. 245–256) recommended that with respect to air temperature and 2005 (White and Drozda 2006, pp. 124– conservation efforts include the relative humidity are unknown. 128; KSNPC 2010, p. 4), and these maintenance of as many populations as Typical herbaceous associates of this surveys documented an increase in the possible to capture the full genetic plant include roundleaf catchfly (Silene number of S. albopilosa occurrences diversity of the species. rotundifolia) and alumroot (Heuchera from 90 to 141. Despite the increased Solidago albopilosa is restricted to parviflora) and less commonly white number of occurrences, the total range outcroppings of Pottsville sandstone in baneberry (Actaea pacypoda), of S. albopilosa did not increase a rugged, highly dissected area known maidenhair fern (Adiantum pedatum), significantly as it was still restricted to

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the same general area within the Red reported in Kentucky since 1990 but is considered ‘‘stable’’ if no change was River Gorge. KSNPC (2010, pp. 4–8) not considered extinct or extirpated. detected in their general rank/status completed the first range-wide survey X (extirpated): A taxon for which over the course of monitoring, stem during the 2008 and 2009 field seasons. habitat loss has been pervasive and/or numbers increased over the course of During this 2-year period, KSNPC concerted efforts by knowledgeable monitoring, and/or slight decreases in ranked each occurrence based on biologists to collect or observe stem numbers could be attributed to population size and viability, habitat specimens within appropriate habitats natural climatic variation. Ranks were condition, and degree of threat. KSNPC have failed. based on population size and perceived also evaluated the stability of each F (failed to find): occurrence not viability, habitat condition, and degree occurrence by comparing their 2008– located in current survey; original of threat. For all stable occurrences, 2009 survey data with data collected in mapping may be in wrong location. KSNPC reported an average monitoring previous years. The following During their 2-year range wide survey, period of 10.2 years and an average of specifications were used to rank the KSNPC (2010, p. 6) documented a total occurrences (KSNPC 2010, p. 21): 3.6 monitoring events for each of 116 extant occurrences, producing A (excellent estimated viability): 2,500 occurrence. Also, the level or degree of ranks with the following categorical or more stems in habitat with low recreational impact is based on KSNPC’s degree of recreational impact or a results: A-rank (11 occurrences), B (26), assessment of recreational use and minimum of 4,000 stems where the C (25), and D (54) (see table 1). The threats from that use at each occurrence. degree of recreational impact is medium remaining 25 occurrences were For those sites where the degree of or high. considered to be historical, extirpated, impact was higher, more stems were B (good estimated viability): 1,000 to or could not be relocated (failed to find). required to achieve a higher rank (i.e., The goldenrod’s range has been 2,499 stems and some areas of habitat fair to excellent viability). For example, searched extensively by KSNPC and of with a low degree of recreational impact 4 of the 11 ‘‘A’’ ranked occurrences had the 116 extant occurrences, only 6 were or higher numbers of stems (2,500 to a medium/high degree of impact (equals 4,000) at sites where the degree of located on private land, with the remainder located on the DBNF. There a minimum of 4,000 stems). The rest of recreational impact is medium or high. the 11 ‘‘A’’ ranked occurrences had a C (fair estimated viability): 300 to 999 is limited private ownership in the area low degree of impact (equals 2,500 stems where recreational impacts are where this plant occurs and the species’ stems or more). All of the ‘‘A’’ ranked low or higher numbers of stems (1,000 habitat as described above has only been to 2,000) at sites affected by a medium located in a few privately-owned occurrences have proven stable (for over or high degree of recreational impact; occurrences and nowhere else that has 11 years) with a high number of stems. may also include sites with little been surveyed. For all extant Due to future conservation actions with opportunity for habitat recovery or occurrences, 79 (68 percent) were DBNF, we expect the 4 ‘‘A’’ ranked population expansion. considered to be stable, including ranks occurrences with medium to high D (poor estimated viability): fewer of A (10 occurrences), B (21), C (18), and recreational impacts to remain stable than 300 stems in any habitat. D (30). Stability was estimated through (numbers of stems will remain constant H (historical): taxon or natural comparisons of historical and more or increase) and the degree of community has not been reliably recent survey data. Occurrences were recreational impact may decrease.

TABLE 1—SUMMARY OF Solidago albopilosa RANKS AND STATUS BASED ON RANGE-WIDE SURVEYS COMPLETED BY THE KENTUCKY STATE NATURE PRESERVES COMMISSION IN 2008 AND 2009 [KSNPC 2010]

Ranks of extant occurrences Status A B C D Total

Stable ...... 10 21 18 30 79 Declining ...... 0 5 4 22 31 Unknown ...... 1 0 3 2 6

Total ...... 11 26 25 54 116

For the remaining extant occurrences, surveys of that occurrence were not occurrence totals reported by KSNPC 31 were considered to be declining and performed more than once or prior (2010, 24 pp.), there are now 81 stable 6 were of unknown status. For the surveys could not be compared to more occurrences with the following declining occurrences, ranks included B recent surveys due to discrepancies in categorical results: A (11 occurrences), B (5 occurrences), C (4), and D (22). For survey methodology. (22), C (18), and D (30) (table 2). The the unknown occurrences, ranks KSNPC and the Service completed average monitoring period increased included A (1 occurrence), C (3), and D additional surveys from June to October from 10.2 to 11.1 years, with an average (2). Occurrences were considered to be 2013 at 30 widely separated of 3.7 monitoring events for each declining if a negative change was occurrences, resulting in the discovery occurrence. The total number of stems detected in the general rank/status over of one new occurrence and revised now stands at 174,357, compared to the course of monitoring and/or there status information for two unknown 45,000 when the Recovery Plan was was a greater than 30 percent decline in occurrences (USFWS 2014, entire). completed. stem count. Unknown status meant Combining these results with

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TABLE 2—SUMMARY OF CURRENT Solidago albopilosa RANKS AND STATUS (KSNPC 2010, 2014) SHOWING AN INCREASE IN A- AND B-RANKED OCCURRENCES

Ranks of extant occurrences Status A B C D Total

Stable ...... 11 22 18 30 81 Declining ...... 0 5 4 23 32 Unknown ...... 0 0 2 2 4

Total ...... 11 27 24 55 117

In summary, considering recent or reclassifying a species) must reflect to such an extent that the species may survey efforts by KSNPC and the Service determinations made in accordance no longer need the protections of the (KSNPC 2010, entire; USFWS 2014, with sections 4(a)(1) and 4(b) of the Act. Act. entire), the following conditions exist Section 4(a)(1) requires that the There are many paths to for white-haired goldenrod: Secretary determine whether a species accomplishing recovery of a species, (1) A total of 117 extant occurrences is endangered or threatened (or not) and recovery may be achieved without are known. Of these, 81 occurrences are because of one or more of five threat all criteria being fully met. For example, considered to be stable with the factors. Section 4(b) of the Act requires one or more criteria may be exceeded following categorical results: A (11 that the determination be made ‘‘solely while other criteria may not yet be occurrences), B (22), C (18), and D (30). on the basis of the best scientific and accomplished. In that instance, we may As of 2015, the average monitoring commercial data available.’’ Therefore, determine that the threats are period per occurrence was 11.1 years, recovery criteria should help indicate minimized sufficiently and the species with an average of 3.7 monitoring events when we would anticipate that an is robust enough to delist. In other for each occurrence. analysis of the five threat factors under cases, recovery opportunities may be (2) Fifty-one of the 81 stable section 4(a)(1) would result in a discovered that were not known when occurrences (all A-, B-, and C-ranked determination that the species is no the recovery plan was finalized. These occurrences) are considered to be self- longer an endangered species or opportunities may be used instead of sustaining as defined by the Recovery threatened species because of any of the methods identified in the recovery plan. Plan. These occurrences are considered five statutory factors (see Summary of Likewise, information on the species to be self-sustaining because there is Factors Affecting the Species section). may be discovered that was not known evidence of successful reproduction and However, while recovery plans provide at the time the recovery plan was the number of stems is stable or important guidance to the Service, finalized. The new information may increasing. States, and other partners on methods of change the extent to which criteria need (3) Forty-six of the 51 stable, self- minimizing threats to listed species and to be met for recognizing recovery of the sustaining occurrences are adequately measurable criteria against which to species. Recovery of a species is a protected as defined by the recovery measure progress towards recovery, they dynamic process requiring adaptive plan (species is legally protected, has are not regulatory documents and management that may, or may not, fully received adequate physical protection, cannot substitute for the determinations follow the guidance provided in a and is assured of all required and promulgation of regulations recovery plan. management). required under section 4(a)(1) of the Recovery Planning and (4) The total number of stems now Act. A decision to revise the status of or Implementation—The Recovery Plan stands at approximately 174,000, and remove a species from the Federal List was approved by the Service on the 46 secure, self-sustaining of Endangered and Threatened Plants at September 28, 1993 (Service 1993, 40 occurrences contain approximately 50 CFR 17.12(h) is ultimately based on pp.). The Recovery Plan includes 131,000 stems, or about 75 percent of an analysis of the best scientific and recovery criteria intended to indicate the species’ total number. commercial data available to determine when threats to the species have been whether a species is no longer an adequately addressed, and prescribes Recovery and Recovery Plan endangered or threatened species, actions necessary to achieve those Implementation regardless of whether that information criteria. We first discuss progress on Background—Section 4(f) of the Act differs from the recovery plan. completing the primary recovery (16 U.S.C. 1531 et seq.) directs us to Recovery plans may be revised to actions, then discuss recovery criteria. develop and implement recovery plans address continuing or new threats to the The Recovery Plan identifies five for the conservation and survival of species, as new, substantive information primary actions necessary for recovering endangered and threatened species becomes available. The recovery plan S. albopilosa: unless we determine that such a plan identifies site-specific management (1) Protect existing occurrences; will not promote the conservation of the actions that will achieve recovery of the (2) Continue inventories; species. Under section 4(f)(1)(B)(ii), species, measurable criteria that set a (3) Conduct studies on life history and recovery plans must, to the maximum trigger for review of the species’ status, ecological requirements; extent practicable, include objective, and methods for monitoring recovery (4) Maintain plants and seeds ex situ; measurable criteria which, when met, progress. Recovery plans are intended to and would result in a determination, in establish goals for long-term (5) Provide the public with accordance with the provisions of conservation of listed species and define information. section 4 of the Act, that the species be criteria that are designed to indicate Three of five recovery actions (1, 2, removed from the list. However, when the substantial threats facing a and 5) have been accomplished. revisions to the list (adding, removing, species have been removed or reduced Completion of the remaining actions (3

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and 4) is discussed in greater detail Signs or fencing were placed and have KSNPC and the Service documented a below. been maintained at a total of 21 total of 117 extant occurrences, and, of The Service entered into a cooperative occurrences identified as being these, we consider the A-, B-, and C- agreement with KSNPC in 1986, under impacted in the past, and DBNF ranked occurrences (total of 46) to be section 6 of the Act, for the conservation personnel continue to visit these sites secure and self-sustaining. Because of endangered and threatened plant annually, checking the condition of systematic searches for new occurrences species. This agreement has provided a signs and fencing and making repairs as have been conducted since the mechanism for KSNPC to acquire needed. To guard against future completion of the Recovery Plan and led Federal funds that have supported much impacts, the DBNF and KSNPC have to the discovery of previously unknown of the recovery work described here. proposed the addition of new or occurrences, we consider this recovery The Commonwealth of Kentucky and expanded fencing at five occurrences. action to be completed. other partners have also provided As stated below in this recovery section, Recovery Action (3): Conduct Studies on matching funds under this agreement this new and expanded fencing is Life History and Ecological that have assisted in the species’ included as a conservation action in the Requirements recovery. Service’s signed cooperative management agreement with DBNF and This recovery action is incomplete Recovery Action (1): Protect Existing (not all subactivities have been Occurrences KSNPC (USFWS August 2016). Monitoring results show that addressed completely) but significant The Recovery Plan states that an implementation of the LRMP, including progress has been made. Since occurrence will be ‘‘adequately specific conservation actions described publication of the Recovery Plan protected’’ when it is legally protected, above (fencing and sign placement), (Service 1993), studies of the species’ has received adequate physical have had a positive effect on the species life history and ecological requirements protection, and is assured of all required (KSNPC 2010, 24 pp.). Specifically, it have included Esselman (1995, pp. 5– management (USFWS 1993, 40 pp.). has been demonstrated that disturbance 10), Esselman and Crawford (1997, pp. Based on these criteria, we consider a from trampling, camping, and rock 246–251), White and Drozda (2006, p. total of 46 A-, B-, or C-ranked climbing is low at remote occurrences, 125), KSNPC (2010, p. 5), and Nieves occurrences on the DBNF to be and impacts have been reduced at more and Day (2014, pp. 1–12). Esselman adequately protected. We base our visited sites. The number of stems has (1995, pp. 5–10) and Esselman and decision regarding their level of remained stable or increased at 20 of 21 Crawford (1997, pp. 246–251) studied protection on the location of these occurrences (95 percent) where fencing the ancestry of S. albopilosa, examined occurrences (all are in DNBF ownership, or informational signs have been added. gene flow and genetic diversity within and many are in remote locations not For all extant occurrences on the DBNF, and between populations, and visited by the public); trends in 75 (68 percent) of 111 extant investigated life-history traits (i.e., seed occurrence data gathered by KSNPC, occurrences are considered stable to set, importance of pollinators, self- DBNF, and the Service; observations increasing, and we consider 46 incompatibility (the inability of a plant about threats reported by KSNPC (2010, occurrences to be self-sustaining (A-, B- to produce seeds when its flowers are pp. 5–18); conservation actions , or C-ranked occurrences that are stable pollinated from its own flowers or from described in DBNF’s Land and Resource and reproducing). Based on all these flowers of plants that are genetically the Management Plan (LRMP); and factors, we consider this recovery action same)). The ancestry of S. albopilosa information in our files concerning to be complete. was unclear, but it had the most specific DBNF conservation actions, morphological and genetic similarity such as trail closure, placement of signs, Recovery Action (2): Continue with S. flexicaulis. Despite this, the two and fencing. We have chosen to exclude Inventories species were reported as genetically five, stable, self-sustaining occurrences There were 90 extant occurrences of different, and there was no evidence of from the list of ‘‘protected’’ occurrences S. albopilosa when the Recovery Plan recent gene flow. Esselman (1995, pp. because they are in private ownership, was completed (Service 1993, p. 2). In 16–23) and Esselman and Crawford and no conservation agreement or plan subsequent years, KSNPC completed (1997, pp. 251–253) observed the is in place to ensure their long-term surveys within the Red River Gorge in highest levels of genetic diversity protection. 1996, 1999, 2002, 2004, and 2005 between populations rather than within The species’ primary threat has been (White and Drozda 2006, pp. 124–128; populations. The levels of seed identified as ground disturbance and KSNPC 2010, p. 2), raising the number production appeared to be about equal trampling associated with recreational of documented S. albopilosa to that of other goldenrods, but the activities (i.e., camping, hiking, and occurrences from 90 to 141. Surveys in amount of seed set varied between rock-climbing) within the Red River other areas of Kentucky and adjacent populations and appeared to increase Gorge. To address these threats, the States with suitable habitat (e.g., with increasing occurrence size. DBNF began to redirect trails and install sandstone rock shelters) did not show Pollination experiments indicated that fencing (chicken wire) around selected evidence of additional occurrences of pollinators are necessary for seed set, S. albopilosa rock shelters in February the species (Campbell et al. 1989, pp. and the species is self-incompatible. 2000. The DBNF focused on these 29–43; Palmer-Ball et al. 1988, pp. 19– During field surveys between 1996 occurrences because they were near 25; Walck et al. 1996, pp. 339–341; and 2009, KSNPC collected occurrence DBNF user-defined trails and were Norris and Harmon 2000, pp. 2–3). The information throughout the species’ suffering obvious recreational impacts— first range-wide survey in the Red River range, recording such information as trampling and ground disturbance Gorge was completed during the field stem count, patch size, percent associated with camping, rock climbing, seasons of 2008 and 2009 (KSNPC 2010, vegetative versus sexual reproduction, and hiking. The DBNF also placed pp. 4–8), and KSNPC and the Service recreational disturbance (ranked from informational signs at these shelters and completed follow-up surveys at 30 low to high), other perceived threats, at trailheads, alerting visitors to the extant occurrences in 2013 (See the and general habitat condition (White presence of the species and warning Species Information section above for and Drozda 2006, p. 125; KSNPC 2010, them against potential damage to plants. detail on surveys). During these efforts, p. 5). In its 2-year range-wide study,

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KSNPC (2010, p. 5) used a two-page determining if reintroduction or Recovery Action (5): Provide the Public plant survey form to record more artificial propagation may be necessary With Information detailed biological information at each to help recover this plant. Solidago The KSNPC and DBNF have prepared occurrence: Population structure albopilosa occurrences have grown in several species factsheets and signs that (percent stems exhibiting vegetative number and size as recovery have been posted at gas stations, versus reproductive growth), occurrence implementation actions have been restaurants, kiosks, and trailheads 2 size (square meters [m ]), plant height, implemented and threats have been throughout the Red River Gorge. These number of stems, number of rosettes, removed or reduced. These successful signs are intended to educate Red River population density, plant vigor, and an actions have negated the necessity of Gorge visitors about the species and its evaluation of threats (e.g., trampling, having to reintroduce or augment threats. Signs about S. albopilosa have camping, invasive plants, herbivory). plants. We will continue to learn more also been posted in five archaeologically KSNPC (2010, p. 5) also photographed about the species’ habitat requirements sensitive rock shelters to aid in the each occurrence and made sketches that as we work with DBNF and KSNPC protection of historical artifacts while showed individual patch locations through post-delisting monitoring. In promoting the conservation of S. within each occurrence or rock shelter. albopilosa. DBNF also displays Nieves and Day (2014, pp. 1–12) the course of this work, if a new threat conducted a preliminary assessment of of any kind presents itself, we have photographs and provides information the microclimatic and pedological (soil) identified in the PDM plan how we will on S. albopilosa at its Gladie Cultural- conditions of 10 rock shelters inhabited evaluate it. Environmental Learning Center. KSNPC makes available on its Web site (http:// by the species. They documented The majority of recovery subactivities naturepreserves.ky.gov) an S. albopilosa significant differences between the (3.2, 3.4–3.7) have been addressed; inside of rock shelters and the factsheet and several threatened and information has been gained regarding endangered species lists that include surrounding environment with respect the species’ life history and ecological to temperature and relative humidity information on S. albopilosa. In June requirements; and the species’ status 2009, the Kentucky Department of Fish (habitats inside rock shelters were has improved since publication of the wetter and more humid) but no and Wildlife Resources published 2,000 recovery plan. We were able to obtain copies of a revised threatened and significant differences with respect to the intended information identified in soil characteristics (macronutrients and endangered species booklet (second recovery subactivity 3.3 (analyze habitat edition), which contained a species acidity/alkalinity (pH)). Most of the rock requirements) through implementation shelters they investigated were easterly account for S. albopilosa. Because of the of other actions. Although the need to or northerly facing, but their small numerous public information and conduct subactivity 3.3 has been sample size prevents any significant education projects listed above, we conclusions with respect to the removed with positive progress in this consider this recovery action completed. plant’s recovery program, we intend importance of sunlight and solar Recovery Criteria radiation. throughout post-delisting monitoring to Under recovery action 3.0, two of continue to work closely with The Recovery Plan states that S. seven subactivities remain to be researchers as they learn more about albopilosa will be considered for completed—the use of quantitative, this species and its habitat. delisting when 40 geographically distinct, self-sustaining occurrences are permanent plots (3.1) and determination Recovery Action (4): Maintain Plants of specific habitat requirements (3.3). adequately protected and have been and Seeds Ex Situ Permanent plots have not been maintained for 10 years. An occurrence is considered as self-sustaining if there established, but the species’ known Seeds and plants of S. albopilosa have is evidence of successful reproduction occurrences have been visited and not been maintained ex situ in any and the number of stems is stable or evaluated repeatedly (average of 3.6 museum, botanical garden, or other seed increasing. An occurrence is considered times) since completion of the recovery storage facility; however, an August 29, plan. These visits have allowed us to to be adequately protected when it is 2016, conservation agreement between legally protected, receives adequate evaluate the species’ status and track the the Service, the Kentucky Natural Lands number of stems and flowers. The physical protection, and is assured of all Trust, and the Missouri Botanical required management. The Recovery purpose of recovery subactivity 3.1 was Garden (MOBOT) will facilitate a seed- to evaluate demography, and we believe Plan also noted that the requirements banking effort for S. albopilosa. Through the visits and work done in cooperation for delisting were preliminary and could the agreement, MOBOT has secured with KSNPC provided enough change as more information about the funding that will allow it to collect, population data on this plant for us to biology of the species was known. Based propose delisting it without establishing curate, and maintain genetically diverse on our current understanding of the permanent plots. The species’ specific and representative seed-bank accessions species’ range, biology, and threats, we habitat requirements (e.g., light, to safeguard against future population believe that the delisting criteria moisture, soils) are not well understood, declines. These efforts will take place as continue to be relevant. While the but preliminary investigations into the part of post-delisting monitoring number of occurrences has increased microclimate and soil conditions of rock activities and will involve collection of since completion of the Recovery Plan, shelters were completed by Nieves and seed from across the species’ range with the species’ overall range and the type Day (2014, pp. 1–12), and additional deposition of the material at the of threats have not changed research is planned (Nieves and Day MOBOT. Seed collection will occur in dramatically. Furthermore, our current 2014, pp. 11–12). In partnership with the fall of 2016. Because of the knowledge of the species’ biology DBNF and KSNPC, we have done conservation agreement described indicates that multiple, distinct extensive work together to reduce above, which outlines future seed- populations should be maintained in threats such as disturbance. The banking activities by MOBOT, we order to provide redundancy (protect purpose of recovery subactivity 3.3 was consider this recovery action to be on a against stochastic events) and preserve to learn about habitat requirements of path toward completion and sufficient genetic diversity. We believe the this plant for the purposes of to contribute towards delisting. recovery goal of 40 stable, self-

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sustaining, and protected occurrences is stable, D-ranked occurrences (total of prohibited within the cliffline zone: sufficient to address these needs. The 30) to be self-sustaining, primarily due Mineral, oil, or gas exploration and species’ current number of stable, self- to their poor estimated viability and the development (Forest Service Standard sustaining, and protected occurrences low number of stems (fewer than 300) 1.C–MIN–1); road construction (1.C– (46) has exceeded this recovery goal (see observed at these sites. However, due to ENG–1); recreational facilities (1.C– discussion of Recovery Action 1 above). the existence of 46 geographically REC–1); recreational activities such as These occurrences are distributed across distinct, self-sustaining occurrences, we rock climbing and rappelling (C–REC– the species’ range and contain more conclude that we have met and 2); camping (1.C–REC–3); and campfires than 75 percent of the species’ total exceeded the criterion of 40 (1.C–REC–4). Other activities such as number of stems. geographically distinct, self-sustaining wildlife management (1.C–WLF) and The criteria for delisting S. albopilosa occurrences. vegetation management (1.C–VEG) are have been met, as described below. While we consider only 46 out of the limited and strictly controlled. This Additionally, the level of protection 117 total extant occurrences to currently Prescription Area is classified as currently afforded to the species and its be secure (adequately protected) and ‘‘Unsuitable for Timber Production,’’ habitat, as well as the current status of self-sustaining (approximately 39 but timber harvests may occur on an threats, are outlined below in the percent of the total occurrences), these unscheduled basis to attain a desired Summary of Factors Affecting the occurrences contain the majority of the future condition. Harvest of wood Species section. total number of stems of the species. products may occur only as an output Currently, there are 117 extant The total number of stems now stands in pursuing other resource objectives occurrences. As described above, an at approximately 174,000, and the 46 (USFS 2004, pp. 3.5–3.8). DBNF occurrence is defined as a ‘‘discrete secure, self-sustaining occurrences monitors cliffline habitats and protects group of plants beneath a single rock contain approximately 131,000 stems, or them as needed through law shelter or on a single rock ledge,’’ and about 75 percent of the species’ total enforcement activities, construction of each occurrence is considered number. If we consider the five fences, trail diversion, and placement of ‘‘geographically distinct’’ as described additional self-sustaining occurrences signs. in the recovery criteria. We currently located on private property, the total Since the species was listed, we have consider 81 (69 percent) of the 117 number of stems increases to 140,500 worked closely with KSNPC and DBNF extant Solidago albopilosa occurrences stems, or about 81 percent of the on the management and protection of S. to be stable, meaning no change has species’ total number. While the albopilosa. Management activities have been detected (over an average remaining 65 occurrences on DBNF are included trail diversion (away from S. monitoring period of 11.1 years) in their not currently considered self-sustaining, albopilosa occurrences), installation of general rank or status. Of these, we all of these occurrences will continue to protective fencing, and placement of consider the A-, B-, and C-ranked receive protection and management informational signs in rock shelters, occurrences (total of 46) to be under DBNF’s LRMP and we expect, along trails, and at trailheads. These adequately protected and self-sustaining based on the past 10 years of activities and other management actions as defined by the Recovery Plan. We monitoring, their status will likely included in the DBNF’s LRMP (USFS consider these occurrences to be self- remain stable or continue to improve. 2004, pp. 3.5–3.8) have assisted in sustaining for the following reasons: With respect to protection, 111 of 117 recovery of the species, as reflected in (1) The number of stems at these extant occurrences (95 percent) occur on the large number of stable occurrences occurrences has been stable or the DBNF and receive management and (81), self-sustaining occurrences (51 increasing over an average monitoring protection through DBNF’s LRMP occurrences with ranks of A, B, or C), period of 11.1 years; (USFS 2004, pp. 1.1–1.10). As specified and the long period (greater than 11 (2) these natural occurrences contain in the LRMP, S. albopilosa habitats years) during which this trend has been a relatively high number of stems (range receive protection and management maintained. On August 29, 2016, we of 797–9,200); consideration as part of the Cliffline finalized a cooperative management (3) the estimated viability of these Community Prescription (or agreement among the Service, DBNF, occurrences ranges from fair to management) Area (USFS 2004, pp. 3.5– and KSNPC that will provide for the excellent; 3.8). The Cliffline Community is defined long-term protection of the species. The (4) the threat level at these as the area between 100-feet slope- management agreement outlines a occurrences is generally low (average distance from the top of the cliff and number of conservation actions that will recreational impact of 2.5 or less on a 200-feet slope-distance from the benefit the species: scale of 1 (low impact) to 5 (high)); and dripline of the cliffline. A cliffline is (1) Maintenance of current fencing; (5) the observed reproduction defined as a naturally occurring, (2) installation and maintenance of (flowering stems) at these occurrences exposed, and nearly vertical rock fencing at five new occurrences; has been relatively high, averaging 75– structure at least 10 feet (3.05 meters (3) evaluation of trail diversion, 90 percent of stems in nearly all cases (m)) tall and 100 feet (30.05 m) long. All rerouting, or closure at 39 occurrences (KSNPC 2010, p. 10). known S. albopilosa occurrences occur identified by KSNPC (2010, entire); We consider these occurrences to be within habitats fitting this description (4) placement of new informational adequately protected because of their and, therefore, are included in this signs at occurrences with high location (all are located on DBNF land); Prescription Area. For the Cliffline visitation; trends in occurrence data gathered by Community area, conservation goals in (5) monitoring of extant occurrences; KSNPC, DBNF, and the Service; the LRMP include: (1) Maintenance of (6) protection of extant occurrences observations about threats reported by the unique physical and microclimatic through DBNF patrols; and KSNPC (2010, pp. 5–18); conservation conditions in these habitats, (2) the (7) continuation of education and actions described in DBNF’s LRMP; and recovery of S. albopilosa, and (3) the outreach efforts. The cooperative information in our files concerning protection of these habitats against management agreement will remain in specific DBNF conservation actions, anthropogenic disturbance (USFS 2004, place until August 2022. such as trail closure, placement of signs, p. 3.6). To meet these goals, the In summary, most major recovery and fencing. We do not consider the following activities or resource uses are actions are complete, and significant

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progress has been made on the without providing supporting S. albopilosa is recovered and no longer remaining actions (life history/ information will not be considered in requires the protection of the Act. ecological studies and ex situ seed making a determination, as section Nonetheless, the Service intends to conservation). Completion of these 4(b)(1)(A) of the Act directs that a work closely with all Federal and State actions has contributed to achieving and determination as to whether any species conservation agencies during the course exceeding the recovery criteria: 40 is a threatened or endangered species of post-delisting monitoring. We will geographically distinct, self-sustaining must be made ‘‘solely on the basis of the follow the benchmarks in the plan for occurrences are adequately protected best scientific and commercial data evaluating success of efforts for this and have been maintained for over 10 available.’’ plant. We also believe protections years. The 46 secure, self-sustaining outlined by DBNF’s LRMP, which are State and Peer Review Comments occurrences contain 75 percent of the described in the Recovery Criteria species’ total number of stems, and thus In accordance with our peer review section of this document, will provide represent 75 percent of the species’ total policy, which was published on July 1, long-lasting benefits to the species. population. These secure, self- 1994 (59 FR 34270), we solicited expert DBNF’s LRMP was completed in 2004 sustaining occurrences, as well as 93 opinion on the proposed rule and the and is still in effect, and USFS LRMPs percent of the species’ remaining draft post-delisting monitoring plan are generally revised every 10 to 15 occurrences, currently receive from four knowledgeable, independent years or when conditions change protection and management through individuals with scientific expertise that significantly. Actually, the last LRMP to implementation of DBNF’s LRMP. includes familiarity with Solidago cover DBNF was in effect for 18 years Therefore, we conclude that the goals albopilosa and its habitat, biological (1985 to 2003). Also, on August 29, and criteria outlined in the Recovery needs, threats, and recovery efforts. We 2016, we finalized a cooperative Plan have been achieved. received responses from all four peer management agreement among the reviewers. All peer reviewers supported Service, DBNF, and KSNPC that will Summary of Comments and our conclusions and provided provide for the long-term protection of Recommendations additional information, clarifications, the species until 2022. In the proposed rule published and suggestions to improve the final September 1, 2015 (80 FR 52717), we rule. Public Comments requested that all interested parties Section 4(b)(5)(A)(ii) of the Act states Comment (2): Three commenters submit written comments on the that the Secretary must give actual disagreed with the proposed delisting of proposal by November 2, 2015. We also notice of a proposed regulation under white-haired goldenrod. In general, they contacted appropriate Federal and State section 4(a) to the State agency in each stated that an insufficient number of agencies, scientific experts and State in which the species is believed to protected, viable occurrences were organizations, and other interested occur, and invite the comments of such known for delisting to be considered. parties and invited them to comment on agency. Section 4(i) of the Act directs Our response: Under the Recovery the proposal. Legal notices inviting that the Secretary will submit to the Plan, Solidago albopilosa may be general public comment were published State agency a written justification for considered for delisting when 40 in the Lexington Herald-Leader and his or her failure to adopt regulations geographically distinct, self-sustaining Louisville Courier Journal. We reopened consistent with the agency’s comments occurrences are adequately protected the comment period on February 26, or petition. The Service submitted the and have been maintained for 10 years. 2016 (81 FR 9798), in order to conduct proposed regulation to KNSPC, the State Currently, a total of 46 geographically peer review and provide interested agency responsible for the conservation distinct occurrences are considered to parties an additional opportunity to of listed plants in Kentucky. KSNPC’s be self-sustaining (viable) and comment on the proposed rule and draft chief botanist provided peer review of adequately protected, and these post-delisting monitoring plan. We the proposed rule. occurrences have been maintained for requested that all interested parties We reviewed all comments received more than 11 years. All remaining submit written comments by March 28, from the peer reviewers for substantive occurrences (of all ranks) will contribute 2016. issues and new information regarding to the viability and persistence of S. During both comment periods for the the delisting of white-haired goldenrod. albopilosa into the future. Therefore, the proposed rule, we received a total of 14 Peer reviewer comments are addressed recovery criteria for this species have comment letters or statements directly in the following summary. been met. In addition, threats to this addressing the proposed action. These Comment (1): Two peer reviewers plant have been removed or reduced to included 4 comment letters from peer stated that management may be needed a point where it no longer requires reviewers and 10 comment letters from beyond the period (5 years) covered by protection under the Act. the general public that are posted on the post-delisting monitoring plan to Comment (3): One commenter agreed Federal docket no. FWS–R4–ES–2014– address potential impacts from invasive with the delisting of Solidago albopilosa 0054. All 4 peer reviewers and 7 of 10 plants and recreational activities (e.g., but stated that the State of Kentucky public commenters supported the hiking, rock climbing). This comment should conduct routine monitoring of proposed action to delist white-haired relates to just our PDM plan. Both rare plants, such as S. albopilosa, and goldenrod. Three public commenters reviewers commented that cooperative pass legislation that protects these objected to the proposed action. efforts among the Service, DBNF, and species. Several public commenters simply KSNPC should address any future Our response: Most Solidago expressed opposition to or support for threats to the species. albopilosa occurrences (about 95 the proposed delisting of Solidago Our response: We agree with the percent) are located on Federal property albopilosa without providing any reviewers that invasive plants and (DBNF) and receive management and additional supporting information. We recreational use in some areas may protection under DBNF’s LRMP. The have noted those responses but, as adversely affect S. albopilosa remaining occurrences are located on stated in our proposed rule, submissions occurrences in the future; however, the private property and, while they could merely stating support for or opposition best scientific and commercial data benefit from protections provided by to the action under consideration available to the Service demonstrate that State legislation, the Service cannot

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require a State to pass such legislation. the foreseeable future. It contains (Taylor pers. comm. 2013). As for With respect to monitoring and updated information from that recreational impacts, most Solidago protection of rare plants like S. presented in the proposed rule (80 FR albopilosa occurrences are located in albopilosa, the DBNF and KSNPC have 52717, September 1, 2015). remote ravines of the Red River Gorge or grow along inaccessible cliff lines worked closely with the Service and A. The Present or Threatened that are seldom visited or disturbed by other conservation partners over the Destruction, Modification, or campers, hikers, and rock climbers. past 20 years to implement conservation Curtailment of Its Habitat or Range actions, including monitoring, that have Therefore, the threat magnitude at these benefited this and other rare species. We The final rule to list S. albopilosa as sites is low. expect these collaborations to continue. threatened (53 FR 11612, April 7, 1988) Occurrences located in areas with identified the following habitat threats: more frequent visitor use, typically Summary of Changes From the ground disturbance and trampling areas near DBNF and user-defined trails, Proposed Rule associated with unlawful archaeological generally have suffered more severe We have considered all comments activities and recreational activities habitat disturbance and trampling in the and information received during both such as camping, hiking, and rock past. Site protection and habitat comment periods for the proposed rule climbing. The species occupies a scenic management efforts by DBNF, working to delist white-haired goldenrod. In this and unique geological area that is cooperatively with KSNPC and the final rule, we have made only minor heavily visited by hikers, campers, rock- Service, have helped to reduce the changes based on comments received climbers, and other nature enthusiasts. magnitude of threats at these sites. during the public comment period. We The U.S. Forest Service estimates These occurrences have benefited from received supplementary information recreational use of the Red River Gorge their location on the DBNF and from DBNF on seed germination, at approximately 500,000 visitor days management and protective actions seedling viability, and the potential per year (Taylor pers. comm. 2013). provided under DBNF’s LRMP (USFS threat posed by fungal infection. These Recreational activities such as camping, 2004, pp. 1.1–1.10), which prevents details have been incorporated into this hiking, and rock climbing can pose a general land disturbance and prohibits final rule. threat to the species through inadvertent or limits logging and other DBNF- trampling and ground disturbance of S. defined activities near cliffline habitats. Summary of Factors Affecting the albopilosa habitats. Evidence of The LRMP also protects rock shelters Species trampling and ground disturbance from vandalism and forbids removal of Section 4 of the Act and its within rock shelters has been observed threatened and endangered species from implementing regulations (50 CFR part repeatedly by KSNPC and DBNF these areas (see details in Recovery 424) set forth the procedures for listing personnel (KSNPC 2010, pp. 13–14). Criteria section). species, reclassifying species, or Habitat disturbance and trampling The DBNF monitors these sites and removing species from listed status. We associated with recreational activities protects them as needed through law may determine that a species is an (camping, hiking, and rock climbing) enforcement efforts, construction of endangered or threatened species and archaeological looting in the past fences, trail diversion, and placement of because of one or more of the five have posed a significant threat to the signs. To protect occurrences from factors described in section 4(a)(1) of the species. The Red River Gorge is a trampling, fire-building, and digging, Act: popular recreational area (Taylor pers. signs have been posted at all entry (A) The present or threatened comm. 2013). Many trails and points to the Red River Gorge asking destruction, modification, or recreational areas within the Gorge are visitors not to remove or disturb curtailment of its habitat or range; located near Solidago albopilosa historical resources and providing (B) overutilization for commercial, occurrences, and rock shelters are often visitors with biological and status recreational, scientific, or educational targeted as rock climbing, hiking, and information on S. albopilosa. Similar purposes; camping sites. Use of rock shelters and signs were also placed inside at least (C) disease or predation; cliff lines by campers, hikers, and rock five archaeologically significant rock (D) the inadequacy of existing climbers has contributed to physical shelters that contained S. albopilosa. regulatory mechanisms; or habitat disturbance and has led to Beginning in February 2000, DBNF (E) other natural or manmade factors trampling of plants in rock shelters began to redirect trails and install affecting its continued existence. (Service 1993, p. 7; White and Drozda fencing (chicken wire) around selected We must consider these same five 2006, pp. 124–125; KSNPC 2010, pp. rock shelters (those with greatest factors in delisting a species. 13–14). In addition to habitat visitation) containing S. albopilosa. A recovered species is one that no disturbance caused by recreationists, the Signs were also placed at these shelters, longer meets the Act’s definition of presence of Native American artifacts alerting visitors to the presence of the endangered or threatened. Determining within the Red River Gorge has species and warning them against whether the status of a species has contributed to digging and potential damage to plants. Signs and/ improved to the point that it can be archaeological looting in S. albopilosa or fencing were placed and have been delisted or downlisted requires habitats (rock shelters). Approximately maintained at a total of 21 occurrences, consideration of same five categories of 18 Solidago albopilosa occurrences and DBNF personnel continue to visit threats identified above. This analysis is have been extirpated due to human these sites annually, checking the an evaluation of both the threats activities, and many heavily visited rock condition of signs and fencing and currently facing the species and the shelters have been modified to the point making repairs as needed. threats that are reasonably likely to that these habitats are no longer suitable Monitoring results show that affect the species in the foreseeable for the species (KSNPC 2010, pp. 6–7). implementation of DBNF’s LRMP and future following the delisting and the According to the DBNF, impacts from the completion of additional removal of the Act’s protections. archaeological looting are now conservation actions such as fencing The following analysis examines all infrequent, and these activities no and sign placement have had a positive five factors currently affecting or that longer pose a significant threat to S. effect on the species, the number of are likely to affect S. albopilosa within albopilosa within the Red River Gorge stems has increased, and the level of

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habitat disturbance and trampling do not appear to be facing a greater level fungus was not extensive within the associated with recreational activities of impact, and they represent a small population and did not appear to harm has been reduced (KSNPC 2010, 24 pp.). proportion (five percent) of the overall the plants. The fungus may have been Of the 21 occurrences on the DBNF population of the species. triggered by weather conditions in 2014 where fencing and signs were added, 20 Summary of Factor A: Impacts and was not observed by DBNF in 2015 are considered to be stable and the 1 associated with archaeological looting (Taylor 2016, pers. comm.). declining occurrence will be protected and recreational activities have been Summary of Factor C: We continue to through expanded fencing. Additional well documented in the past, but conclude that neither disease nor evidence that these conservation efforts current monitoring data suggest that the predation are threats to S. albopilosa. magnitude of these threats has have improved the status of S. D. The Inadequacy of Existing sufficiently decreased. Implementation albopilosa occurrences on the DBNF is Regulatory Mechanisms the large number of stable occurrences of the DBNF’s LRMP and specific (75) and the relatively high number of conservation actions such as fencing Populations of S. albopilosa within secure, self-sustaining occurrences (46) and sign placement have had a positive the DBNF are protected from damage observed by DBNF, KSNPC, and the effect on the species and have reduced and unauthorized taking by Federal Service. The 46 secure, self-sustaining the threat associated with recreational regulation (36 CFR 261.9). This occurrences exceed the number disturbance. The recovery goal of 40 regulation would apply regardless of identified in the recovery criteria to stable, self-sustaining, protected whether the species is listed because S. allow consideration of delisting. occurrences has been exceeded by 6, albopilosa would still be considered a Additional evidence that conservation and these trends have held for more sensitive, rare, or unique species on the actions have had a positive effect on the than 10 years. Because we expect that DBNF under this Federal regulation. species is the relatively low recreational the lands containing the 46 secure and However, the final listing rule (53 FR impacts observed by KSNPC (2010, pp. self-sustaining occurrences will remain 11612, April 7, 1988) identified 13–14) at the majority of DBNF permanently protected in Federal inadequate regulatory mechanisms as a occurrences. Recreational impacts have ownership and will be managed to threat to S. albopilosa because limited been assessed by KSNPC since the mid- maintain or improve current habitat manpower and the remoteness of many 1990s (White and Drozda 2006, pp. 124– conditions (see Service 2016, entire), we occurrences on the DBNF makes 125; KSNPC 2010, pp. 13–14). Their find that the present or threatened enforcement difficult. The DBNF has qualitative ranking scheme estimates the destruction, modification, or taken several steps to remedy this percent disturbance of available habitat curtailment of its habitat or range is no situation. As noted above, S. albopilosa and uses a scale of 1 (little or no impact) longer a threat to the continued receives management and protection to 5 (high impact, greater than 50 existence of S. albopilosa. through DBNF’s LRMP and its percent of available habitat disturbed) to conservation goals for the Cliffline produce a disturbance rank. Based on B. Overutilization for Commercial, Community Prescription Area. The recent evaluations by KSNPC (KSNPC Recreational, Scientific, or Educational National Forest Management Act 2010, 40 pp.; White pers. comm. 2014), Purposes (NFMA), and regulations and policies 70 occurrences (60 percent) are Both the final rule to list S. albopilosa implementing the NFMA are the main classified as low impact (rank of 1–2), as threatened (53 FR 11612, April 7, regulatory mechanisms that guide land 8 occurrences (7 percent) are classified 1988) and the Recovery Plan (Service management on the DBNF, which as medium impact (rank of 3), and 39 1993, p. 7) identified overutilization for contains 111 of the 117 extant occurrences (33 percent) are classified recreational purposes as a threat to the occurrences of S. albopilosa. Since as high impact (rank of 4–5). Overall, 67 species. However, while the use of listing, the DBNF has included S. percent of DBNF’s occurrences are habitat for recreational purposes, as albopilosa and its habitat in its resource considered to be exposed to low to discussed under Factor A, has impacted management plans. These plans are medium recreational impacts. KSNPC the species in the past, there is no required by the NFMA and the Federal (2010, p. 14) also noted that they did not evidence that the plant itself is or was Land Policy and Management Act of observe many new recreational impacts utilized for commercial, recreational, 1976. The NFMA requires revision of during their surveys in 2008 and 2009. scientific, or educational purposes. We, the Plans every 15 years; however, plans Most of the documented recreational therefore, discuss impacts from may be amended or revised as needed. impacts such as established trails, recreational use of habitat for S. Management plans are required to be in permanent structures within rock albopilosa under Factor A above. effect at all times (in other words, if the shelters (couches, chairs, fire pits), and Summary of Factor B: We conclude revision does not occur, the previous camp sites had been in place since that overutilization is not a threat to S. plan remains in effect) and to be in before S. albopilosa monitoring began in albopilosa. compliance with various Federal 1996 (KSNPC 2010, p. 14). regulations. We expect continued The six occurrences on privately C. Disease or Predation implementation of the LRMP and expect owned lands currently do not benefit The listing rule for S. albopilosa (53 that any future revisions will consider from any formal protection or FR 11612, April 7, 1988) did not conservation of S. albopilosa and its management and, therefore, could face identify disease or predation as a threat Cliffline Community habitats. higher magnitude threats (e.g., habitat to the species. Plants are occasionally Specific actions that DBNF has taken disturbance) than those located on the browsed by herbivores, such as white- under the LRMP include measures to DBNF. However, based on recent survey tailed deer (Odocoileus virginianus), reduce impacts of recreational activities results by KSNPC, all six of these wood rats (Neotoma spp.), and to S. albopilosa and its habitat as private occurrences have been ranked as caterpillars (Order Lepidoptera), but we discussed under Factor A. As discussed ‘‘stable,’’ and five of the six are have no information that grazing by above, these and other protection and considered to be self-sustaining (A-, these species represents a threat to the management actions taken by DBNF B-, or C-rank) (KSNPC 2010, p. 8). While species (Taylor 2016, pers. comm.). In under their LRMP (USFS 2004, pp. 1.1– these occurrences potentially could face 2014, the DBNF observed a rust fungus 1.10) have been successful at improving a greater level of threats, they currently on the leaves in one population, but the the status of the species. Monitoring

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results from these occurrences show were not considered to be an imminent The hemlock woolly adelgid that these efforts have had a positive threat to white-haired goldenrod, but (Adeleges tsugae), an aphid-like insect effect on the species. Specifically, the final listing rule identified the need that is native to Asia, has been disturbance from trampling, camping, for management planning that would identified as a potential threat to and rock climbing has been reduced in take into account the requirements of Solidago albopilosa because it has the these areas, and the number of stems the species to ensure its continued potential to severely damage stands of has increased. existence. eastern hemlocks (Tsuga canadensis) The species is listed as endangered by Some surveys and status assessments that occur near rock shelters and cliffs the State of Kentucky (KSNPC 2005), of Solidago albopilosa identified several occupied by the species (Service 2009b, but this designation conveys no legal potential threats under Factor E. These p. 2; KSNPC 2010, p. 15). The hemlock protection to occurrences located on included competition from invasive woolly adelgid was introduced in the private property. Consequently, plants, the loss of eastern hemlock Pacific Northwest during the 1920s and occurrences on privately owned land (Tsuga canadensis), low genetic has since spread throughout the eastern could face higher magnitude threats diversity and small population size, and United States, reaching Kentucky by (e.g., habitat disturbance) than those the effects of climate change (Service 2006. The species creates an extreme located on the DBNF. Based on recent 2009a, p. 9; Service 2009b, p. 2; KSNPC amount of damage to natural stands of survey results by KSNPC, however, only 2010, pp. 13–14). KSNPC (2010, p. 14) hemlock, specifically eastern hemlock 6 of 117 extant S. albopilosa reported several invasive plant species and Carolina hemlock (Tsuga occurrences (5 percent) are located on in habitats occupied by white-haired caroliniana). The Recovery action plan private land, and 5 of these occurrences goldenrod, but the most common (Service 2009b, p. 2) concluded that the have been ranked as ‘‘stable’’ (A-, B-, or species included Japanese stilt grass loss of eastern hemlock within the Red C-rank) by KSNPC (KSNPC 2010, p. 8). (Microstegium vimineum), princess tree River Gorge could result in Therefore, based on this greater than 10- (Paulownia tomentosa), Japanese microclimatic changes (increased light, year data set, the majority of private spiraea (Spiraea japonica), common decreased moisture, increased leaf litter) occurrences are also stable. chickweed (Stellaria media), and in and near rock shelters that may Summary of Factor D: Occurrences of common mullein (Verbascum thapsus). negatively affect white-haired S. albopilosa located on the DBNF Of the invasive plant species, Japanese goldenrod. Despite this potential threat, receive protection due to their location stilt grass was the most common KSNPC (2010, p. 15) demonstrated in on Federal property, and these species. It was observed growing in their evaluation that eastern hemlock occurrences are managed and protected direct competition with 23 S. albopilosa was actually a minor component of the under DBNF’s LRMP (USFS 2004, pp. occurrences. However, invasive species canopy surrounding rock shelters 1.1–1.10). This protected status and inhabited by the species. Consequently, management actions included in the were absent from 94 of 117 extant S. albopilosa occurrences (about 80 the eventual loss of eastern hemlocks LRMP will continue to provide adequate would not represent a significant change regulatory protection for these percent) and 53 of 81 stable occurrences (65 percent) (KSNPC 2010, p. 14; to the canopy surrounding these rock occurrences. Monitoring results show shelters and would, therefore, not Service 2014, pp. 1–6). For the 23 that DBNF’s management actions have represent a significant threat to the occurrences in direct competition with had a positive effect on the species. species. Specifically, disturbance from invasive plants, most (16 of 23 (70 Potential impacts that may be trampling, camping, and rock climbing percent)) were stable or increased over associated with low genetic variability has been reduced and the number of the 10-year monitoring period (KSNPC such as inbreeding depression, reduced stems has stabilized or increased. Based 2010, p. 14; Service 2014, pp. 1–6). fitness, or reduced adaptive capacity on the best available information for We do not have data that specifically (ability to respond to and adapt to both private and public lands address the effects of climate change changing conditions) have been occurrences, and the fact that existing with regard to invasive species identified as a potential threat to other regulatory mechanisms and associated attributes such as distribution or range listed plant species, but we have no management practices will continue on and the relation to white haired information suggesting that low genetic public lands, we conclude that existing goldenrod. There are some data showing variability affects S. albopilosa (53 FR regulatory mechanisms are adequate. that more common aggressive invasive 11614, April 7, 1988; Service 2009a, species like kudzu (Pueraria lobata) E. Other Natural or Manmade Factors entire; KSNPC 2010, 24 pp.). Esselman may expand into greater ranges due to and Crawford (1997, pp. 245–257) Affecting Its Continued Existence possible effects of climate change reported that S. albopilosa exhibits Other natural or manmade factors (Bradley et al. 2009). However, species genetic diversity both within and were first identified as a threat to like Japanese stilt grass are more recent between populations (genetic diversity Solidago albopilosa due to the species’ invaders to this area of the Southeast, is widely spread among populations, specialized habitats (sandstone rock and other than the data presented above, and populations are not genetically shelters and cliff habitats of the Red we do not have further information or homogenous). The highest level of River Gorge) and the perceived data that indicates competition from genetic diversity was observed within vulnerability of these habitats to any invasive plants will change in (as opposed to between) populations. physical or climatic change (52 FR significance as a threat to the species. Consequently, we do not believe that 13798, April 24, 1987; 53 FR 11612, Our current data suggest that Japanese the potential effects associated with low April 7, 1988). In the species’ final stilt grass is not a significant threat to S. genetic variability threaten the listing rule (53 FR 11612) published in albopilosa as 70 percent of occurrences continued existence of S. albopilosa 1988, the Service concluded that even in direct competition with Japanese stilt now or in the foreseeable future. minor changes in the surrounding forest grass were stable or increased over the Some Solidago albopilosa (e.g., loss of canopy trees) could impact last 10 years. Therefore, we do not occurrences may be more vulnerable to the species through drying, erosion, and believe that competition from invasive extirpation due to their small competition with sun-tolerant species. plants is a significant threat to the population size and poor estimated At the time, these potential changes species now or in the foreseeable future. viability. The low number of stems

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(typically less than 300), poor estimated National Climate Change Viewer precipitation (annual mean increase of viability, and high recreational impacts (NCCV), a climate-visualization Web 0.02–0.03 cm/day (+0.008–0.012 in/ associated with D-ranked occurrences site tool developed by the U.S. day)) relative to the period 1950–2005. make these occurrences more vulnerable Geological Survey (USGS) that allows Because the average annual increase in to stochastic events. Currently, 62 of the the user to visualize climate projections precipitation is predicted to be only species’ 117 extant occurrences (53 at the State, county, and watershed level slightly higher, the increased percent) are D-ranked. Even though (Adler and Hostetler 2013, entire; http:// evaporative deficit and the loss in these occurrences may be more www.usgs.gov/climate_landuse/clu_rd/ runoff, snowfall, and soil storage is vulnerable to extirpation, the overall nccv.asp). Initially, the viewer was primarily a result of higher maximum threat to the species is minimal because designed to provide information for and minimum temperatures. The most these occurrences contain less than 20 States and counties on projected dramatic shift is predicted for soil percent of the species’ total number of temperature and precipitation through storage, which will decrease stems. Additionally, a small population the 21st century. The viewer was significantly between mid-May and late size in and of itself is not indicative of expanded in 2014 to provide November relative to 1950–2005. being in danger of extinction, and this information on associated projected Despite the slight increase in predicted was likely never a naturally common or changes in snowpack, soil moisture, precipitation, the coincident warming abundant species. Some Solidago runoff, and evaporative deficit for U.S. means that habitats are unlikely to albopilosa occurrences may have always States and counties and for USGS maintain their current moisture status. had fewer plants in rock shelters with Hydrologic Units or watersheds as To evaluate the vulnerability of less favorable conditions (e.g., small simulated by a simple water-balance Solidago albopilosa to the effects of size, drier conditions). model. The model provides a way to climate change, we also used The Intergovernmental Panel on simulate the response of the water NatureServe’s Climate Change Climate Change (IPCC) concluded that balance to changes in temperature and Vulnerability Index (CCVI) (Young et al. warming of the climate system is precipitation in the climate models (30 2015, entire), a climate change model unequivocal (IPCC 2014, p. 3). Effects separate models developed by the that uses downscaled climate associated with changes in climate have National Aeronautic and Space predictions from tools such as Climate been observed including changes in Administration). Combining the climate Wizard (Givertz et al. 2009, entire) and arctic temperatures and ice, widespread data with the water balance data combines these with readily available changes in precipitation amounts, ocean provides further insights into the information about a species’ natural salinity, and wind patterns and aspects potential for climate-driven change in history, distribution, and landscape of extreme weather including droughts, water resources. The viewer uses tools circumstances to predict whether it will heavy precipitation, heat waves, and the such as climographs (plots of monthly likely suffer a range contraction and/or intensity of tropical cyclones (IPCC averages); histograms showing the population reductions due to the effects 2014, p. 4). Species that are dependent distribution or spread of model of climate change. The CCVI uses an on specialized habitat types, limited in simulations; monthly time series Excel platform that allows users to enter distribution, or at the extreme periphery spanning 1950–2099; and tables that numerical or categorical weighted of their range may be most susceptible summarize changes (and extremes) in responses to a series of questions about to the impacts of climate change (Byers temperature and precipitation during risk factors related to species exposure and Norris 2011, p. 17; Anacker and these periods. The application also and sensitivity to climate change. The Leidholm 2012, p. 2). However, while CCVI separates vulnerability into its two provides access to comprehensive, continued change is certain, the primary components: A species’ three-page summary reports for States, magnitude and rate of change is exposure to changes in climate within a counties, and watersheds. unknown in many cases. The magnitude particular assessment area and its and rate of change could be affected by Using the NCCV and assuming the inherent sensitivity to the effects of many factors (e.g., circulation patterns), more extreme Representative climate change. The tool gauges 20 but we have no additional information Concentration Pathways (RCP) scientifically documented factors and or data regarding these factors with greenhouse gas emission scenario (RCP indicators of these components, as well respect to white-haired goldenrod. 8.5), in which greenhouse gas emissions as documented responses to climate There is evidence that some terrestrial continue to rise unchecked through the change where they exist. plant populations have been able to end of the century leading to an While the Index calculates anticipated adapt and respond to changing climatic equivalent radiative forcing of 8.5 Watts increases or declines in populations of conditions (Franks et al. 2013, entire). m2, we calculated projected annual individual species, it also Both plastic (phenotypic change such as mean changes for maximum accommodates inherent uncertainties leaf size or phenology) and evolutionary temperature (+3.6 degrees Celsius (°C) about how species respond within their (shift in allelic frequencies) responses to (+6.5 degrees Fahrenheit (°F)), ecological contexts. The CCVI generated changes in climate have been detected. precipitation (+0.02–0.03 cm/day a vulnerability rating of ‘‘extremely Both can occur rapidly and often (+0.008–0.012 in/day)), runoff (¥0.25 vulnerable’’ to ‘‘highly vulnerable’’ for simultaneously (Franks et al. 2013, p. cm/month (¥0.1 in/month), snowfall white-haired goldenrod, suggesting that 135). Relatively few studies are (¥0.5 cm (¥0.2 in)), soil storage (¥2.5 the species’ abundance and/or range available, however, that (1) directly cm (¥1.0 in)), and evaporative deficit extent could change substantially or examine plant responses over time, (2) (+0.75 cm/month (+0.3 in/month)) for possibly disappear by 2050 (Young et al. clearly demonstrate adaptation or the the period 2050–2074 in Menifee, 2015, p. 44). Factors influencing the causal climatic driver of the responses, Powell, and Wolfe Counties (Adler and species’ high vulnerability were its poor or (3) use quantitative methods to Hostetler 2013, entire). Based on these movement/dispersal ability, its distinguish plastic versus evolutionary results, all three counties within the connection with uncommon geologic responses (Franks et al. 2013, p. 135). range of Solidago albopilosa will be features, and its unique hydrological To generate future climate projections subjected to higher maximum niche (humid, shaded rock shelters). across the range of white-haired temperatures (annual mean increase of Byers and Norris (2011, p. 16) goldenrod, one tool we used was the 3.6 °C (6.5 °F)) and slightly higher completed a CCVI for plants in an

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adjacent state, West Virginia, and are likely muted or diminished due to genetic variability, small population concluded that top risk factors included this species’ specific habitat conditions. size, and the effects of climate change poor dispersal ability, natural and Based on observations of climatic have been identified as potential threats anthropogenic barriers to dispersal, conditions over a period of 25 years to S. albopilosa. Invasive species occur dependence on wetland habitats, (KSNPC (2010, p. 13), there is some in only 23 of 117 extant occurrences, restriction to areas with unique geology, biological and historical evidence to and most of these occurrences (16) have and genetic bottlenecks (Byers and suggest that S. albopilosa is adapted to remained stable. We do not expect the Norris 2011, p. 16). endure some of the potential effects of loss of eastern hemlock to have a Although the CCVI model (Young et climate change, including more frequent significant impact on the species ° al. 2015, entire) suggested that Solidago droughts and an estimated 2.6–3.6 C because eastern hemlock is a minor ° albopilosa is greatly exposed and (4.7–6.5 F) increase in average annual component of the forest canopy sensitive to climate change and could be maximum temperature. Habitats within surrounding S. albopilosa occurrences. adversely affected in future years, the Red River Gorge often experience The potential effects of low genetic Anacker and Leidholm 2012 (pp. 16–17) multiyear droughts, and S. albopilosa diversity do not represent a threat as the noted that there are a number of occurrences can become stressed during species has relatively high genetic weaknesses associated with the CCVI: these periods. For example, the diversity. Small populations may be (1) It is weighted too heavily towards Cumberland Plateau region of Kentucky vulnerable to stochastic events, but direct exposure to climate change experienced a several-year drought prior these occurrences contain only a small (projected changes to future temperature to KSNPC’s 2008–2009 survey. These proportion of the species’ total number and precipitation conditions that have dry conditions continued during 2008, of stems. We do not consider climate high levels of uncertainties); (2) some and KSNPC observed many drought- change to be an imminent threat based important plant attributes are missing stressed occurrences. The following year on the species’ current status, its (mating system and pollinator (2009) was relatively wet, and several of demonstrated resiliency to periods of specificity); (3) it is very difficult to these drought-stressed occurrences drought, and our uncertainty regarding complete scoring for a given species quickly improved (KSNPC 2010, p. 13). the species’ vulnerability to the effects because some information is simply Despite this most recent dry period and of climate change. Based on all these lacking; and (4) some scoring guidelines others in the past, the species has factors, we find that other natural or are too simplistic (Anacker and demonstrated a resiliency to prolonged manmade factors considered here are no periods of drought. Although Leidholm (2012, pp. 16–17). longer a significant threat to S. downscaling models exist at the county Topographic complexity was considered albopilosa. level (Alder and Hostetler 2013), we do to be a potential complementary factor not have data at the proper scale (inside Overall Summary of Factors Affecting in assessing vulnerability to climate rock shelters or in cliff overhangs) to White-Haired Goldenrod change (Anacker and Leidholm 2012, determine, for example, how the species The primary factors that led to white- pp. 12–16). Topographically complex is affected by decreased relative haired goldenrod’s listing under the Act areas, such as the Red River Gorge humidity during a drought year, but were its limited range and habitat region, have been predicted to be less periodic drought may be a normal threats associated with ground vulnerable to the effects of climate cyclical event needed to increase disturbance and trampling caused by change (Anacker and Leidholm 2012, production. The shaded, cooler, and unlawful archaeological activities and pp. 15–16), so species such as Solidago more humid environment of rock recreational activities such as camping, albopilosa may also be less vulnerable shelters (Nieves and Day 2014, p. 7) and hiking, and rock climbing. Other factors to such effects as compared to plants the topographic complexity of the Red included the inadequate protection of that occur in areas with low topographic River Gorge region (Anacker and occurrences on the DBNF and potential complexity. Leidholm 2012, pp. 15–16) may offer minor vegetational changes in forests Additionally, Phillips (2010, entire) some relief from drying and may surrounding Solidago albopilosa found that efforts to predict responses to contribute to the species’ ability to occurrences. We have carefully assessed climate change and to interpret both survive these conditions. the best scientific and commercial modern and paleoclimate indicators are Although climate change is almost information available regarding the influenced by several levels of potential certain to affect terrestrial habitats in the threats faced by white-haired goldenrod. amplifiers, which can either increase or Red River Gorge region of Kentucky These threats have been removed or exaggerate climate impacts, and/or (Adler and Hostetler 2013, entire), there ameliorated by conservation actions of filters, which reduce or mute impacts. is uncertainty about the specific effects multiple conservation partners for more He notes that climate forcings (factors of climate change on white-haired than 20 years. These activities and other that drive or ‘‘force’’ the climate system goldenrod. Currently, we have no management actions included in the to change such as the energy output of evidence that climate change effects DBNF’s LRMP (USFS 2004, pp. 3.5–3.8) the sun, volcanic eruptions, or changes observed to date have had any adverse have assisted in recovery of the species in greenhouse gases) are partly mediated impact on S. albopilosa or its habitats, as reflected in the large number of by ecological, hydrological, and other and we are uncertain about how stable, self-sustaining, protected processes that may amplify or filter projected future changes in temperature, occurrences (46), and the long period impacts on surface processes and precipitation, and other factors will (greater than 11 years) during which this landforms. For example, resistance or influence the species. However, the best trend has been maintained. resilience of geomorphic systems may available information indicates that the Furthermore, a new cooperative minimize the effects of changes. Thus, effects of climate change do not management agreement among the a given geomorphic response to climate represent an imminent threat now or in Service, DBNF, and KSNPC was signed could represent amplification and/or the foreseeable future. on August 29, 2016, and will provide for filtering (Phillips 2010, p. 571). Due to Summary of Factor E: Other potential the long-term protection of the species. white-haired goldenrod’s habitat threats such as minor vegetational Based on our assessment of factors specificity in rock shelters and cliff changes in the surrounding forest, potentially impacting the species and its overhangs, the effects of climate change competition with invasive species, low habitat, the species’ improved status (a

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sufficient number of viable magnitude that threaten the continued at the time the Service makes any occurrences), and multiple conservation existence of the species. Significant particular status determination. efforts by the Service and its partners, impacts at the time of listing that could The procedure for analyzing whether we conclude that Solidago albopilosa is have resulted in the extirpation of all or any portion is an SPR is similar, not in danger of extinction throughout parts of populations have been regardless of the type of status all of its range or likely to become eliminated or reduced since listing, and determination we are making. The first endangered within the foreseeable we do not expect any of these step in our analysis of the status of a future throughout all of its range. conditions to substantially change post- species is to determine its status throughout all of its range. If we Determination delisting and into the foreseeable future. We conclude that the previously determine that the species is in danger Section 4 of the Act (16 U.S.C. 1533), recognized impacts to Solidago of extinction, or likely to become and its implementing regulations at 50 albopilosa from the present or endangered in the foreseeable future CFR part 424, set forth the procedures threatened destruction, modification, or throughout all of its range, we list the for adding species to and removing curtailment of its habitat or range species as an endangered species or species from the Federal Lists of (Factor A), the inadequacy of regulatory threatened species and no SPR analysis Endangered and Threatened Wildlife mechanisms (Factor D), and minor will be required. If the species is neither and Plants. An assessment of the need vegetational changes in the surrounding in danger of extinction nor likely to for a species’ protection under the Act forest (Factor E), have been ameliorated become so throughout all of its range, as is based on whether a species is in or reduced such that S. albopilosa is no we have found here, we next determine danger of extinction or likely to become whether the species is in danger of longer in danger of extinction so because of any of five factors as extinction or likely to become so throughout all of its range or likely to required by section 4(a)(1) of the Act. throughout a significant portion of its become endangered within the We conducted a review of the status of range. If it is, we will continue to list the foreseeable future throughout all of its this species and assessed the five factors species as an endangered species or range. We, therefore, conclude that S. to evaluate whether Solidago albopilosa threatened species, respectively; if it is is endangered or threatened throughout albopilosa does not meet the definition not, we conclude that listing the species all of its range. We examined the best of a threatened species, nor is it likely is no longer warranted. scientific and commercial information to become so in the foreseeable future. When we conduct an SPR analysis, available regarding the past, present, Significant Portion of the Range we first identify any portions of the and future threats faced by Solidago Analysis species’ range that warrant further albopilosa and its habitat. We reviewed consideration. The range of a species the information available in our files Background can theoretically be divided into and other available published and portions in an infinite number of ways. unpublished information, and we Under the Act and our implementing However, there is no purpose in consulted with recognized experts and regulations, a species may warrant analyzing portions of the range that other Federal and State agencies. listing if it is in danger of extinction or have no reasonable potential to be In considering what factors might likely to become so throughout all or a significant or in analyzing portions of constitute threats, we must look beyond significant portion of its range. Having the range in which there is no the mere exposure of the species to the determined that Solidago albopilosa is reasonable potential for the species to be factor to determine whether the not endangered or threatened endangered or threatened. To identify exposure causes actual impacts to the throughout all of its range, we next only those portions that warrant further species. If there is exposure to a factor, consider whether there are any consideration, we determine whether but no response, or only a positive significant portions of its range in which substantial information indicates that: response, that factor is not a threat. If Solidago albopilosa is in danger of (1) The portions may be ‘‘significant’’ there is exposure and the species extinction or likely to become so. We and (2) the species may be in danger of responds negatively, the factor may be published a final policy interpreting the extinction there or likely to become so a threat and we then attempt to phrase ‘‘Significant Portion of its within the foreseeable future. determine how significant the threat is. Range’’ (SPR) (79 FR 37578; July 1, Depending on the biology of the species, If the threat is significant, it may drive, 2014). In pertinent part, the final policy its range, and the threats it faces, it or contribute to, the risk of extinction of states that (1) if a species is found to be might be more efficient for us to address the species such that the species endangered or threatened throughout a the significance question first or the warrants listing as endangered or significant portion of its range, the status question first. Thus, if we threatened as those terms are defined by entire species is listed as endangered or determine that a portion of the range is the Act. This determination does not threatened, respectively, and the Act’s not ‘‘significant,’’ we do not need to necessarily require empirical proof of a protections apply to all individuals of determine whether the species is threat. The combination of exposure and the species wherever found; (2) a endangered or threatened there; if we some corroborating evidence of how the portion of the range of a species is determine that the species is not species is likely impacted could suffice. ‘‘significant’’ if the species is not endangered or threatened in a portion of The mere identification of factors that currently endangered or threatened its range, we do not need to determine could impact a species negatively is not throughout all of its range, but the if that portion is ‘‘significant.’’ In sufficient to compel a finding that portion’s contribution to the viability of practice, a key part of the determination listing is appropriate; we require the species is so important that, without that a species is in danger of extinction evidence that these factors are operative the members in that portion, the species in a significant portion of its range is threats that act on the species to the would be in danger of extinction, or whether the threats are geographically point that the species meets the likely to become so in the foreseeable concentrated in some way. If the threats definition of an endangered species or future, throughout all of its range; and to the species are affecting it uniformly threatened species under the Act. (3) the range of a species is considered throughout its range, no portion is likely During our analysis, we did not to be the general geographical area to have a greater risk of extinction, and identify any factors that reach a within which that species can be found thus would not warrant further

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consideration. Moreover, if any range. The currently occupied range of (but all 6 have been shown to be stable, concentration of threats apply only to S. albopilosa encompasses and 5 have been shown to be self- portions of the range that clearly do not approximately 114 km2 (44 mi2) in sustaining). These occurrences were meet the biologically based definition of Menifee, Powell, and Wolfe Counties, discussed above. ‘‘significant’’ (i.e., the loss of that KY. Based on examination of The remaining 65 occurrences are on portion clearly would not be expected to information on the biology and life DBNF land, and thus protected, but increase the vulnerability to extinction history of the species, we determined currently are not considered self- of the entire species), those portions that there are no separate areas of the sustaining. Some of these occurrences would not warrant further range that are significantly different have a status of declining or their status consideration. We emphasize that from others or that are likely to be of is unknown, while others are answering these questions in the greater biological or conservation considered not self-sustaining primarily affirmative is not a determination that importance than any other areas. due to poor estimated viability and low the species is endangered or threatened We next examined whether any number of stems observed. These throughout a significant portion of its threats are geographically concentrated occurrences could be at greater risk of range—rather, it is a step in determining in some way that would indicate the extinction due to vulnerability to whether a more detailed analysis of the species could be in danger of extinction, demographic and environmental issue is required. or likely to become so, in that area. stochasticity because of their smaller If we identify any portions that may Through our review of potential threats, population sizes. These 65 occurrences, be both (1) significant and (2) we identified some areas where along with the 6 occurrences on private endangered or threatened, we engage in Solidago albopilosa may experience lands, account for the remaining 25 a more detailed analysis to determine greater threats or a greater likelihood of percent of the total stems estimated to whether these standards are indeed met. extirpation and, therefore, may be in exist in 2013. The threats to these The identification of an SPR does not danger of extinction or likely to become occurrences from recreational activities create a presumption, prejudgment, or so in those areas. These include are being managed and are not different other determination as to whether the occurrences on private lands and from the threats affecting the 46 secure, species in that identified SPR is occurrences that are not currently self-sustaining occurrences. endangered or threatened. We must go considered self-sustaining. The majority Because these 46 occurrences exhibit through a separate analysis to determine (94.8 percent) of Solidago albopilosa stable or increasing trends, contain a whether the species is endangered or occurrences are now located on DBNF relatively high number of stems, have threatened in an SPR. To determine and benefit from management and fair to excellent viability, and exhibit whether a species is endangered or conservation actions implemented relatively high reproductive rates, we threatened throughout an SPR, we will under the LRMP. The remaining (6 of expect these occurrences to persist into use the same standards and the 117) extant occurrences are located the future. While most of the remaining methodology that we use to determine on private lands. As explained above, occurrences also receive protections and if a species is endangered or threatened these occurrences currently do not are not at immediate risk of extirpation, throughout its range. benefit from any formal protection or their lower population sizes and poorer Depending on the biology of the management and, therefore, could face viability put them at a greater risk of species, its range, and the threats it higher magnitude threats. While these extirpation. However, while these faces, it may be more efficient to address occurrences do not receive any formal occurrences may have a greater the ‘‘significant’’ question first, or the protection, five of the six occurrences potential to become extirpated due to status question first. Thus, if we are considered to be stable and self- demographic or environmental determine that a portion of the range is sustaining, indicating a low level of stochasticity, the loss of some or all of not ‘‘significant,’’ we do not need to current impacts to those occurrences. those occurrences would not cause the determine whether the species is Although the occurrences on private species in the remainder of its range to endangered or threatened there; if we lands could face greater threats in the be in danger of extinction or likely to determine that the species is not future due to lack of formal protections, become so. endangered or threatened in a portion of these occurrences represent only 5 In conclusion, we have determined its range, we do not need to determine percent of extant occurrences and a very that none of the existing or potential if that portion is ‘‘significant.’’ small proportion of the range of the threats, either alone or in combination with others, are likely to cause S. SPR Analysis for White-Haired species. Additionally, even if future albopilosa to be in danger of extinction Goldenrod potential threats were to cause the loss of these occurrences, that loss would throughout all or a significant portion of Applying the process described not appreciably reduce the long-term its range, nor is it likely to become above, in considering delisting S. viability of the species, much less cause endangered within the foreseeable albopilosa, we evaluated the range of the species in the remainder of its range future throughout all or a significant this plant to determine if any areas to be in danger of extinction or likely to portion of its range. On the basis of this could be considered a significant become so. evaluation, we conclude S. albopilosa portion of its range. While there is some We also evaluated whether the no longer requires the protection of the variability in the habitats occupied by S. occurrences that are not considered self- Act, and remove S. albopilosa from the albopilosa across its range, the basic sustaining could be considered a Federal List of Endangered and ecological components required for the significant portion of the species’ range. Threatened Plants (50 CFR 17.12 (h)). species to complete its life cycle (e.g., We have determined that 46 secure and adequate sunlight, shade, moisture, self-sustaining occurrences presently are Conservation Measures soils) are present throughout the distributed throughout the species’ Section 4(g)(1) of the Act requires us, habitats occupied by the species. No range, which accounted for more than in cooperation with the States, to specific location within the current 75 percent of the total stems estimated implement a monitoring program for not range of the species provides a unique to exist in 2013. Of the remaining 71 less than 5 years for all species that have or biologically significant function that extant occurrences, the 6 occurrences on been delisted due to recovery. Post- is not found in other portions of the private lands are not considered secure delisting monitoring (PDM) refers to

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activities undertaken to verify that a Kentucky Fish and Wildlife Office’s interests are affected by this rulemaking species that has been delisted due to Web site (http://www.fws.gov/frankfort). action. recovery remains secure from the risk of Effects of the Rule References Cited extinction after the protections of the Act no longer apply. The primary goal This final rule revises 50 CFR 17.12 A complete list of all references cited of PDM is to ensure that the species’ by removing Solidago albopilosa from in this final rule is available at http:// status does not deteriorate, and if a the Federal List of Endangered and www.regulations.gov at Docket No. decline is detected, to take measures to Threatened Plants. Therefore, as of the FWS–R4–ES–2014–0054, or upon halt the decline so that proposing it as effective date of this rule (see DATES), request from the Kentucky Fish and threatened or endangered is not again the prohibitions and conservation Wildlife Office (see ADDRESSES). needed. If, at any time during the measures provided by the Act, monitoring period, data indicate that particularly through sections 7 and 9, no Authors protective status under the Act should longer apply to white-haired goldenrod. The primary author of this rule is Dr. be reinstated, we can initiate listing Removal of S. albopilosa from the Michael A. Floyd in the Service’s procedures, including, if appropriate, Federal List of Endangered and Kentucky Fish and Wildlife Service emergency listing under section 4(b)(7) Threatened Plants relieves Federal Office (see ADDRESSES and FOR FURTHER of the Act. At the conclusion of the agencies from the need to consult with INFORMATION CONTACT). monitoring period, we will review all us under section 7 of the Act. available information to determine if List of Subjects in 50 CFR Part 17 Required Determinations relisting, the continuation of Endangered and threatened species, monitoring, or the termination of National Environmental Policy Act Exports, Imports, Reporting and monitoring is appropriate. We have determined that recordkeeping requirements, Post-Delisting Monitoring (PDM) Plan environmental assessments and Transportation. Overview environmental impact statements, as defined under the authority of the Regulation Promulgation In August 2016, the Service finalized National Environmental Policy Act of a final PDM plan in cooperation with Accordingly, we amend part 17, 1969 (42 U.S.C. 4321 et seq.), need not DBNF and KSNPC (Service 2016, subchapter B of chapter I, title 50 of the be prepared in connection with entire). The Plan: Code of Federal Regulations, as follows: (1) Summarizes the species’ status at regulations pursuant to section 4(a) of PART 17—[AMENDED] the time of delisting; the Act. We published a notice outlining (2) Defines thresholds or triggers for our reasons for this determination in the ■ potential monitoring outcomes and Federal Register on October 25, 1983 1. The authority citation for part 17 conclusions; (48 FR 49244). continues to read as follows: (3) Lays out frequency and duration of Government-to-Government Authority: 16 U.S.C. 1361–1407; 1531– monitoring; Relationship With Tribes 1544; 4201–4245, unless otherwise noted. (4) Articulates monitoring methods including sampling considerations; In accordance with the President’s § 17.12 [Amended] (5) Outlines data compilation and memorandum of April 29, 1994, ■ 2. Amend § 17.12(h) by removing the reporting procedures and ‘‘Government-to-Government Relations entry for ‘‘Solidago albopilosa’’ under responsibilities; and with Native American Tribal ‘‘FLOWERING PLANTS’’ from the List (6) Provides a post-delisting Governments’’ (59 FR 22951), Executive of Endangered and Threatened Plants. monitoring implementation schedule Order 13175, and the Department of the including timing and responsible Interior’s manual at 512 DM 2, we Dated: September 28, 2016. parties. readily acknowledge our responsibility Stephen Guertin, We will post the final PDM plan and to communicate meaningfully with Acting Director, U.S. Fish and Wildlife any future revisions if necessary on our recognized Federal Tribes on a Service. national Web site (http:// government-to-government basis. We [FR Doc. 2016–24249 Filed 10–7–16; 8:45 am] endangered.fws.gov) and on the have determined that no tribal lands or BILLING CODE 4310–55–P

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Proposed Rules Federal Register Vol. 81, No. 196

Tuesday, October 11, 2016

This section of the FEDERAL REGISTER ADDRESSES: You may submit comments, retrospective review. On June 6, 2011, contains notices to the public of the proposed identified by docket number DHS– DHS published a notice of availability; issuance of rules and regulations. The 2016–0072, through the Federal request for comments announcing the purpose of these notices is to give interested eRulemaking Portal: http:// availability of, and seeking comment on, persons an opportunity to participate in the www.regulations.gov. Follow the rule making prior to the adoption of the final its Preliminary Plan for the rules. instructions for submitting comments. Retrospective Review of Existing FOR FURTHER INFORMATION CONTACT: Regulations. 76 FR 32331. DHS Charlotte Skey, Senior Regulatory considered this public input as it DEPARTMENT OF HOMELAND Economist, Office of the General developed a Final Plan. SECURITY Counsel, U.S. Department of Homeland On August 22, 2011, DHS issued its Security. Email: Regulatory.Review@ Final Plan for the Retrospective Review 6 CFR Chapter I dhs.gov. of Existing Regulations (Final Plan or SUPPLEMENTARY INFORMATION: 8 CFR Chapter I DHS Final Plan). The DHS Final Plan is I. Public Participation available online at http://www.dhs.gov/ xlibrary/assets/dhs-ogc-final- 19 CFR Chapter I Interested persons are invited to comment on this notice by submitting retrospective-review-plan-8-22-11- 33 CFR Chapter I written data, views, or arguments using final.pdf. The Final Plan established a the method identified in the ADDRESSES process for identifying regulations that 44 CFR Chapter I section. may be obsolete, unnecessary, Instructions: All submissions must unjustified, excessively burdensome, or 46 CFR Chapters I and III include the agency name and docket counterproductive. Under the Final number for this notice. All comments Plan, DHS (and/or a DHS component) 49 CFR Chapter XII received will be posted without change will publish a notice in the Federal to http://www.regulations.gov. Register every three years seeking [Docket No. DHS–2016–0072] Docket: For access to the docket to public input regarding the regulations read background documents or that should be subject to retrospective Retrospective Review of Existing comments, go to http:// review. DHS published its previous Regulations—A Focus on Burden www.regulations.gov. Federal Register notice seeking such Reduction; Request for Public Input II. Background public input on February 26, 2014. 79 FR 10760. Today’s notice, which AGENCY: Office of the General Counsel, On January 18, 2011, the President DHS. requests nominations for existing issued E.O. 13563, ‘‘Improving significant DHS regulations that DHS ACTION: Notice of Retrospective Review Regulation and Regulatory Review,’’ to should streamline or repeal, fulfills the Initiative and request for comments. ensure that Federal regulations seek DHS commitment to seek public input more affordable, less intrusive means to via the Federal Register on a three-year SUMMARY: The Department of Homeland achieve policy goals and that agencies cycle. Security (Department or DHS) is seeking give careful consideration to the benefits comments from the public on specific and costs of those regulations. 76 FR DHS continually evaluates its existing significant DHS regulations that 3821. The Executive Order required regulatory program for rules that are the Department should consider as each Executive Branch agency to candidates for retrospective review; candidates for streamlining or repeal. develop a preliminary plan to DHS does so through legally mandated These efforts will help us ensure that periodically review its existing retrospective review requirements (e.g., DHS satisfies its statutory obligations regulations to determine whether any Unified Agenda reviews, and reviews and achieves its regulatory objectives regulations should be modified, under section 610 of the Regulatory without imposing unwarranted costs. streamlined, expanded, or repealed so Flexibility Act) and through other DHS is seeking this input pursuant to as to make the agency’s regulatory informal and long-established the process identified in DHS’s Final program more effective or less mechanisms (e.g., use of Advisory Plan for the Retrospective Review of burdensome in achieving its regulatory Councils, feedback from DHS field Existing Regulations. According to the objectives. personnel, input from internal working Final Plan, DHS will initiate its DHS’s approach to conducting groups, and outreach to regulated retrospective review process, on a three- retrospective review focuses on public entities). This Federal Register notice year cycle, by seeking input from the openness and transparency and on the supplements these existing extensive public. Input that will be most helpful critical role of public input in DHS retrospective review efforts.1 to DHS is input that identifies specific conducting retrospective review. To that regulations and includes actionable data end, DHS published a notice and supporting the nomination of specific 1 Twice a year, DHS posts a progress report on the request for comments in the Federal DHS Web site; the report provides the status of DHS regulations for retrospective review. Register on March 14, 2011. 76 FR regulations currently under retrospective review. DATES: Written comments are requested 13526. In that notice, DHS solicited DHS published its most recent progress report in July 2016, and the report is available on the DHS on or before November 10, 2016 Late- public input on how DHS should Web site at http://www.dhs.gov/latest-progress filed comments will be considered to structure its retrospective review and under ‘‘DHS July 2016 Retrospective Review Plan the extent practicable. which DHS rules would benefit from Report.’’

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II. DHS’s Regulatory Responsibility DHS Final Plan provides instruction on (1) Are there regulations that simply DHS’s mission is to ensure a the type of feedback that is most useful make no sense or have become homeland that is safe, secure, and to the Department. unnecessary, ineffective, or ill-advised resilient against terrorism and other DHS will afford significantly greater weight and, if so, what are they? Are there hazards. The Department carries out its to feedback that identifies specific regulations that can simply be repealed mission through the Office of the regulations, includes actionable data, or without impairing the Department’s Secretary and its components, including provides viable alternatives that meet regulatory programs and, if so, what are statutory obligations and regulatory they? the following operational components: objectives. Feedback that simply states that a U.S. Citizenship and Immigration stakeholder feels strongly that DHS should (2) Are there regulations that have Services, U.S. Coast Guard, U.S. change a regulation, but does not contain become outdated and, if so, how can Customs and Border Protection, Federal specific information on how the proposed DHS modernize them to accomplish our Emergency Management Agency, U.S. change would impact the costs and benefits regulatory objectives at a lower cost? Immigration and Customs Enforcement, of the regulation, is much less useful to DHS. U.S. Secret Service, and Transportation DHS is looking for new information and new (3) Are there regulations that are still Security Administration. economic data to support any proposed necessary, but have not operated as well Leading a unified national effort, DHS changes. [emphasis added] as expected such that a modified, has five core missions: (1) Prevent We highlight a few of those points stronger, or slightly different approach terrorism and enhance security; (2) here, noting that comments that will be is justified? secure and manage our borders; (3) most useful to DHS are those that are (4) Does the Department currently enforce and administer our immigration guided by the below principles. collect information that it does not need laws; (4) safeguard and secure Commenters should consider these or use effectively to achieve regulatory cyberspace; and (5) ensure resilience to principles as they answer and respond objectives? disasters. To further these areas, DHS to the questions in this notice. • has responsibility for a broad range of For this notice, DHS is focusing on (5) Are there regulations that are regulations. For example, to secure and reducing the burdens of its regulations unnecessarily complicated or that DHS manage our borders, DHS regulates and is not seeking comment on actions could streamline to achieve regulatory people and goods entering and exiting that might increase the net cost of the objectives in more efficient ways? If so, DHS regulatory program. how can DHS make them less the United States. DHS, to combat • terrorism, regulates aviation security, Commenters should identify, with complicated and/or more streamlined? high-risk chemical facilities, and specificity, the regulation at issue, (6) Are there regulations that have infrastructure protection. DHS also providing the Code of Federal been overtaken by technological issues regulations to administer Regulations (CFR) cite where available. developments? Can DHS leverage new • Commenters should provide, in as immigration and citizenship benefits as technologies to streamline or do away much detail as possible, an explanation well as regulations covering maritime why a regulation should be streamlined with existing regulatory requirements? safety and environmental protection. or repealed in order to reduce burdens, (7) Are there any Departmental Finally, DHS promulgates a wide range as well as specific suggestions of ways regulations that are not tailored to of regulations concerning disaster the Department can better achieve its impose the least burden on society, preparedness, response, and recovery. regulatory objectives. consistent with achieving statutory III. Request for Input • Commenters should provide obligations and regulatory objectives? specific data that document the costs, A. Importance of Public Feedback (8) How can the Department best burdens, and benefits of existing obtain and consider accurate, objective A central tenet of the DHS Final Plan requirements. Commenters might also information and data about the costs, is the critical and essential role of address how DHS can best obtain and public input in driving and focusing burdens, and benefits of existing consider accurate, objective information regulations? Are there existing sources DHS retrospective review. Because the and data about the costs, burdens, and of data the Department can use to impacts and effects of a regulation tend benefits of existing regulations and evaluate the post-promulgation effects to be widely dispersed in society, whether there are existing sources of of regulations over time? members of the public—especially the data that DHS can use to evaluate the regulated entities of rulemakings—are post-promulgation effects of its (9) Are there regulations that are likely to have useful information, data, regulations over time. working well that minimize burden and and perspectives on the benefits and • Particularly where comments relate that DHS can use as a model for other burdens of existing DHS regulations. to a rule’s costs or benefits, comments DHS regulatory programs? Given this importance of public input, will be most useful if there are data and (10) Are there any regulations that the primary factor for regulation experience under the rule available to create difficulty because of duplication, selection in DHS retrospective review is ascertain the rule’s actual impact. For overlap, or inconsistency of public feedback. that reason, we encourage the public to requirements? emphasize those rules that have been in B. Maximizing the Value of Public The Department issues this notice Feedback effect for a sufficient amount of time to warrant a fair evaluation. solely for information and program This notice contains a list of • Comments that rehash debates over planning purposes. Responses to this questions, the answers to which will recently issued rules will be less useful. notice do not bind DHS to any further assist DHS in identifying those actions related to the response. regulations that may be streamlined or C. List of Questions for Commenters repealed in order to reduce burden. DHS We provide the below nonexhaustive Christina E. McDonald, encourages public comment on these list of questions to assist members of the Associate General Counsel for Regulatory questions and seeks any other data public in the formulation of comments, Affairs. commenters believe are relevant to and we do not intend it to restrict the [FR Doc. 2016–24344 Filed 10–7–16; 8:45 am] DHS’s retrospective review efforts. The issues that commenters may address: BILLING CODE 9110–9B–P

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DEPARTMENT OF TRANSPORTATION Spain; telephone: +34 91 585 55 84; fax: Model C–212 airplanes. The MCAI +34 91 585 31 27; email: states: Federal Aviation Administration [email protected]. Occurrences were reported of finding a You may view this referenced service damaged and cracked rudder torque tube 14 CFR Part 39 information at the FAA, Transport shaft, Part Number (P/N) 212–46237–01. [Docket No. FAA–2016–9187; Directorate Airplane Directorate, 1601 Lind Avenue Subsequent investigation determined that this damage occurred after parking of the Identifier 2016–NM–032–AD] SW., Renton, WA. For information on the availability of this material at the aeroplane during a heavy wind gust, without RIN 2120–AA64 FAA, call 425–227–1221. having set the flight control surfaces in locked position. Airworthiness Directives; Airbus Examining the AD Docket This condition, if not detected and corrected, could lead to structural failure of Defense and Space S.A. (Formerly You may examine the AD docket on Known as Construcciones the affected rudder torque tube shaft, the Internet at http:// possibly resulting in reduced control of the Aeronauticas, S.A.) Airplanes www.regulations.gov by searching for aeroplane. AGENCY: Federal Aviation and locating Docket No. FAA–2016– To address this potential unsafe condition, Administration (FAA), DOT. 9187; or in person at the Docket EADS–CASA issued Alert Operators Management Facility between 9 a.m. Transmission (AOT) AOT–C212–27–0001 to ACTION: Notice of proposed rulemaking and 5 p.m., Monday through Friday, provide inspection instructions, and Service (NPRM). except Federal holidays. The AD docket Bulletin (SB) SB–212–27–0058 providing modification instructions. SUMMARY: We propose to adopt a new contains this proposed AD, the For the reasons described above, this airworthiness directive (AD) for all regulatory evaluation, any comments [EASA] AD requires repetitive inspections of Airbus Defense and Space S.A. Model received, and other information. The the affected rudder torque tube shaft, and C–212 airplanes. This proposed AD was street address for the Docket Operations introduces an optional modification prompted by multiple reports of office (telephone: 800–647–5527) is in [replacement], which constitutes terminating action for those repetitive inspections. damaged and cracked rudder torque the ADDRESSES section. Comments will tube shafts. This proposed AD would be available in the AD docket shortly This proposed AD would require require repetitive general visual and after receipt. repetitive general visual and HFEC high frequency eddy current (HFEC) FOR FURTHER INFORMATION CONTACT: inspections of the inner rudder torque inspections of the inner rudder torque Shahram Daneshmandi, Aerospace tube shaft for cracks, deformation, and tube shaft for cracks, deformation, and Engineer, International Branch, ANM– damage; repetitive detailed inspections, damage; repetitive detailed inspections, 116, Transport Airplane Directorate, and HFEC inspections if necessary, of and HFEC inspections if necessary, of FAA, 1601 Lind Avenue SW., Renton, the inner and outer rudder torque tube the inner and outer rudder torque tube WA 98057–3356; telephone: 425–227– shaft for cracks, deformation, and shaft for cracks, deformation, and 1112; fax: 425–227–1149. damage; a general visual inspection to damage; and corrective actions if SUPPLEMENTARY INFORMATION: verify rudder alignment if necessary; and corrective actions if necessary. necessary. This proposed AD also Comments Invited provides a modification which Repetitive inspections are done terminates the repetitive inspections. We invite you to send any written depending on conditions (wind We are proposing this AD to detect and relevant data, views, or arguments about conditions, gust lock engagement, and correct damaged and cracked rudder this proposed AD. Send your comments rudder deviation) identified in Airbus torque tube shafts, which could lead to to an address listed under the Defense & Space Alert Operators structural failure of the affected rudder ADDRESSES section. Include ‘‘Docket No. Transmission AOT–C212–27–0001, torque tube shaft and possible reduced FAA–2016–9187; Directorate Identifier dated July 15, 2015. Damage may control of the airplane. 2016–NM–032–AD’’ at the beginning of include bulging, dents, peeled paint, or your comments. We specifically invite visible corrosion. Corrective actions DATES: We must receive comments on comments on the overall regulatory, include replacement of the rudder this proposed AD by November 25, economic, environmental, and energy torque tube shaft with a new rudder 2016. aspects of this proposed AD. We will torque tube shaft and repair. The ADDRESSES: You may send comments, consider all comments received by the optional terminating action includes using the procedures found in 14 CFR closing date and may amend this replacement of the rudder torque tube 11.43 and 11.45, by any of the following proposed AD based on those comments. shaft with an improved rudder torque methods: We will post all comments we tube shaft. You may examine the MCAI • Federal eRulemaking Portal: Go to receive, without change, to http:// in the AD docket on the Internet at http://www.regulations.gov. Follow the www.regulations.gov, including any http://www.regulations.gov by searching instructions for submitting comments. personal information you provide. We for and locating Docket No. FAA–2016– • Fax: 202–493–2251. will also post a report summarizing each 9187. • Mail: U.S. Department of substantive verbal contact we receive Transportation, Docket Operations, M– about this proposed AD. Related Service Information Under 1 30, West Building Ground Floor, Room CFR Part 51 Discussion W12–140, 1200 New Jersey Avenue SE., We reviewed the following EADS Washington, DC 20590. The European Aviation Safety Agency CASA service information. • Hand Delivery: Deliver to Mail (EASA), which is the Technical Agent • EADS CASA Service Bulletin SB– address above between 9 a.m. and 5 for the Member States of the European 212–27–0058, dated April 25, 2014. p.m., Monday through Friday, except Union, has issued EASA 2016–0052, This service information describes Federal holidays. dated March 14, 2016 (referred to after procedures for replacement of the For service information identified in this as the Mandatory Continuing rudder torque tube shaft with an this NPRM, contact Airbus Defense and Airworthiness Information, or ‘‘the improved rudder torque tube shaft. Space, Services/Engineering Support, MCAI’’), to correct an unsafe condition • Airbus Defense & Space Alert Avenida de Arago´n 404, 28022 Madrid, for all Airbus Defense and Space S.A. Operators Transmission AOT–C212–27–

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0001, dated July 15, 2015. This service have access to it through their normal referenced above. We are proposing this information describes procedures for course of business or by the means AD because we evaluated all pertinent general visual and HFEC inspections of identified in the ADDRESSES section. information and determined an unsafe the inner rudder torque tube shaft for FAA’s Determination and Requirements condition exists and is likely to exist or cracks, deformation, and damage; of This Proposed AD develop on other products of the same detailed inspections, and HFEC type design. inspections if necessary, of the inner This product has been approved by and outer rudder torque tube shaft for the aviation authority of another Costs of Compliance cracks, deformation, and damage; a country, and is approved for operation general visual inspection to verify in the United States. Pursuant to our We estimate that this proposed AD rudder alignment; and corrective actions bilateral agreement with the State of affects 49 airplanes of U.S. registry. if necessary. Design Authority, we have been notified We estimate the following costs to This service information is reasonably of the unsafe condition described in the comply with this proposed AD: available because the interested parties MCAI and service information

ESTIMATED COSTS

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

Inspections ...... Up to 33 work-hours × $85 $0 Up to $2,805 per inspection Up to $137,445 per inspection per hour = $2,805 per in- cycle. cycle spection cycle.

ESTIMATED COSTS FOR OPTIONAL ACTIONS

Action Labor cost Parts cost Cost per product

Optional modification ...... Up to 48 work-hours × $85 per hour = $48,729 Up to $52,359 $4,080.

We have received no definitive data Government and the States, or on the § 39.13 [Amended] that would enable us to provide cost distribution of power and ■ 2. The FAA amends § 39.13 by adding estimates for the on-condition actions responsibilities among the various the following new airworthiness and parts cost specified in this proposed levels of government. directive (AD): AD. For the reasons discussed above, I certify this proposed regulation: Airbus Defense and Space S.A. (Formerly Authority for This Rulemaking Known as Construcciones Aeronauticas, Title 49 of the United States Code 1. Is not a ‘‘significant regulatory S.A.): Docket No. FAA–2016–9187; specifies the FAA’s authority to issue action’’ under Executive Order 12866; Directorate Identifier 2016–NM–032–AD. rules on aviation safety. Subtitle I, 2. Is not a ‘‘significant rule’’ under the (a) Comments Due Date section 106, describes the authority of DOT Regulatory Policies and Procedures the FAA Administrator. ‘‘Subtitle VII: (44 FR 11034, February 26, 1979); We must receive comments by November Aviation Programs,’’ describes in more 3. Will not affect intrastate aviation in 25, 2016. detail the scope of the Agency’s Alaska; and (b) Affected ADs authority. 4. Will not have a significant None. We are issuing this rulemaking under economic impact, positive or negative, (c) Applicability the authority described in ‘‘Subtitle VII, on a substantial number of small entities Part A, Subpart III, Section 44701: under the criteria of the Regulatory This AD applies to Airbus Defense and General requirements.’’ Under that Flexibility Act. Space S.A (formerly known as section, Congress charges the FAA with Construcciones Aeronauticas, S.A.) Model C– promoting safe flight of civil aircraft in List of Subjects in 14 CFR Part 39 212–CB, C–212–CC, C–212–CD, C–212–CE, air commerce by prescribing regulations C–212–CF, C–212–DF, and C–212–DE for practices, methods, and procedures Air transportation, Aircraft, Aviation safety, Incorporation by reference, airplanes, certificated in any category, all the Administrator finds necessary for manufacturer serial numbers. safety in air commerce. This regulation Safety. (d) Subject is within the scope of that authority The Proposed Amendment because it addresses an unsafe condition Air Transport Association (ATA) of that is likely to exist or develop on Accordingly, under the authority America Code 27, Flight controls. delegated to me by the Administrator, products identified in this rulemaking (e) Reason action. the FAA proposes to amend 14 CFR part 39 as follows: This AD was prompted by multiple reports Regulatory Findings of damaged and cracked rudder torque tube We determined that this proposed AD PART 39—AIRWORTHINESS shafts. We are issuing this AD to detect and would not have federalism implications DIRECTIVES correct damaged and cracked rudder torque under Executive Order 13132. This tube shafts, which could lead to structural proposed AD would not have a ■ 1. The authority citation for part 39 failure of the affected rudder torque tube substantial direct effect on the States, on continues to read as follows: shaft and possible reduced control of the airplane. the relationship between the national Authority: 49 U.S.C. 106(g), 40113, 44701.

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(f) Compliance International Branch, ANM–116, Transport fuel oil. In the Final Rules section of Comply with this AD within the Airplane Directorate, FAA, 1601 Lind this Federal Register, EPA is approving compliance times specified, unless already Avenue SW., Renton, WA 98057–3356; the District’s submittal as a direct final done. telephone: 425–227–1112; fax: 425–227– rule without prior proposal because the 1149. Information may be emailed to: 9- (g) Repetitive Inspections [email protected]. Agency views this as a noncontroversial Before using any approved AMOC, notify submittal and anticipates no adverse For airplanes equipped with a rudder comments. A detailed rationale for the torque tube shaft having part number (P/N) your appropriate principal inspector, or 212–46237–01: Do the actions specified in lacking a principal inspector, the manager of approval is set forth in the direct final paragraphs (g)(1) and (g)(2) of this AD. the local flight standards district office/ rule. If no adverse comments are (1) Within 30 days after the effective date certificate holding district office. received in response to this action, no of this AD; do general visual, detailed, and (2) Contacting the Manufacturer: For any further activity is contemplated. If EPA high frequency eddy current (HFEC) requirement in this AD to obtain corrective receives adverse comments, the direct inspections of the inner and outer surfaces of actions from a manufacturer, the action must final rule will be withdrawn and all the rudder torque tube shaft, as applicable, be accomplished using a method approved by the Manager, International Branch, ANM– public comments received will be for cracks, deformation, and damage, in addressed in a subsequent final rule accordance with the instructions of Airbus 116, Transport Airplane Directorate, FAA; or the EASA; or EADS CASA’s EASA Design based on this proposed rule. EPA will Defense & Space Alert Operators not institute a second comment period. Transmission AOT–C212–27–0001, dated Organization Approval (DOA). If approved by July 15, 2015. the DOA, the approval must include the Any parties interested in commenting DOA-authorized signature. (2) Thereafter, before further flight after the on this action should do so at this time. conditions identified in paragraph 3.1.1.1 of (l) Related Information DATES: Comments must be received in Airbus Defense & Space Alert Operators (1) Refer to Mandatory Continuing writing by November 10, 2016. Transmission AOT–C212–27–0001, dated Airworthiness Information (MCAI) EASA ADDRESSES: Submit your comments, July 15, 2015, do the applicable inspections 2016–0052, dated March 14, 2016, for related identified by Docket ID No. EPA–R03– identified for each condition. information. This MCAI may be found in the OAR–2016–0199 at http:// (h) Corrective Actions AD docket on the Internet at http:// www.regulations.gov, or via email to www.regulations.gov by searching for and If, during any inspection required by [email protected]. For comments locating Docket No. FAA–2016–9187. submitted at Regulations.gov, follow the paragraph (g) of this AD, any crack, (2) For service information identified in deformation, or damage is found, before this AD, contact Airbus Defense and Space, online instructions for submitting further flight do all applicable corrective Services/Engineering Support, Avenida de comments. Once submitted, comments actions, in accordance with Airbus Defense & Arago´n 404, 28022 Madrid, Spain; telephone: cannot be edited or removed from Space Alert Operators Transmission AOT– +34 91 585 55 84; fax: +34 91 585 31 27; Regulations.gov. For either manner of C212–27–0001, dated July 15, 2015. Where email: [email protected]. submission, the EPA may publish any Airbus Defense & Space Alert Operators You may view this service information at the comment received to its public docket. Transmission AOT–C212–27–0001, dated FAA, Transport Airplane Directorate, 1601 Do not submit electronically any July 15, 2015, specifies to contact Airbus for Lind Avenue SW., Renton, WA. For corrective action: Before further flight, information you consider to be information on the availability of this confidential business information (CBI) accomplish corrective actions in accordance material at the FAA, call 425–227–1221. with paragraph (k)(2) of this AD. or other information whose disclosure is Issued in Renton, Washington, on restricted by statute. Multimedia (i) Optional Modification September 29, 2016. submissions (audio, video, etc.) must be Modification of an airplane by replacing Dionne Palermo, accompanied by a written comment. the rudder torque tube shaft P/N 212–46237– Acting Manager, Transport Airplane The written comment is considered the 01 with an improved part, in accordance Directorate, Aircraft Certification Service. with the Accomplishment Instructions of official comment and should include EADS–CASA Service Bulletin SB–212–27– [FR Doc. 2016–24202 Filed 10–7–16; 8:45 am] discussion of all points you wish to 0058, dated April 25, 2014, constitutes BILLING CODE 4910–13–P make. The EPA will generally not terminating action for the inspections consider comments or comment required by paragraphs (g)(1) and (g)(2) of contents located outside of the primary this AD for the modified airplane. ENVIRONMENTAL PROTECTION submission (i.e. on the web, cloud, or (j) Credit for Previous Actions AGENCY other file sharing system). For additional submission methods, please This paragraph provides credit for actions 40 CFR Part 52 required by paragraphs (g) and (h) of this AD, contact the person identified in the FOR if those actions were performed before the [EPA–R03–OAR–2016–0199; FRL–9953–73– FURTHER INFORMATION CONTACT section. effective date of this AD using Airbus Region 3] For the full EPA public comment policy, Military All Operator Letter (AOL) AOL– information about CBI or multimedia 212–037, Revision 01, dated April 11, 2014. Approval and Promulgation of Air submissions, and general guidance on Quality Implementation Plans; District (k) Other FAA AD Provisions making effective comments, please visit of Columbia; Revision of Regulations http://www2.epa.gov/dockets/ The following provisions also apply to this for Sulfur Content of Fuel Oil commenting-epa-dockets. AD: (1) Alternative Methods of Compliance AGENCY: Environmental Protection FOR FURTHER INFORMATION CONTACT: (AMOCs): The Manager, International Agency (EPA). Asrah Khadr, (215) 814–2071, or by Branch, ANM–116, Transport Airplane email at [email protected]. ACTION: Proposed rule. Directorate, FAA, has the authority to SUPPLEMENTARY INFORMATION: For approve AMOCs for this AD, if requested SUMMARY: The Environmental Protection further information, please see the using the procedures found in 14 CFR 39.19. Agency (EPA) proposes to approve the information provided in the direct final In accordance with 14 CFR 39.19, send your request to your principal inspector or local state implementation plan (SIP) revision action, with the same title, that is Flight Standards District Office, as submitted by the District of Columbia located in the ‘‘Rules and Regulations’’ appropriate. If sending information directly for the purpose of updating the District section of this Federal Register to the International Branch, send it to ATTN: of Columbia Municipal Regulations publication. Please note that if EPA Shahram Daneshmandi, Aerospace Engineer, (DCMR) to lower the sulfur content of receives adverse comment on an

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amendment, paragraph, or section of other file sharing system). For Quality’’; and Chapter 22, ‘‘Incinerators; this rule and if that provision may be additional submission methods, please Emission Standards’’. This amendment severed from the remainder of the rule, contact the person identified in the FOR makes the state regulation consistent EPA may adopt as final those provisions FURTHER INFORMATION CONTACT section. with the National Ambient Air Quality of the rule that are not the subject of an For the full EPA public comment policy, Standards (NAAQS) for particulate adverse comment. information about CBI or multimedia matter 10 micrometers or less (PM10), Dated: September 23, 2016. submissions, and general guidance on fine particulate matter 25 micrometers or less (PM ), Sulfur dioxide, Nitrogen Shawn M. Garvin, making effective comments, please visit 2.5 http://www2.epa.gov/dockets/ dioxide, Carbon monoxide, Ozone, and Regional Administrator, Region III. commenting-epa-dockets. Lead as of the date of the state [FR Doc. 2016–24373 Filed 10–7–16; 8:45 am] FOR FURTHER INFORMATION CONTACT: submittal. This action also makes BILLING CODE 6560–50–P Kevin Gong, EPA Region IX, (415) 972 formatting and grammatical corrections 3073, [email protected]. to title 129, chapters 19 and 22. DATES: Comments must be received by ENVIRONMENTAL PROTECTION SUPPLEMENTARY INFORMATION: November 10, 2016 AGENCY Throughout this document, ‘‘we,’’ ‘‘us,’’ and ‘‘our’’ refer to the EPA. This ADDRESSES: Submit your comments, 40 CFR Part 52 proposal addresses BCAQMD Rule 300, identified by Docket ID No. EPA–R07– ‘‘Open Burning, Requirements, OAR–2016–0556, to http:// [EPA–R09–OAR–2016–0367; FRL–9952–16– www.regulations.gov. Follow the online Region 9] Prohibitions and Exemptions.’’ In the Rules and Regulations section of this instructions for submitting comments. Approval of California Air Plan issue of the Federal Register, we are Once submitted, comments cannot be Revisions, Butte County Air Quality approving this local rule in a direct final edited or removed from Regulations.gov. Management District action without prior proposal because The EPA may publish any comment we believe this SIP revision is not received to its public docket. Do not AGENCY: Environmental Protection controversial. If we receive adverse submit electronically any information Agency (EPA). comments, however, we will publish a you consider to be Confidential ACTION: Proposed rule. timely withdrawal of the direct final Business Information (CBI) or other rule and address the comments in information whose disclosure is SUMMARY: The Environmental Protection subsequent action based on this restricted by statute. Multimedia Agency (EPA) is proposing to approve a proposed rule. submissions (audio, video, etc.) must be revision to the Butte County Air Quality We do not plan to open a second accompanied by a written comment. Management District (BCAQMD) comment period, so anyone interested The written comment is considered the portion of the California State in commenting should do so at this official comment and should include Implementation Plan (SIP). This time. If we do not receive adverse discussion of all points you wish to revision concerns particulate matter comments, no further activity is make. The EPA will generally not (PM) emissions from open burning. We planned. For further information, please consider comments or comment are proposing to approve a local rule to see the direct final action. contents located outside of the primary regulate these emission sources under submission (i.e. on the web, cloud, or the Clean Air Act (CAA or the Act). Dated: July 21, 2016. other file sharing system). For DATES: Any comments on this proposal Alexis Strauss, additional submission methods, the full must arrive by November 10, 2016. Acting Regional Administrator, Region IX. EPA public comment policy, ADDRESSES: Submit your comments, [FR Doc. 2016–24497 Filed 10–7–16; 8:45 am] information about CBI or multimedia identified by Docket ID No. EPA–R09– BILLING CODE 6560–50–P submissions, and general guidance on OAR–2016–0367 at http:// making effective comments, please visit www.regulations.gov, or via email to http://www2.epa.gov/dockets/ Andrew Steckel, Rulemaking Office ENVIRONMENTAL PROTECTION commenting-epa-dockets. Chief at [email protected]. For AGENCY FOR FURTHER INFORMATION CONTACT: Greg Crable, Environmental Protection comments submitted at Regulations.gov, 40 CFR Part 52 follow the online instructions for Agency, Air Planning and Development submitting comments. Once submitted, [EPA–R07–OAR–2016–0556; FRL–9953–62– Branch, 11201 Renner Boulevard, comments cannot be removed or edited Region 7] Lenexa, Kansas 66219 at 913–551–7391, from Regulations.gov. For either manner or by email at [email protected]. Approval of Nebraska’s Air Quality of submission, the EPA may publish any SUPPLEMENTARY INFORMATION: This Implementation Plans comment received to its public docket. document proposes to take action on the Do not submit electronically any AGENCY: Environmental Protection State Implementation Plan (SIP) information you consider to be Agency (EPA). revisions submitted by the State of Confidential Business Information (CBI) ACTION: Proposed rule. Nebraska. We have published a direct or other information whose disclosure is final rule approving the State’s SIP restricted by statute. Multimedia SUMMARY: The Environmental Protection revision (s) in the ‘‘Rules and submissions (audio, video, etc.) must be Agency (EPA) proposes to approve the Regulations’’ section of this Federal accompanied by a written comment. State Implementation Plan (SIP) Register, because we view this as a The written comment is considered the revision submitted by the State of noncontroversial action and anticipate official comment and should include Nebraska. This action will amend the no relevant adverse comment. We have discussion of all points you wish to SIP to include revisions to Title 129 of explained our reasons for this action in make. The EPA will generally not the Nebraska Air Quality Regulations, the preamble to the direct final rule. If consider comments or comment Chapter 4, ‘‘Ambient Air Quality we receive no adverse comment, we will contents located outside of the primary Standards’’; Chapter 19, ‘‘Prevention of not take further action on this proposed submission (i.e. on the web, cloud, or Significant Deterioration of Air rule. If we receive adverse comment, we

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will withdraw the direct final rule and Missouri’s SIP or Missouri’s Operating Missouri for 10 CSR 10–6.060, it will not take effect. We would address Permits Program, one statement on ‘‘Construction Permits Required’’, and all public comments in any subsequent incinerators in the approved SIP and 10 CSR–6.065, ‘‘Operating Permits’’. We final rule based on this proposed rule. Operating Permits Program is removed have published a direct final rule We do not intend to institute a second by the submission. This statement approving the State’s SIP and Operating comment period on this action. Any applied Missouri’s ‘‘Operating Permits’’ Permit Program revisions in the ‘‘Rules parties interested in commenting must rule to all incinerators within the State. and Regulations’’ section of this Federal do so at this time. For further Any permittees with incinerators Register, because we view this as a information, please see the information already required to have either noncontroversial action and anticipate provided in the ADDRESSES section of Intermediate State Operating Permits or no relevant adverse comment. We have this document. part 70 Operating Permits will still have explained our reasons for this action in the same permitting requirements. This List of Subjects in 40 CFR Part 52 revision does not exempt any the preamble to the direct final rule. If Environmental protection, Air incinerators from appropriate we receive no adverse comment, we will pollution control, Carbon monoxide, permitting. Likewise, any future not take further action on this proposed Incorporation by reference, permittees with incinerators under the rule. If we receive adverse comment, we Intergovernmental relations, Lead, former version of the SIP and Operating will withdraw the direct final rule and Nitrogen dioxide, Ozone, Particulate Permits Program would have required it will not take effect. We would address matter, Reporting and recordkeeping either an Intermediate State Operating all public comments in any subsequent requirements, Sulfur dioxide, Volatile Permits or a part 70 Operating Permits final rule based on this proposed rule. organic compounds. will still have the same permitting We do not intend to institute a second Dated: September 27, 2016. requirement under the revised SIP and comment period on this action. Any Mike Brincks, Operating Permits Program. Finally the parties interested in commenting must Acting Regional Administrator, Region 7. submission from Missouri makes non- do so at this time. For further substantive style changes. [FR Doc. 2016–23977 Filed 10–7–16; 8:45 am] information, please see the information DATES: BILLING CODE 6560–50–P Written comments must be provided in the ADDRESSES section of received by November 10, 2016. this document. ADDRESSES: Submit your comments, ENVIRONMENTAL PROTECTION identified by Docket ID No. EPA–R07– List of Subjects AGENCY OAR–2016–0571, to http:// 40 CFR Part 52 www.regulations.gov. Follow the online 40 CFR Parts 52 and 70 instructions for submitting comments. Environmental protection, Air [EPA–R07–OAR–2016–0571; FRL–9953–76– Once submitted, comments cannot be pollution control, Carbon monoxide, Region 7] edited or removed from Regulations.gov. Incorporation by reference, The EPA may publish any comment Intergovernmental relations, Nitrogen Approval of Missouri’s Air Quality received to its public docket. Do not dioxide, Ozone, Particulate matter, Implementation Plans, Operating submit electronically any information Reporting and recordkeeping Permits Program, and 112(l) Plan; you consider to be Confidential requirements, Sulfur oxides, Volatile Construction Permits Required Business Information (CBI) or other organic compounds. information whose disclosure is AGENCY: Environmental Protection restricted by statute. Multimedia 40 CFR Part 70 Agency (EPA). submissions (audio, video, etc.) must be Administrative practice and ACTION: Proposed rule. accompanied by a written comment. procedure, Air pollution control, The written comment is considered the SUMMARY: Environmental Protection Intergovernmental relations, Operating Agency (EPA) is proposing to approve official comment and should include discussion of all points you wish to permits, Reporting and recordkeeping revisions to the State Implementation requirements. Plan (SIP), the Operating Permit make. The EPA will generally not Program, and the 112(l) plan submitted consider comments or comment Dated: September 27, 2016. on April 6, 2016, by the State of contents located outside of the primary Mike Brincks, Missouri. In the ‘‘Rules and submission (i.e. on the web, cloud, or Acting Regional Administrator, Region 7. other file sharing system). For Regulations’’ section of this Federal [FR Doc. 2016–24379 Filed 10–7–16; 8:45 am] Register, we are approving the State’s additional submission methods, the full BILLING CODE 6560–50–P SIP and Operating Permit Program EPA public comment policy, revisions as a direct final rule without information about CBI or multimedia a prior proposed rule. If we receive no submissions, and general guidance on adverse comment, we will not take making effective comments, please visit further action on this proposed rule. http://www2.epa.gov/dockets/ The submission from Missouri revises commenting-epa-dockets. fees for permitting services provided by FOR FURTHER INFORMATION CONTACT: Jed the air quality program, including D. Wolkins, Environmental Protection construction permit applications and Agency, Air Planning and Development operating permit applications. Missouri Branch, 11201 Renner Boulevard, also removed the basic operating permit Lenexa, Kansas 66219 at 913–551–7588, requirement for incinerators with or by email at [email protected]. emissions less than the de minimis SUPPLEMENTARY INFORMATION: This levels in Missouri’s ‘‘Operating Permits’’ document proposes to take action on the rule. While EPA has never approved the SIP and Operating Permit Program basic operating permit program into revisions submitted by the state of

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DEPARTMENT OF DEFENSE FOR FURTHER INFORMATION CONTACT: Mr. Transportation (FAST) Act of 2015. Mark Gomersall, telephone 571–372– PHMSA invites all interested persons to Defense Acquisition Regulations 6099. provide comments regarding these System SUPPLEMENTARY INFORMATION: intended revisions. DATES: Comments must be received by 48 CFR Parts 202, 212, 215, 234, 239, I. Background December 12, 2016. To the extent and 252 On August 11, 2016, DoD published a possible, PHMSA will consider late- proposed rule in the Federal Register at filed comments as a final rule is [Docket DARS–2016–0028] 81 FR 53101 to implement the developed. requirements of sections 851 through ADDRESSES: You may submit comments RIN 0750–AJ01 853 and 855 through 857 of the National by identification of the docket number Defense Authorization Act (NDAA) for PHMSA–2015–0272 (HM–209A) using Defense Federal Acquisition Fiscal Year (FY) 2016 (Pub. L. 114–92, the following methods: Regulation Supplement: Procurement enacted November 25, 2015), as well as • Federal eRulemaking Portal: Go to of Commercial Items (DFARS Case the requirements of section 831 of the http://www.regulations.gov. Follow the 2016–D006); Extension of Comment NDAA for FY 2013 (Pub. L. 112–239, online instructions for submitting Period enacted January 2, 2013), relating to the comments. procurement of commercial items. The • Fax: 1–202–493–2251. AGENCY: Defense Acquisition • Regulations System, Department of proposed rule also provides guidance to Mail: Docket Operations, U.S. Defense (DoD). contracting officers to promote Department of Transportation, West consistency and uniformity in the Building, Ground Floor, Room W12– ACTION: Proposed rule; extension of acquisition process. 140, Routing Symbol M–30, 1200 New comment period. The comment period for the proposed Jersey Avenue SE., Washington, DC SUMMARY: rule is extended 30 days, from October 20590. DoD is proposing to amend • the Defense Federal Acquisition 11, 2016, to November 10, 2016, to Hand Delivery: To Docket Regulation Supplement (DFARS) to provide additional time for interested Operations, Room W12–140 on the implement sections of the National parties to comment on the proposed ground floor of the West Building, 1200 Defense Authorization Acts for Fiscal DFARS changes. New Jersey Avenue SE., Washington, Years 2013 and 2016 relating to DC 20590, between 9 a.m. and 5 p.m., List of Subjects in 48 CFR Parts 202, Monday through Friday, except Federal commercial item acquisitions. The 212, 215, 234, 239, and 252 comment period on the proposed rule is holidays. extended 30 days. Government procurement. Instructions: All submissions must include the agency name and docket Jennifer L. Hawes, DATES: The comment period for the number for this notice at the beginning proposed rule published on August 11, Editor, Defense Acquisition Regulations of the comment. To avoid duplication, System. 2016 (81 FR 53101), is extended. please use only one of these four Comments are due by November 10, [FR Doc. 2016–24370 Filed 10–7–16; 8:45 am] methods. All comments received will be 2016. BILLING CODE 5001–06–P posted without change to http:// ADDRESSES: Submit comments www.regulations.gov and will include identified by DFARS Case 2016–D006, any personal information you provide. using any of the following methods: DEPARTMENT OF TRANSPORTATION All comments received will also be Æ Federal eRulemaking Portal: http:// posted without change to the Federal www.regulations.gov. Search for Pipeline and Hazardous Materials Docket Management System (FDMS), ‘‘DFARS Case 2016–D006.’’ Select Safety Administration including any personal information ‘‘Comment Now’’ and follow the provided. instructions provided to submit a 49 CFR Part 110 Docket: For access to the dockets to comment. Please include ‘‘DFARS Case [Docket No. PHMSA–2015–0272 (HM–209A)] read background documents or 2016–D006’’ on any attached comments received, go to http:// documents. RIN 2137–AF19 www.regulations.gov or contact DOT’s Æ Docket Operations Office (see mail and Email: [email protected]. Include Hazardous Materials: Revisions to DFARS Case 2016–D006 in the subject hand delivery addresses above). Hazardous Materials Grants Privacy Act: In accordance with 5 line of the message. Requirements (RRR) Æ Fax: 571–372–6094. U.S.C. 553(c), DOT solicits comments Æ Mail: Defense Acquisition AGENCY: Pipeline and Hazardous from the public to better inform its Regulations System, Attn: Mr. Mark Materials Safety Administration rulemaking process. DOT posts these Gomersall, OUSD(AT&L)DPAP/DARS, (PHMSA), DOT. comments, without edit, including any personal information the commenter Room 3B941, 3060 Defense Pentagon, ACTION: Notice of proposed rulemaking Washington, DC 20301–3060. (NPRM). provides, to www.regulations.gov, as Comments received generally will be described in the system of records posted without change to http:// SUMMARY: PHMSA proposes to revise its notice (DOT/ALL–14 FDMS), which can www.regulations.gov, including any regulations pertaining to the Hazardous be reviewed at www.dot.gov/privacy. personal information provided. To Materials grants program to incorporate FOR FURTHER INFORMATION CONTACT: Lisa confirm receipt of your comment(s), the Office of Management and Budget’s O’Donnell, Outreach, Training and please check www.regulations.gov, Uniform Administrative Requirements, Grants Division, Office Hazardous approximately two to three days after Cost Principles, and Audit Materials Safety, Pipeline and submission to verify posting (except Requirements for Federal Awards, and Hazardous Materials Safety allow 30 days for posting of comments to implement new requirements set Administration, U.S. Department of submitted by mail). forth by the Fixing America’s Surface Transportation, 1200 New Jersey

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Avenue SE., Washington, DC 20590 or or transport certain hazmat in intrastate, D. Hazardous Materials Community at (202) 366–1109. interstate, or foreign commerce in Safety Grant SUPPLEMENTARY INFORMATION: accordance with 49 CFR part 107, On December 4, 2015, President subpart G. Table of Contents of Supplementary Obama signed into law the FAST Act, Information As a result of the implementation of which among other changes, established 2 CFR part 200 and the FAST Act, the the HMCS grant to nonprofit I. Background current regulations for the Hazardous organizations for: (1) Conducting A. Hazardous Materials Emergency Materials grants are outdated. The national outreach and training programs Preparedness Grant following describes each of the hazmat to assist communities in preparing for B. Supplemental Public Sector Training and responding to accidents and Grant grants, new requirements for Federal C. Hazardous Materials Instructor Training awards, and the gaps in current incidents involving the transportation of Grant regulations (49 CFR part 110). hazardous materials, including Class 3 D. Hazardous Materials Community Safety flammable liquids by rail; and (2) Grant A. Hazardous Materials Emergency training State and local personnel E. New Administrative Requirements, Cost Preparedness Grant responsible for enforcing the safe Principles, and Audit Requirements for The HMEP grant was established in transportation of hazardous materials, Federal Awards including Class 3 flammable liquids. 1990 by the Hazardous Materials F. Gap in Regulations Pertaining to Unlike the other three grants, which are Transportation Uniform Safety Act Hazardous Materials Grants funded through a shipper and carrier (HMTUSA), Public Law 101–615. In II. Summary Review of Proposed hazardous materials registration fee Amendments 1993, PHMSA’s predecessor, the program, the HMCS grant funding III. Regulatory Analyses and Notices Research and Special Programs source is up to $1 million in A. Statutory/Legal Authority for this Administration, began issuing grants to Congressional appropriations. PHMSA Rulemaking assist States, Territories, and Indian anticipates awarding two HMCS grants B. Executive Order 12866, Executive Order tribes to carry out emergency 13563, Executive Order 13610, and DOT for the first time in fiscal year 2017. Regulatory Policies and Procedures preparedness and training activities to C. Executive Order 13132 ensure communities could effectively E. New Administrative Requirements, D. Executive Order 13175 respond to transportation incidents Cost Principles, and Audit E. Regulatory Flexibility Act, Executive involving hazmat. The HMEP grant Requirements for Federal Awards Order 13272, and DOT Procedures and award amount prior to 2009 was $12.8 On December 19, 2013, the Office of Policies million; award amounts thereafter were Management and Budget (OMB) F. Paperwork Reduction Act increased to $21.8 million. G. Regulation Identifier Number (RIN) published guidance that streamlined the H. Unfunded Mandates Reform Act of 1995 B. Supplemental Public Sector Training Federal government’s guidance on I. Environmental Assessment and Finding Grant Administrative Requirements, Cost of No Significant Impact Principles, and Audit Requirements for J. Privacy Act The Hazardous Materials Federal awards. This final guidance, K. Executive Order 13609 and International Transportation Act Amendments of located in 2 CFR part 200, supersedes Trade Analysis 1993, which among other changes, and simplifies requirements from L. National Technology Transfer and established the SPST grant to increase various OMB circulars and 49 CFR part Advancement Act the number of hazardous materials 18. All Federal grants issued on or after M. Executive Order 13211 training instructors available to conduct December 26, 2014, were required to I. Background hazardous materials response training comply with these requirements. This proposed rule revises 49 CFR for individuals with a statutory F. Gap in Regulations Pertaining to part 110 pertaining to the Hazardous responsibility to respond to hazardous Hazardous Materials Grants Materials grants program to incorporate materials accidents and incidents. From 2002 through 2008, the SPST grant The regulations in 49 CFR part 110 the Office of Management and Budget’s pertaining to Hazardous Materials grants Uniform Administrative Requirements, authorization amount was $250,000. In fiscal year 2008, the SPST grant have neither been updated to include Cost Principles, and Audit reference to the HMIT, SPST, and Requirements for Federal Awards (2 authorization amount was increased to $1 million annually. HMCS grants to nonprofit entities, nor CFR 200), and to implement new have they been updated to reflect the requirements set forth by the Fixing C. Hazardous Materials Instructor streamlined guidance for Federal America’s Surface Transportation Training Grant awards found in 2 CFR part 200. (FAST) Act of 2015 (Pub.L. 114–94— December 4, 2015). The Hazardous Materials II. Summary Review of Proposed PHMSA’s Hazardous Materials grants Transportation Safety and Security Amendments program is comprised of four grants: Reauthorization Act of 2005, which PHMSA proposes to revise the Hazardous Materials Emergency among other changes, established the regulations pertaining to Hazardous Preparedness (HMEP) grants; HMIT grant for training instructors to Materials grants in 49 CFR part 110 to Supplemental Public Sector Training train hazardous materials employees. bring it into alignment with the (SPST) grants; Hazardous Materials Instructors trained under this program currently applicable Federal law and Instructor Training (HMIT) grants; and are able to offer training to hazardous regulation (e.g., FAST Act and 2 CFR the new Hazardous Materials materials employees at locations in part 200). We propose to amend Part Community Safety (HMCS) grants. close proximity to the employees’ places 110 to add language pertaining to grants Except for the HMCS grants, the HMEP, of employment. Since its inception in made to nonprofit organizations under SPST, and HMIT grants are funded by 2008, the HMIT grant program has the HMIT, SPST, and HMCS grants. registration fees collected from awarded approximately $4 million in These training grants to nonprofit hazardous materials (hazmat) shippers grant funds annually to nonprofit organizations are provided in statute but and carriers who offer for transportation organizations. are not included in 49 CFR. We propose

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to remove reference to 49 CFR part 18 Requirements for Federal grants. that applicants and grantees submit and replace it with reference to 2 CFR Further, PHMSA proposes to add a documents electronically rather than by part 200, as 49 CFR part 18 has been reference to pre-award expenditures, mail. removed and 2 CFR part 200 provides add a reference to territories, define This NPRM affects the following the Uniform Administrative ‘‘nonprofit organizations,’’ and require entities, as listed in Table 1:

TABLE 1—AFFECTED ENTITIES

Affected entities Revisions

• States, Territories, and Indian tribes ...... • Subject to 2 CFR Part 200 and • National nonprofit fire service organizations. electronic filing requirements. • Nonprofit organizations that demonstrate expertise in (1) conducting a training program for hazardous materials employees; and (2) the ability to reach and involve in a training program a target population of hazardous materials employees. • Nonprofit organizations that demonstrate expertise in conducting national outreach and training pro- grams to assist communities in preparing for and responding to accidents and incidents involving the transportation of hazardous materials, including Class 3 flammable liquids by rail. • Nonprofit organizations that demonstrate expertise in training State and local personnel responsible for enforcing the safe transportation of hazardous materials, including Class 3 flammable liquids.

PHMSA seeks comments from ‘‘Territories’’ and ‘‘nonprofit Administrator to expedite dispute interested stakeholders on this proposed organizations.’’ resolutions should disputes occur. rulemaking. PHMSA proposes the • Revise § 110.20 to change the following substantive revisions: preamble language to refer to 2 CFR part III. Regulatory Analyses and Notices • Revise § 110.1 to comport with 2 200; revise the definitions for ‘‘Indian A. Statutory/Legal Authority for This CFR part 200 provisions regarding tribe’’ and ‘‘Associate Administrator’’; Rulemaking payments to non-Federal entities. 2 CFR add definitions for ‘‘Nonprofit 200.305 states that non-Federal entities organization,’’ ‘‘Public sector This NPRM is published under the other than states ‘‘must be paid in employee,’’ ‘‘Tribal Emergency Planning authority of the Federal hazardous advance, provided it maintains or Committee,’’ and ‘‘Tribal Emergency materials transportation law, 49 U.S.C. demonstrates the willingness to Response Commission’’; and delete the 5101 et seq. Section 5103(b) authorizes maintain both written procedures that definition for ‘‘Indian country.’’ the Secretary to prescribe regulations for minimize the time elapsing between the • Amend § 110.30 to revise paragraph the safe transportation, including transfer of funds and disbursement by (a) and remove paragraphs (b) and (c) to security, of hazardous material in the non-Federal entity, and financial update how applicants submit grant intrastate, interstate, and foreign management systems that meet the applications to PHMSA. commerce. Section 5107, as amended, standards for fund control and • Amend the heading of § 110.40 by establishes a competitive program for accountability as established in this adding the terminology ‘‘Hazardous Part’’ (i.e., high-risk grantees). making grants to nonprofit organizations Materials Emergency Preparedness for conducting national outreach and Additionally, while 2 CFR part 200 is Grant’’ and update the wording in silent regarding the funding techniques training programs to assist communities paragraphs (a) and (b). in preparing for and responding to for states, advanced payments (as • Revise the requirements in accidents and incidents involving the conditioned therein) to state grantees §§ 110.10, 110.20, 110.30, 110.70, would likewise more effectively focus transportation of hazardous materials, 110.80, 110.90, 110.100, and 110.110 by including Class 3 flammable liquids by Federal resources on improving updating the sections to refer to 2 CFR rail; and training State and local performance and outcomes while part 200 and making other editorial personnel responsible for enforcing the ensuring the financial integrity of changes. safe transportation of hazardous taxpayer dollars in partnership with • Revise the requirements in § 110.30 materials, including Class 3 flammable non-Federal stakeholders. by removing reference to corresponding • Allow for grantees to incur pre- with PHMSA by mail. liquids. Section 5108 permits the award expenditures at their own risk in • Secretary to collect registration fees § 110.50, Disbursement of Federal Revise the requirements in § 110.70 by removing reference to financial from people transporting certain funds. quantities of hazardous materials and PHMSA proposes the following management systems and advances. • Revise the requirements in § 110.90 deposit those fees into an account used additional revisions: to fund the HMEP grants program. • Revise § 110.1 to refer to nonprofit by removing the examples of project Section 5116, as amended, authorizes organizations. Currently, HMIT, SPST, manager requirements, which have a and HMCS grant programs, where significant impact on the planning and the Secretary to make grants to States nonprofit organizations are eligible training activities. and Indian tribes, by combining applicants, are not referenced in the • Revise the requirements in planning and training grants, and to regulations. § 110.120 to update how to report create supplemental training grants to • Revise § 110.5 to refer to nonprofit deviations. national nonprofit fire service organizations and replace reference to • Revise the requirements in organizations. This NPRM revises the 49 CFR with reference to 2 CFR part § 110.130 referring to disputes by regulations as they pertain to hazardous 200. updating the titles of the PHMSA materials grants. • Revise § 110.10 to amend the title to Hazardous Materials grants staff and read ‘‘Administering Hazardous changing the dispute resolution officer Materials Grants’’ and to add from the Administrator to the Associate

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B. Executive Order 12866, Executive 200. We propose updating the 49 CFR covered subjects, they must determine Order 13563, Executive Order 13610, part 110 to reflect current Federal and publish in the Federal Register the and DOT Regulatory Policies and statute and guidance and PHMSA effective date of Federal preemption. Procedures policies and procedures. PHMSA The effective date may not be earlier This NPRM is considered a non- welcomes public comments on potential than the 90th day following the date of significant regulatory action under costs and benefits of this regulatory issuance of the final rule and not later Executive Order 12866 (‘‘Regulatory action. than two years after the date of issuance. Planning and Review’’) and the PHMSA has determined that the C. Executive Order 13132 effective date of Federal preemption for Regulatory Policies and Procedures of This proposed rule has been analyzed these requirements will be one year the Department of Transportation (44 FR in accordance with the principles and from the date of publication of a final 11034) as it does not materially alter the criteria contained in Executive Order rule in the Federal Register. budgetary impact of entitlements, 13132 (‘‘Federalism’’) and the grants, user fees, or loan programs or the D. Executive Order 13175 President’s memorandum on rights and obligations of recipients ‘‘Preemption’’ published in the Federal This NPRM has been analyzed in thereof; rather, it revises regulations to Register on May 22, 2009 (74 FR 24693). accordance with the principles and comply with current Federal statute and This proposed rule will preempt State, criteria contained in Executive Order guidance and PHMSA policies and local, and Indian tribe requirements but 13175 (‘‘Consultation and Coordination procedures. does not propose any regulation that has with Indian Tribal Governments’’). Executive Order 13563 (‘‘Improving substantial direct effects on the States, Because this NPRM does not Regulation and Regulatory Review’’) the relationship between the national significantly or uniquely affect the supplements and reaffirms the government and the States, or the communities of the Indian tribal principles, structures, and definitions distribution of power and governments and does not impose governing regulatory review that were responsibilities among the various substantial direct compliance costs, the established in Executive Order 12866 of levels of government. Therefore, the funding and consultation requirements September 30, 1993. Executive Order consultation and funding requirements of Executive Order 13175 do not apply. 13563, issued January 18, 2011, notes of Executive Order 13132 do not apply. E. Regulatory Flexibility Act, Executive that our nation’s current regulatory The Federal hazardous materials system must protect not only public Order 13272, and DOT Procedures and transportation law, 49 U.S.C. 5101– Policies health, welfare, safety, and our 5128, contains an express preemption environment but also promote economic provision (49 U.S.C. 5125 (b)) that The Regulatory Flexibility Act (5 growth, innovation, competitiveness, preempts State, local, and Indian tribe U.S.C. 601 et seq.) requires an agency to and job creation. Further, this executive requirements on the following subjects: review regulations to assess their impact order urges government agencies to (1) The designation, description, and on small entities unless the agency consider regulatory approaches that classification of hazardous materials; determines that a rule is not expected to reduce burdens and maintain flexibility (2) The packing, repacking, handling, have a significant impact on a and freedom of choice for the public. In labeling, marking, and placarding of substantial number of small entities. addition, Federal agencies are asked to hazardous materials; There are no known costs to small periodically review existing significant (3) The preparation, execution, and entities associated with this rule. The regulations; retrospectively analyze use of shipping documents related to changes proposed herein are to clarify rules that may be outmoded, ineffective, hazardous materials and requirements and simplify existing regulations and to insufficient, or excessively burdensome; related to the number, contents, and comply with the current statute. The and modify, streamline, expand, or placement of those documents; grant recipients affected by this repeal regulatory requirements in (4) The written notification, rulemaking are States, Territories, accordance with what has been learned. recording, and reporting of the Indian Tribes, and nonprofit Executive Order 13610 (‘‘Identifying unintentional release in transportation organizations. Current grantees that and Reducing Regulatory Burdens’’), of hazardous material; and meet the definition of ‘small entity’ are issued May 10, 2012, urges agencies to (5) The design, manufacture, nonprofit organizations. All of these conduct retrospective analyses of fabrication, marking, maintenance, entities currently comply with the existing rules to examine whether they recondition, repair, or testing of a statutory requirements that PHMSA is remain justified and whether they packaging or container represented, proposing to incorporate in the should be modified or streamlined in marked, certified, or sold as qualified regulations; therefore, there is no added light of changed circumstances, for use in transporting hazardous burden. Consequently, PHMSA certifies including the rise of new technologies. material. that this rulemaking does not have a Together, these three Executive This proposed rule pertains to entities significant economic impact on a Orders require agencies to regulate in responsible for all the covered subject substantial number of small entities. the ‘‘most cost-effective manner,’’ to areas above. If adopted as final, this rule make a ‘‘reasoned determination that will preempt any State, local, or Indian F. Paperwork Reduction Act the benefits of the intended regulation tribe, requirements concerning these PHMSA currently has an approved justify its costs,’’ and to develop subjects unless the non-Federal information collection under OMB regulations that ‘‘impose the least requirements are ‘‘substantively the Control Number 2137–0586, entitled burden on society.’’ same’’ as the Federal requirements. ‘‘Hazardous Materials Public Sector PHMSA has evaluated the Hazardous Furthermore, this proposed rule is Training & Planning Grants,’’ with an Materials Grants regulations and has necessary to update, clarify, and provide expiration date of June 29, 2019. This determined that they are outmoded and, relief from regulatory requirements. NPRM may result in a minimal increase in part, excessively burdensome. The The Federal hazardous materials in the time spent to apply, maintain, current regulations are out-of-date, as transportation law provides at and close out a grant application cycle; they refer to obsolete regulations, and § 5125(b)(2) that, if DOT issues a however, this minimal increase is not have been superseded by 2 CFR part regulation concerning any of the sufficient enough to necessitate the

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revision of this information collection I. Environmental Assessment and Cooperation’’), agencies must consider package, in either the annual burden or Finding of No Significant Impact whether the impacts associated with cost to OMB Control Number 2137–0586 The National Environmental Policy significant variations between domestic for proposed changes under Part 110. Act of 1969 (NEPA), as amended (42 and international regulatory approaches Under the Paperwork Reduction Act U.S.C. 4321–4347), and implementing are unnecessary or may impair the of 1995, no person is required to regulations by the Council on ability of American business to export respond to an information collection Environmental Quality (40 CFR part and compete internationally. In meeting unless it has been approved by OMB 1500) require Federal agencies to shared challenges involving health, and displays a valid OMB control consider the consequences of Federal safety, labor, security, environmental, number. 5 CFR 1320.8(d) requires that actions and prepare a detailed statement and other issues, international PHMSA provide interested members of on actions that significantly affect the regulatory cooperation can identify the public and affected agencies an quality of the human environment. approaches that are at least as protective opportunity to comment on information This NPRM would revise the as those that are or will be adopted in and recordkeeping requests. the absence of such cooperation. PHMSA requests comments on any regulations pertaining to Hazardous Materials Grants to reflect current International regulatory cooperation can information collection and also reduce, eliminate, or prevent recordkeeping burdens associated with Federal statute and guidance and PHMSA policies and procedures. unnecessary differences in regulatory the proposed changes under this requirements. proposed rule. PHMSA believes the proposed revisions present little or no environmental Similarly, the Trade Agreements Act Requests for a copy of this of 1979 (Pub. L. 96–39), as amended by information collection should be impact on the quality of the human environment because rather than the Uruguay Round Agreements Act directed to Steven Andrews or T. Glenn (Pub. L. 103–465), prohibits Federal Foster, Office of Hazardous Materials involving the transportation of hazardous materials, the changes update agencies from establishing any Standards (PHH–12), Pipeline and standards or engaging in related Hazardous Materials Safety processes and procedures related to grants. Therefore, PHMSA has initially activities that create unnecessary Administration, 1200 New Jersey obstacles to the foreign commerce of the Avenue SE., Washington, DC 20590– determined that the implementation of the proposed rule will not have any United States. For purposes of these 0001, Telephone (202) 366–8553. requirements, Federal agencies may Address written comments to the significant impact on the quality of the participate in the establishment of Dockets Unit as identified in the human environment. international standards, so long as the ADDRESSES section of this rulemaking. In addition, PHMSA sought comment standards have a legitimate domestic We must receive comments regarding from the following modal partners: objective, such as providing for safety, information collection burdens prior to • Federal Aviation Administration and do not operate to exclude imports the close of the comment period • Federal Motor Carrier Safety that meet this objective. The statute also identified in the DATES section of this Administration • requires consideration of international rulemaking. In addition, you may Federal Railroad Administration • standards and, where appropriate, that submit comments specifically related to United States Coast Guard they be the basis for U.S. standards. the information collection burden to the PHMSA did not receive any adverse PHMSA Desk Officer, Office of comments on the amendments proposed PHMSA participates in the Management and Budget, at fax number in this NPRM from these Federal establishment of international standards (202) 395–6974. Agencies. in order to protect the safety of the PHMSA welcomes any views, data, or American public. We have assessed the G. Regulation Identifier Number (RIN) information related to environmental effects of the proposed rule, and find A regulation identifier number (RIN) impacts that may result if the proposed that it will not cause unnecessary is assigned to each regulatory action requirements are adopted, as well as obstacles to foreign trade. Accordingly, listed in the Unified Agenda of Federal possible alternatives and the this NPRM is consistent with Executive Regulations. The Regulatory Information environmental impacts. Order 13609 and PHMSA’s obligations Service Center publishes the Unified under the Trade Agreement Act, as Agenda in April and October of each J. Privacy Act amended. year. The RIN contained in the heading Anyone is able to search the L. National Technology Transfer and of this document can be used to cross- electronic form of all comments Advancement Act reference this action with the Unified received into any of our dockets by the Agenda. name of the individual submitting the The National Technology Transfer comment (or signing the comment, if and Advancement Act of 1995 (15 H. Unfunded Mandates Reform Act of submitted on behalf of an association, U.S.C. 272 note) directs Federal 1995 business, labor union, etc.). You may agencies to use voluntary consensus This proposed rule does not impose review DOT’s complete Privacy Act standards in their regulatory activities unfunded mandates under the Statement in the Federal Register unless doing so would be inconsistent Unfunded Mandates Reform Act of published on April 11, 2000 (Volume with applicable law or otherwise 1995. It does not result in costs of $155 65, Number 70; Pages 19477–78), which impractical. Voluntary consensus million or more, adjusted for inflation, may be viewed at: https://www.gpo.gov/ standards are technical standards (e.g. to either State, local, or tribal fdsys/pkg/FR-2000-04-11/pdf/00- specification of materials, test methods, governments, in the aggregate, or to the 8505.pdf, or you may visit http:// or performance requirements) that are private sector in any one year, and is the www.dot.gov. developed or adopted by voluntary least burdensome alternative that consensus standard bodies. This achieves the objective of the rule. As K. Executive Order 13609 and proposed rulemaking is to comply with such, PHMSA has concluded that the International Trade Analysis current Federal statute and guidance NPRM does not require an Unfunded Under Executive Order 13609 and PHMSA policies and procedures; it Mandates Act analysis. (‘‘Promoting International Regulatory does not involve technical standards.

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M. Executive Order 13211 Planning and Community Right-to- Indian tribe means any Indian tribe, Executive Order 13211 (‘‘Actions Know Act of 1986 (42 U.S.C. 11001). band, nation, or other organized group Concerning Regulations That ■ 3. Revise § 110.5 to read as follows: or community, including any Alaska Native village or regional or village Significantly Affect Energy Supply, § 110.5 Scope. Distribution, or Use’’) requires Federal corporation as defined in or established (a) This part applies to: agencies to prepare a Statement of pursuant to the Alaska Native Claims (1) States and Indian tribes and Energy Effects for any ‘‘significant Settlement Act (85 Stat. 688) [43 U.S.C. contains the program requirements for energy action’’ (66 FR 28355, May 22, 1601 et seq.], which is recognized as public sector grants to support 2001). Under the Executive Order, a eligible for the special programs and hazardous materials emergency ‘‘significant energy action’’ is defined as services provided by the United States planning and training efforts; and any action by an agency (normally to Indians because of their status as (2) Nonprofit organizations for grants published in the Federal Register) that Indians (25 U.S.C. 450b). to support training programs for public promulgates, or is expected to lead to Local Emergency Planning Committee the promulgation of, a final rule or sector hazardous materials emergency (LEPC) means a committee appointed by regulation (including a notice of responders or hazardous materials the State Emergency Response inquiry, advance NPRM, and NPRM) employees. Commission under section 301(c) of the that (1)(i) is a significant regulatory (b) The requirements contained in 2 Emergency Planning and Community action under Executive Order 12866 or CFR part 200 ‘‘Uniform Administrative Right-to-Know Act of 1986 (42 U.S.C. any successor order and (ii) is likely to Requirements for Grants and 11001(c)) that includes at a minimum, have a significant adverse effect on the Cooperative Agreements,’’ apply to representatives from each of the supply, distribution, or use of energy; or grants issued under this Part. following groups or organizations: (2) is designated by the Administrator of (c) Copies of standard forms and OMB elected State and local officials; law the Office of Information and Regulatory circulars referenced in this Part are enforcement, firefighting, civil defense, available at https:// first aid, health, local environmental, Affairs as a significant energy action. _ PHMSA has evaluated this action in www.whitehouse.gov/omb/grants forms hospital, and transportation personnel; accordance with Executive Order 13211. or from the Office of Hazardous broadcast and print media; community See the environmental assessment Materials Safety, Grants Chief, Pipeline groups; and owners and operators of section for a more thorough discussion and Hazardous Materials Safety facilities subject to the emergency of environmental impacts and the Administration, U.S. Department of planning requirements. supply, distribution, or use of energy. Transportation, East Building, 1200 National curriculum means the PHMSA has determined that this action New Jersey Avenue SE., Washington DC curriculum required to be developed will not have a significant adverse effect 20590–0001. under 49 U.S.C. 5115 and necessary to on the supply, distribution, or use of ■ 4. Revise § 110.10 to read as follows: train public sector emergency response energy. Consequently, PHMSA has and preparedness teams, enabling them § 110.10 Administering hazardous to comply with performance standards determined that this regulatory action is materials grants. as stated in 49 U.S.C. 5115(c). not a ‘‘significant energy action’’ within This part applies to States, Territories, the meaning of Executive Order 13211. Nonprofit organization means a tax- Indian tribes and nonprofit exempt nonprofit organization in the List of Subjects in 49 CFR Part 110 organizations. U.S. as defined in 26 U.S.C. 501(c). ■ Disaster assistance, Education, Grant 5. Revise § 110.20 to read as follows: Political subdivision means a county, programs—environmental protection, § 110.20 Definitions. municipality, city, town, township, Grant programs—Indians, Hazardous local public authority (including any Unless defined in this part, all terms public and Indian housing agency under materials transportation, Hazardous defined in 49 U.S.C. 5102 are used in substances, Indians, Reporting and the United States Housing Act of 1937 their statutory meaning and all terms (42 U.S.C. 1401 et seq.), school district, recordkeeping requirements. defined in 2 CFR part 200 with respect In consideration of the foregoing, 49 special district, intrastate district, to administrative requirements for council of governments (whether or not CFR chapter I is proposed to be grants, are used as defined therein. amended as follows: incorporated as a nonprofit corporation Other terms used in this part are defined under State law), any other regional or as follows: PART 110—HAZARDOUS MATERIALS interstate government entity, or any Allowable costs means those costs PUBLIC SECTOR TRAINING AND agency or instrumentality of a local that are: Eligible, reasonable, necessary, PLANNING GRANTS government. and allocable to the project permitted by Project means the activities and tasks ■ 1. The authority citation for part 110 the appropriate Federal cost principles, identified in the grant agreement. continues to read as follows: and approved in the grant. Project manager means the nonprofit, Associate Administrator means the Authority: 49 U.S.C. 5101–5128; 49 CFR State or Indian tribal official designated 1.97. Associate Administrator for Hazardous in a grant as the recipient agency’s ■ 2. Revise § 110.1 to read as follows: Materials Safety, Pipeline and principal program contact with the Hazardous Materials Safety Federal Government. § 110.1 Purpose. Administration or a person designated Project officer means the Federal This part sets forth procedures for by the Associate Administrator. official designated in a grant as the grants to States, Territories, Indian Budget period means the period of program contact with the project Tribes, and nonprofit organizations to time specified in the grant agreement manager. The project officer is support emergency planning and during which the project manager may responsible for monitoring the project. training to respond to hazardous expend or obligate project funds. Project period means the length of materials emergencies, particularly Cost review means the review and time specified in a grant for completion those involving transportation. These evaluation of costs to determine of all work associated with that project. grants may also be used to enhance the reasonableness, allocability, and Public sector employee means an implementation of the Emergency allowability. individual employed by a State,

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political subdivision of a State, or emergency plan. To enhance emergency § 110.50 Disbursement of Federal funds. Indian tribe and who during the course plans to include hazard analysis, as well (a) Pre-award costs. (1) Pre-award of employment has responsibilities as response procedures for emergencies costs, as defined in 2 CFR 200.458, are related to responding to an accident or involving transportation of hazardous those incurred prior to the effective date incident involving the transportation of materials. of the Federal award directly pursuant hazardous material, including an (b) To determine flow patterns of to the negotiation and in anticipation of individual employed by a State, hazardous materials within a State, the Federal award where such costs are political subdivision of a State, or between a State and another State or necessary for the efficient and timely Indian tribe as a firefighter or law Tribal lands, and develop and maintain performance of the scope of work. Such enforcement officer and an individual a system to keep such information costs are allowable only to the extent who volunteers to serve as a firefighter current. that they would have been allowable if for a State, political subdivision of a (c) To determine the need for regional incurred after the date of the Federal State, or Indian tribe. hazardous materials emergency award and only with the written State Emergency Response response teams. approval of the Federal awarding Commission (SERC) means the State (d) To assess local response agency. PHMSA expects the grantee to Emergency Response Commission capabilities. be fully aware that pre-award costs appointed by the Governor of each State (e) To conduct emergency response result in borrowing against future and Territory under the Emergency drills and exercises associated with support and that such borrowing must Planning and Community Right-to- emergency preparedness plans. not impair the grantee’s ability to Know Act of 1986. (f) To provide for technical staff to accomplish the project objectives in the Statement of Work means that portion support the planning effort. approved time frame or in any way of a grant that describes the purpose and adversely affect the conduct of the (g) To train public sector employees to scope of activities and tasks to be project. carried out as part of the proposed respond to accidents and incidents (2) A grantee may, at its own risk, project. involving the transportation of incur pre-award costs to cover costs up Tribal Emergency Planning hazardous material. to 90 days before the beginning date of Committee (TEPC) means a committee (h) To determine the number of public the initial budget period of a new or established by the TERC in each tribal sector employees employed or used by renewal award if such costs are region. TEPCs have the same a political subdivision who need the necessary to conduct the project, and responsibilities as LEPCs in the tribal proposed training and to select courses would be allowable under the grant if region. consistent with national consensus awarded. Tribal Emergency Response standards or the National Curriculum. (3) The incurrence of pre-award costs Committee (TERC) means the (i) To deliver comprehensive in anticipation of a competing or non- commission responsible for carrying out preparedness and response training to competing award imposes no obligation the provisions of EPCRA in the same public sector employees, which may on PHMSA for any of the following manner as a State Emergency Response include design and delivery of reasons: Commission (SERC) on federally preparedness and response training to (i) the absence of appropriations; recognized tribal lands. meet specialized needs, and financial (ii) if an award is not subsequently ■ 6. Revise § 110.30 to read as follows: assistance for trainees and for the made; or trainers, if appropriate, such as tuition, (iii) if an award is made for a lesser § 110.30 Hazardous materials emergency travel expenses to and from a training amount than the grantee anticipated. preparedness grant application. facility, and room and board while at (b) Payment may not be made for a (a) General. Applications must the training facility. project plan unless approved in the comply with the applicable Notice of (j) To deliver emergency response grant award. Funding Announcements which will drills and exercises associated with (1) Payments to recipients shall follow include or reference forms approved by training, a course of study, and tests and the Federal guidelines outlined at 2 CFR the Office of Management and Budget evaluation of emergency preparedness § 200.305. (OMB) under the Paperwork Reduction plans. (2) If a recipient agency seeks Act of 1980 (44 U.S.C. 3502). Applicants (k) To pay expenses associated with additional funds, the supplemental are required to electronically submit training by a person (including a amendment request will be evaluated on application packages to http:// department, agency, or instrumentality the basis of needs, performance, and www.grants.gov/. Applications must of a State or political subdivision availability of funds. An existing grant adhere to the instructions outlined in thereof, a territory, or an Indian Tribe) is not a commitment of future Federal the funding announcement and grant funding. and activities necessary to monitor such ■ application kit. training including, but not limited to 9. Revise § 110.70 to read as follows: (b) [Reserved] examinations, critiques, and instructor § 110.70 Financial administration. (c) [Reserved] evaluations. ■ 7. Revise § 110.40 to read as follows: (a) Recipients must expend and (l) To maintain staff to manage the account for grant funds in accordance § 110.40 Activities eligible for hazardous training effort designed to result in with the standards for financial and materials emergency preparedness grant increased benefits, proficiency, and program management of Federal grants funding. rapid deployment of local and regional outlined at 2 CFR 200.302. Eligible applicants may receive responders. (b) To be allowable, costs must be funding for the following activities: (m) For additional activities the eligible, reasonable, necessary, and (a) To develop, improve, and Associate Administrator deems allocable to the approved project in implement emergency plans required appropriate to implement the scope of accordance with 2 CFR part 200, subpart under the Emergency Planning and work for the proposed plan or project E, Cost Principles, and included in the Community Right-to-Know Act of 1986, and approved in the grant. grant award. Recipients are responsible as well as exercises that test the ■ 8. Revise § 110.50 to read as follows: for obtaining audits in accordance with

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2 CFR part 200, subpart F, Audit of all issues that arise from it are Issued in Washington, DC, on October 4, Requirements. Audits must be made by completed, or until the end of the 2016, under authority delegated in 49 CFR an independent auditor in accordance regular 3-year period, whichever is later. 1.97. with generally accepted government ■ 12. Revise § 110.100 to read as William Schoonover, auditing standards covering financial follows: Acting Associate Administrator for and compliance audits. The Associate Hazardous Materials Safety, Pipeline and § 110.100 Enforcement. Administrator or a designee of the Hazardous Materials Safety Administration. Associate Administrator may audit a If a recipient fails to comply with any [FR Doc. 2016–24418 Filed 10–7–16; 8:45 am] term of an award (whether stated in a recipient at any time. BILLING CODE 4910–60–P ■ 10. Revise § 110.80 to read as follows: Federal statute or regulation, an assurance, a State plan or application, a § 110.80 Procurement. notice of award, or elsewhere) a DEPARTMENT OF COMMERCE Recipients must use procurement noncompliance action may be taken as procedures and practices that adhere to specified in 2 CFR 200.338 through National Oceanic and Atmospheric applicable State laws and regulations 200.342. The recipient will have the Administration and Federal requirements as specified in opportunity to object and provide the procurement standards of 2 CFR part information and documentation 50 CFR Parts 223 and 224 200, as well as the Department of challenging the suspension or [Docket No. 160719634–6838–01] Transportation exception outlined at 2 termination action, in accordance with CFR 1201.317, as applicable. 2 CFR 200.341. Costs incurred by the RIN 0648–XE756 ■ 11. Revise § 110.90 to read as follows: recipient agency during a suspension or after termination of an award are not Listing Endangered or Threatened § 110.90 Grant monitoring, reports, and allowable unless the Associate Species; 90-Day Finding on a Petition records retention. Administrator authorizes it in writing. To List the Pacific Bluefin Tuna as (a) Grant monitoring. Project Grant awards may also be terminated in Threatened or Endangered Under the managers are responsible for managing whole or in part with the consent of the Endangered Species Act the day-to-day operations of grant, recipient at any agreed upon effective subgrant, and contract-supported date, or by the recipient upon written AGENCY: National Marine Fisheries activities. Project managers must notification. Service (NMFS), National Oceanic and monitor the performance of supported ■ 13. Revise § 110.110 to read as Atmospheric Administration (NOAA), activities to assure compliance with follows: Commerce. applicable Federal requirements and ACTION: 90-day petition finding, request § 110.110 After-grant requirements. achievement of performance goals. for information, and initiation of status Monitoring must cover each program, The Associate Administrator will review. function, activity, or task covered by the close out the award upon determination SUMMARY: grant. that all applicable administrative We, NMFS, announce a 90- (b) Reports. (1) The recipient must actions and all required work of the day finding on a petition to list the submit financial and performance grant are complete in accordance with 2 Pacific bluefin tuna (Thunnus reports as required in the terms and CFR part 200. The project manager must orientalis) as a threatened or endangered conditions of the grant award. The final submit all financial, performance, and species under the Endangered Species financial and performance reports are other reports required as a condition of Act (ESA) and to designate critical due 90 days after the expiration or the grant, within 90 days after the habitat concurrently with the listing. We termination of the grant. expiration or termination of the grant. find that the petition presents (2) All required performance reports This time frame may be extended by the substantial scientific information will be listed in the terms and Associate Administrator for cause. indicating the petitioned action may be ■ conditions of the Notice of Grant 14. Revise § 110.120 to read as warranted. We will conduct a status Award. follows: review of the Pacific bluefin tuna to determine whether the petitioned action (3) Financial reporting must be § 110.120 Deviation from this part. supplied using Standard Form 425 is warranted. To ensure that the status Recipient agencies may request a review is comprehensive, we are Federal Financial Report and submitted deviation from the non-statutory in accordance with the terms and soliciting scientific and commercial provisions of this part. The Associate information pertaining to this species. conditions of the grant award. Administrator will respond to such DATES: Scientific and commercial (c) Records retention. In accordance requests in writing. If appropriate, the information pertinent to the petitioned with 2 CFR part 200, all financial and decision will be included in the grant action must be received by December programmatic records, supporting agreement. Request for deviations from 12, 2016. documents, statistical records, training this part 110 must be submitted to: the materials, and other documents Grants Chief at [email protected]. ADDRESSES: You may submit comments generated under a grant must be ■ 15. Revise § 110.130 to read as on this document, identified by ‘‘Pacific maintained by the project manager for follows: Bluefin Tuna Petition (NOAA–NMFS– three years from the date the project 2016–0100),’’ by either of the following manager submits the final financial § 110.130 Disputes. methods: report. The project manager must Disputes should be resolved at the • Federal eRulemaking Portal. Go to designate a repository and single-point lowest level possible, beginning with www.regulations.gov/#!docketDetail;D= of contact for these purposes. If any the Grants Specialist, the Grants Team NOAA-NMFS-2016-0100, click the litigation, claim, negotiation, audit or Lead, and the Grants Chief. If an ‘‘Comment Now’’ icon, complete the another action involving the records has agreement cannot be reached, the required fields, and enter or attach your been started before the expiration of the Associate Administrator will serve as comments. 3-year period, the records must be the dispute resolution official, whose • Mail or hand-delivery: Protected retained until the action and resolution decision will be final. Resources Division, West Coast Region,

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NMFS, 1201 NE Lloyd Blvd., Suite ESA Statutory, Regulatory, Policy predation; (D) inadequacy of existing #1100, Portland, OR 97232. Provisions, and Evaluation Framework regulatory mechanisms; and (E) any Instructions: Comments sent by any Section 4(b)(3)(A) of the ESA of 1973, other natural or manmade factors other method, to any other address or as amended (16 U.S.C. 1531 et seq.), affecting the species’ existence (16 individual, or received after the end of requires, to the maximum extent U.S.C. 1533(a)(1), 50 CFR 424.11(c)). the comment period, may not be practicable, that within 90 days of ESA-implementing regulations issued considered by NMFS. All comments receipt of a petition to list a species as jointly by the Services (50 CFR received are a part of the public record threatened or endangered, the Secretary 424.14(b)) define ‘‘substantial and will generally be posted for public of Commerce make a finding on whether information’’ in the context of reviewing viewing on http://www.regulations.gov that petition presents substantial a petition to list, delist, or reclassify a species as the amount of information without change. All personal identifying scientific or commercial information that would lead a reasonable person to information (e.g., name, address, etc.), indicating that the petitioned action believe that the measure proposed in the confidential business information, or may be warranted, and to promptly petition may be warranted. In evaluating otherwise sensitive information publish such finding in the Federal whether substantial information is submitted voluntarily by the sender will Register (16 U.S.C. 1533(b)(3)(A)). When contained in a petition, the Secretary be publicly accessible. We will accept it is found that substantial scientific or must consider whether the petition: (1) anonymous comments (enter ‘‘N/A’’ in commercial information in a petition Clearly indicates the administrative the required fields if you wish to remain indicates the petitioned action may be measure recommended and gives the anonymous). warranted (a ‘‘positive 90-day finding’’), scientific and any common name of the FOR FURTHER INFORMATION CONTACT: we are required to promptly commence species involved; (2) contains detailed Electronic copies of the petition and a review of the status of the species narrative justification for the other materials are available on the concerned during which we will recommended measure, describing, NMFS West Coast Region Web site at conduct a comprehensive review of the based on available information, past and www.westcoast.fisheries.noaa.gov. best available scientific and commercial present numbers and distribution of the Please direct other inquiries to Scott information. In such cases, we conclude species involved and any threats faced Rumsey, NMFS West Coast Region at the review with a finding as to whether, by the species; (3) provides information [email protected], (503) 872–2791; in fact, the petitioned action is regarding the status of the species over or Marta Nammack, NMFS Office of warranted within 12 months of receipt all or a significant portion of its range; Protected Resources at of the petition. Because the finding at and (4) is accompanied by the [email protected], (301) 427– the 12-month stage is based on a more appropriate supporting documentation 8469. thorough review of the available in the form of bibliographic references, information, as compared to the narrow reprints of pertinent publications, SUPPLEMENTARY INFORMATION: scope of review at the 90-day stage, a copies of reports or letters from Background positive 90-day finding does not authorities, and maps (50 CFR prejudge the outcome of the status 424.14(b)(2)). On June 20, 2016, we received a review. At the 90-day finding stage, we petition from the Center for Biological Under the ESA, a listing evaluate the petitioners’ request based Diversity (CBD), on behalf of 13 other determination may address a species, upon the information in the petition co-petitioners, to list the Pacific bluefin which is defined to also include including its references and the tuna as threatened or endangered under subspecies and, for any vertebrate information readily available in our the ESA and to designate critical habitat species, any DPS that interbreeds when files. We do not conduct additional concurrently with its listing. The mature (16 U.S.C. 1532(16)). A joint research, and we do not solicit petition includes general biological NMFS–U.S. Fish and Wildlife Service information from parties outside the information about Pacific bluefin tuna (USFWS) (jointly, ‘‘the Services’’) policy agency to help us in evaluating the including its taxonomy, range and clarifies the agencies’ interpretation of petition. We will accept the petitioners’ distribution, the physical and biological the phrase ‘‘distinct population sources and characterizations of the characteristics of its habitat, population segment’’ for the purposes of listing, information presented if they appear to status and trends, and factors delisting, and reclassifying a species be based on accepted scientific contributing to the species’ decline. under the ESA (61 FR 4722; February 7, principles, unless we have specific CBD contends that ‘‘Pacific bluefin tuna 1996). A species, subspecies, or DPS is information in our files that indicates are severely overfished, and overfishing ‘‘endangered’’ if it is in danger of the petition’s information is incorrect, continues, making extinction a very real extinction throughout all or a significant unreliable, obsolete, or otherwise risk.’’ The petitioner presents portion of its range, and ‘‘threatened’’ if irrelevant to the requested action. information in the petition on the it is likely to become endangered within Information that is susceptible to more abundance of the species relative to the foreseeable future throughout all or than one interpretation or that is unfished levels and the fishing rates a significant portion of its range (ESA contradicted by other available from 2011–2013 which ‘‘were up to sections 3(6) and 3(20), respectively, 16 information will not be dismissed at the three times higher than commonly used U.S.C. 1532(6) and (20)). Pursuant to the 90-day finding stage, so long as it is reference point for overfishing.’’ The ESA and our implementing regulations, reliable and a reasonable person would petitioner also presents information on we determine whether species are conclude it supports the petitioners’ the level of harvest of juvenile Pacific threatened or endangered based on any assertions. In other words, conclusive bluefin tuna and what it characterizes as one or a combination of the following information indicating the species may a species in which ‘‘reproduction is five section 4(a)(1) factors: (A) The meet the ESA’s requirements for listing currently supported by just a few adult present or threatened destruction, is not required to make a positive 90- age classes that will soon disappear due modification, or curtailment of habitat day finding. We will not conclude that to old age.’’ Copies of the petition are or range; (B) overutilization for a lack of specific information alone available upon request (see FOR FURTHER commercial, recreational, scientific, or necessitates a negative 90-day finding if INFORMATION CONTACT). educational purposes; (C) disease or a reasonable person would conclude

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that the unknown information itself basis for a positive 90-day finding under Pacific bluefin tuna spawning occurs suggests the species may be in danger of the ESA. For example, as explained by in two areas of the western Pacific. They extinction or likely to become so within NatureServe, their assessments of a spawn between the Philippines and the the foreseeable future throughout all or species’ conservation status do ‘‘not Ryukyu Islands in April, May, and June, a significant portion of its range. constitute a recommendation by and in Japanese coastal waters of the To make a 90-day finding on a NatureServe for listing under the U.S. Sea of Japan in July and August petition to list a species, we evaluate Endangered Species Act’’ because (Schaefer 2001; Tanaka et al., 2007). whether the petition presents NatureServe assessments ‘‘have Pacific bluefin tuna are iteroparous substantial scientific or commercial different criteria, evidence spawners, meaning they may spawn information indicating the subject requirements, purposes and taxonomic more than once in their lifetime. They species may be either threatened or coverage than government lists of reach sexual maturity between the ages endangered, as defined by the ESA. endangered and threatened species, and of 3 and 5, and can live to be at least First, we evaluate whether the therefore these two types of lists should 20 years old. Research indicates that information presented in the petition, not be expected to coincide’’ (http:// fish spawning between Japan and the along with the information readily www.natureserve.org/prodServices/pdf/ Philippines are primarily 5 year olds, available in our files, indicates that the NatureServeStatusAssessmentsListing- while fish spawning in the Sea of Japan petitioned entity constitutes a ‘‘species’’ Dec%202008.pdf). Additionally, species are mostly 3 year olds (ISC 2014). eligible for listing under the ESA. Next, classifications under IUCN and the ESA Pacific bluefin tuna tend to migrate we evaluate whether the information are not equivalent; data standards, north along the Japanese and Korean indicates that the species faces an criteria used to evaluate species, and coasts in the summer, and south in the extinction risk that is cause for concern; treatment of uncertainty are not winter (Inagake et al., 2001; Itoh et al., this may be indicated in information necessarily the same. Thus, when a 2003; Yoon et al., 2012). A variable but expressly discussing the species’ status petition cites such classifications, we small portion of the age 1–3 Pacific and trends, or in information describing will evaluate the source of information bluefin tuna migrate eastward across the impacts and threats to the species. We that the classification is based upon in North Pacific Ocean each year, spending evaluate any information on specific light of the ESA’s standards on up to several years as juveniles off the demographic factors pertinent to extinction risk and threats discussed coast of North America before returning evaluating extinction risk for the species above. to the western Pacific Ocean to spawn (e.g., population abundance and trends, (Inagake et al., 2001). The trans-Pacific productivity, population spatial Distribution and Life History of the migration is believed to take 1.5–2.0 structure and connectivity, age Pacific Bluefin Tuna months (Baumann et al., 2015) and their structure, sex ratio, diversity, current Pacific bluefin tuna are a pelagic, migration route tends to be within the and historical range), and the potential highly migratory species occupying subtropical zone (Whitlock et al., 2012). In the eastern Pacific they are found contribution of identified demographic coastal and open ocean areas up to risks to extinction risk for the species. primarily off the coast of Mexico, depths of 200 meters (m). They are We then evaluate the potential links California, and Oregon (Domeier et al., primarily found in subtropical and between these demographic risks and 2005). While in the Eastern Pacific temperate waters of the North Pacific the causative impacts and threats Ocean, Pacific bluefin tuna exhibit a Ocean, ranging from East Asia to the identified in section 4(a)(1). seasonal pattern of northerly migrations west coast of North America. In the Information presented on impacts or in the summer and fall, returning to Baja western Pacific they are most abundant threats should be specific to the species California in the winter months between Sakhalin Island and the and should reasonably suggest that one (Kitagawa et al., 2007). or more of these factors may be Philippines, but have been reported as Pacific bluefin tuna fisheries in the operative threats that act or have acted far south as Australia and New Zealand. eastern Pacific are managed by the Inter- on the species to the point that it may In the central part of the Pacific Ocean, American Tropical Tuna Commission warrant protection under the ESA. Pacific bluefin tuna have been caught in (IATTC), and fisheries in the western Broad statements about generalized fisheries both north and south of the and central Pacific are managed by the threats to the species, or identification equator (Bayliff 1994). In the eastern Western and Central Pacific Fisheries of factors that could negatively impact Pacific, they have been documented Commission (WCPFC). Five countries a species, do not constitute substantial from Alaska to South America, but they harvest these fish but Japan catches the information indicating that listing may typically range from the southern tip of majority of Pacific bluefin tuna, be warranted. We look for information Baja California, Mexico, and Point followed by Mexico, the United States, indicating that not only is the particular Conception, California (Bayliff 1994). Korea and Chinese Taipei (ISC 2014). species exposed to a factor, but that the Of the bony fishes, tuna are unique for Based on genetic information and species may be responding in a negative their high metabolic rate and in their spawning distribution, the Pacific fashion. We then assess the potential ability to maintain body temperatures bluefin tuna is managed as a single significance of that negative response. several degrees higher than the stock. Research surveys have caught Many petitions identify risk surrounding water (Collette & Nauen larval, postlarval, and early juvenile classifications made by 1983). The Atlantic and Pacific bluefin Pacific bluefin tuna in the western nongovernmental organizations, such as tuna were once considered to be Pacific Ocean, but not in the eastern the International Union on the subspecies of the Northern bluefin tuna, Pacific Ocean, leading to the conclusion Conservation of Nature (IUCN), the but are now considered separate species that there is a single stock of Pacific American Fisheries Society, or on the basis of genetic and bluefin tuna in the North Pacific Ocean NatureServe, as evidence of extinction morphological differences (Collette (IATTC 2014). risk for a species. Risk classifications by 1999). Pacific bluefin tuna are one of the such organizations or made under other cold-water group of tunas which have Analysis of Petition and Information Federal or state statutes may be been able to extend their feeding ranges Readily Available in NMFS Files informative, but such classification into the colder ocean waters of the The petition contains information on alone will not alone provide sufficient temperate zone (Collette 1999). the species, including the taxonomy,

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species description, geographic indicates that although the total biomass samples collected from restaurants and distribution, habitat, population status fluctuated throughout the assessment supermarkets exceed those permitted by and trends, and factors contributing to period (1952 through 2014), it began to the U.S. Food and Drug Administration the species’ decline. According to the steadily decline in 1996, leveling off in (2000), Health Canada (2007) and the petition, four of the five causal factors 2010 (ISC 2016). During the stock European Commission (2008). Bluefin in section 4(a)(1) of the ESA are assessment period, the total biomass tuna samples in the cited study were adversely affecting the continued reached a peak of 209,075 metric tons in from Atlantic, Pacific, and Southern existence of the Pacific bluefin tuna: (A) 1960 and a low of 29,347 in 1983. The bluefin tuna, with over half of the The present or threatened destruction, estimated total biomass of Pacific samples from Atlantic bluefin tuna. The modification, or curtailment of its bluefin tuna for 2014 is 35,817 metric petition concludes that because of the habitat or range; (B) overutilization for tons. relatively high mercury content commercial, recreational, scientific, or The petition and the information in compared to other fish species, Pacific educational purposes; (D) inadequacy of our files indicate that the abundance of bluefin tuna are likely susceptible to existing regulatory mechanisms; and (E) Pacific bluefin tuna which are old physiological impacts. other natural or manmade factors enough to spawn (spawning stock Petitioners also raised concerns about affecting its continued existence. biomass) has diminished to just 2.6 persistent organic pollutants. Persistent In the following sections, we evaluate percent of its unfished biomass and less organic pollutants are absorbed by the information provided in the than one-third of what it was 20 years organisms at the base of the food chain petition, as well as other pertinent ago (ISC 2016). The unfished spawning and accumulated in the fatty tissues of information readily available in our stock biomass can roughly be defined as consumers, becoming more files, to determine if the petition the theoretical spawning stock biomass concentrated as they work their way up presents substantial scientific or without fishing and assuming no the food chain. This process is known commercial information indicating that environmental or density-dependent as biomagnification and can pose risks an endangered or threatened listing may effects. The ISC estimated the spawning to predators, like bluefin tuna, which be warranted as a result of any of the stock biomass for the year 2014 was are at the top of the food chain. The ESA section 4(a)(1) factors. If it does, 16,557 metric tons and the unfished petitioners cite various examples of then we will make a positive finding on biomass to be approximately 636,807. studies that have documented the petition and conduct a review of the The ISC also estimates the biomagnification in similar species and species range-wide. Below, we productivity to be relatively stable the risks to the health of the organism. summarize the information presented in throughout the modeling period. As an example, studies of Atlantic the petition and in our files on the Recruitment estimates for the most bluefin tuna in the Mediterranean found status of the species and the ESA recent years can be highly uncertain due unusually high levels of female proteins section 4(a)(1) factors that may be to limited information on the cohorts. in males of the species (Storelli et al., affecting the species’ risk of extinction, However, the ISC (2016) estimated that 2008). Researchers believe and determine whether a reasonable recruitment in 2014 was relatively low polychlorinated biphenyls and person would conclude that an and the average for the last 5 years organochlorine pesticides can mimic endangered or threatened listing may be appears to be below the long-term endogenous hormones, disrupt warranted as a result of any of these average. The petitioners assert that 97.6 reproductive functions and cause factors. percent of all Pacific bluefin tuna caught developmental abnormalities (such as intersexes) in fish (De Metrio et al., Pacific Bluefin Tuna Status and Trends are between 0 and 2 years of age and that the population is supported by just 2003). The International Scientific a few adult age classes. The petitioners The petitioners also raise concerns Committee (ISC), the scientific body that further assert that along with the about pollution from aquaculture informs the Northern Committee to the dwindling number of adults, in 2014, projects, calling attention to a proposed WCPFC, uses fishery-specific catch-and- the Pacific bluefin tuna population project off the coast of San Diego, effort data from Japanese and Taiwanese California. Waste from aquaculture produced the second lowest number of fisheries to derive estimates of operations can include excess fish feed, juvenile fish since 1952. abundance for Pacific bluefin tuna. The dead fish, fish feces, and chemicals used ISC models generate annual estimates of Analysis of ESA Section 4(a)(1) Factors to control disease and parasites (e.g. total biomass, spawning stock biomass, antibiotics and pesticides). Excessive The Present or Threatened Destruction, and recruitment for each year beginning fish feed, dead fish, and fish feces can Modification, or Curtailment of Its with 1952. Although there have been lead to elevated levels of nitrogen and Habitat or Range fisheries for Pacific bluefin tuna since at phosphorous which in turn can cause least the beginning of the 20th century The petitioners contend that Pacific oxygen depletion and harmful algal in the eastern Pacific Ocean, and for bluefin tuna are at risk of extinction blooms in nearby waters. The several centuries in the western Pacific throughout their range due to water petitioners do not provide details about Ocean, the data prior to 1952, especially pollution, marine debris, oil and gas how the chemicals used in aquaculture from the western Pacific Ocean, are of development, wind energy may affect the health of Pacific bluefin relatively poor quality (ISC 2016). For development, and prey depletion. The tuna in the wild. this reason, abundance estimates for petitioners assert that Pacific bluefin The petitioners assert that Pacific Pacific bluefin tuna begin with the 1952 tuna habitat is threatened by pollution bluefin tuna may be susceptible to fishing season. in the form of mercury, persistent entanglement by marine debris and The ISC uses an age-structured model, organic pollutants, plastics, radiation ingestion of plastic particles. Most of the based on catch, size-composition, and nuclides from Fukushima, oil spills, oil reports of fish entangled in marine catch-per-unit of effort data, to derive and gas development related waste debris are from lost fishing gear (NOAA estimates of biomass. Catch of Pacific products, and waste from aquaculture 2014). The petitioners note that because bluefin tuna is recorded as metric tons projects. The petitioners note that a of the properties of plastic, small plastic of fish and biomass is likewise recent study by Lowenstein et al., (2010) pellets tend to accumulate persistent expressed in metric tons. The ISC model found mercury levels of bluefin tuna organic pollutants and contribute to the

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biomagnification of these pollutants in Overutilization for Commercial, the long-term average. Two out of the the pelagic food web. Recreational, Scientific, or Educational last three recruitments are the lowest Oil and gas development can affect Purposes levels observed since 1980 (Maunder water quality through acute and chronic The petitioners assert that the primary 2016). spills and discharge of produced water threat to the Pacific bluefin tuna is from Inadequacy of Existing Regulatory and drilling muds. The petitioners overutilization by commercial and Mechanisms assert that the direct impacts of oil spills recreational fisheries. A common The petitioners assert that the existing include behavioral alteration, practice in fisheries management is to international, regional, and national suppressed growth, induced or define biological reference points for regulations do not adequately protect inhibited enzyme systems and other abundance of adult fish and limit the Pacific bluefin tuna. The regional molecular effects, physiological harvest levels to maintain the stock at or fisheries management organizations, the responses, reduced immunity to disease above the biological reference points. IATTC and the WCPFC have adopted and parasites, histopathological lesions The fisheries commissions have not management measures for Pacific and other cellular effects, tainted flesh, established biological reference points bluefin tuna, but these measures may and mortality (Holdway 2002). The for Pacific bluefin tuna. However, the not be adequate to end overfishing. The petitioners further assert that oil spills ISC compared the 2011–2013 estimated petitioner’s primary concern with the can exert indirect effects on wildlife fisheries mortalities to standard existing regulatory mechanisms is the through reduction of key prey species, reference points (targets for fishing absence of science-based biological impacting wildlife species and effort and abundance of the population) reference points and a mandatory limit ecosystems for decades (Peterson et al., and found that if those points were used on the aggregate international catch of 2003). The petitioners assert that to manage Pacific bluefin tuna, Pacific bluefin tuna. As noted above, the produced water and drilling muds overfishing would be occurring or just at petitioners contend that Pacific bluefin contain toxic pollutants such as the threshold and the stock would be tuna are at or below what should be mercury, lead, chromium, barium, considered overfished (ISC 2016). The considered a threshold for overfished. arsenic, cadmium, and polycyclic management implications of the most The IATTC staff recommended that aromatic hydrocarbons (MMS 2007). recent stock assessment are that the commercial catches in 2014 be limited Furthermore, the petitioners note that stock is at very low levels and the to an amount below 3,154 metric tons, some of the chemicals added to fracking fishing mortality is higher than any which was the estimated commercial fluids can have adverse effects on reasonable reference point (Maunder catch in the Eastern Pacific in 2013, and aquatic species and other wildlife 2016). that the noncommercial catches in 2014 (Colborn et al., 2011). In addition to The petitioners assert that the vast be limited below 221 metric tons, which water quality concerns, the petitioner majority of the Pacific bluefin tuna is based on the same method that was asserts that oil and gas exploration and catch are juvenile fish and the applied to commercial catch to development activities produce population is supported by a dwindling determine that recommended limit underwater noise which degrades number of adult tuna. According to the (IATTC 2014a). The petitioners note that Pacific bluefin tuna habitat. These petitioners, nearly 98 percent of all instead of using common scientific activities include seismic surveying, Pacific bluefin tuna caught are between reference points, the IATTC staff drilling, offshore structure 0 and 2 years of age and the population recommended catch limits based on the emplacement, offshore structure is supported by just a few adult age previous year’s total catch. The removal, and production related classes. Furthermore, the majority of petitioners also note that despite activities, including ship and helicopter Pacific bluefin tuna landed in the recommendations from staff, the IATTC activity for providing supplies to the Western Pacific are juveniles caught in decided to set total commercial catches drilling rigs and platforms. or around their nursery grounds. In the for 2015 and 2016 at 6,600 metric tons, Eastern Pacific, 90 percent of the catch for an effective annual catch of 3,300 The petitioners briefly describe the is estimated to be 1 to 3 years of age metric tons in each year. potential harm from wind-energy (IATTC 2014). In 2014, WCPFC adopted a rebuilding development, citing interference with The petitioners also assert that plan designed to rebuild the stock to the migration, feeding, and collisions or industrial fishing fleets are targeting historical median of 42,592 metric tons entanglements during construction and adult Pacific bluefin on their spawning within 10 years (WCPFC 2014a). operation as the primary issues. grounds, and that this is widely Estimated catches of Pacific bluefin tuna The final issue raised by the recognized as an unsustainable practice. were high from 1929 to 1940 with a petitioners related to Pacific bluefin In support of this assertion, the peak catch of approximately 47,635 tuna habitat is prey depletion. The petitioners provide information about metric tons in 1935 (ISC 2014). petitioners assert that commercial fisheries management for Atlantic However, the WCPFC uses the year 1952 fisheries for forage fish and squid have bluefin tuna. The International as the first year in its calculations for diminished the quality of Pacific bluefin Commission for the Conservation of the historical median. The petitioners tuna habitat in the California Current Atlantic Tunas established regulations argue that the chosen historical median Large Marine Ecosystem. The in 1982 which prohibit directed fishing equates to just 6.4 percent of the petitioners further note that the fishery on bluefin tuna in their Gulf of Mexico historical unfished level, well below the for market squid has increased five-fold spawning grounds. commonly recommended rebuilding in the last three decades (Vojkovich The petitioners assert that along with target of 20–40 percent of unfished 1998; CDFW 2014) and the fishery for the dwindling number of adults, in levels for species such as bluefin tuna sardines was recently closed because of 2014, the Pacific bluefin tuna (Restrepo et al., 1998). a 91 percent decline in abundance since population produced the second lowest The petitioners assert that U.S. 2007 (Hill et al., 2015). Research results number of juvenile fish since 1952. The regulations for domestic Pacific bluefin on Pacific bluefin tuna foraging ecology ISC (2016) estimated that recruitment in tuna fisheries are not adequate to demonstrate that their diet varies across 2014 was relatively low and the average prevent extinction. They argue that the years (PFMC 2016). for the last 5 years appears to be below United States has not taken adequate

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steps to prevent overfishing and to The petitioners assert that although species productivity; (3) species rebuild Pacific bluefin tuna. The research on ocean acidification’s direct distribution or population spatial petitioners note that for the 2012 and effects on tuna is in its infancy, structure; (4) patterns of phenotypic, 2013 fishing seasons, NMFS preliminary experiments hatching genotypic, and life history diversity; (5) implemented IATTC recommendations yellowfin tuna eggs in ocean water of habitat conditions and associated for commercial fisheries capping Pacific varying pH, including current and limiting factors and threats; (6) ongoing bluefin tuna annual catch at 500 metric predicted near future ocean pH (6.9, 7.3, or planned efforts to protect and restore tons—an amount above any U.S. catches 7.7, and 8.1), showed that decreasing pH the species and their habitats; (7) since 2000. The petitioners also note (i.e., acidification) significantly information on the adequacy of existing that the annual catch limit for 2015 and increased hours until complete hatching regulatory mechanisms, whether 2016, a combined limit of 600 metric (Bromhead et al., 2013; Frommel et al., protections are being implemented and tons for both years, is more than the 2016). The petitioners also cite research whether they are proving effective in U.S. commercial fleet has caught in any on other species which indicate that conserving the species; (8) data 2-year period since 2002. decreasing pH can lead to loss of the concerning the status and trends of Since 2010, U.S. recreational catch senses of sight, smell, and touch in identified limiting factors or threats; (9) has been significantly higher than U.S. fishes. information on targeted harvest commercial catch in all but one year, The petitioners assert that climate (commercial and recreational) and and accounts for the majority of the U.S. change will decrease dissolved oxygen bycatch of the species; (10) other new landings. In recent years, NMFS levels in the ocean and influence the information, data, or corrections reduced the bag limit for recreational range of suitable habitat for Pacific including, but not limited to, taxonomic fisheries from 10 to 2 fish per day. The bluefin tuna. The petitioners also assert or nomenclatural changes and improved petitioners argue that the bag limit does that scientists have already documented analytical methods for evaluating not provide an absolute limit on reduced oxygen levels in Pacific bluefin extinction risk; and (11) information recreational catch because (1) the tuna habitat—in waters off Japan, and concerning the impacts of fishery is open access, meaning there is the California Current (Bograd et al., environmental variability and climate no limit on the number of fishermen 2008; Emerson et al., 2004; McClatchie change on survival, recruitment, who can participate in the fishery, and et al., 2010). distribution, and/or extinction risk. (2) there is no limit on the number of Petition Finding In addition to the above requested trips each fisherman can take. Therefore, they feel the bag limits do not After reviewing the information information, we are interested in any provide a reliable mechanism for contained in the petition, as well as information concerning protective limiting recreational catch and information readily available in our efforts that have not yet been fully preventing overfishing. files, and based on the above analysis, implemented or demonstrated we conclude the petition presents effectiveness. Our consideration of Other Natural or Manmade Factors substantial scientific information conservation measures, regulatory Affecting Its Continued Existence indicating the petitioned action of mechanisms, and other protective The petition contends that climate listing the Pacific bluefin tuna as efforts will be guided by the Services change and its associated ocean impacts threatened or endangered may be ‘‘Policy for Evaluation of Conservation threaten the continued existence of warranted. Therefore, in accordance Efforts When Making Listing Decisions’’ Pacific bluefin tuna. Climate change is with section 4(b)(3)(B) of the ESA and (PECE Policy; 68 FR 15100; March 28, increasing ocean temperatures and NMFS’ implementing regulations (50 2003). The PECE Policy establishes surface ocean acidity, and decreasing CFR 424.14(b)(2)), we will commence a criteria to ensure the consistent and dissolved oxygen levels. Water status review of the species. During our adequate evaluation of formalized temperature is believed to be one of the status review, we will first determine conservation efforts when making factors which influence spawning whether the species is in danger of listing decisions under the ESA. This success of Pacific bluefin tuna. The extinction (endangered) or likely to policy may also guide the development petitioners assert that climate change become so (threatened) throughout all or of conservation efforts that sufficiently and its associated influence on the a significant portion of its range. Within improve a species’ status so as to make distribution of ocean temperatures may 12 months of the receipt of the petition listing the species as threatened or disrupt both migration and spawning (June 20, 2017), we will make a finding endangered unnecessary. Under the success for Pacific bluefin tuna. The as to whether listing the species as PECE Policy the adequacy of success of Pacific bluefin tuna spawning endangered or threatened is warranted conservation efforts is evaluated in and hatching, as well as larval survival, as required by section 4(b)(3)(B) of the terms of the certainty of their are believed to be closely linked to ESA. implementation, and the certainty of water temperature. The petitioners note their effectiveness. Criteria for that Kimura et al. (2010) found the Information Solicited evaluating the certainty of optimal temperature range for Pacific As a result of this 90-day finding, we implementation include whether: The bluefin tuna larval survival to be 24 to commence a status review of the Pacific necessary resources available; the 28 degrees Celsius, and an increase of bluefin tuna to determine whether necessary authority is in place; an just 3 degrees above this range to result listing the species is warranted. To agreement formalized (i.e., are in an immediate rise in mortality rate. ensure that our review of Pacific bluefin regulatory and procedural mechanisms The petitioners also assert that climate tuna is informed by the best available in place); there is a schedule for change may also reduce prey scientific and commercial information, completion and evaluation; for availability for Pacific bluefin tuna, we are opening a 60-day public voluntary measures, incentives to noting that climate-associated comment period to solicit information ensure necessary participation are in ecosystem changes have reduced to support our status review and 12- place; and there is agreement of all productivity in the last half-century in month finding. necessary parties to the measure or plan. the California Current Large Marine Specifically, we request information Criteria for evaluating the certainty of Ecosystem (Black et al., 2014). regarding: (1) Species abundance; (2) effectiveness include whether the

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measure or plan: includes a clear SUMMARY: NMFS proposes regulations period, may not be considered. All description of the factors for decline to under the Tuna Conventions Act to comments received are a part of the be addressed and how they will be implement provisions of two public record and will generally be reduced; establishes specific Resolutions adopted by the Inter- posted for public viewing on conservation objectives; identifies American Tropical Tuna Commission www.regulations.gov without change. necessary steps to reduce threats; (IATTC) in 2016: Resolution C–16–01 All personal identifying information includes quantifiable performance (Collection and Analyses of Data On (e.g., name, address, etc.) submitted measures for monitoring compliance Fish-Aggregating Devices) and voluntarily by the sender will be and effectiveness; employs principles of Resolution C–16–06 (Conservation publicly accessible. Do not submit adaptive management; and is certain to Measures for Shark Species, with confidential business information, or improve the species’ status at the time Special Emphasis on the Silky Shark otherwise sensitive or protected of listing determination. We request that (Carcharhinus Falciformis) for the Years information. NMFS will accept any information submitted with respect 2017, 2018, and 2019). Per Resolution anonymous comments (enter ‘‘N/A’’ in to conservation measures, regulatory C–16–01, these regulations would the required fields if you wish to remain mechanisms, or other protective efforts, require the owner or operator of a U.S. anonymous). that have yet to be implemented or purse seine vessel to ensure characters Copies of the draft Regulatory Impact show effectiveness, explicitly address of a unique code be marked indelibly on Review and other supporting documents the criteria in the PECE policy. each fish aggregating device (FAD) are available via the Federal We request that all information be deployed or modified on or after eRulemaking Portal: http:// accompanied by: (1) Supporting January 1, 2017, in the IATTC www.regulations.gov, docket NOAA– documentation such as maps, Convention Area. The vessel owner or NMFS–2016–0106 or by contacting the bibliographic references, or reprints of operator would also be required to Regional Administrator, William W. pertinent publications; and (2) the record and submit information about the Stelle, Jr., NMFS West Coast Region, submitter’s name, address, and any FAD, as described in Annex I of the 7600 Sand Point Way, NE., Bldg 1, association, institution, or business that Resolution C–16–01. Per Resolution C– Seattle, WA 98115–0070, or the person represents. 16–06, these regulations would prohibit RegionalAdministrator.WCRHMS@ References Cited the owner or operator of a U.S. purse noaa.gov. seine vessel from retaining on board, The complete citations for the FOR FURTHER INFORMATION CONTACT: transshipping, landing, or storing, in references used in this document can be Rachael Wadsworth, NMFS, West Coast part or whole, carcasses of silky sharks obtained by contacting NMFS (See FOR Region, 562–980–4036. caught by purse-seine vessels in the FURTHER INFORMATION CONTACT) or on SUPPLEMENTARY INFORMATION: our Web page at: IATTC Convention Area. These Background on the IATTC www.westcoast.fisheries.noaa.gov. regulations would also provide limits on the retained catch of silky sharks caught The United States is a member of the Authority: The authority for this action is in the IATTC Convention Area. This IATTC, which was established under the Endangered Species Act of 1973, as proposed rule is necessary for the amended (16. U.S.C. 1531 et seq.). the 1949 Convention for the United States to satisfy its obligations as Establishment of an Inter-American Dated: September 29, 2016. a member of the IATTC. Tropical Tuna Commission. In 2003, the Samuel D. Rauch, III, DATES: Comments on the proposed rule IATTC adopted the Convention for the Deputy Assistant Administrator for and supporting documents must be Strengthening of the IATTC Established Regulatory Programs, National Marine submitted in writing by November 10, by the 1949 Convention between the Fisheries Service. 2016. United States of America and the [FR Doc. 2016–24477 Filed 10–7–16; 8:45 am] ADDRESSES: You may submit comments Republic of Costa Rica (Antigua BILLING CODE 3510–22–P on this document, identified by NOAA– Convention). The Antigua Convention NMFS–2016–0106, by any of the entered into force in 2010. The United DEPARTMENT OF COMMERCE following methods: States acceded to the Antigua • Electronic Submission: Submit all Convention on February 24, 2016. The National Oceanic and Atmospheric electronic public comments via the full text of the Antigua Convention is Administration Federal e-Rulemaking Portal. Go to available at: https://www.iattc.org/ http://www.regulations.gov/ PDFFiles2/Antigua_Convention_Jun_ 50 CFR Part 300 #!docketDetail;D=NOAA-NMFS-2016- 2003.pdf. 0106, click the ‘‘Comment Now!’’ icon, The IATTC consists of 21 member [Docket No. 160801681–6857–01] complete the required fields, and enter nations and four cooperating non- RIN 0648–BG22 or attach your comments. member nations and facilitates scientific • Mail: Submit written comments to research into, as well as the International Fisheries; Tuna and Rachael Wadsworth, NMFS West Coast conservation and management of, tuna Tuna-Like Species in the Eastern Region Long Beach Office, 501 W. and tuna-like species in the IATTC Pacific Ocean; Silky Shark Fishing Ocean Blvd., Suite 4200, Long Beach, Convention Area. The IATTC Restrictions and Fish Aggregating CA 90802. Include the identifier Convention Area is defined as waters of Device Data Collection and ‘‘NOAA–NMFS–2016–0106’’ in the the eastern Pacific Ocean (EPO) within Identification comments. the area bounded by the west coast of Instructions: Comments must be the Americas and by 50° N. latitude, AGENCY: National Marine Fisheries ° ° Service (NMFS), National Oceanic and submitted by one of the above methods 150 W. longitude, and 50 S. latitude. Atmospheric Administration (NOAA), to ensure they are received, The IATTC maintains a scientific Commerce. documented, and considered by NMFS. research and fishery monitoring Comments sent by any other method, to program and regularly assesses the ACTION: Proposed rule; request for any other address or individual, or status of tuna, sharks, and billfish stocks comments. received after the end of the comment in the EPO to determine appropriate

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catch limits and other measures deemed since 2012, and Resolution C–16–06 is about the FAD to the address specified necessary to promote sustainable consistent with the advice that the by the Highly Migratory Species (HMS) fisheries and prevent the IATTC scientific staff provided in 2016. Branch. The HMS Branch is defined as overexploitation of these stocks. The main objective of Resolution C–16– NMFS West Coast Region, Suite 4200, 06 is to restrict retention of silky sharks 501 W. Ocean Blvd., Long Beach, CA International Obligations of the United on purse seine vessels and to restrict 90802. In accordance with Annex I of States Under the Antigua Convention incidental catch of silky sharks on Resolution C–16–01, nine data fields As a Party to the Antigua Convention longline vessels in the IATTC would be required to be recorded and and a member of the IATTC, the United Convention Area. U.S. commercial submitted: (1) Position; (2) date; (3) States is legally bound to implement fishing vessels in the EPO do not target hour; (4) FAD unique identifier; (5) FAD decisions of the IATTC. The Tuna silky shark; they are caught incidentally type (e.g., drifting natural FAD, drifting Conventions Act (16 U.S.C. 951 et seq.) and primarily discarded. artificial FAD); (6) FAD design directs the Secretary of Commerce, in characteristics (dimension and material Proposed Regulations consultation with the Secretary of State of the floating part and of the and, with respect to enforcement This proposed rule would implement underwater hanging structure); (7) the measures, the U.S. Coast Guard, to provisions of Resolutions C–16–01 and type of activity (set, deployment, promulgate such regulations as may be C–16–06, described above, for U.S. hauling, retrieving, loss, intervention on necessary to carry out the United States’ commercial fishing vessels that fish for electronic equipment, other (if so, obligations under the Antigua tuna or tuna-like species in the IATTC specify)); (8) if the activity is a set, the Convention, including Convention Area. This proposed rule results of the set in terms of catch and recommendations and decisions includes four elements: Two elements bycatch; and (9) characteristics of any adopted by the IATTC. The authority of regarding FADs and two elements attached buoy or positioning equipment the Secretary of Commerce to regarding silky shark. (positioning system, whether equipped promulgate such regulations has been The first element would require the with sonar, etc.). The IATTC Secretariat delegated to NMFS. owner or operator of a U.S. purse seine is currently working on further vessel to ensure characters of a unique IATTC Resolution on FADs describing and defining each of these code be marked indelibly on each fish data fields through the development of In 2013, the IATTC adopted aggregating device (FAD) deployed or a standard form. Owners and operators Resolution C–13–04 (Collection and modified on or after January 1, 2017. of a FAD would be required to record Analyses of Data on Fish-Aggregating The vessel owner or operator would be this information on the standard form Devices) in response to concerns that required to select one of the following developed by the Secretariat and incomplete data was being collected on two options for the unique code for each provided to the owners and operators by FADs and that the IATTC was unable to FAD: (1) Obtain a unique code from the HMS Branch. track the activities on a FAD through NMFS West Coast Region that NMFS The third element would prohibit the time in the Convention Area. The has obtained from the IATTC crew, operator, and owner of a Commission recognized that additional Secretariat, as specified in Annex I of commercial purse seine fishing vessel of information needed to be collected Resolution C–16–01 or (2) use an the United States used to fish for tuna before Commission-wide FAD existing unique identifier associated or tuna-like species from retaining on management measures could be with the FAD (e.g., the manufacturer board, transshipping, storing, or landing developed. In order to fully implement identification code for the attached any part or whole carcass of a silky Resolution C–13–04, the Commission buoy). shark that is caught in the Convention also needed to adopt a FAD The vessel owner or operator would Area. U.S. purse seiners do not target identification scheme. In 2014 and be required to ensure the characters for silky sharks; they are caught 2015, the IATTC scientific staff the unique code be at least 5 centimeters incidentally and are primarily provided options and recommendations in height on the upper portion of the discarded. The impacts of these for a FAD identification scheme. In attached radio or satellite buoy in a proposed regulations to purse seine 2015, the Commission agreed on a location that does not cover the solar vessels are described in the method to identify FADs and adopted cells used to power the equipment. For Classification section below. Resolution C–15–03, which amended FADs without attached radio or satellite The fourth element would require the Resolution C–13–04, and included this buoys, the characters would be required crew, operator, and owner of a information. In 2016, the Commission to be marked indelibly on the commercial longline fishing vessel of further agreed on modifications to uppermost or emergent top portion of the United States to limit the retention clarify the data collection requirements the FAD. In other words, the vessel of silky sharks caught in the IATTC and revisions to some of the dates for owner or operator would be required to Convention Area to a maximum of 20% implementing specific provisions in the ensure the marking is durable and will by weight of the total catch of fish Resolution. The IATTC adopted not fade or be erased (e.g., marked using during any fishing trip that occurred in Resolution C–16–01 by consensus in an epoxy-based paint or an equivalent whole or in part in the IATTC July 2016. The main objective of in terms of lasting ability) and visible at Convention Area. Although Resolution Resolution C–16–01 is to collect data on all times during daylight. In C–16–06 provides that the ‘‘bycatch’’ of FADs in the EPO and to identify FADs circumstances where the observer is silky shark be restricted, NMFS through a marking system. unable to view the unique code, the proposes to use the term ‘‘retained captain or crew would be required to catch’’ in these proposed regulations. IATTC Resolution on Silky Sharks assist the observer (e.g., by providing U.S. longline vessels fishing in the In 2016, the IATTC adopted the unique code of the FAD to the IATTC Convention Area do not target, Resolution C–16–06 in response to observer). and infrequently catch, silky shark. Data concerns for the stock status of the silky The second element would require from 2008 to 2015 show that any shark in the EPO. The IATTC scientific the vessel owner or operator of a FAD incidentally caught silky shark are staff has provided conservation that is deployed on or after January 1, released, and almost all are released recommendations for the silky shark 2017, to record and submit information alive. Silky shark are commonly

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released by cutting the line or [email protected], or fax July 1, 2016, and is to be used in place dehooking the shark before it is brought to (202) 395–5806. of the U.S. Small Business onboard the vessel. Weights for silky Notwithstanding any other provision Administration’s (SBA) current shark are not recorded and weight of the law, no person is required to standards of $20.5 million, $5.5 million, estimates for sharks released while still respond to, nor shall any person be and $7.5 million for the finfish (NAICS in the water would likely not be subject to a penalty for failure to comply 114111), shellfish (NAICS 114112), and reliable. An evaluation of total catch per with, a collection of information subject other marine fishing (NAICS 114119) longline trip where silky shark have to the requirements of the PRA, unless sectors of the U.S. commercial fishing been caught and released shows that, if that collection of information displays a industry for all NMFS rules, subject to the average weights of silky sharks are currently valid OMB Control Number. the RFA, published after July 1, 2016. approximated, the amount of silky shark All currently approved NOAA Id. at 81194. caught by U.S. longline vessels fishing collections of information may be NMFS has reviewed the analyses in the EPO would not come close to viewed at: http://www.cio.noaa.gov/ prepared for this regulatory action in 20% by weight of the total catch of fish services_programs/prasubs.html. light of the new size standard. All of the during a fishing trip. NMFS is proposing Regarding the elements of the entities directly regulated by this to use the term ‘‘retained catch’’ in the proposed rule pertaining to silky shark; regulatory action are commercial finfish proposed regulations to assist in there are no new collection-of- fishing businesses. The new standard enforcement of these regulations. The information requirements associated results in fewer commercial finfish impacts of these proposed regulations to with this action that are subject to the businesses being considered small. longline vessels are described in the PRA, and existing collection-of- The entities that would be affected by Classification section below. information requirements still apply the proposed action are (1) U.S. purse under the following Control Numbers: seine vessels that use FADs to fish for Classification 0648–0593 and 0648–0214. tuna or tuna-like species in the IATTC The NMFS Assistant Administrator Notwithstanding any other provision of Convention Area, and (2) U.S. purse has determined that this proposed rule the law, no person is required to seine and longline vessels that catch is consistent with the Tuna Conventions respond to, and no person shall be silky shark. Act and other applicable laws, subject to subject to penalty for failure to comply As of July 2016, there are 15 large further consideration after public with, a collection-of-information subject purse seine vessels (with at least 363 comment. to the requirements of the PRA, unless metric tons of fish hold volume) listed This proposed rule has been that collection-of-information displays a on the IATTC Regional Vessel Register. determined to be not significant for currently valid Office of Management The number of U.S. large purse seine purposes of Executive Order 12866. and Budget control number. vessels on the IATTC Regional Vessel NMFS is amending the supporting An Initial Regulatory Flexibility Register has increased substantially in statement for the Pacific Tuna Fisheries Analysis (IRFA) was prepared as the past two years due to negotiations Logbook Office of Management and required by section 603 of the regarding the South Pacific Tuna Treaty Business (OMB) Paperwork Reduction Regulatory Flexibility Act to analyze (SPTT) and the interest expressed by Act (PRA) requirements (OMB Control whether the proposed rule to implement vessel owners that typically fish in the No. 0648–0148) to include the data provisions of Resolutions C–16–01 and WCPO in relocating to the EPO. collection requirements for FADs as C–16–06 adopted by the IATTC in 2016 However, parties reached agreement in described in the preamble. NMFS would have a significant economic principle on changes to the SPTT in estimates the public reporting burden impact on a substantial number of small June 2016. U.S. large purse seine vessels for this collection of information to entities. The IRFA is being published to fishing in the EPO primarily land average 10 minutes per form, time for aid the public in commenting upon yellowfin, skipjack, and bigeye tuna. reviewing instructions, searching NMFS conclusion that the proposed Estimates of ex-vessel revenues for large existing data sources, gathering and actions will not have a significant U.S. purse seine vessels fishing in the maintaining the data needed, and economic impact on a substantial IATTC Convention Area from 2005 to completing and reviewing the collection number of small entities. 2014 have been confidential and may of information. NMFS requests any As described previously in the not be publicly disclosed because of the comments on the addition of the FAD SUPPLEMENTARY INFORMATION section, the small number of vessels in the fishery. data collection form to the PRA package, proposed regulations would require However, in 2015, thirteen large purse including whether the paperwork would FAD identification and data reporting as seine vessels fished either exclusively in unnecessarily burden any vessel owners well as fishing restrictions on silky the EPO or fished in both the EPO and and operators. Public comment is sharks. Alternatively, the failure to WCPO, and so information for 2015 is sought regarding: Whether this promulgate the proposed action would not confidential. proposed collection of information is result in the provisions of these For large purse seine vessels that necessary for the proper performance of Resolutions not being implemented and fished exclusively in the EPO in 2015, the functions of the agency, including would not allow the United States to ex-vessel price information specific to whether the information shall have satisfy its obligations as a member of the the individual vessels are not available practical utility; the accuracy of the IATTC. to NMFS because these vessels did not burden estimate; ways to enhance the On December 29, 2015, NMFS issued land on the U.S. West Coast and the quality, utility, and clarity of the a final rule establishing a small business cannery receipts are not available information to be collected; and ways to size standard of $11 million in annual through the IATTC. However, estimates minimize the burden of the collection of gross receipts for all businesses for large purse seine vessels based in the information, including through the use primarily engaged in the commercial WCPO that fish in both the EPO and of automated collection techniques or fishing industry (NAICS 11411) for WCPO may be used as a proxy for U.S. other forms of information technology. Regulatory Flexibility Act (RFA) large purse seine vessels. The number of Send comments on these or any other compliance purposes only (80 FR these U.S. purse seine vessels is aspects of the collection of information 81194, December 29, 2015). The $11 approximated by the number with to the ADDRESSES above, and by email to million standard became effective on WCPFC Area Endorsements, which are

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the NMFS-issued authorizations Permits (issued under 50 CFR 665.13). approximated, the amount of silky shark required to use a vessel to fish Under the Hawaii longline limited caught by U.S. longline vessels fishing commercially for HMS on the high seas access program, no more than 164 in the EPO do not come close to 20% in the Convention Area. As of August permits may be issued. In addition, by weight of the total catch of fish 2016 the number of purse seine vessels there are U.S. longline vessels based on during a fishing trip. with WCPFC Area Endorsements was the U.S. West Coast, some of which NMFS considered a ‘‘No Action’’ 42. Neither gross receipts nor ex-vessel operate solely under the Pacific HMS alternative to the proposed action. price information specific to individual permit. U.S. West Coast-based longline Under the ‘‘No Action’’ alternative, the fishing vessels are available to NMFS, so vessels operating under the Pacific HMS vessel owners and operators of large NMFS applied indicative regional permit fish primarily in the EPO and are purse seine vessels would not mark cannery prices—as approximations of currently restricted to fishing with deep- FADs or collect data on FAD activities. ex-vessel prices—to annual catches of set longline gear outside of the U.S. In addition, large purse seine vessels individual vessels to estimate their West Coast EEZ. These vessels primarily would not need to release silky sharks annual receipts. Indicative regional target tuna species with a small caught in the EPO and there would be cannery prices are available through percentage of swordfish and other no restrictions on catch on longline 2014 (developed by the Pacific Islands highly migratory species taken vessels. Under this alternative, the Forum Fisheries Agency; available at incidentally. United States would not implement https://www.ffa.int/node/425), so NMFS There have been less than three West Resolutions C–16–01 and C–16–06 and estimated vessels’ annual receipts Coast-based vessels operating under the would not satisfy international during 2012–2014. Using this approach, HMS permit since 2005; therefore, obligations as a Party to the Antigua NMFS estimates that among the affected landings and ex-vessel revenue are Convention. vessels, the range in annual average confidential. However, the number of Because the proposed action receipts in 2012–2014 was $3 million to Hawaii-permitted longline vessels that implements Resolutions C–16–01 and $20 million and the median was about have landed in West Coast ports has C–16–06 as agreed to by the United $13 million. Thus, NMFS estimates that increased from one vessel in 2006 to 14 States, there are also not any possible slightly more than half of the affected vessels in 2014. In 2014, 621 mt of additional alternatives that would be large purse seine vessels are small highly migratory species were landed by consistent with U.S obligations as a entities. Purse seine vessels that use Hawaii permitted longline vessels with party to the Antigua Convention. FADs to fish for tuna or tuna-like an average ex-vessel revenue of This IRFA was developed for this species and that catch silky shark in the approximately $247,857 per vessel. For action using NMFS’ small business size IATTC Convention Area are all large the longline fishery, the ex-vessel value standard of $11 million in annual gross vessels and are both large and small of catches by the Hawaii longline fleet receipts for all businesses primarily entities. in 2012 was about $87 million. With engaged in the commercial fishing There are two components to the U.S. 129 active vessels in that year, per- industry (NAICS 11411) for Regulatory tuna purse seine fishery in the EPO: (1) vessel average revenues were about $0.7 Flexibility Act (RFA) compliance Large purse seine vessels with at least million, well below the $11 million purposes (80 FR 81194, December 29, 363 metric tons of fish hold volume threshold for finfish harvesting 2015). The $11 million standard is used (size class 6 vessels) that typically have businesses. NMFS considers all longline in place of the U.S. SBA current been based in the western and central vessels, for which data is non- standards of $20.5 million, $5.5 million, Pacific Ocean (WCPO), and (2) coastal confidential, that catch silky sharks in and $7.5 million for the finfish (NAICS purse seine vessels with smaller fish the IATTC Convention Area to be small 114111), shellfish (NAICS 114112), and hold volume that are based on the U.S. entities for the purposes of the RFA. other marine fishing (NAICS 114119) West Coast. Because only the large U.S. longline vessels fishing in the sectors of the U.S. commercial fishing purse seine vessels fish with FADs and IATTC Convention Area, whether under industry. NMFS has reviewed the incidentally catch silky shark in the the Hawaii Longline Limited Access analyses prepared for this action in light EPO, the proposed action is not Permit or the Pacific HMS permit, do of the $11 million standard. Under this expected to impact the coastal purse not target silky shark and all those size standard, the entities for which the seine vessels. U.S. purse seiners do not caught incidentally are released. From proposed action on FADs applies are target silky sharks in the EPO. Since 2008 to 2015, logbook records recorded considered large and small business. 2005, the best available data from by vessel owners and operators of U.S. However, disproportional economic observers show that the incidental longline vessels fishing in the IATTC effect between small and large catches of silky shark are primarily Convention Area showed a total of four businesses is not expected; there will be discarded; however, a small percentage silky sharks caught and released on four only minimal additional time burden for has been landed in the past ten years. separate trips. During this same time owners and operators of large purse For example, in 2015, a year in which period, observers did not record any seine vessels to ensure characters of a more than three large purse seine catch of silky shark on longline vessels unique code be marked indelibly on vessels fished in the EPO, about 3% of using shallow-set gear. The observer their FADs and to record data for FAD the total catches of silky shark were data for the Hawaii deep-set longline activities. And while the large purse landed and the rest were discarded fishery showed a de minimis amount seine vessels impacted by the proposed either dead or alive. Since at least 2005, was occasionally caught and nearly all actions with respect to treatment of the observer coverage rate on class size were released alive. Since at least 2008, silky sharks would be required to 6 vessels in the EPO has been 100 the observer coverage rates on shallow- release all silky sharks, U.S. purse seine percent. set and deep-set longline vessels in the vessels do not target silky sharks, and As of August 2016, the IATTC EPO have been a minimum of 100 and primarily release those caught Regional Vessel Register lists 158 U.S. 20 percent, respectfully. An evaluation incidentally. However, there may be longline vessels that have the option to of total catch per longline trip where some modifications to the fishing fish in the IATTC Convention Area. The silky shark have been caught and practices of these large and small majority of these longline vessels released shows that, if the average entities to release all catch of silky possess Hawaii Longline Limited Access weights of silky sharks are sharks.

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NMFS considers the longline vessels PART 300—INTERNATIONAL (2) U.S. purse seine vessel owners and for which the proposed action on silky FISHERIES REGULATIONS operators shall ensure the characters of shark applies to be small entities and the unique code or unique identifier be the large purse seine vessels to also be Subpart C—Eastern Pacific Tuna marked indelibly at least 5 centimeters large and small entities. U.S. longline Fisheries in height on the upper portion of the attached radio or satellite buoy in a vessels fishing in the EPO do not target ■ 1. The authority citation for part 300, location that does not cover the solar silky shark and release all those subpart C, continues to read as follows: incidentally caught. U.S. longline cells used to power the equipment. For vessels only occasionally catch a small Authority: 16 U.S.C. 951 et seq. FADs without attached radio or satellite amount of silky sharks on fishing trips ■ 2. In § 300.21, add the definition for buoys, the characters shall be on the in the EPO; therefore, this proposed ‘‘Highly Migratory Species (HMS) uppermost or emergent top portion of action is not expected to impact the Branch’’ in alphabetical order to read as the FAD. The vessel owner or operator shall ensure the marking is visible at all fishing practices of these longline follows: times during daylight. In circumstances vessels. § 300.21 Definitions. where the on-board observer is unable Thus, these proposed actions are not * * * * * to view the code, the captain or crew expected to substantially change the Highly Migratory Species (HMS) shall assist the observer (e.g. by typical fishing practices of affected Branch means: National Marine providing the FAD identification code vessels. In addition, any impact to the Fisheries Service West Coast Region, to the observer). income of U.S. vessels would be minor. Suite 4200, 501 W. Ocean Blvd., Long (i) FAD data reporting for purse seine Therefore, NMFS has determined that Beach CA 90802. vessels. U.S. vessel owners and the proposed action is not expected to * * * * * operators must ensure that any have a significant economic impact on ■ 3. In § 300.24, add paragraphs (ee) interaction or activity with a FAD is a substantial number of small entities. through (hh) to read as follows: reported using a standard format Management of commercial fisheries § 300.24 Prohibitions. provided by the HMS Branch. The owner and operator shall ensure that the must comply with a number of * * * * * international agreements, domestic (ee) Fail to ensure characters of a form is submitted to the address specified by the HMS Branch. laws, and Fisheries Management Plans. unique code are marked indelibly on a ■ These include, but are not limited to, FAD deployed or modified on or after 5. In § 300.27 paragraphs (e) through the Magnuson-Stevens Fishery January 1, 2017 in accordance with (h) are redesignated as paragraph (g) Conservation and Management Act, the § 300.25 (h). through (j) and new paragraphs (e) and (f) are added to read as follows: High Seas Fishing Compliance Act, the (ff) Fail to record and report data on interactions or activities on FADs as Marine Mammal Protection Act, the § 300.27 Incidental catch and tuna Endangered Species Act, the National required in § 300.25 (i). retention requirements. (gg) Use a commercial purse seine Environmental Policy Act, the fishing vessel of the United States to * * * * * Paperwork Reduction Act, and the retain on board, transship, store, or land (e) Silky shark restrictions for purse Coastal Zone Management Act. NMFS any part or whole carcass of a silky seine vessels. The crew, operator, and strives to ensure consistency among the shark (Carcharhinus falciformis) in owner of a commercial purse seine regulations with relevant agencies. The contravention of § 300.27 (e). fishing vessel of the United States used proposed rule would not conflict with (hh) Use a U.S. longline vessel to to fish for tuna or tuna-like species is any other statutes or regulations, catch silky shark in contravention of prohibited from retaining on board, Federal or otherwise. § 300.27 (f). transshipping, storing, or landing any ■ 4. In § 300.25, add paragraphs (h) and part or whole carcass of a silky shark List of Subjects in 50 CFR Part 300 (i) to read as follows: (Carcharhinus falciformis) that is caught in the Convention Area. Fish, Fisheries, Fishing, Fishing § 300.25 Eastern Pacific fisheries vessels, International organizations, management. (f) Silky shark restrictions for longline Marine resources, Reporting and * * * * * vessels. The crew, operator, and owner recordkeeping requirements, Treaties. (h) FAD identification requirements of a longline vessel of the United States used to fish for tuna or tuna-like species Dated: September 27, 2016. for purse seine vessels. (1) For each FAD deployed or must limit the retained catch of silky Samuel D. Rauch, III, modified on or after January 1, 2017, in sharks caught in the IATTC Convention Deputy Assistant Administrator for the IATTC Convention Area, the vessel Area to a maximum of 20 percent in Regulatory Programs, National Marine owner or operator must either: obtain a weight of the total catch during each Fisheries Service. unique code from HMS Branch; or use fishing trip that occurs in whole or in For the reasons set out in the an existing unique identifier associated part in the IATTC Convention Area. preamble, 50 CFR part 300 is proposed with the FAD (e.g., the manufacturer * * * * * to be amended as follows: identification code for the attached [FR Doc. 2016–24444 Filed 10–7–16; 8:45 am] buoy). BILLING CODE 3510–22–P

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Notices Federal Register Vol. 81, No. 196

Tuesday, October 11, 2016

This section of the FEDERAL REGISTER FOR FURTHER INFORMATION CONTACT: Avenue NW., Washington, DC 20523; or contains documents other than rules or Jayne Thomisee, [email protected]. via email at [email protected]. proposed rules that are applicable to the SUPPLEMENTARY INFORMATION: The public. Notices of hearings and investigations, Dated: October 3, 2016. committee meetings, agency decisions and Jayne Thomisee, Reasonable Accommodation Records rulings, delegations of authority, filing of Executive Director & Policy Advisor, U.S. system covers USAID reasonable petitions and applications and agency Agency for International Development. accommodation activities related to statements of organization and functions are [FR Doc. 2016–24525 Filed 10–7–16; 8:45 am] current and former USAID employees examples of documents appearing in this and applicants. 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Records Time: 2:00–4:00 p.m. U.S.C. 522a(e)(4), to publish in the Location: Pavilion Room, The Ronald include the requests, documentation Federal Register notice of the existence related to the request, disposition of the Reagan Building, 1300 Pennsylvania and character of record systems Ave. NW., Washington, DC 20004. requests, and reasonable maintained by the agency. accommodations provided by USAID. Purpose DATES: In accordance with 5 U.S.C. 522a(e)(4) and (11), the public is given Dated: July 28, 2016. The Advisory Committee on Jon Brause, Voluntary Foreign Aid (ACVFA) brings a 30-day period in which to comment. Therefore, any comments must be Chief Privacy Officer, United States Agency together USAID and private voluntary for International Development. organization officials, representatives received on or before November 10, from universities, international 2016. Unless comments are received USAID–32 nongovernment organizations, U.S. that would require a revision, this SYSTEM NAME: businesses, and government, altered system of records will become multilateral, and private organizations effective on November 10, 2016. Reasonable Accommodation Records. ADDRESSES to foster understanding, : You may submit comments: SYSTEM LOCATION: communication, and cooperation in the Electronic Office of Civil Rights and Diversity, area of foreign aid. • Federal eRulemaking Portal: http:// United States Agency for International Agenda www.regulations.gov. Follow the Development (USAID), 1300 instructions on the Web site for Pennsylvania Avenue NW., Washington, USAID Administrator Gayle Smith DC 20523–2120. will make opening remarks, followed by submitting comments. • panel discussions among ACVFA Email: [email protected]. CATEGORIES OF INDIVIDUALS IN THE SYSTEM: members and USAID leadership on Paper Individuals who are current or former global development trends. The full USAID employees and applicants, and • Fax: (703) 666–5670. meeting agenda will be forthcoming on who have requested reasonable Mail: Chief Privacy Officer, United the ACVFA Web site at http:// accommodation under the States Agency for International www.usaid.gov/who-we-are/ Rehabilitation Act of 1973, as amended. organization/advisory-committee. Development, 1300 Pennsylvania Avenue NW., Washington, DC 20523. CATEGORIES OF RECORDS IN THE SYSTEM: Stakeholders FOR FURTHER INFORMATION CONTACT: The This system of records contains The meeting is free and open to the USAID Privacy Office at United States information or documents compiled public. Registration information will be Agency for International Development, during the reasonable accommodation forthcoming on the ACVFA Web site at Bureau for Management, Office of the request process. These records may http://www.usaid.gov/who-we-are/ Chief Information Officer, Information contain names, employment status, organization/advisory-committee. Assurance Division, 1300 Pennsylvania addresses, email addresses, telephone

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numbers, occupational series, grade USAID in his/her official capacity; (3) investigating or prosecuting a violation level, Agency office; the details of the any employee of USAID in his/her or enforcing or implementing a law, reasonable accommodation request or individual capacity where DOJ or rule, regulation, or order, where a emergency assistance request, type of USAID has agreed to represent the record, either on its face or in accommodation requested, information employee; or (4) the United States or conjunction with other information, concerning the nature of the disability any agency thereof, is a party to the indicates a violation or potential and the need for accommodation, litigation or has an interest in such violation of law, which includes medical documentation, sources of litigation, and USAID determines that criminal, civil, or regulatory violations technical assistance consulted to the records are both relevant and and such disclosure is proper and identify and procure reasonable necessary to the litigation and the use of consistent with the official duties of the accommodations, the details of the such records is compatible with the person making the disclosure. Agency determination; and any other purpose for which USAID collected the (8) To a court, magistrate, or information related to the request. records. administrative tribunal in the course of (2) To a congressional office from the presenting evidence, including AUTHORITY FOR MAINTENANCE OF SYSTEM OF record of an individual in response to disclosures to opposing counsel or RECORDS: an inquiry from that congressional office witnesses in the course of civil This system is established and is made at the request of the individual to discovery, litigation, or settlement maintained pursuant to 5 U.S.C. 301, whom the record pertains. negotiations or in connection with Departmental Regulations; the (3) To the National Archives and criminal law proceedings or in response Rehabilitation Act of 1973, 29 U.S.C. Records Administration (NARA) or to a subpoena from a court of competent 791; E.O. 13164—Requiring Federal other federal government agencies jurisdiction. Agencies To Establish Procedures To pursuant to records management (9) To another federal agency or Facilitate the Provision of Reasonable inspections being conducted under the commission with responsibility for Accommodation; and E.O. 13548, authority of 44 U.S.C. 2904 and 2906. labor or employment relations or other Increasing Federal Employment of (4) To an agency, organization, or issues, including equal employment Individuals with Disabilities individual for the purpose of performing opportunity and reasonable PURPOSE(S): audit or oversight operations as accommodation issues, when that The purpose of this system is to allow authorized by law, but only such agency or commission has jurisdiction USAID to collect and maintain records information as is necessary and relevant over reasonable accommodation. on applicants and employees with to such audit or oversight function. (10) To appropriate third parties (5) To appropriate agencies, entities, disabilities who requested or received contracted by USAID to facilitate and persons when (1) USAID suspects reasonable accommodation by the mediation or other dispute resolution or has confirmed that the security or Agency as required by the procedures or programs. confidentiality of information in the (11) To a Federal agency or entity that Rehabilitation Act of 1973 and the system of records has been requires information relevant or related Americans with Disabilities Act compromised; (2) the Agency has to a reasonable accommodation decision Amendments Act of 2008 (ADAAA). determined that as a result of the and/or its implementation. This system is maintained for the suspected or confirmed compromise (12) To medical personnel and first purpose of processing, deciding, and there is a risk of harm to economic or responders, to meet a bona fide implementing requests for reasonable property interests, identity theft or emergency, including medical accommodation made by USAID fraud, or harm to the security or emergencies. employees and applicants. The purpose integrity of this system or other systems (13) To attorneys, union of this system is also to track and report or programs (whether maintained by representatives, or other persons the processing of requests for reasonable USAID or another agency or entity) or designated by USAID employees in accommodation Agency-wide to comply harm to the individual that rely upon writing to represent them in a grievance, with applicable law and regulations and the compromised information; and (3) complaint, appeal, or litigation case. to preserve and maintain the the disclosure made to such agencies, (14) To an authorized appeal confidentiality of medical information. entities, and persons is reasonably grievance examiner, formal complaints ROUTINE USES OF RECORDS MAINTAINED IN THE necessary to assist in connection with examiner, administrative judge, equal SYTEM, INCLUDING CATEGORIES OF USERS AND USAID’s efforts to respond to the employment opportunity investigator, PURPOSES OF SUCH USE: suspected or confirmed compromise arbitrator or other duly authorized In addition to those disclosures and prevent, minimize, or remedy such official engaged in investigation or generally permitted under 5 U.S.C. harm. settlement of a grievance, complaint, or 552a(b), all or a portion of the records (6) To contractors and their agents, appeal filed by an employee. contained in this system of records may grantees, experts, consultants, and (15) To labor organization officials be disclosed outside USAID as a routine others performing or working on a when such information is relevant to use pursuant to 5 U.S.C. 552a(b)(3) as contract, service, grant, cooperative personnel policies affecting follows: agreement, or other assignment for employment conditions and necessary (1) To the Department of Justice, USAID, when necessary to accomplish for exclusive representation by the labor (including United States Attorney an agency function related to this organization. Offices), or other appropriate Federal system of records. Individuals provided POLICIES AND PRACTICES FOR STORING, Government agency conducting information under this routine use is RETRIEVING, ACCESSING, RETAINING, AND litigation or in proceedings before any subject to the same Privacy Act DISPOSING OF RECORDS IN THE SYSTEM: court, adjudicative or administrative requirements and limitations on STORAGE: body, when it is necessary to the disclosure as are applicable to USAID Records in this system are stored on litigation and one of the following is a officers and employees. paper and/or electronic form; and are party to the litigation or has an interest (7) To an appropriate federal, state, or maintained in locked cabinets and/or in such litigation (1) USAID or any local law enforcement agency or other user-authenticated, password-protected component thereof; (2) any employee of appropriate authority charged with systems.

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RETRIEVABILITY: usaid.gov; (4) on the USAID Web site at international or domestic terrorism (as Records are retrieved by the names of www.usaid.gov/foia-requests; or (5) in defined in section 2331), imprisonment the individuals about whom they are person during regular business hours at of not more than eight years, or both; maintained and/or the number assigned USAID, 1300 Pennsylvania Avenue and that requesting or obtaining records to the accommodation request. In the NW., Washington, DC 20523–2701, or at under false pretenses is punishable case of electronic databases, information USAID overseas missions. under the provisions of 5 U.S.C. may be retrieved by other identifying Requesters using 1 through 4 may 552a(i)(3) as a misdemeanor and by a search terms. provide a written statement or may fine of not more than $5,000. complete and submit USAID Form 507– Requesters using 5 must provide such SAFEGUARDS: 1, Freedom of Information/Privacy Act personal identification as is reasonable Information in this system is Record Request Form, which can be under the circumstances to verify the safeguarded in accordance with obtained: (a) On the USAID Web site at requester’s identity, including the applicable laws, rules and policies, www.usaid.gov/foia-requests; (b) by following: An unexpired United States including the Agency’s automated email request to [email protected]; or (c) passport; Social Security Card; directive system (ADS). In general, by writing to the USAID FOIA Office, unexpired United States Government records are maintained in buildings Bureau for Management, Office of employee identity card; unexpired with restricted access. The required use Management Services, Information and driver’s license or identification card of password protection identification Records Division, 1300 Pennsylvania issued by a state or United States features and other system protection Avenue NW., Room 2.07C–RRB, possession, provided that it contain a methods also restrict access. Access to Washington, DC 20523–2701, and photograph; certificate of United States records is restricted to those authorized provide information that is necessary to citizenship; certificate of naturalization; USAID personnel and authorized identify the records, including the card showing permanent residence in contractors who have an official need in following: Requester’s full name; the United States; United States alien the performance of their official duties. present mailing address; home registration receipt card with telephone; work telephone; name of RETENTION AND DISPOSAL: photograph; United States military card subject, if other than requester; Records are retained and disposed of or draft record; or United States military requester relationship to subject; dependent’s identification card. in accordance with the Equal description of type of information or Employment Opportunity Commission’s specific records; and purpose of CONTESTING RECORDS PROCEDURES: Policy Guidance on Executive Order requesting information. Requesters Individuals seeking to contest or 13164: Establishing Procedures to should provide the system of record amend records maintained on himself or Facilitate the Provision of Reasonable identification name and number, if herself must clearly and concisely state Accommodation, Directives Transmittal known; and, to facilitate the retrieval of that information is being contested, and Number 915.003, October 20, 2000; and records contained in those systems of the proposed amendment to the in accordance with the National records which are retrieved by Social information sought. Requests to amend Archives and Records Administration Security Numbers, the Social Security a record must follow the Record Access (NARA) General Records Schedule 1, Number of the individual to whom the Procedures above. Civilian Personnel Records, Item 24, record pertains. Reasonable Accommodation Request In addition, requesters using 1 RECORDS SOURCE CATEGORIES: Records. through 4 must include proof of identity Sources of records include SYSTEM MANAGER(S) AND ADDRESS: information by providing copies of two individuals who have requested (2) source documents that must be Reasonable Accommodation Program reasonable accommodation and notarized by a valid (un-expired) notary Manager, Office of Civil Rights and supporting documentation from USAID public. Acceptable proof-of-identity Diversity, United States Agency for officials, employees, and agents, and/or source documents include: An International Development, 1300 healthcare professionals involved in the unexpired United States passport; Pennsylvania Avenue NW., Washington, reasonable accommodation request, Social Security Card (both sides); response, and implementation process. DC 20523–2120. unexpired United States Government NOTIFICATION PROCEDURE: employee identity card; unexpired EXEMPTIONS CLAIMED FOR THE SYSTEM: Same as Record Access Procedures. driver’s license or identification card None. issued by a state or United States [FR Doc. 2016–24509 Filed 10–7–16; 8:45 am] RECORDS ACCESS PROCEDURES: possession, provided that it contain a BILLING CODE 6116–02–P Under the Privacy Act, individuals photograph; certificate of United States may request access to records about citizenship; certificate of naturalization; themselves. If an agency or a person, card showing permanent residence in who is not the individual who is the the United States; United States alien DEPARTMENT OF AGRICULTURE subject of the records, requests access to registration receipt card with Agricultural Research Service records about an individual, the written photograph; United States military card consent of the individual who is the or draft record; or United States military Submission for OMB Review; subject of the records is required. dependent’s identification card. Comment Request Requesters may submit requests for Requesters using 1 through 4 must records under the Privacy Act: (1) By also provide a signed and notarized October 5, 2016. mail to the USAID FOIA Office, Bureau statement that they are the person The Department of Agriculture has for Management, Office of Management named in the request; that they submitted the following information Services, Information and Records understand that any falsification of their collection requirement(s) to OMB for Division, 1300 Pennsylvania Avenue statement is punishable under the review and clearance under the NW., Room 2.07C–RRB, Washington, provision of 18 U.S.C. 1001 by a fine, or Paperwork Reduction Act of 1995, DC 20523–2701; (2) via Facsimile to by imprisonment of not more than five Public Law 104–13. Comments are 202–216–3070; (3) via email to foia@ years or, if the offense involves requested regarding (1) whether the

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collection of information is necessary modality in response to fulfilling its via email to rosemarie.downer@ for the proper performance of the legislative mandate to disseminate vital fns.usda.gov. Comments will also be functions of the agency, including agricultural information and truly accepted through the Federal whether the information will have become the national digital library of eRulemaking Portal. Go to http:// practical utility; (2) the accuracy of the agriculture. www.regulations.gov and follow the agency’s estimate of burden including Need and Use of the Information: The online instructions for submitting the validity of the methodology and purpose of the research is to ensure that comments electronically. assumptions used; (3) ways to enhance intended audiences find the information All written comments will be open for the quality, utility and clarity of the provided on the Internet sites easy to public inspection at the Office of the information to be collected; and (4) access, clear, informative, and useful. Food and Nutrition Service during ways to minimize the burden of the The research will provide a means by regular business hours (8:30 a.m. to 5 collection of information on those who which to classify visitors to the NAL p.m. Monday through Friday) at 3101 are to respond, including through the Internet sites, to better understand how Park Center Drive, Room 1014, use of appropriate automated, to serve them. If the information is not Alexandria, Virginia 22302. electronic, mechanical, or other collected, NAL will be limited in its All responses to this notice will be technological collection techniques or ability to provide accurate, timely summarized and included in the request other forms of information technology. information to its user community. for Office of Management and Budget Comments regarding this information Description of Respondents: approval. All comments will be a matter collection received by November 10, Individuals or households; Business or of public record. 2016 will be considered. Written other for-profit; Not-for-profit FOR FURTHER INFORMATION CONTACT: comments should be addressed to: Desk institutions; Farms; State, Local or Requests for additional information or Officer for Agriculture, Office of Tribal Government. copies of this information collected Information and Regulatory Affairs, Number of Respondents: 12,000. should be directed to Rosemarie Downer Office of Management and Budget Frequency of Responses: Reporting: at (703) 305–2129. (OMB), New Executive Office Building, Annually. SUPPLEMENTARY INFORMATION: Comments 725 17th Street NW., Washington, DC Total Burden Hours: 720. 20502. Commenters are encouraged to are invited on: (a) Whether the proposed submit their comments to OMB via Ruth Brown, collection of information is necessary email to: OIRA_Submission@ Departmental Information Collection for the proper performance of the OMB.EOP.GOV or fax (202) 395–5806 Clearance Officer. functions of the agency, including and to Departmental Clearance Office, [FR Doc. 2016–24440 Filed 10–7–16; 8:45 am] whether the information shall have USDA, OCIO, Mail Stop 7602, BILLING CODE 3410–03–P practical utility; (b) the accuracy of the Washington, DC 20250–7602. Copies of agency’s estimate of the burden on the the submission(s) may be obtained by proposed collection of information, calling (202) 720–8958. DEPARTMENT OF AGRICULTURE including the validity of the An agency may not conduct or methodology and assumptions that were sponsor a collection of information Food and Nutrition Service used; (c) ways to enhance the quality, unless the collection of information utility, and clarity of the information Agency Information Collection displays a currently valid OMB control collected; and (d) ways to minimize the Activities: Proposed Collection; number and the agency informs burden of the collection of information Comments Request—Assessment of potential persons who are to respond to on those who are to respond, including the Barriers That Constrain the the collection of information that such use of appropriate automated, Adequacy of Supplemental Nutrition persons are not required to respond to electronic, mechanical, or other Assistance Program (SNAP) the collection of information unless it technological collection techniques or Allotments displays a currently valid OMB control other forms of information technology. number. AGENCY: Food and Nutrition Service Title: Assessment of the Barriers that (FNS), USDA. Constrain the Adequacy of Agricultural Research Service Supplemental Nutrition Assistance ACTION: Notice. Title: Evaluation of User Satisfaction Program (SNAP) Allotments. with NAL Internet Sites. SUMMARY: In accordance with the OMB Number: 0584—NEW. OMB Control Number: 0518–0040. Paperwork Reduction Act of 1995, this Expiration Date: Not Yet Determined. Summary of Collection: There is a notice invites the public and other Type of Request: New collection. need to measure user satisfaction with public agencies to comment on this Abstract: The Supplemental Nutrition the National Agricultural Library (NAL) proposed information collection. This is Assistance Program (SNAP) is intended Internet sites in order for NAL to a new collection for the purpose of to alleviate food insecurity among low- comply with Executive Order 12862, assessing the individual, household, income households. Towards this end, which directs federal agencies that and the environmental factors that limit it provides eligible low-income provide significant services directly to the adequacy of the SNAP allotment. households with a monthly benefit the public to survey customers to amount (SNAP allotment) based on determine the kind and quality of DATES: Written comments must be household size and net income to services they want and their level of received on or before December 12, purchase foods from authorized retailers satisfaction with existing services. NAL 2016. that can be prepared and eaten at home. Internet sites are a vast collection of ADDRESSES: Comments may be sent to: SNAP benefits are based on the Thrifty Web pages created and maintained by Rosemarie Downer, Food and Nutrition Food Plan, which is intended to be a component organizations of NAL, and Service/U.S. Department of Agriculture, minimal-cost nutritionally adequate are visited by 8.6 million people per 3101 Park Center Drive, Room 1014, diet, but has been the subject of month on average. The information Alexandria, VA 22302. Comments may significant criticism for being generated from this research will enable also be submitted via fax to the attention inadequate. In 2015, about 53 percent of NAL to evaluate the success of this new of (703) 305–2576 at (703) 305–2129 or SNAP households experienced food

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insecurity, with about 23 percent of characteristics. First, a hard-copy survey is 6,983 individuals/households who SNAP households experiencing very will be mailed to SNAP participants, will be contacted. Out of those, the total low food security (or severe food and they will be asked to return it in a number of respondents who will move insecurity). While participation in postage-paid envelope. Those with bad on to participate in part or whole is SNAP for about 6 months is associated addresses and those who do not respond 4,800. This includes 4,800 SNAP with decreased food insecurity, it does to the mailing will be given an option participants for the Food and Your not guarantee food security or a healthy to complete a telephone interview. Household survey (with an 80 percent diet. • In-depth interviews. To supplement response rate for eligible respondents) The Institute of Medicine (IOM) has the survey data, in-person in-depth and 120 SNAP participants who will examined the current SNAP benefit and interviews will be conducted with 120 complete the in-depth interviews (with has raised several concerns about its SNAP participants. Interviewees will be an 80 percent response rate for eligible adequacy. The IOM committee asked open-ended questions about their respondents) in addition to the SNAP recommended that FNS assess the food budgets, choices, options, survey. individual, household, and the preferences, their perceptions of a Estimated Number of Responses per environmental factors that limit the healthy diet, the extent to which they Respondent: Participants in the survey- adequacy of the current SNAP provide and receive food assistance only group will respond one time and allotment. To this end, FNS is from others in their social networks, and those in the in-depth interview group conducting a survey followed by in- why they shop for food in specific will respond two times: once to the depth interviews with SNAP locations. They will also be asked to survey and once to the in-depth participants. The data collection narrate a ‘‘tour’’ of their kitchen and interview. activities to be undertaken subject to eating spaces. In-depth interview Estimated Total Annual Responses: this notice include: respondents will be chosen from among 4,920. • Food and Your Household Survey: survey respondents based on their Estimated Time per Response: The SNAP participants selected for the study representation of the following analytic surveys will take an average of 30 will be asked questions about their food categories of interest: Food security, minutes (.5 hours). In-depth interviews budgets, shopping patterns, knowledge rural-urban location, geographical will take an average of 75 minutes (1.25 and attitudes about healthy diets, region, and phase of the benefit month. hours). barriers to purchasing foods to ensure Affected Public: Respondent groups Estimated Total Annual Burden on they eat a healthy diet, coping strategies identified include individuals/ Respondents: 2,691.34 hours. when resources are limited, households (SNAP participants). See the table below for estimated total participation in nutrition assistance Estimated Number of Respondents: annual burden for each type of programs, and household The total sample size for this collection respondent.

Average Number of Number of Total annual burden per Total burden Respondent respondents responses per responses response (in hours) respondent (in hours)

SNAP Client Survey

Completed ...... 4,800 1 4,800 0.500 2,400.00 Attempted ...... 1,793 1 1,793 0.067 120.13

Survey Total ...... 6,593 ...... 6,593 ...... 2,520.13

In-depth Interview with SNAP Clients

Recruitment Screener: Completed ...... 216 1 216 0.083 17.93 Attempted ...... 24 1 24 0.033 0.79 In-depth Interview: Completed ...... 120 1 120 1.250 150.00 Attempted ...... 30 1 30 0.083 2.49

In-depth Interviews Total ...... 390 ...... 390 ...... 171.21

Total ...... 6,983 ...... 6,983 ...... 2.691.34

Dated: October 3, 2016. DEPARTMENT OF AGRICULTURE Paperwork Reduction Act of 1995, Telora T. Dean, Public Law 104–13. Comments are Acting Administrator, Food and Nutrition Forest Service requested regarding (1) whether the Service. collection of information is necessary Submission for OMB Review; [FR Doc. 2016–24478 Filed 10–7–16; 8:45 am] for the proper performance of the Comment Request functions of the agency, including BILLING CODE 3410–30–P whether the information will have October 4, 2016. practical utility; (2) the accuracy of the The Department of Agriculture has agency’s estimate of burden including submitted the following information the validity of the methodology and collection requirement(s) to OMB for assumptions used; (3) ways to enhance review and clearance under the the quality, utility and clarity of the

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information to be collected; and (4) governments from the pre-agreement to 98201; and at the USDA Forest Service ways to minimize the burden of the the closeout stage via telephone calls, Region 6 Regional Office at 1220 SW. collection of information on those who emails, postal mail, and person-to- 3rd Ave., Portland, OR 97204. are to respond, including through the person meetings. The scope of FOR FURTHER INFORMATION CONTACT: use of appropriate automated, information collected includes the Information may be obtained by electronic, mechanical, or other project type, project scope, financial contacting the following office: Mt. technological collection techniques and plan, statement of work, and Baker-Snoqualmie National Forest, 2930 other forms of information technology. cooperator’s business information. Wetmore Ave., Suite 3A, Everett, WA Comments regarding this information Without the ability to collect the 98201, 425–783–6000, stellaitorres@ collection received by November 10, information from cooperator’s FS and fs.fed.us. 2016 will be considered. Written DOI would not be able to conduct any Individuals who use comments should be addressed to: Desk of the activities authorized. Agencies to telecommunication devices for the deaf Officer for Agriculture, Office of this request would not be able to (TDD) may call the Federal Information Information and Regulatory Affairs, develop projects, make payment, Relay Service (FIRS) at 1–800–877–8339 Office of Management and Budget monitor projects, identify financial and between 8:00 a.m. and 8:00 p.m., (OMB), New Executive Office Building, accounting errors, agree to roles and Eastern Standard Time, Monday 725 17th Street NW., Washington, DC, responsibilities, etc. through Friday. 20503. Commentors are encouraged to Description of Respondents: State, SUPPLEMENTARY INFORMATION: The Skagit submit their comments to OMB via local and Tribal Governments. email to: OIRA_Submission@ Wild and Scenic River boundary is Number of Respondents: 320. available for review at the following omb.eop.gov or fax (202) 395–5806 and Frequency of Responses: Reporting: to Departmental Clearance Office, offices: USDA Forest Service, On occasion. Wilderness and Wild and Scenic Rivers, USDA, OCIO, Mail Stop 7602, Total Burden Hours: 47,040. Washington, DC 20250–7602. Copies of 1601 N. Kent Street, Plaza C, Suite the submission(s) may be obtained by Charlene Parker, 4110B, Rosslyn, VA 22209; USDA calling (202) 720–8681. Departmental Information Collection Forest Service Pacific Northwest Region, An agency may not conduct or Clearance Officer. 1220 SW. Third Avenue, Portland, OR sponsor a collection of information [FR Doc. 2016–24402 Filed 10–7–16; 8:45 am] 97204. unless the collection of information BILLING CODE 3411–15–P The Skagit Wild and Scenic River was displays a currently valid OMB control added to the National Wild and Scenic number and the agency informs Rivers System (Pub. L. 95–625) on potential persons who are to respond to DEPARTMENT OF AGRICULTURE November 10, 1978. As specified by the collection of information that such law, the boundary will not be effective persons are not required to respond to Forest Service until ninety (90) days after Congress receives the transmittal. the collection of information unless it Boundary Description and Final Map displays a currently valid OMB control for Skagit Wild and Scenic River, Mt. Dated: September 28, 2016. number. Baker-Snoqualmie National Forest, Dianne C. Guidry, Forest Service Washington Deputy Regional Forester. [FR Doc. 2016–24464 Filed 10–7–16; 8:45 am] Title: Cooperative Wildland Fire AGENCY: Forest Service, USDA. Management and Stafford Act Response BILLING CODE 3410–11–P ACTION: Notice of availability. Agreements. OMB Control Number: 0596—NEW. SUMMARY: In accordance with section Summary of Collection: The primary 3(b) of the Wild and Scenic Rivers Act, DEPARTMENT OF COMMERCE authorities allowing for the agreements the USDA Forest Service, Washington International Trade Administration are the reciprocal Fire Protection Act, 42 Office, transmitted the final map and U.S.C. 1856, and the Stafford Act, 42 perimeter boundary description of the [A–570–977] U.S.C. 5121. The Forest Service (FS) is Skagit Wild and Scenic River to charged with the duty of providing fire Congress. High Pressure Steel Cylinders From protection for any property of the the People’s Republic of China: United States and is authorized to enter DATES: The boundaries and Rescission of Antidumping Duty into a reciprocal agreement, with any classification of the Skagit Wild and Administrative Review; 2015–2016 fire organization maintaining fire Scenic River shall not become effective protection facilities in the vicinity of until ninety (90) days after they have AGENCY: Enforcement and Compliance, such property, for mutual aid in been forwarded to the President of the International Trade Administration, furnishing fire protection for such Senate and the Speaker of the House of Department of Commerce. property and for other property for Representatives. In accordance with ACTION: Notice. which such organization normally Section 3(b) of the Wild and Scenic SUMMARY: The Department of Commerce provides fire protection. Rivers Act (82 Stat. 906 as amended; 16 Need and Use of the Information: To U.S.C. 1274), the detailed perimeter (Department) is rescinding the negotiate, develop, and administer boundary description and final map administrative review of the Cooperative Wildland Fire Management were forwarded on July 21, 2016. antidumping duty order on high and Stafford Act Response Agreements, ADDRESSES: Documents may be viewed pressure steel cylinders (steel cylinders) the USDA FS, Department of Interior at USDA Forest Service, Yates Federal from the People’s Republic of China (DOI) Bureau of Land Management; Fish Building, 201 14th Street SW., (PRC) for the period of review June 1, and Wildlife Service; National Park Washington, DC 20250; at the 2015, through May 31, 2016. Service; and Bureau of Indian Affairs Supervisors Office of the Mt. Baker- DATES: Effective October 11, 2016. DOI must collect information from Snoqualmie National Forest, 2930 FOR FURTHER INFORMATION CONTACT: willing State, local, and Tribal Wetmore Ave., Suite 3A, Everett, WA Matthew Renkey, AD/CVD Operations,

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Office V, Enforcement and Compliance, from the PRC. Antidumping duties shall certain lined paper products from India. International Trade Administration, be assessed at rates equal to the cash The period of review (POR) is January U.S. Department of Commerce, 14th deposit of estimated antidumping duties 1, 2014, through December 31, 2014, Street and Constitution Avenue NW., required at the time of entry, or and the review covers one producer/ Washington DC 20230; telephone: (202) withdrawal from warehouse, for exporter of the subject merchandise, 482–2312. consumption in accordance with 19 Goldenpalm Manufacturers PVT Ltd. SUPPLEMENTARY INFORMATION: CFR 351.212(c)(1)(i). The Department (Goldenpalm). We preliminarily intends to issue appropriate assessment determine that Goldenpalm received Background instructions to CBP 15 days after the countervailable subsidies during the On June 15, 2016, Norris Cylinder date of publication of this notice of POR. Company (Petitioner) submitted a rescission of administrative review. DATES: request for administrative review of the Effective October 11, 2016. antidumping duty order on steel Notifications FOR FURTHER INFORMATION CONTACT: John cylinders from the PRC for a single This notice also serves as a final Conniff, AD/CVD Operations, Office III, company, Beijing Tianhai Industry Co., reminder to importers of their Enforcement and Compliance, Ltd. (BTIC).1 On June 28, 2016, BTIC responsibility under 19 CFR International Trade Administration, also submitted a request for 351.402(f)(2) to file a certificate U.S. Department of Commerce, 14th administrative review of the order.2 On regarding the reimbursement of Street and Constitution Avenue NW., August 11, 2016, the Department antidumping duties prior to liquidation Washington, DC 20230; telephone (202) published the notice of initiation of an of the relevant entries during this 482–1009. administrative review of the order for review period. Failure to comply with SUPPLEMENTARY INFORMATION: the period of review June 1, 2015, this requirement could result in the Scope of the Order through May 31, 2016.3 On September presumption that reimbursement of 14, 2016, Petitioner and BTIC both antidumping duties occurred and the The product covered by this withdrew their requests for review.4 subsequent assessment of doubled administrative review is certain lined paper products from India. For a full Rescission of Review antidumping duties. This notice also serves as a final description of the scope of this order see Pursuant to 19 CFR 351.213(d)(1), the reminder to parties subject to the Preliminary Decision Department will rescind an administrative protective order (APO) of Memorandum.1 administrative review, in whole or in their responsibility concerning the Methodology part, if the party or parties that return or destruction of proprietary requested a review withdraw(s) the information disclosed under an APO in The Department is conducting this request within 90 days of the accordance with 19 CFR 351.305(a)(3). CVD administrative review in publication date of the notice of Timely written notification of the return accordance with section 751(a)(1)(A) of initiation of the requested review. As or destruction of APO materials, or the Tariff Act of 1930, as amended (the noted above, all parties withdrew their conversion to judicial protective order, Act). For each of the subsidy programs requests for administrative reviews is hereby requested. Failure to comply found countervailable, we preliminarily within 90 days of the publication date with the regulations and terms of an determine that there is a subsidy (i.e., a of the notice of initiation. No other APO is a sanctionable violation. financial contribution by an ‘‘authority’’ parties requested an administrative This notice is issued and published in that gives rise to a benefit to the review of the order. Therefore, in accordance with sections 751(a)(1) and recipient) and that the subsidy is accordance with 19 CFR 351.213(d)(1), 2 777(i)(1) of the Tariff Act of 1930, as specific. For a full description of the we are rescinding this review in its amended, and 19 CFR 351.213(d)(4). methodology underlying our entirety. preliminary conclusions, see the Dated: September 29, 2016. Assessment Preliminary Decision Memorandum. Christian Marsh, The Preliminary Decision The Department will instruct U.S. Deputy Assistant Secretary for Antidumping Memorandum is a public document and Customs and Border Protection (CBP) to and Countervailing Duty Operations. is on file electronically via Enforcement assess antidumping duties on all [FR Doc. 2016–24366 Filed 10–7–16; 8:45 am] and Compliance’s Antidumping and appropriate entries of steel cylinders BILLING CODE 3510–DS–P Countervailing Duty Centralized Electronic Service System (ACCESS). 1 See Letter to the Secretary from Petitioner, ACCESS is available to registered users ‘‘High Pressure Steel Cylinders from the People’s DEPARTMENT OF COMMERCE Republic of China Request for Administrative at https://access.trade.gov, and is Review and Entry of Appearance,’’ June 15, 2016. available to all parties in the Central International Trade Administration 2 See Letter to the Secretary from BTIC, ‘‘Request Records Unit, Room B8024 of the main for the Fourth Administrative Review of the [C–533–844] Antidumping Duty Order on High Pressure Steel Department of Commerce building. In Cylinders from the People’s Republic of China, A– addition, a complete version of the 570–977 (POR: 06/01/15–05/31/16),’’ June 28, 2016. Certain Lined Paper Products From 3 See Initiation of Antidumping and India: Preliminary Results of 1 See Decision Memorandum for Preliminary Countervailing Duty Administrative Reviews, 81 FR Countervailing Duty Administrative Results for the Countervailing Duty Administrative 53121 (August 11, 2016). Review; Calendar Year 2014 Review of Certain Lined Paper Products from India, 4 See Letter to the Secretary from Petitioner, from Christian Marsh, Deputy Assistant Secretary ‘‘Withdrawal of Request for an Administrative AGENCY: Enforcement and Compliance, for Antidumping and Countervailing Duty Review of the Antidumping Duty Order on High Operations to Paul Piquado, Assistant Secretary for Pressure Steel Cylinders from the People’s Republic International Trade Administration, Enforcement and Compliance, dated concurrently of China,’’ (September 14, 2016); Letter to the Department of Commerce. with, and hereby adopted by, this notice Secretary from BTIC, ‘‘Withdrawal of Review SUMMARY: The Department of Commerce (Preliminary Decision Memorandum). Request in the Fourth Administrative Review of 2 See sections 771(5)(B) and (D) of the Act Antidumping Duty Order on High Pressure Steel (the Department) is conducting an regarding financial contribution; section 771(5)(E) Cylinders from the People’s Republic of China,’’ administrative review of the of the Act regarding benefit; and section 771(5A) of (September 14, 2016). countervailing duty (CVD) order on the Act regarding specificity.

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Preliminary Decision Memorandum can Constitution Avenue NW., Washington, Export Promotion Capital Goods Scheme be accessed directly at http:// DC 20230, at a time and location to be (EPCGS) enforcement.trade.gov/frn/. The signed determined. Parties should confirm by Programs Requiring Additional Preliminary Decision Memorandum and Information telephone the date, time, and location of Duty Drawback and Annex 45 the electronic version of the Preliminary the hearing two days before the Program Preliminarily Determined To Be Not Decision Memorandum are identical in scheduled date. Countervailable content. A list of topics discussed in the Unless the deadline is extended Central Value Added Tax (CENVAT) Preliminary Decision Memorandum is pursuant to section 751(a)(3)(A) of the Reimbursements included as Appendix I to this notice. Act, the Department will issue the final Programs Preliminarily Determined To Be Not Used During the POR Preliminary Results of Review results of this administrative review, including the results of its analysis of Recommendation The Department preliminarily issues raised in any written briefs, [FR Doc. 2016–24486 Filed 10–7–16; 8:45 am] determines that the following net within 120 days after the date of BILLING CODE 3510–DS–P subsidy rate exists for the period publication of these preliminary results. January 1, 2014, through December 31, 2014: Assessment Rates DEPARTMENT OF COMMERCE Upon issuance of the final results, the Manufacturer/exporter Net subsidy rate International Trade Administration Department shall determine, and U.S. Goldenpalm Manufactur- 0.92 percent ad Customs and Border Protection (CBP) [A–570–890] ers PVT Ltd. valorem. shall assess, countervailing duties on all appropriate entries covered by this Wooden Bedroom Furniture From the People’s Republic of China: Disclosure and Public Comment review. We intend to issue instructions to CBP 15 days after publication of the Preliminary Results of Antidumping The Department will disclose to final results of review. Duty Administrative Review and parties to this proceeding the Preliminary Determination of No calculations performed in connection Cash Deposit Instructions Shipments in Part; 2015 with these preliminary results within Pursuant to section 751(a)(2)(C) of the five days of the date of publication of AGENCY: Enforcement and Compliance, Act, the Department also intends to this notice.3 Pursuant to 19 CFR International Trade Administration, instruct CBP to collect cash deposits of 351.309(c)(1)(ii), the Department will Department of Commerce. estimated countervailing duties, in the notify interested parties of the due date SUMMARY: In response to requests from amount shown above, for the company to submit case briefs.4 Rebuttal briefs interested parties, the Department of shown above, on shipments of subject may be filed no later than five days after Commerce (‘‘the Department’’) is merchandise entered, or withdrawn the deadline for filing case briefs, and conducting the eleventh administrative from warehouse, for consumption on or must be limited to issues raised in the review (‘‘AR’’) of the antidumping duty after the date of publication of the final case briefs.5 Parties who submit case or order on wooden bedroom furniture rebuttal briefs are requested to submit results of this review. For all non- (‘‘WBF’’) from the People’s Republic of with the argument: (1) A statement of reviewed firms, we will instruct CBP to China (‘‘PRC’’). The period of review the issue; (2) a brief summary of the collect cash deposits of estimated (‘‘POR’’) is January 1, 2015, through argument; and (3) a table of authorities.6 countervailing duties at the most recent December 31, 2015. This AR covers 18 Case and rebuttal briefs should be filed company-specific or all-others rate companies. The Department has electronically using ACCESS.7 applicable to the company, as preliminarily determined that seven of Pursuant to 19 CFR 351.310(c), appropriate. These cash deposit the 18 companies, including the sole interested parties who wish to request a requirements, when imposed, shall mandatory respondent, have not hearing must do so within 30 days of remain in effect until further notice. established their entitlement to a publication of these preliminary results Notification to Interested Parties separate rate and are part of the PRC- by submitting a written request to the wide entity. The Department has also Assistant Secretary for Enforcement and These preliminary results of review preliminarily determined that the Compliance, U.S. Department of are issued and published in accordance remaining 11 companies had no Commerce, filed electronically using with sections 751(a)(1) and 777(i)(1) of reviewable transactions during the POR. ACCESS. Requests should contain the the Act and 19 CFR 351.213 and We invite interested parties to comment party’s name, address, and telephone 351.221(b)(4). on these preliminary results. number; the number of participants; and Dated: October 4, 2016. DATES: Effective October 11, 2016. a list of the issues to be discussed. If a Ronald K. Lorentzen, FOR FURTHER INFORMATION CONTACT: request for a hearing is made, we will Acting Assistant Secretary for Enforcement Patrick O’Connor, AD/CVD Operations, inform parties of the scheduled date for and Compliance. Office IV, Enforcement and Compliance, the hearing which will be held at the International Trade Administration, U.S. Department of Commerce, 1401 Appendix I—List of Topics in the Preliminary Decision Memorandum Department of Commerce, 1401

3 Constitution Avenue NW., Washington, See 19 CFR 351.224(b). Summary DC 20230; telephone: (202) 482–0989. 4 Because the Department requires additional Background time to examine Goldenpalm’s use of duty Scope of the Order SUPPLEMENTARY INFORMATION: drawback programs during the POR, which will Subsidies Valuation require post-preliminary results analysis, we will Background Allocation Period announce to parties at a later date the case brief After initiating this review with deadlines. See the Preliminary Decision Cross-Ownership Memorandum at 9 for a discussion of the programs Denominator respect to 141 companies or company that require further analysis. Benchmark Interest Rates groupings,1 interested parties withdrew 5 See 19 CFR 351.309(d). Analysis of Programs 6 See 19 CFR 351.309(c)(2) and (d)(2). Program Preliminarily Determined To Be 1 See Initiation of Antidumping and 7 See 19 CFR 351.303. Countervailable Countervailing Duty Administrative Reviews and

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all review requests for 123 of the 141 Methodology Department preliminarily determines 2 companies. On June 8, 2016, the The Department is conducting this that these seven companies are part of Department issued an antidumping duty review in accordance with section the PRC-wide entity. The PRC-wide questionnaire to the sole mandatory 751(a)(1)(B) of the Tariff Act of 1930, as entity rate is 216.01 percent. For respondent in this review, Nantong amended (‘‘the Act’’) and 19 CFR additional information regarding this Wangzhuang Furniture Co., Ltd. 351.213. For a full description of the determination, see the Preliminary (‘‘Nantong Wangzhuang’’). Nantong methodology underlying our Decision Memorandum. Wangzhuang did not respond to the preliminary results of review, see the Public Comment questionnaire. For a complete Preliminary Decision Memorandum. A Interested parties are invited to description of the events that followed list of topics discussed in the comment on the preliminary results and the initiation of this administrative Preliminary Decision Memorandum is may submit case briefs and/or written review, see the Preliminary Decision provided in Appendix I to this notice. Memorandum which is hereby adopted comments, filed electronically using by this notice.3 Preliminary Determination of No ACCESS, within 30 days of the date of The Preliminary Decision Shipments publication of this notice, pursuant to Memorandum is a public document and Because U.S. Customs and Border 19 CFR 351.309(c)(1)(ii). Rebuttal briefs, is on file electronically via Enforcement Protection (‘‘CBP’’) did not provide any limited to issues raised in the case and Compliance’s Antidumping and information contradicting the claims of briefs, will be due five days after the Countervailing Duty Centralized the 11 companies under review which due date for case briefs, pursuant to 19 Electronic Service System (‘‘ACCESS’’). claimed to have made no shipments, the CFR 351.309(d). Parties who submit ACCESS is available to registered users Department preliminarily determines case or rebuttal briefs in this review are at http://access.trade.gov and in the that these 11 companies did not have requested to submit with each argument Central Records Unit, room B8024 of the any reviewable transactions during the a statement of the issue, a summary of main Department of Commerce POR.6 For additional information the argument not to exceed five pages, building. In addition, a complete regarding this determination, see the and a table of statutes, regulations, and version of the Preliminary Decision Preliminary Decision Memorandum.7 cases cited, in accordance with 19 CFR Memorandum can be accessed directly Consistent with the Department’s 351.309(c)(2). Any interested party may request a at http://enforcement.trade.gov/frn/. practice in non-market economy hearing within 30 days of publication of The signed Preliminary Decision (‘‘NME’’) cases, the Department is not this notice.10 Hearing requests should Memorandum and the electronic rescinding this AR, in part, with respect contain the following information: (1) version of the Preliminary Decision to these 11 companies, but intends to The party’s name, address, and Memorandum are identical in content. complete the review with respect to the companies for which it has telephone number; (2) the number of Scope of the Order preliminarily found no shipments and participants; and (3) a list of the issues to be discussed. Oral presentations at The product covered by the order is issue appropriate instructions to CBP 8 the hearing will be limited to issues wooden bedroom furniture, subject to based on the final results of the review. raised in the case briefs. If a request for certain exceptions.4 Imports of subject Preliminary Results of Review a hearing is made, parties will be merchandise are classified under the As noted above, Nantong notified of the time and date for the Harmonized Tariff Schedule of the Wangzhuang did not respond to the hearing to be held at the U.S. United States (‘‘HTSUS’’) subheadings: Department’s antidumping duty Department of Commerce, 1401 9403.50.9042, 9403.50.9045, questionnaire. Therefore, the Constitution Avenue NW., Washington, 9403.50.9041, 9403.60.8081, Department preliminarily determines DC 20230.11 9403.20.0018, 9403.90.8041, that Nantong Wangzhuang did not Unless extended, the Department 7009.92.1000 or 7009.92.5000. Although establish its eligibility for separate rate intends to issue the final results of this the HTSUS subheadings are provided status. In addition, six other companies AR, which will include the results of its for convenience and customs purposes, for which a review was requested failed analysis of issues raised in any briefs the written product description in the to provide separate rate applications or received, within 120 days of publication Order remains dispositive.5 certifications.9 Therefore, the of these preliminary results, pursuant to section 751(a)(3)(A) of the Act. Request for Revocation in Part, 81 FR 11179 (March 6 The 11 companies/company groupings are: (1) 3, 2016) (‘‘Initiation Notice’’). Dongguan Sunrise Furniture Co., Ltd., Taicang Assessment Rates 2 See Wooden Bedroom Furniture, From the Sunrise Wood Industry Co., Ltd., Taicang Upon issuing the final results of this People’s Republic of China: Partial Rescission of Fairmount Designs Furniture Co., Ltd., Meizhou Antidumping Duty Administrative Review, 81 FR Sunrise Furniture Co., Ltd.; (2) Eurosa (Kunshan) review, the Department will determine, 62083 (September 8, 2016). Co., Ltd., Eurosa Furniture Co., (Pte) Ltd.; (3) and CBP shall assess, antidumping 3 See ‘‘Decision Memorandum for the Preliminary Golden Well International (HK) Ltd.; (4) Jiangsu duties on all appropriate entries covered Results of the Antidumping Duty Administrative Tairui Structure Engineering Co., Ltd.; (5) Nanhai by this review.12 The Department Review: Wooden Bedroom Furniture from the Jiantai Woodwork Co., Ltd., Fortune Glory People’s Republic of China,’’ from Edward Yang, Industrial Ltd. (H.K. Ltd.); (6) Rizhao Sanmu intends to issue assessment instructions Senior Director, Office VII, to Ronald K. Lorentzen, Woodworking Co., Ltd.; (7) Shenyang Shining to CBP 15 days after the publication Acting Assistant Secretary for Enforcement and Dongxing Furniture Co., Ltd.; (8) Wanvog Furniture date of the final results of this review. Compliance (‘‘Preliminary Decision (Kunshan) Co., Ltd.; (9) Woodworth Wooden We intend to instruct CBP to liquidate Memorandum’’), dated concurrently with this Industries (Dong Guan) Co., Ltd.; (10) Yeh Brothers notice. World Trade Inc.; and (11) Zhejiang Tianyi 4 See Notice of Amended Final Determination of Scientific & Educational Equipment Co., Ltd. Pleasant Wave Ltd., Passwell Corp.; (4) Shanghai Sales at Less Than Fair Value and Antidumping 7 See Preliminary Decision Memorandum. JianPu Export & Import Co., Ltd.; (5) Decca Duty Order: Wooden Bedroom Furniture From the 8 See Non-Market Economy Antidumping Furniture Ltd.; and (6) Hangzhou Cadman Trading People’s Republic of China, 70 FR 329 (January 4, Proceedings: Assessment of Antidumping Duties, 76 Co., Ltd. (Exporter), Haining Changbei Furniture 2005) (‘‘Order’’). FR 65694, 65694–95 (October 24, 2011) and the Co., Ltd. (Producer). 5 For a complete description of the scope of the ‘‘Assessment Rates’’ section, below. 10 See 19 CFR 351.310(c). Order, please see the Preliminary Decision 9 The six companies are: (1) Dongguan Singways 11 See 19 CFR 351.310(d). Memorandum. Furniture Co., Ltd.; (2) Clearwise Co., Ltd.; (3) 12 See 19 CFR 351.212(b).

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entries of subject merchandise exported Dated: October 3, 2016. Electricity and Water Authority (DEWA) by the PRC-wide entity, including Ronald K. Lorentzen, and Sharjah Electricity and Water Nantong Wangzhuang and the other six Acting Assistant Secretary for Enforcement Authority, and by a federal authority companies noted above which did not and Compliance. that operates in the smaller northern emirates (FEWA). qualify for separate rate status, at the Appendix I PRC-wide rate. Additionally, pursuant In Abu Dhabi, ADWEA has to the Department’s practice in NME List of Topics Discussed in the Preliminary established a long-term program for the cases, if we continue to determine that Decision Memorandum privatization of the electricity sector and the 11 companies noted above had no (1) Summary a number of independent water and shipments of subject merchandise, any (2) Background power producers have been established (3) Scope of the Order as joint-venture arrangements between suspended entries of subject (4) Respondent Selection merchandise during the POR under ADWEA and various international (5) Discussion of the Methodology power companies as Build—Operate— their case numbers will be liquidated at a. Preliminary Determination of No Own projects. The Dubai government is the PRC-wide rate.13 Shipments b. Duty Absorption also promoting private investment in its Cash Deposit Requirements c. NME Country Status electricity generation sector, and d. Separate Rates recently passed legislation allowing the The following cash deposit (6) Conclusion private sector to participate in requirements will be effective upon [FR Doc. 2016–24488 Filed 10–7–16; 8:45 am] electricity generation by establishing publication of the final results of this BILLING CODE 3510–DS–P project companies and by collaborating review for shipments of the subject with third parties. merchandise from the PRC entered, or Per the UAE Ministry of Energy, the withdrawn from warehouse, for DEPARTMENT OF COMMERCE total generated electricity in 2014 was consumption on or after the publication 116, 528 GWH and consumption was date, as provided by sections International Trade Administration about 111.685 GWH. Rapid economic 751(a)(2)(C) of the Act: (1) For and demographic growth over the past previously investigated or reviewed PRC Executive-Led Power Technologies decade is pushing the UAE’s electricity Trade Mission to the United Arab and non-PRC exporters that received a grid close to its limits. The UAE Emirates and Saudi Arabia, March 12– separate rate in a prior segment of this currently relies primarily on natural gas, 16, 2017 proceeding, the cash deposit rate will but it is also adding nuclear, renewable, continue to be the existing exporter- AGENCY: International Trade and coal-fired electricity generating specific rate; (2) for all PRC exporters of Administration, Department of capacity. To support its economic subject merchandise that have not been Commerce. diversification and sustainable found to be entitled to a separate rate, ACTION: Notice. development, the UAE plans to meet a the cash deposit rate will be the rate for significant portion of its energy needs the PRC-wide entity, which is 216.01 SUMMARY: The United States Department using renewable sources. According to percent; and (3) for all non-PRC of Commerce (DOC), International Trade statements made by Energy Minister exporters of subject merchandise which Administration (ITA), is organizing an Suhail Al Mazrouei in January 2016, the have not received their own rate, the executive-led Power Technologies Trade UAE plans to increase its target for cash deposit rate will be the rate Mission to the United Arab Emirates power generation from clean energy to applicable to the PRC exporter that (UAE) and Saudi Arabia (KSA) on 30 percent by 2030, with at least 25 percent of the country’s electricity supplied that non-PRC exporter. March 12–16, 2017. The purpose of the trade mission is to introduce U.S. firms generated from both nuclear and solar. These deposit requirements, when to KSA and UAE’s expanding power Below is information on various sub- imposed, shall remain in effect until technology sector, which seeks to sectors of the power sector in the UAE. further notice. procure power equipment, distribution, D Solar: In 2013, DEWA launched the Mohammed bin Rashid Al Maktoum Notification to Importers power grid, as well as spare parts, and equipment with a focus on the Solar Park in Dubai, which was This notice also serves as a renewable sector, and also to assist originally slated to generate 1,000MW of preliminary reminder to importers of those U.S. firms in pursuing export solar energy; however, in January 2016, their responsibility under 19 CFR opportunities in this sector, by helping DEWA announced that it would triple 351.402(f)(2) to file a certificate new-to-market companies learn about the project’s size to 3,000MW, and then regarding the reimbursement of the KSA and UAE energy markets and in February, the Dubai directives antidumping duties prior to liquidation make initial contacts, and by supporting expanded the plant to 5,000MW by 2030 of the relevant entries during this U.S. companies already doing business (the expected completion date). Also in review period. Failure to comply with in the KSA and UAE to widen and 2013, Abu Dhabi’s Masdar Clean Energy this requirement could result in the deepen their business interests. commissioned the 100-megawatt, grid connected concentrated solar power Department’s presumption that UAE Commercial Setting reimbursement of antidumping duties plant Shams One, a joint venture with The UAE is a federation of the seven occurred and the subsequent assessment Abengoa Solar and Total. Masdar also emirates of Abu Dhabi, Ajman, Dubai, of double antidumping duties. We are developed the 10MW solar PV plant at Fujairah, Ras Al-Khaimah, Sharjah and issuing and publishing these results in Masdar City and is developing a 30MW Umm Al-Quwain. The generation, accordance with sections 751(a)(1) and wind farm and a PV array on Sir transmission and distribution of 777(i)(1) of the Act and 19 CFR 351.213. BaniYas Island. electricity in the UAE is dominated by D Smart Grid and Smart Metering: In three water and power authorities 2014, ADWEA achieved a milestone 13 For a full discussion of this practice, see Non- Market Economy Antidumping Proceedings: owned by each of the individual when it successfully deployed a Battery Assessment of Antidumping Duties, 76 FR 65694 emirates: Abu Dhabi Water and Energy Storage System which is (October 24, 2011). Electricity Authority (ADWEA), Dubai connected to the Abu Dhabi electricity

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grid. That was one of many Smart Grid electricity. For this reason, the KSA has goal of increasing U.S. exports of initiatives being implemented in the embarked on the largest infrastructure products and services to KSA and UAE. sector that will contribute to expansion plan in the Middle East to New opportunities exist as a result of accomplishing the 2030 vision of having address electricity generation, efficient demand approaching capacity and a fully integrated ‘‘Smart Utility.’’ Late distribution, the diversification of fuels, recent legislation that will allow private last year, DEWA signed a contract to and electricity/energy conservation sector participation in the electricity build a smart grid station at the Dubai issues. Below is information on various sector. The focus of this mission is on Electricity and Water Authority’s Green sub-sectors of the power sector in the renewable energy and not nuclear Garage in Ruwayyah. KSA. energy. D Selected Projects: In January 2016, D Solar: The KSA plans to install a Specifically, the mission will provide DEWA announced it would tender staggering 54 GW of new renewable U.S. participants with first-hand market renewable energy projects worth more power by 2032. Solar photovoltaic (PV) information, site visits, one-on-one than Dh27 billion (U.S. $7.3 Billion) and concentrated solar power (CSP) meetings with potential business based on an independent power boast great long term potential in partners, and meetings with relevant producer model to leverage public- isolated areas of the Kingdom. The SEC government entities in the UAE and private partnerships. The DEWA 2016 is developing non-fossil-fuel-fired KSA. The mission will include budget includes a number of key power plants as is evidenced by the participants from leading U.S. projects including U.S. $.6 bn in integrated solar combined-cycle scheme generation, U.S. $.9 bn in power at Dubai 1, under which two main companies that provide state-of-the-art transmission, U.S. $.32 bn in power contracts have been awarded in 2015. generation, transmission and distribution and U.S. $.28 bn in water The project marks Saudi Arabia‘s first distribution equipment. Participants and civil works in addition to other integration of CSP in a combined cycle will meet key power sector contacts in amounts totaling U.S. $25.9 million. In plant. Saudi Aramco is working with the UAE and KSA, and gain insights on addition, DEWA has released the relevant corporate and national relevant export opportunities. standards for installing solar stakeholders to form joint ventures to Participants will have the opportunity photovoltaic (PV) panels on buildings in develop, build and operate a portfolio of to explore contacts with local firms and Dubai and has invited manufacturers to 300MW of solar and wind projects to distributors active in the UAE and KSA submit their eligibility applications. displace high value hydrocarbons. who are seeking to procure power D Wind: Wind has considerable equipment, distribution, power grid, as KSA Commercial Setting potential to be a short term solution and well as spare parts, equipment. Target The Saudi Electricity Company (SEC) the KSA enjoys good wind speeds sub-sectors of the power sector holding is the largest producer of electricity in particularly in the southeast offering high potential for U.S. exporters the KSA with current available potential development in this sector. include: Solar, Wind, Smart Electrical generation capacity of around 58 GW. D Smart Grid and Smart Metering: Engineering, Grid and Smart Metering. Other producers include the Saline The SEC has taken an important step Mission Scenario Water Conversion Corporation (SWCC), into the deployment of smart grids by SABIC, MARAFIQ and Saudi Aramco. defining a new functionality and a new Trade mission delegates will For the medium term, the Saudi Arabia data model for the performance of smart participate in a five-day program, Electricity and Cogeneration Regulatory meters. The SEC plans to install smart including roundtables and policy Authority (ECRA) allow Saudi Aramco meters across the country first in the meetings with officials in UAE and to sell excess electricity it produces industrial, construction, commercial KSA. The delegates will also have back to the SEC. ECRA also projected and government sectors, and then the networking opportunities to meet face- that the Kingdom would need to invest residential sector by 2021. to-face with decision maker officials, approximately USD 140 billion through D Engineering Projects: With the SEC potential strategic partners, local firms, 2020 to increase SEC generation planning to increase electricity industry experts and distributor systems capacity to 71 GW, in which it is generating capacity to 120 GW by 2032 integrators. projected that the country will have with approximately $140 billion of sufficient generating capacity to meet investment through 2020, the awarding Abu Dhabi, United Arab Emirates demand. SEC plans to increase and execution of a string of new power (UAE) electricity generating capacity to 120 plants presents exciting opportunities to Sunday, March 12, 2017 GW by 2032. U.S. engineering companies. The KSA continues to experience The following equipment enjoys strong • Delegates arrive in Abu Dhabi population growth, greater industrial export sales from the U.S. to the KSA: • Briefing with Embassy and industry diversification led by the development Gas turbines; power transformers; experts of petrochemical and financial cities, industrial generators; valves; • Networking reception high demand for air conditioning, and compressors; pumps; spare parts; subsidized electricity rates. As a result, turbine filters; gas turbine inlet systems; (All day group bus transportation the KSA requires additional production fuel oil system skid packages included.) capacity of 4 GW generation capacity to (unloading, transfer, forwarding and Abu Dhabi, Dubai, United Arab come on line each year to meet growing heating skids); fuel gas system skid Emirates (UAE) electricity demand. Saudi Arabia packages for natural gas cleaning and generated 292.2 billion kilowatt hours conditioning. Monday, March 13, 2017 (kWh) of electricity in 2013, which represents a 7 percent increase and Mission Goals • Business matchmaking sessions more than double the electricity The mission will help participating • Government meetings generated in 2000. The 7 percent firms and associations or organizations • Evening travel to Dubai increase in electricity generation still gain market insights, make industry does not meet the 9 percent annual contacts, implement business strategies, (All day group bus transportation growth rate in the demand for and advance specific projects, with the included.)

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Dubai, United Arab Emirates (UAE) $6,700 for large firms and trade email, press releases to general and Riyadh, Saudi Arabia (KSA) associations/organizations. The fee for trade media, notices by industry trade each additional representative (SME or associations and other multiplier Tuesday, March 14, 2017 large firm or/trade associations/ groups, and publicity at industry • Business matchmaking sessions organizations) is $750 and is subject to meetings, symposia, conferences, and • Government meetings availability. Expenses for travel, trade shows. Recruitment for the trade • Delegates depart for Riyadh lodging, meals, and incidentals will be mission will begin immediately and • Briefing with Embassy and industry the responsibility of each event conclude no later than December 31, experts delegate. Delegation members will be 2016. The Department of Commerce will (All day group bus transportation able to take advantage of U.S. Embassy review applications and inform included.) rates for hotel rooms. applicants of selection decisions periodically during the recruitment Application Riyadh, Saudi Arabia (KSA) period. All applications received Wednesday, March 15, 2017 All interested firms and associations subsequent to an evaluation date will be may register via the following link: considered at the next evaluation. • Business matchmaking sessions http://2016.export.gov/trademissions/ However, applications received after • Government meetings powertechsaudiuae/. December 31, 2016, will be considered • Evening travel to Dhahran Exclusions only if space and scheduling constraints (All day group bus transportation permit. included.) The mission fee does not include any Conditions for Participation Dhahran, Saudi Arabia (KSA) personal travel expenses such as lodging, most meals, local ground An applicant must sign and submit a Thursday, March 16, 2017 transportation (except for transportation completed application and • Briefing with U.S. Consulate in to and from meetings, and airport supplemental application materials, Dhahran transfers during the mission), and air including adequate information on the • Business matchmaking sessions transportation. Participants will, company’s products and/or services, • Visit to Aramco however, be able to take advantage of primary market objectives, and goals for • Networking reception U.S. Government rates for hotel rooms. participation. If an incomplete Electronic visas are required to application form is submitted or the (Group bus transportation to official participate on the mission, which are information and material submitted events only, included.) easily obtainable online. Applying for does not demonstrate how the applicant Traded Mission concludes. and obtaining such visas will be the satisfies the participation criteria, the Web site: Please visit our official responsibility of the mission Department of Commerce may reject the mission Web site for more information: participant. Government fees and application, request additional http://export.gov/trademissions/eg_ processing expenses to obtain such visas information, or take the lack of main_023185.asp. are not included in the participation fee. information into account when Participation Requirements However, the Department of Commerce evaluating the application. Each will provide instructions to each applicant must also: All parties interested in participating • in the trade mission must complete and participant on the procedures required Identify whether the products and submit an application package for to obtain necessary business visas. services it seeks to export through the consideration by the Department of Further, U.S. Trade Mission members mission are either produced in the Commerce (DOC). All applicants will be participate in the trade mission and United States, or, if not, marketed under evaluated, staggered comparative, on undertake mission-related travel at their the name of a U.S. firm and have at least their ability to meet certain conditions own risk. The nature of the security 51% U.S. content. In cases where the and best satisfy the selection criteria as situation in a given foreign market at a U.S. content does not exceed 50%, outlined below. A minimum of 12 and given time cannot be guaranteed. The especially where the applicant intends a maximum of 15 companies will be U.S. Government does not make any to pursue investment in major project selected to participate from the representations or guarantees as to the opportunities, the following factors, applicant pool. safety or security of participants. The may be considered in determining U.S. Department of State issues U.S. whether the applicant’s participation in Fees and Expenses Government international travel alerts the Trade Mission is in the U.S. national and warnings for U.S. citizens available interest: After a firm or trade association/ Æ organization has been selected to at https://travel.state.gov/content/ U.S. materials and equipment participate in the event, a payment to passports/en/alertswarnings.html. Any content; question regarding insurance coverage Æ U.S. labor content; the Department of Commerce in the Æ Contribution to the U.S. technology form of a participation fee is required. must be resolved by the participant and its insurer of choice. base, including conduct of research and The participation fee for the trade development in the United States; mission will be $5,000 for a small or Timeline for Recruitment and Æ Repatriation of profits to the U.S. 1 medium-sized enterprise (SME) and Applications economy; Æ Potential for follow-on business 1 An SME is defined as a firm with 500 or fewer Trade mission recruitment will be employees or that otherwise qualifies as a small conducted in an open and public that would benefit the U.S. economy; business under SBA regulations (see http:// manner, including, posting on the A trade association/organization www.sba.gov/services/contractingopportunities/size Commerce Department trade mission applicant must certify to the above for standardstopics/index.html). Parent companies, calendar and other Internet Web sites, all of the companies it seeks to represent affiliates, and subsidiaries will be considered when on the mission. determining business size. The dual pricing reflects An applicant must also certify that: the Commercial Service’s user fee schedule that Resource%20Document%20Library/Marketing%20 • became effective November 24, 2015 (see http:// Flyer%20for%20Communicating%20with%20 The export of its goods, software, itacentral/myorg/gm/odg/osp/User%20Fees%20 Clients%20(FY2016).pdf. technology, and services would be in

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compliance with U.S. export control DEPARTMENT OF COMMERCE and will generally be posted for public laws and regulations, including those viewing on www.regulations.gov administered by the Department of National Oceanic and Atmospheric without change. All personal identifying Commerce’s Bureau of Industry and Administration information (e.g., name, address, etc.), confidential business information, or Security; RIN 0648–XE783 otherwise sensitive information • It has identified any matter pending submitted voluntarily by the sender will before any bureau or office of the Draft 2016 Marine Mammal Stock be publicly accessible. NMFS will Department of Commerce; Assessment Reports accept anonymous comments (enter ‘‘N/ • It has identified any pending AGENCY: National Marine Fisheries A’’ in the required fields if you wish to litigation (including any administrative Service (NMFS), National Oceanic and remain anonymous). proceedings) to which it is a party that Atmospheric Administration (NOAA), FOR FURTHER INFORMATION CONTACT: involves the Department of Commerce; Commerce. Shannon Bettridge, Office of Protected • It and its affiliates (1) have not and ACTION: Notice; request for comments. Resources, 301–427–8402, will not engage in the bribery of foreign [email protected]; Marcia SUMMARY: NMFS reviewed the Alaska, officials in connection with its Muto 206–526–4026, Marcia.Muto@ Atlantic, and Pacific regional marine involvement in this Mission, and (2) noaa.gov, regarding Alaska regional mammal stock assessment reports stock assessments; Elizabeth Josephson, maintain and enforce a policy that (SARs) in accordance with the Marine prohibits the bribery of foreign officials. 508–495–2362, Elizabeth.Josephson@ Mammal Protection Act. SARs for noaa.gov, regarding Atlantic, Gulf of Selection Criteria for Participation marine mammals in the Alaska, Mexico, and Caribbean regional stock Atlantic, and Pacific regions were assessments; or Jim Carretta, 858–546– • Suitability of the company’s revised according to new information. 7171, [email protected], regarding products or services to the market. NMFS solicits public comments on the Pacific regional stock assessments. Please note: this mission will not draft 2016 SARs. SUPPLEMENTARY INFORMATION: include nuclear power technologies DATES: Comments must be received by given the imbalance of this sub-sector in January 9, 2017. Background UAE and Saudi Arabia. ADDRESSES: The 2016 draft SARs are Section 117 of the Marine Mammal • Applicant’s potential for business available in electronic form via the Protection Act (MMPA) (16 U.S.C. 1361 in the target countries, including Internet at http://www.nmfs.noaa.gov/ et seq.) requires NMFS and the U.S. Fish likelihood of exports resulting from the pr/sars/draft.htm. and Wildlife Service (FWS) to prepare mission. Copies of the Alaska Regional SARs stock assessments for each stock of • Consistency of the applicant’s goals may be requested from Marcia Muto, marine mammals occurring in waters and objectives with the stated scope of Alaska Fisheries Science Center, NMFS, under the jurisdiction of the United the mission. Balance of company size, 7600 Sand Point Way, NE BIN 15700, States, including the Exclusive Seattle, WA 98115–0070. Economic Zone. These reports must sector or subsector, and location may Copies of the Atlantic, Gulf of Mexico, contain information regarding the also be considered during the review and Caribbean Regional SARs may be distribution and abundance of the stock, process. Referrals from political requested from Elizabeth Josephson, population growth rates and trends, organizations and any documents Northeast Fisheries Science Center, 166 estimates of annual human-caused containing references to partisan Water St., Woods Hole, MA 02543. mortality and serious injury (M/SI) from political activities (including political Copies of the Pacific Regional SARs all sources, descriptions of the fisheries contributions) will be removed from an may be requested from Jim Carretta, with which the stock interacts, and the applicant’s submission and not Southwest Fisheries Science Center, status of the stock. Initial reports were considered during the selection process. 8604 La Jolla Shores Drive, La Jolla, CA completed in 1995. FOR FURTHER INFORMATION CONTACT: 92037–1508. The MMPA requires NMFS and FWS You may submit comments, identified to review the SARs at least annually for International Trade Administration, by NOAA–NMFS–2016–0101, by any of strategic stocks and stocks for which Melissa Blackledge, Trade Promotion the following methods: significant new information is available, Programs, Washington, DC, Tel: (202) Federal e-Rulemaking Portal: Go to and at least once every three years for 482–1765, Email: melissa.blackledge@ www.regulations.gov/ non-strategic stocks. The term ‘‘strategic trade.gov. #!docketDetail;D=NOAA-NMFS-2016- stock’’ means a marine mammal stock: U.S. Commercial Service Saudi Arabia, 0101, click the ‘‘Comment Now!’’ icon, (A) For which the level of direct human- Douglas Wallace, U.S. Commercial complete the required fields, and enter caused mortality exceeds the potential Service, Riyadh, Saudi Arabia, Tel: + or attach your comments. biological removal level; (B) which, 966 +11– 488–3800, Email: Mail: Send comments or requests for based on the best available scientific [email protected]. copies of reports to: Chief, Marine information, is declining and is likely to Mammal and Sea Turtle Conservation be listed as a threatened species under U.S. Commercial Service United Arab Division, Office of Protected Resources, the Endangered Species Act (ESA) Emirates, Dao M. Le, U.S. Commercial National Marine Fisheries Service, 1315 within the foreseeable future; or (C) Service, Abu Dhabi, UAE, Tel: + 971 East-West Highway, Silver Spring, MD which is listed as a threatened species +2– 414–2665, Email: dao.le@ 20910–3226, Attn: Stock Assessments. or endangered species under the ESA. trade.gov. Instructions: NMFS may not consider NMFS and the FWS are required to comments if they are sent by any other revise a SAR if the status of the stock Frank Spector, method, to any other address or has changed or can be more accurately Trade Missions Program. individual, or received after the end of determined. NMFS, in conjunction with [FR Doc. 2016–24479 Filed 10–7–16; 8:45 am] the comment period. All comments the Alaska, Atlantic, and Pacific BILLING CODE 3510–DR–P received are a part of the public record independent Scientific Review Groups

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(SRGs), reviewed the status of marine partially coincide with a listed DPS as thus they should not be used in certain mammal stocks as required and revised not depleted for management purposes. management actions: Bearded seal, reports in the Alaska, Atlantic, and Therefore, in the interim, we will treat Alaska; ringed seal, Alaska; harbor Pacific regions to incorporate new the Western North Pacific, Central North porpoise, Southeast Alaska; and fin information. Pacific, and California/Oregon/ whale, Northeast Pacific. Additionally, NMFS solicits public comments on Washington stocks as depleted because Nmins determined under these the draft 2016 SARs. they partially or fully coincide with circumstances will not be included in Humpback Whales ESA-listed DPSs, and we will treat the the summary tables, but will instead Gulf of Maine and American Samoa include a caveat placeholder which On September 8, 2016, NMFS stocks as no longer depleted because defers to the SAR text. Additionally, published a final rule revising the they do not coincide with any ESA- mortalities from permitted research listing status of humpback whales under listed DPS. Any changes in stock activities were updated for western and the ESA (81 FR 62259). We divided the delineation or MMPA section 117 eastern U.S. Steller sea lion stocks and globally listed endangered species into elements (such as Potential Biological the Alaska stock of ringed seals. Also 14 distinct population segments (DPSs), Removal (PBR) or strategic status) will reflected is a shift in genera removed the species-level listing, and in be reflected in future stock assessment classification for the ringed seal, from its place, listed four DPSs as endangered reports, and the Scientific Review Phoca to Pusa. and one DPS as threatened. Based on Groups and the public will be provided The eastern U.S. stock of Steller sea their current statuses, the remaining opportunity to review and comment.’’ lion changed in status from ‘‘strategic’’ nine DPSs did not warrant listing. In response to this revision to the to ‘‘non-strategic.’’ This status change is With regard to depleted humpback whale listing status, NMFS is consistent with the recent humpback determinations for species removed currently evaluating the humpback whale ESA listing final rule (81 FR from the ESA, the ESA listing rule whale stock delineations and whether 62259; September 8, 2016), which states states, ‘‘The language and structure of we can align the stocks with the DPSs. that in the case of a species or stock that the MMPA’s definition of depleted lead This does not affect the stock delination achieved its depleted status solely on NMFS to the conclusion that a species for the current SARs, but will be the basis of its ESA status, the species or stock that is designated as depleted reflected in future reports once the or stock would cease to qualify as solely on the basis of its ESA listing evaluation is complete. depleted under the terms of the status would cease to qualify as definition set forth in MMPA section Alaska Reports depleted under the terms of that 3(1), if the species or stock is no longer definition if it is no longer listed. In the Alaska region, SARs for 19 listed as threatened or endangered. Therefore, a species or stock that is Alaska stocks (13 ‘‘strategic,’’ 6 ‘‘non- NMFS took the opportunity during the removed from the list of threatened and strategic’’) were updated. All stocks public comment period related to that endangered species loses its depleted were reviewed and the following stocks rule to clarify our interpretation that status when removed from the list . . . were revised for 2016: Steller sea lion, loss of depleted status is automatic at Humpback whales were considered to western U.S.; Steller sea lion, eastern the time of a delisting if the sole basis be depleted species-wide under the U.S.; northern fur seal, eastern Pacific; for the species or stocks’ depleted status MMPA solely on the basis of the bearded seal, Alaska; ringed seal, was an ESA listing. As a result, the species’ ESA listing. Therefore, upon Alaska; beluga whale, Cook Inlet; killer eastern Steller sea lion is now the effective date of the rule, humpback whale, AT1 Transient; killer whale, considered to be not depleted and no whales that are listed as threatened or eastern North Pacific Alaska resident; longer qualifies as a strategic stock (as endangered will retain depleted status killer whale, eastern North Pacific Gulf human-caused mortality or serious under the MMPA and humpback whales of Alaska, Aleutian Islands, and Bering injury does not exceed PBR). The draft that are not listed as threatened or Sea Transient; harbor porpoise, 2016 SAR reflects these changes and, endangered will lose depleted status Southeast Alaska; harbor porpoise, Gulf accordingly, the PBR has been under the MMPA. However, we note of Alaska; harbor porpoise, Bering Sea; recalculated (using a recovery factor that the DPSs established in this final sperm whale, North Pacific; humpback appropriate for a non-strategic stock) rule that occur in waters under the whale, Western North Pacific; and increased from 1,645 to 2,498. jurisdiction of the United States do not humpback whale, Central North Pacific; necessarily equate to the existing fin whale, Northeast Pacific; right Atlantic Reports MMPA stocks for which Stock whale, Eastern North Pacific; bowhead In the Atlantic region (including the Assessment Reports (SARs) have been whale, Western Arctic; narwhal, Atlantic Ocean, Gulf of Mexico, and published in accordance with section unidentified stock. Information on the U.S. territories in the Caribbean), 18 117 of the MMPA (16 U.S.C. 1386). remaining Alaska region stocks can be reports for 44 stocks were updated. Of Following publication of this rule, we found in the final 2015 reports (Muto et the updated stocks, 32 stocks are will conduct a review of humpback al., 2016). ‘‘strategic,’’ and 12 are ‘‘non-strategic.’’ whale stock delineations in waters Most revisions to the Alaska SARs All stocks were reviewed and reports under the jurisdiction of the United included updates of abundance and/or for the following strategic stocks were States to determine whether any stocks M/SI estimates, including revised revised for 2016: North Atlantic right should be realigned in light of the ESA abundance estimates for both the whale, Western Atlantic; humpback DPSs established herein. Until such western and eastern U.S. Steller sea lion whale, Gulf of Maine; fin whale, time as the MMPA stock delineations stocks; northern fur seal, eastern Pacific; Western North Atlantic (WNA); sei are reviewed, because we cannot beluga whale, Cook Inlet; bearded seal, whale, Nova Scotia; short-finned pilot manage one portion of a stock as Alaska; ringed seal, Alaska; and fin whale, WNA; and 27 Gulf of Mexico depleted and another portion as not whale, Northeast Pacific stocks. The bay, sound, and estuary common depleted under the MMPA, we will treat following SARs include the abundance bottlenose dolphin stocks. Two stocks, existing MMPA stocks that fully or estimates from partial surveys as the the WNA stocks of short-finned and partially coincide with a listed DPS as Nmin, along with statements that the long-finned pilot whales, changed from depleted and stocks that do not fully or underestimated Nmins are not reliable; ‘‘non-strategic’’ to ‘‘strategic’’ this year

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because the mean annual human-caused caused mortality and serious injury is the transect line, in different survey mortality and serious injury exceeds now below PBR, and the stock has conditions (Beaufort sea state) (Barlow PBR; the Gulf of Maine humpback changed from ‘‘strategic’’ to ‘‘non- 2016). An analysis found that g(0) whale stock has changed from strategic.’’ The Atlantic SRG will decreases as Beaufort sea state increases, ‘‘strategic’’ to ‘‘non-strategic.’’ discuss the recovery factor for this stock even for visually conspicuous species. Reports for the following non-strategic at its February 2017 meeting. The following stocks reflect these stocks were revised for 2016: Minke Abundance estimates for the minke abundance (and PBR) changes: Kogia whale, Canadian east coast; Risso’s whale Canadian east stock and short- spp.; Dall’s porpoise, CA/OR/WA; dolphin, WNA; Atlantic white-sided beaked common dolphin WNA stock are Northern right whale dolphin, CA/OR/ dolphin, WNA; short-beaked common substantially lower than what was WA; Pacific white-sided dolphin, CA/ dolphin, WNA; harbor porpoise, Gulf of reported in the 2015 SARs. This is Maine/Bay of Fundy; harbor seal, WNA; because the new estimates exclude data OR/WA; Risso’s dolphin, CA/OR/WA; gray seal, WNA; rough-toothed dolphin, from the 2007 Canadian Trans-North striped dolphin, CA/OR/WA; short- Northern Gulf of Mexico; pygmy sperm Atlantic Sighting Survey, as they were beaked common dolphin, CA/OR/WA; whale, WNA; dwarf sperm whale, WNA; more than eight years old. Thus, the long-beaked common dolphin, CA/OR/ and common bottlenose dolphin, WNA revised estimates for these stocks should WA; short-finned pilot whale, CA/OR/ offshore. Information on the remaining not be interpreted as a decline in WA; fin whale, CA/OR/WA; and minke Atlantic region stocks can be found in abundance of these stocks, as previous whale, CA/OR/WA. the final 2015 reports (Waring et al., estimates are not directly comparable to A new methodology was applied to 2016). the new estimates. bycatch estimated for some coastal Most revisions to the Atlantic SARs Pacific Reports Pacific stocks. Recent work shows that included updates of abundance and/or estimates of carcass recovery (0.25, 95 M/SI estimates. New abundance In the Pacific region (waters along the percent confidence interval = estimates are available for the North west coast of the United States, within 0.20¥0.33) for an extremely-coastal Atlantic right whale, Western Atlantic; waters surrounding the main and minke whale, Canadian east stock; Northwestern Hawaiian Islands (NWHI), dolphin population suggests that short-beaked common dolphin, WNA and within waters surrounding U.S. observed anthropogenic mortality stock; and common bottlenose dolphin, territories in the Western Pacific), SARs values of dolphins in this region derived Sarasota Bay, Little Sarasota Bay. The were revised for 23 stocks under NMFS from strandings should be corrected to following common bottlenose dolphin, jurisdiction (8 ‘‘strategic’’ and 15 ‘‘non- account for unobserved mortality Gulf of Mexico bay, sound, and estuary strategic’’ stocks). All stocks were (Carretta et al., 2016b). Therefore, stocks no longer have usable abundance reviewed and reports for the following within the draft SARs involving and/or PBR estimates because the ‘‘strategic’’ stocks were revised for 2016: dolphins along the U.S. West Coast, survey data on which they are based are Hawaiian monk seal; killer whale, human-related deaths and injuries more than eight years old and no longer Eastern North Pacific Southern counted from beach strandings are considered unreliable (per NMFS Resident; false killer whale, Main multiplied by a factor of four to account Guidelines for Assessing Marine Hawaiian Islands (MHI) Insular; false for the non-detection of most carcasses. Mammal Stocks): Choctawhatchee Bay; killer whale, Hawaii Pelagic; humpback This correction factor affected the M/SI St. Joseph Bay; St. Vincent Sound, whale, California/Oregon/Washington for the following stocks: harbor Apalachicola Bay, St. George Sound; (CA/OR/WA); fin whale, CA/OR/WA; porpoise, Washington inland waters; Waccasassa Bay, Withalacoochee Bay, sei whale, Eastern North Pacific; and Risso’s dolphin, CA/OR/WA; striped Guadalupe fur seal, Mexico to Crystal Bay; St. Joseph Sound, dolphin, CA/OR/WA; short-beaked California. Reports for the following Clearwater Harbor; Tampa Bay; Estero common dolphin, CA/OR/WA; long- Bay; Chokoloskee Bay, Ten Thousand ‘‘non-strategic’’ stocks were revised for beaked common dolphin, CA/OR/WA; Islands, Gullivan Bay; Whitewater Bay; 2016: False killer whale, NWHI; harbor and Florida Keys (Bahia Honda to Key porpoise, Washington inland waters; bottlenose dolphin, California coastal; West). Dall’s porpoise, CA/OR/WA; Pacific and bottlenose dolphin, CA/OR/WA As a result of the humpback whale white-sided dolphin, CA/OR/WA; offshore. ESA listing rule (81 FR 62259; Risso’s dolphin, CA/OR/WA; common Additional stocks with updated September 8, 2016), the Gulf of Maine bottlenose dolphin, California Coastal; abundance and/or M/SI estimates stock of humpback whales is no longer common bottlenose dolphin, CA/OR/ include: Harbor porpoise, Washington considered ESA listed or depleted. In WA Offshore; striped dolphin, CA/OR/ inland waters; Guadalupe fur seal, the previous SAR, the recovery factor WA; short-beaked common dolphin, Mexico to California; Hawaiian monk was 0.1 because this stock was listed as CA/OR/WA; long-beaked common seal; killer whale, Eastern North Pacific an endangered species under the ESA. dolphin, California; Northern right Southern Resident; humpback whale, In the draft 2016 SAR, the recovery whale dolphin, CA/OR/WA; short- CA/OR/WA; sei whale, Eastern North factor was revised to 0.5, the default finned pilot whale, CA/OR/WA; pygmy Pacific; false killer whale, Hawaii value for stocks of unknown status sperm whale, CA/OR/WA; dwarf sperm pelagic; false killer whale, MHI Insular; relative to OSP. Values other than the whale, CA/OR/WA; and minke whale, and false killer whale, NWHI. defaults for any stock should usually CA/OR/WA. Information on the not be used without the approval of the remaining Pacific region stocks can be Dated: October 4, 2016. regional Scientific Review Group, and found in the final 2015 reports (Carretta Donna S. Wieting, scientific justification for the change et al., 2016a). Director, Office of Protected Resources, should be provided in the SAR. As the Several abundance estimates for National Marine Fisheries Service. listing change occurred after the Pacific stocks were changed in the draft [FR Doc. 2016–24404 Filed 10–7–16; 8:45 am] February 2016 SRG Meeting, NMFS has 2016 reports following the application applied the default recovery factor of 0.5 of a new approach for estimating the BILLING CODE 3510–22–P to the draft 2016 SAR. As a result, the g(0) parameter, the probability of PBR increased from 2.7 to 13. Human- detecting an animal that is directly on

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DEPARTMENT OF COMMERCE During the webinar, Council staff will Specifications and Management present an overview of the amendment Measures. They will also discuss National Oceanic and Atmospheric and will be available for informal recreational measures and draft impact Administration discussions and to answer questions via analysis and make recommendations to RIN 0648–XE944 webinar. Members of the public will the Groundfish Committee. They will have an opportunity to go on record to discuss preliminary FY2016 data, if South Atlantic Fishery Management record their comments for consideration available. Other business will be Council; Public Hearing by the Council. discussed as necessary. Special Accommodations Although non-emergency issues not AGENCY: National Marine Fisheries contained in this agenda may come Service (NMFS), National Oceanic and The hearing is physically accessible to before this group for discussion, those Atmospheric Administration (NOAA), people with disabilities. Requests for issues may not be the subject of formal Commerce. auxiliary aids should be directed to the action during these meetings. Action ACTION: Notice of a public hearing. Council office (see ADDRESSES) 3 days will be restricted to those issues prior to the hearing. specifically listed in this notice and any SUMMARY: The South Atlantic Fishery Note: The times and sequence specified in issues arising after publication of this Management Council (Council) will this agenda are subject to change. notice that require emergency action hold a public hearing via webinar under section 305(c) of the Magnuson- pertaining to Amendment 30 to the Authority: 16 U.S.C. 1801 et seq. Stevens Act, provided the public has Coastal Migratory Fishery Management Dated: October 5, 2016. been notified of the Council’s intent to Plan (FMP) for the Gulf of Mexico and Tracey L. Thompson, take final action to address the Atlantic Region. The amendment Acting Deputy Director, Office of Sustainable emergency. addresses alternatives for changing the Fisheries, National Marine Fisheries Service. recreational fishing year for Atlantic Special Accommodations [FR Doc. 2016–24453 Filed 10–7–16; 8:45 am] cobia (Georgia through New York). BILLING CODE 3510–22–P This meeting is physically accessible DATES: The public hearing will be held to people with disabilities. Requests for via webinar on Tuesday, October 25, sign language interpretation or other 2016. DEPARTMENT OF COMMERCE auxiliary aids should be directed to ADDRESSES: Council address: South Thomas A. Nies, Executive Director, at Atlantic Fishery Management Council, National Oceanic and Atmospheric (978) 465–0492, at least 5 days prior to 4055 Faber Place Drive, Suite 201, N. Administration the meeting date. Charleston, SC 29405. RIN 0648–XE948 Authority: 16 U.S.C. 1801 et seq. FOR FURTHER INFORMATION CONTACT: Kim New England Fishery Management Dated: October 4, 2016. Iverson, Public Information Officer, Tracey L. Thompson, SAFMC; phone: (843) 571–4366 or toll Council; Public Meeting Acting Deputy Director, Office of Sustainable free (866) SAFMC–10; fax: (843) 769– AGENCY: National Marine Fisheries Fisheries, National Marine Fisheries Service. 4520; email: [email protected]. Service (NMFS), National Oceanic and [FR Doc. 2016–24455 Filed 10–7–16; 8:45 am] SUPPLEMENTARY INFORMATION: The Atmospheric Administration (NOAA), BILLING CODE 3510–22–P public hearing will be conducted via Commerce. webinar accessible via the internet from ACTION: Notice; public meeting. the Council’s Web site at DEPARTMENT OF COMMERCE www.safmc.net. The hearing will begin SUMMARY: The New England Fishery at 6 p.m. Registration for the webinar is Management Council (Council) is National Oceanic and Atmospheric required. Registration information will scheduling a public meeting of its Administration Recreational Advisory Panel to consider be posted on the Council’s Web site at RIN 0648–XE766 www.safmc.net as it becomes available. actions affecting New England fisheries in the exclusive economic zone (EEZ). Any graphics, including maps, drawings Marine Mammals; File No. 19669 or images to be shown during public Recommendations from this group will comment should be emailed to Mike be brought to the full Council for formal AGENCY: National Marine Fisheries Collins at [email protected] prior consideration and action, if appropriate. Service (NMFS), National Oceanic and to the public hearing. DATES: This meeting will be held on Atmospheric Administration (NOAA), Wednesday, October 26, 2016 at 10 a.m. Commerce. Amendment 30 to the Coastal Migratory ADDRESSES: The meeting will be held at ACTION: Notice; issuance of permit. Pelagic FMP the Hilton Garden Inn, Four Home This amendment includes one action Depot Drive, Plymouth, MA 02360; SUMMARY: Notice is hereby given that a to modify the recreational fishing year phone: (508) 830–0200. permit has been issued to Chicago for Atlantic cobia. In combination with Council address: New England Zoological Society [Michael J. the proposed changes to slow the rate of Fishery Management Council, 50 Water Adkesson, D.V.M., Responsible Party], recreational harvest in Framework Street, Mill 2, Newburyport, MA 01950. 3300 South Golf Rd., Brookfield, Illinois Amendment 4, the action in FOR FURTHER INFORMATION CONTACT: 60513 to receive, import, and export Amendment 30 is expected to reduce Thomas A. Nies, Executive Director, specimens from South American fur the likelihood of exceeding the annual New England Fishery Management seal (Arctocephalus australis) and South catch limit and triggering accountability Council; telephone: (978) 465–0492. American sea lion (Otaria flavescens) measures before the most popular time SUPPLEMENTARY INFORMATION: for scientific research. to recreationally fish for Atlantic cobia ADDRESSES: The permit and related (May through September), and also to Agenda documents are available for review provide fair access to the Atlantic cobia The Recreational Advisory Panel will upon written request or by appointment resource for all participants. discuss Framework Adjustment 56— in the Permits and Conservation

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Division, Office of Protected Resources, DATES: Written, telefaxed, or email DEPARTMENT OF COMMERCE NMFS, 1315 East-West Highway, Room comments must be received on or before 13705, Silver Spring, MD 20910; phone November 10, 2016. National Oceanic and Atmospheric (301) 427–8401; fax (301) 713–0376. ADDRESSES: These documents are Administration FOR FURTHER INFORMATION CONTACT: available upon written request or by RIN 0648–XE945 Shasta McClenahan or Jennifer appointment in the Permits and Skidmore, (301) 427–8401. Conservation Division, Office of Pacific Fishery Management Council; SUPPLEMENTARY INFORMATION: On August Protected Resources, NMFS, 1315 East- Public Workshop West Highway, Room 13705, Silver 29, 2016, notice was published in the AGENCY: National Marine Fisheries Spring, MD 20910; phone (301) 427– Federal Register (81 FR 59190) that a Service (NMFS), National Oceanic and 8401; fax (301) 713–0376. request for a permit to receive, import, Atmospheric Administration (NOAA), and export specimens for scientific Written comments on this application Commerce. should be submitted to the Chief, research had been submitted by the ACTION: Notice of a public workshop. above-named applicant. The requested Permits and Conservation Division, at permit has been issued under the the address listed above. Comments may SUMMARY: The Pacific Fishery authority of the Marine Mammal also be submitted by facsimile to (301) Management Council (Pacific Council) Protection Act of 1972, as amended (16 713–0376, or by email to is sponsoring a workshop to review U.S.C. 1361 et seq.) and the regulations [email protected]. Please methods used to reconstruct historical governing the taking and importing of include the File No. in the subject line groundfish catches off Washington, marine mammals (50 CFR part 216). of the email comment. Oregon, and California. The workshop is The applicant will receive, import, Those individuals requesting a public open to the public. and export biological samples taken for hearing should submit a written request DATES: The Historical Catch scientific research that continues the to the Chief, Permits and Conservation Reconstruction Workshop will long term evaluation and monitoring of Division at the address listed above. The commence at 1 p.m. PST, Tuesday, pinniped population health at the Punta request should set forth the specific November 1, 2016 and continue until San Juan reserve and marine protected reasons why a hearing on this 5:30 p.m. or as necessary to complete area in Peru. The permit is valid application would be appropriate. business for the day. The workshop will through October 1, 2021. FOR FURTHER INFORMATION CONTACT: reconvene on Wednesday, November 2 In compliance with the National Amy Hapeman or Shasta McClenahan, and Thursday, November 3, starting at Environmental Policy Act of 1969 (42 (301) 427–8401. 8:30 a.m. PST each day and continuing U.S.C. 4321 et seq.), a final SUPPLEMENTARY INFORMATION: The as necessary to complete business for determination has been made that the subject permit is requested under the the day. activity proposed is categorically authority of the Marine Mammal ADDRESSES: The Historical Catch excluded from the requirement to Protection Act of 1972, as amended Reconstruction Workshop will be held prepare an environmental assessment or (MMPA; 16 U.S.C. 1361 et seq.), the at the Sheraton Portland Airport Hotel, environmental impact statement. regulations governing the taking and Garden A–B Room, 8235 NE Airport Dated: October 4, 2016. importing of marine mammals (50 CFR Way, Portland, OR 97220; telephone: Julia Harrison, part 216). (503) 281–2500. Chief, Permits and Conservation Division, The applicant proposes to film killer Council address: Pacific Fishery Office of Protected Resources, National and minke whales in McMurdo Sound Management Council, 7700 NE Marine Fisheries Service. and the Ross Sea for the production of Ambassador Place, Suite 101, Portland, [FR Doc. 2016–24400 Filed 10–7–16; 8:45 am] a documentary film for Disneynature OR 97220–1384; telephone: (503) 820– BILLING CODE 3510–22–P studio. Up to 60 killer and minke 2280. whales per year could be targeted and FOR FURTHER INFORMATION CONTACT: Mr. disturbed during aerial filming. The John DeVore, Pacific Council; DEPARTMENT OF COMMERCE permit is requested for two years. telephone: (503) 820–2413. In compliance with the National SUPPLEMENTARY INFORMATION: National Oceanic and Atmospheric Environmental Policy Act of 1969 (42 The Administration U.S.C. 4321 et seq.), an initial purpose of the Historical Catch determination has been made that the Reconstruction Workshop is to review proposed methods for reconstructing the RIN 0648–XE915 activity proposed is categorically excluded from the requirement to historical catches of groundfish off Marine Mammals; File No. 20658 prepare an environmental assessment or Washington, Oregon, and California. environmental impact statement. Data stewards and others who are AGENCY: National Marine Fisheries Concurrent with the publication of familiar with catch accounting systems Service (NMFS), National Oceanic and this notice in the Federal Register, will participate in the workshop. Atmospheric Administration (NOAA), NMFS is forwarding copies of the Recommended methods for Commerce. application to the Marine Mammal reconstructing historical groundfish ACTION: Notice; receipt of application. Commission and its Committee of catches will be made available for use Scientific Advisors. in groundfish stock assessments in 2017 SUMMARY: Notice is hereby given that and beyond. Public comments during Joseph Wilson, 1st Augustine’s Yard, Dated: October 4, 2016. the workshop will be received from Gaunts Lane, Bristol, BS1 5DE, United Julia Harrison, attendees at the discretion of the chair. Kingdom, has applied in due form for a Chief, Permits and Conservation Division, Although non-emergency issues not permit to conduct commercial or Office of Protected Resources, National identified in the workshop agenda may educational photography of killer Marine Fisheries Service. come before the workshop participants (Orcinus orca) and minke (Balaenoptera [FR Doc. 2016–24401 Filed 10–7–16; 8:45 am] for discussion, those issues may not be bonaerensis) whales. BILLING CODE 3510–22–P the subject of formal action during this

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workshop. Formal action at the any of the following two methods instructions to apply annually for workshop will be restricted to those within 30 days from the date of continuation funding. issues specifically listed in this notice publication in the Federal Register: Average Time per Response: 20 hours. and any issues arising after publication (1) By fax to: 202–395–6974, Estimated Total Burden Hours: 1,400 of this notice that require emergency Attention: Ms. Sharon Mar, OMB Desk hours. action under Section 305(c) of the Officer for the Corporation for National Total Burden Cost (capital/startup): Magnuson-Stevens Fishery and Community Service; or None. Conservation and Management Act, (2) By email to: [email protected]. Total Burden Cost (operating/ maintenance): None. provided the public has been notified of SUPPLEMENTARY INFORMATION: The OMB the workshop participants’ intent to take is particularly interested in comments Dated: October 4, 2016. final action to address the emergency. which: Kim Mansaray, • Special Accommodations Evaluate whether the proposed Chief of Program Operations. collection of information is necessary [FR Doc. 2016–24403 Filed 10–7–16; 8:45 am] This meeting is physically accessible for the proper performance of the BILLING CODE 6050–28–P to people with disabilities. Requests for functions of CNCS, including whether auxiliary aids should be directed to Mr. the information will have practical Kris Kleinschmidt at (503) 820–2425 at utility; DEPARTMENT OF DEFENSE least 10 days prior to the workshop date. • Evaluate the accuracy of the Dated: October 5, 2016. agency’s estimate of the burden of the Office of the Secretary Tracey L. Thompson, proposed collection of information, including the validity of the Defense Health Board; Notice of Acting Deputy Director, Office of Sustainable Federal Advisory Committee Meeting Fisheries, National Marine Fisheries Service. methodology and assumptions used; [FR Doc. 2016–24454 Filed 10–7–16; 8:45 am] • Propose ways to enhance the AGENCY: Department of Defense (DoD). BILLING CODE 3510–22–P quality, utility, and clarity of the ACTION: Notice of Federal Advisory information to be collected; and Committee meeting. • Propose ways to minimize the CORPORATION FOR NATIONAL AND burden of the collection of information SUMMARY: The Department of Defense is COMMUNITY SERVICE on those who are to respond, including publishing this notice to announce that through the use of appropriate the following Federal Advisory Information Collection; Submission for automated, electronic, mechanical, or Committee meeting of the Defense OMB Review, Comment Request other technological collection Health Board (DHB) will take place. techniques or other forms of information DATES: AGENCY: Corporation for National and technology. Community Service. Tuesday, November 1, 2016 ACTION: Notice. Comments 9:00 a.m.–11:30 a.m. (Open Session) A 60-day Notice requesting public 11:30 a.m.–12:30 p.m. (Administrative SUMMARY: The Corporation for National comment was published in the Federal Session) and Community Service (CNCS) has Register on July 12, 2016 at Vol. 81 No. 12:30 p.m.–5:00 p.m. (Open Session) submitted a public information 133 FR 45135. This comment period ADDRESSES: Defense Health collection request (ICR) entitled ended September 12, 2016. No public Headquarters (DHHQ), Pavilion Salons September 11th Day of Service and comments were received from this B–C, 7700 Arlington Blvd., Falls Remembrance (September 11) and Notice. Church, Virginia 22042 (escort required; Martin Luther King Jr Day of Service Description: Applicants for MLK Day see guidance in SUPPLEMENTARY (MLK) Application Instructions for and September 11 will submit an INFORMATION, ‘‘Public’s Accessibility to review and approval in accordance with application following the application the Meeting’’). the Paperwork Reduction Act of 1995, instructions. Applicants may apply for FOR FURTHER INFORMATION CONTACT: The Public Law 104–13, (44 U.S.C. Chapter MLK Day, September 11, or both. The Acting Executive Director of the Defense 35). Copies of this ICR, with applicable application is required to be considered Health Board is CAPT Juliann Althoff, supporting documentation, may be for grant funding support from MLK Day 7700 Arlington Boulevard, Suite 5101, obtained by calling the Corporation for or September 11. CNCS will use the Falls Church, Virginia 22042, (703) 681– National and Community Service, Patti information collection to select grantee 6653, Fax: (703) 681–9539, Stengel, at 202–606–6745 or email to organizations through a competitive [email protected]. For [email protected]. Individuals who use process. meeting information, please contact Ms. a telecommunications device for the Type of Review: New. Kendal Brown, 7700 Arlington deaf (TTY–TDD) may call 1–800–833– Agency: Corporation for National and Boulevard, Suite 5101, Falls Church, 3722 between 8:00 a.m. and 8:00 p.m. Community Service. Virginia 22042, kendal.l.brown2.ctr@ Eastern Time, Monday through Friday. Title: Day of Service Application mail.mil, (703) 681–6670, Fax: (703) DATES: Comments may be submitted, Instructions. 681–9539. identified by the title of the information OMB Number: TBD. SUPPLEMENTARY INFORMATION: This collection activity, within November 10, Agency Number: None. meeting is being held under the 2016. Affected Public: The public affected provisions of the Federal Advisory ADDRESSES: Comments may be are applicant organizations for Committee Act of 1972 (5 U.S.C., submitted, identified by the title of the September 11 and MLK Day of Service. Appendix, as amended), the information collection activity, to the Total Respondents: 70. Government in the Sunshine Act of Office of Information and Regulatory Frequency: At most, the frequency is 1976 (5 U.S.C. 552b, as amended), and Affairs, Attn: Ms. Sharon Mar, OMB annual. The Day of Service competition 41 CFR 102–3.150. Desk Officer for the Corporation for will result in three year grants. Awarded Additional information, including the National and Community Service, by applicants will also use these agenda and electronic registration, is

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available at the DHB Web site, http:// Written Statements Advisory Committee Act and is www.health.mil/About-MHS/Other- Any member of the public wishing to intended to notify the public of its MHS-Organizations/Defense-Health- provide comments to the DHB may do opportunity to attend. Due to challenges Board/Meetings. so in accordance with section 10(a)(3) of associated with assembling the quorum required to carry out necessary Purpose of the Meeting the Federal Advisory Committee Act, 41 CFR 102–3.105(j) and 102–3.140, and functions prior to the end of the The purpose of the meeting is to the procedures described in this notice. administration, and to ensure the provide progress updates on specific Individuals desiring to provide availability and attendance of the chair taskings before the DHB. In addition, the comments to the DHB may do so by to lead the meeting, this meeting notice DHB will receive information briefings submitting a written statement to the is submitted late. on current issues or lessons learned DHB Designated Federal Officer (DFO) DATES: The PACEEAA meeting will be related to military medicine, health (see FOR FURTHER INFORMATION CONTACT). held October 10, 2016 from 9:00 a.m.– policy, health research, disease/injury Written statements should not be longer 4:00 p.m. EST at Mason & Rook Hotel, prevention, health promotion, and than two type-written pages and address 1430 Rhode Island Ave NW., health care delivery. the following details: The issue, Washington, DC 20005. Agenda discussion, and a recommended course FOR FURTHER INFORMATION CONTACT: of action. Supporting documentation Monique Toussaint. Pursuant to 5 U.S.C. 552b and 41 CFR may also be included, as needed, to [email protected] (202) 260– 102–3.140 through 102–3.165 and establish the appropriate historical 0964. subject to availability of space, the context and to provide any necessary SUPPLEMENTARY INFORMATION: Defense Health Board meeting is open to background information. Statutory Authority and Function: the public from 9:00 a.m. to 11:30 a.m. If the written statement is not The PACEEAA is established under and 12:30 p.m. to 5:00 p.m. on received at least five (5) business days Executive Order 13621, dated July 26, November 1, 2016. The DHB anticipates prior to the meeting, the DFO may 2012 and extended by Executive Order receiving progress updates from the choose to postpone consideration of the 13708 dated September 30, 2015. The Health Care Delivery Subcommittee on statement until the next open meeting. PACEEAA is governed by the provisions the pediatric health care services The DFO will review all timely of the Federal Advisory Committee Act tasking, Public Health Subcommittee on submissions with the DHB President (FACA) (Pub. L. 92–463, as amended; 5 its review of improving Defense Health and ensure they are provided to U.S.C. App. 2), which sets forth Program medical research processes, members of the DHB before the meeting standards for the formation and use of and a subset of the Board on the that is subject to this notice. After advisory committees. The purpose of Deployment Health Centers review. In reviewing the written comments, the the PACEEAA is to advise the President addition, the DHB anticipates receiving President and the DFO may choose to and the Secretary of Education on information briefings on Pediatric Care invite the submitter to orally present matters pertaining to the educational in the Military Health System; the DHB their issue during an open portion of attainment of the African American history and the vision for the DHB; a this meeting or at a future meeting. The community, including: (1) The Defense Suicide Prevention Office DFO, in consultation with the DHB development, implementation, and update; and a DHB Scholars President, may allot time for members of coordination of educational programs Presentation to honor the innovative the public to present their issues for and initiatives at the Department and research being conducted in the Military review and discussion by the Defense other agencies to improve educational Health System and to celebrate the Health Board. efforts of early career investigators. Any opportunities and outcomes for African Dated: October 5, 2016. changes to the agenda can be found at Americans of all ages; (2) efforts to Aaron Siegel, the link provided in this SUPPLEMENTARY increase the participation of the African INFORMATION section. Alternate OSD Federal Register Liaison American community and institutions Officer, Department of Defense. that serve the African American Public’s Accessibility to the Meeting [FR Doc. 2016–24451 Filed 10–7–16; 8:45 am] community in the Department’s Pursuant to 5 U.S.C. 552b, and 41 CFR BILLING CODE 5001–06–P programs and in education programs at 102–3.140 through 102–3.165 and other agencies; (3) efforts to engage the subject to availability of space, this philanthropic, business, nonprofit, and meeting is open to the public. Seating is DEPARTMENT OF EDUCATION education communities in a national limited and is on a first-come basis. All dialogue on the mission and objectives members of the public who wish to Announcement of an Open Meeting of this order; and (4) the establishment of partnerships with public, private, attend the public meeting must contact AGENCY: U.S. Department of Education, philanthropic, and nonprofit Ms. Kendal Brown at the number listed President’s Advisory Commission on stakeholders to meet the mission and in the section FOR FURTHER INFORMATION Educational Excellence for African policy objectives of its Executive Order. CONTACT no later than 12:00 p.m. on Americans. Tuesday, October 25, 2016 to register. ACTION: Announcement of an open Meeting Agenda Additional details will be provided to meeting. all registrants. October 10, 2016 SUMMARY: This notice sets forth the 9:00 a.m.–11:00 a.m. EST PACEEAA Special Accommodations schedule and agenda of the meeting of Updates and Initiative Resources Individuals requiring special the President’s Advisory Commission 11:00 a.m.–12:30 p.m. EST Policy, accommodations to access the public on Educational Excellence for African Program, and Transition Updates meeting should contact Ms. Kendal Americans (PACEEAA). The notice also 12:30 p.m.–1:30 p.m. EST PACEEAA Brown at least five (5) business days describes the functions of the Member Deliberation & Discussion prior to the meeting so that appropriate PACEEAA. Notice of the meeting is 1:00 p.m.–3:30 p.m. EST PACEEAA arrangements can be made. required by § 10(a)(2) of the Federal Led Engagements

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3:30 p.m. EST Remarks from Executive Order 13708 dated September 30, assess the impact of its information Secretary John King 2015. collection requirements and minimize the public’s reporting burden. It also 4:00 p.m. EST Adjournment Ted Mitchell, helps the public understand the Submission of written public Under Secretary, U.S. Department of Department’s information collection Education. comments: The Committee invites requirements and provide the requested written comments, which will be taken [FR Doc. 2016–24487 Filed 10–7–16; 8:45 am] data in the desired format. ED is into consideration by the Committee. BILLING CODE 4000–01–P soliciting comments on the proposed Include in the subject line ‘‘Written information collection request (ICR) that Public Comments’’. Send an email to is described below. The Department of DEPARTMENT OF EDUCATION [email protected]. The email must Education is especially interested in include the name(s), title, organization/ [Docket No.: ED–2016–ICCD–0035] public comment addressing the affiliation, mailing address, email following issues: (1) Is this collection address, and telephone number, of the Agency Information Collection necessary to the proper functions of the person(s) making the comment. Activities; Submission to the Office of Department; (2) will this information be Comments should be submitted as a Management and Budget for Review processed and used in a timely manner; Microsoft Word document or in a and Approval; Comment Request; (3) is the estimate of burden accurate; medium compatible with Microsoft Accrediting Agencies Reporting (4) how might the Department enhance Word (not a PDF file) that is attached to Activities for Institutions and the quality, utility, and clarity of the an electronic mail message (email) or Programs information to be collected; and (5) how provided in the body of an email might the Department minimize the AGENCY: Office of Postsecondary message. Please do not send material burden of this collection on the Education (OPE), Department of directly to PACEEAA members. respondents, including through the use Education (ED). of information technology. Please note Access to Records of the Meeting: The ACTION: Notice. Department will post the official report that written comments received in of the meeting on the PACEEAA’s Web SUMMARY: In accordance with the response to this notice will be site 90 days after the meeting. Pursuant Paperwork Reduction Act of 1995, ED is considered public records. to the FACA, the public may also proposing a new information collection. Title of Collection: Accrediting Agencies Reporting Activities for inspect the materials at 400 Maryland DATES: Interested persons are invited to Institutions and Programs. Avenue SW., Washington, DC, by submit comments on or before OMB Control Number: 1840–NEW. emailing [email protected] or by November 10, 2016. Type of Review: A new information calling (202) 260–0964 to schedule an ADDRESSES: To access and review all the appointment. collection. documents related to the information Respondents/Affected Public: Private Reasonable Accommodations: The collection listed in this notice, please Sector. meeting site is accessible to individuals use http://www.regulations.gov by Total Estimated Number of Annual with disabilities. If you will need an searching the Docket ID number ED– Responses: 8,050. auxiliary aid or service to participate in 2016–ICCD–0035. Comments submitted Total Estimated Number of Annual the meeting (e.g., interpreting service, in response to this notice should be Burden Hours: 2,689. assistive listening device, or materials in submitted electronically through the Abstract: Sections 496(a)(7), (a)(8), an alternate format), notify Monique Federal eRulemaking Portal at http:// (c)(7), and (c)(8) of the Higher Education Toussaint. www.regulations.gov by selecting the Act (HEA), and federal regulations at 34 Docket ID number or via postal mail, Electronic Access to This Document: CFR 602.26 and 602.27(a)(6) and (a)(7) commercial delivery, or hand delivery. The official version of this document is contain certain requirements for Please note that comments submitted by the document published in the Federal reporting by recognized accrediting fax or email and those submitted after Register. Free Internet access to the agencies to the Department on the the comment period will not be official edition of the Federal Register institutions and programs the agencies accepted. Written requests for accredit. The proposed information and the Code of Federal Regulations is information or comments submitted by available via the Federal Digital System collection outlines categories of postal mail or delivery should be terminology used by accrediting at: www.gpo.gov/fdsys. At this site you addressed to the Director of the can view this document, as well as all agencies to describe actions and Information Collection Clearance statuses, and provides guidance to other documents of this Department Division, U.S. Department of Education, published in the Federal Register, in federally recognized accrediting 400 Maryland Avenue SW., LBJ, Room agencies on the information to be text or Adobe Portable Document 2E–347, Washington, DC 20202–4537. Format (PDF). To use PDF, you must reported to the Department under 34 FOR FURTHER INFORMATION CONTACT: have Adobe Acrobat Reader, which is For CFR 602.26 and 602.27(a)(6) and (a)(7). available free at the site. specific questions related to collection Some of the reporting discussed is activities, please contact Herman required; some is requested. This You may also access documents of the Bounds, 202–453–6128. collection specifies which is which. It Department published in the Federal SUPPLEMENTARY INFORMATION: The also discusses the channel for reporting Register by using the article search Department of Education (ED), in this information, whether requested or feature at: www.federalregister.gov. accordance with the Paperwork required, and for reporting information Specifically, through the advanced Reduction Act of 1995 (PRA) (44 U.S.C. the accrediting agency may wish to search feature at this site, you can limit 3506(c)(2)(A)), provides the general submit voluntarily to ensure that the your search to documents published by public and Federal agencies with an Department’s Database of Accredited the Department. opportunity to comment on proposed, Postsecondary Institutions and Authority: PACEEEAA—Executive Order revised, and continuing collections of Programs is accurate and 13621, dated July 26, 2012 and extended by information. This helps the Department comprehensive.

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Dated: October 5, 2016. (TTY). In lieu of electronic filing, please to conduct studies to help further refine Kate Mullan, send a paper copy to: Secretary, Federal the range of suitable generation Acting Director, Information Collection Energy Regulatory Commission, 888 capabilities and other project Clearance Division, Office of the Chief Privacy First Street NE., Washington, DC 20426. characteristics. Officer, Office of Management. The first page of any filing should Applicant Contact: Mr. Edward [FR Doc. 2016–24448 Filed 10–7–16; 8:45 am] include docket number P–9088–050. Cooper, Managing Director and Project BILLING CODE 4000–01–P Dated: October 4, 2016. Manager, GreenGenStorage LLC, P.O. Kimberly D. Bose, Box 537, Summerland, CA 93067, (805) Secretary. 450–2867 or edward@ DEPARTMENT OF ENERGY [FR Doc. 2016–24470 Filed 10–7–16; 8:45 am] greengenstorage.com. Federal Energy Regulatory BILLING CODE 6717–01–P FERC Contact: John M. Mudre; phone: Commission (202) 502–8902 or [email protected]. [Project No. 9088–050] DEPARTMENT OF ENERGY Deadline for filing comments, motions to intervene, competing applications Lower Village Hydroelectric Federal Energy Regulatory (without notices of intent), or notices of Associates, L.P., Sugar River Power Commission intent to file competing applications: 60 LLC; Notice of Application for Transfer days from the issuance of this notice. of License and Soliciting Comments, [Project No. 14796–000 Competing applications and notices of Motions To Intervene, and Protests GreenGenStorage LLC; Notice of intent must meet the requirements of 18 On September 15, 2016, Lower Village Preliminary Permit Application CFR 4.36. Hydroelectric Associates, L.P. Accepted for Filing and Soliciting The Commission strongly encourages (transferor) and Sugar River Power LLC Comments, Motions To Intervene, and electronic filing. Please file comments, (transferee) filed an application for the Competing Applications motions to intervene, notices of intent, transfer of license of the Lower Village and competing applications using the Project No. 9088. The project is located On July 19, 2016, GreenGenStorage on the Sugar River in Sullivan County, LLC filed an application for a Commission’s eFiling system at http:// New Hampshire. preliminary permit, pursuant to section www.ferc.gov/docs-filing/efiling.asp. The applicants seek Commission 4(f) of the Federal Power Act (FPA), Commenters can submit brief comments approval to transfer the license for the proposing to study the feasibility of the up to 6,000 characters, without prior Lower Village Project from Lower Mokelumne Pumped Storage Project, to registration, using the eComment system Village Hydroelectric Associates, L.P. to be located on the North Fork at http://www.ferc.gov/docs-filing/ Sugar River Power LLC. Mokelumne River, Bear River, and Cole ecomment.asp. You must include your Applicants Contact: For transferor: Creek, in Amador and Calaveras County, name and contact information at the end Mr. John Webster, General Partner, California. The sole purpose of a of your comments. For assistance, Lower Village Hydroelectric Associates, preliminary permit, if issued, is to grant please contact FERC Online Support at L.P., P.O. Box 178, South Berwick, ME the permit holder priority to file a [email protected], (866) 03908, Email: [email protected]. For license application during the permit 208–3676 (toll free), or (202) 502–8659 transferee: Mr. Robert King, Manager, term. A preliminary permit does not (TTY). In lieu of electronic filing, please Sugar River Power LLC, 42 Hurricane authorize the permit holder to perform send a paper copy to: Secretary, Federal Road, Keene, NH 03431, Phone: 603– any land-disturbing activities or Energy Regulatory Commission, 888 otherwise enter upon lands or waters 352–3444, Email: bking31415@ First Street NE., Washington, DC 20426. owned by others without the owners’ gmail.com and Ms. Elizabeth W. The first page of any filing should express permission. Whittle, Nixon Peabody, LLP, 799 Ninth include docket number P–14796–000. Street NW., Suite 500, Washington, DC The project concept envisions the 20004, Phone: 202–585–8338, Email: construction of a pumped storage More information about this project, [email protected]. generating facility consisting of: (1) The including a copy of the application, can FERC Contact: Patricia W. Gillis, (202) existing Salt Springs Reservoir (part of be viewed or printed on the ‘‘eLibrary’’ 502–8735, [email protected]. PG&E’s currently licensed Mokelumne link of Commission’s Web site at http:// Deadline for filing comments, motions River Project No. 137) as the lower pool; www.ferc.gov/docs-filing/elibrary.asp. to intervene, and protests: 30 days from (2) an upper reservoir using either the Enter the docket number (P–14796) in the date that the Commission issues this existing Upper Bear or Lower Bear River the docket number field to access the notice. The Commission strongly reservoirs (also part of PG&E’s document. For assistance, contact FERC encourages electronic filing. Please file Mokelumne River Project); (3) a 16,000- Online Support. comments, motions to intervene, and foot to 20,000-foot power tunnel protests using the Commission’s eFiling connecting the upper reservoir, pump Dated: October 4, 2016. system at http://www.ferc.gov/docs- turbines, and the lower reservoir; (4) an Kimberly D. Bose, filing/efiling.asp. Commenters can underground powerhouse containing Secretary. submit brief comments up to 6,000 the pump-turbines and motor- [FR Doc. 2016–24474 Filed 10–7–16; 8:45 am] characters, without prior registration, generators; (5) an approximately 3,000- BILLING CODE 6717–01–P using the eComment system at http:// foot-long transmission line; and (6) www.ferc.gov/docs-filing/ appurtenant facilities. GreenGenStorage ecomment.asp. You must include your states that based on preliminary name and contact information at the end analyses, the project would have from of your comments. For assistance, one to three 380-megawatt generating please contact FERC Online Support at units and an average annual electricity [email protected], (866) production of between 523 and 742 208–3676 (toll free), or (202) 502–8659 gigawatt-hours. GreenGenStorage plans

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DEPARTMENT OF ENERGY Efficiency Act of 2013 (HREA). The Qualifying Conduit Hydropower proposed Highland Tank Pressure Facility Description: The proposed Federal Energy Regulatory Reducing Valve Modernization Project project would consist of: (1) A proposed Commission would have an installed capacity of 177 10-foot long, 14-inch-diameter intake kilowatts (kW) and would be located in pipe off the 24-inch main pipeline, (2) [Docket No. CD16–23–000] the Highland Tank Pressure Reducing a proposed powerhouse bypassing the California American Water, Southern Station on an existing 24-inch-diameter existing pressure reducing valve station, Division; Notice of Preliminary water supply pipe. The project would be containing two generating units with a Determination of a Qualifying Conduit located near the City of San Diego in total installed capacity of 177-kW, (3) a Hydropower Facility and Soliciting San Diego County, California. proposed 350-foot-long 14-inch Comments and Motions To Intervene diameter outlet pipe returning to the 24- Applicant Contact: Mark Reifer, inch main pipeline, and (4) appurtenant On September 28, 2016, the California California American Water, Southern facilities. The proposed project would American Water, Southern Division Division, 8657 Grand Avenue, have an estimated annual generating filed a notice of intent to construct a Rosemead, CA 91770, Phone No. (626) capacity of 916.650 megawatt-hours. qualifying conduit hydropower facility, 614–2517. A qualifying conduit hydropower pursuant to section 30 of the Federal FERC Contact: Robert Bell, Phone No. facility is one that is determined or Power Act (FPA), as amended by section (202) 502–6062, email: robert.bell@ deemed to meet all of the criteria shown 4 of the Hydropower Regulatory ferc.gov. 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 is a tunnel, canal, pipeline, aqueduct, flume, ditch, or similar Y manmade water conveyance that is operated for the distribution of water for agricultural, municipal, or industrial consumption and not primarily for the generation of electricity. FPA 30(a)(3)(C)(i), as amended by HREA ...... The facility is constructed, operated, or maintained for the generation of Y electric power and uses for such generation only the hydroelectric poten- tial of a non-federally owned conduit. FPA 30(a)(3)(C)(ii), as amended by HREA ...... The facility has an installed capacity that does not exceed 5 megawatts ..... Y FPA 30(a)(3)(C)(iii), as amended by HREA ...... On or before August 9, 2013, the facility is not licensed, or exempted from Y the licensing requirements of Part I of the FPA.

Preliminary Determination: Based filing responds; (3) state the name, by proof of service on all persons listed upon the above criteria, Commission address, and telephone number of the in the service list prepared by the staff has preliminarily determined that person filing; and (4) otherwise comply Commission in this proceeding, in the proposal satisfies the requirements with the requirements of sections accordance with 18 CFR 4.34(b) and for a qualifying conduit hydropower 385.2001 through 385.2005 of the 385.2010. facility under 16 U.S.C. 823a, and is Commission’s regulations.1 All Locations of Notice of Intent: Copies exempted from the licensing comments contesting Commission staff’s requirements of the FPA. preliminary determination that the of the notice of intent can be obtained Comments and Motions To Intervene: facility meets the qualifying criteria directly from the applicant or such The deadline for filing comments must set forth their evidentiary basis. copies can be viewed and reproduced at contesting whether the facility meets the The Commission strongly encourages the Commission in its Public Reference qualifying criteria is 45 days from the electronic filing. Please file motions to Room, Room 2A, 888 First Street NE., issuance date of this notice. intervene and comments using the Washington, DC 20426. The filing may The deadline for filing motions to Commission’s eFiling system at http:// also be viewed on the web at http:// intervene is 30 days from the issuance www.ferc.gov/docs-filing/efiling.asp. www.ferc.gov/docs-filing/elibrary.asp date of this notice. Commenters can submit brief comments using the ‘‘eLibrary’’ link. Enter the Anyone may submit comments or a up to 6,000 characters, without prior docket number (e.g., CD16–23–000) in motion to intervene in accordance with registration, using the eComment system the docket number field to access the the requirements of Rules of Practice at http://www.ferc.gov/docs-filing/ document. For assistance, call toll-free and Procedure, 18 CFR 385.210 and ecomment.asp. You must include your 1–866–208–3676 or email 385.214. Any motions to intervene must name and contact information at the end [email protected]. For TTY, be received on or before the specified of your comments. For assistance, call (202) 502–8659. deadline date for the particular please contact FERC Online Support at proceeding. [email protected], (866) Dated: October 4, 2016. Filing and Service of Responsive 208–3676 (toll free), or (202) 502–8659 Kimberly Bose, Documents: All filings must (1) bear in (TTY). In lieu of electronic filing, please Secretary. all capital letters the ‘‘COMMENTS send a paper copy to: Secretary, Federal [FR Doc. 2016–24472 Filed 10–7–16; 8:45 am] CONTESTING QUALIFICATION FOR A Energy Regulatory Commission, 888 BILLING CODE 6717–01–P CONDUIT HYDROPOWER FACILITY’’ First Street NE., Washington, DC 20426. or ‘‘MOTION TO INTERVENE,’’ as A copy of all other filings in reference applicable; (2) state in the heading the to this application must be accompanied name of the applicant and the project number of the application to which the 1 18 CFR 385.2001–2005 (2015).

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DEPARTMENT OF ENERGY issue that may affect the responsibilities for inspection and reproduction at the of a particular resource agency, they address in item h above. Federal Energy Regulatory must also serve a copy of the document Register online at http:// Commission on that resource agency. www.ferc.gov/docs-filing/ [Project No.: P–12635–002] k. This application has been accepted esubscription.asp to be notified via for filing, but is not ready for email of new filings and issuances Moriah Hydro Corporation; Notice of environmental analysis at this time. related to this or other pending projects. Application Accepted for Filing and l. The proposed project consists of: (1) For assistance, contact FERC Online Soliciting Motions To Intervene and An upper reservoir located within the Support. Protests upper portion of the mine between n. Any qualified applicant desiring to elevations 495 and 1,095 feet above file a competing application must Take notice that the following mean seal level (msl), with a surface submit to the Commission, on or before hydroelectric application has been filed area of 4 acres and a storage capacity of the specified intervention deadline date, with the Commission and is available 2,448 acre-feet; (2) a lower reservoir in a competing development application, for public inspection. the lower portion of the mine between or a notice of intent to file such an a. Type of Application: Original Major elevations ¥1,075 and ¥1,555 feet msl, application. Submission of a timely License. with a surface area of 5.1 acres and a notice of intent allows an interested b. Project No.: P–12635–002. storage capacity of 2,448 acre-feet; (3) a person to file the competing c. Date filed: February 13, 2015. 14-foot-diameter and 2,955-foot-long development application no later than d. Applicant: Moriah Hydro upper reservoir shaft connecting the 120 days after the specified intervention Corporation. upper reservoir to the high-pressure deadline date. Applications for e. Name of Project: Mineville Energy penstock located below the powerhouse preliminary permits will not be Storage Project. chamber floor; (4) a 14-foot-diameter accepted in response to this notice. f. Location: The project would be and 2,955-foot-long lower reservoir shaft A notice of intent must specify the located in an abandoned subterranean connecting the lower reservoir and the exact name, business address, and mine complex 1 in the town of Moriah, lower reservoir ventilation tunnel; (5) telephone number of the prospective Essex County, New York. No federal two 6-foot-diameter emergency applicant, and must include an lands are occupied by project works or evacuation shafts located between the unequivocal statement of intent to located within the project boundary. powerhouse chamber and the electrical submit a development application. A g. Filed Pursuant to: Federal Power equipment chamber; (6) a 25-foot- notice of intent must be served on the Act 16 U.S.C. 791(a)–825(r). diameter main shaft extending 2,955 applicant(s) named in this public notice. h. Applicant Contact: James A. Besha, feet from the surface down to the Anyone may submit a protest, or a President, Moriah Hydro Corporation, c/ powerhouse chamber; (7) 15-foot- motion to intervene in accordance with o Albany Engineering Corporation, 5 diameter high- and low-pressure steel the requirements of Rules of Practice Washington Square, Albany, New York penstocks embedded beneath the and Procedure, 18 CFR 385.210, .211, 12205, (518) 456–7712. powerhouse chamber floor; (8) a 320- and .214. In determining the appropriate i. FERC Contact: Chris Millard (202) foot-long by 80-foot-wide powerhouse action to take, the Commission will 502–8256 or christopher.millard@ chamber, containing 100 reversible consider all protests filed, but only ferc.gov. pump-turbine units, each with a those who file a motion to intervene in j. Deadline for filing motions to nameplate generating capacity of 2.4 accordance with the Commission’s intervene and protests: 60 days from the megawatts; (9) a 274-foot-long by 36- Rules may become a party to the issuance date of this notice. foot-wide underground electrical proceeding. Any comments, protests, or The Commission strongly encourages equipment chamber adjacent to the motions to intervene must be received electronic filing. Please file motions to powerhouse chamber; (10) an inclined on or before the specified comment date intervene and protests using the electrical tunnel connecting the for the particular application. Commission’s eFiling system at http:// electrical equipment chamber to a new When the application is ready for www.ferc.gov/docs-filing/efiling.asp. For 115-kilovolt (kV) substation constructed environmental analysis, the assistance, please contact FERC Online adjacent to an existing single circuit Commission will issue a public notice Support at FERCOnlineSupport@ 115-kV transmission line located about requesting comments, ferc.gov, (866) 208–3676 (toll free), or one horizontal mile from the recommendations, terms and (202) 502–8659 (TTY). In lieu of underground powerhouse chamber; and conditions, or prescriptions. All filings must (1) bear in all capital electronic filing, please send a paper (11) appurtenant facilities. The project letters the title ‘‘PROTEST’’ or copy to: Secretary, Federal Energy would operate as a closed-loop system ‘‘MOTION TO INTERVENE,’’ ‘‘NOTICE Regulatory Commission, 888 First Street to meet energy demands and grid OF INTENT TO FILE COMPETING NE., Washington, DC 20426. The first control requirements. The project would APPLICATION,’’ or ‘‘COMPETING page of any filing should include docket have an average annual generation of APPLICATION;’’ (2) set forth in the number P–12635–002. 421 gigawatt-hours (GWh). The average heading the name of the applicant and The Commission’s Rules of Practice pumping power used by the project the project number of the application to and Procedures require all intervenors would be 554 GWh. m. A copy of the application is which the filing responds; (3) furnish filing documents with the Commission available for review at the Commission the name, address, and telephone to serve a copy of that document on in the Public Reference Room or may be number of the person protesting or each person on the official service list viewed on the Commission’s Web site at intervening; and (4) otherwise comply for the project. Further, if an intervenor http://www.ferc.gov using the with the requirements of 18 CFR files comments or documents with the ‘‘eLibrary’’ link. Enter the docket 385.2001 through 385.2005. Agencies Commission relating to the merits of an number excluding the last three digits in may obtain copies of the application 1 The existing mine complex is composed of the the docket number field to access the directly from the applicant. A copy of interconnected Old Bed, Bonanza open pit, and document. For assistance, contact FERC any protest or motion to intervene must Harmony mines. Online Support. A copy is also available be served upon each representative of

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the applicant specified in the particular 1, 2017.1 The project would have been i. FERC Contact: John Ramer, (202) application. located in the Pacific Ocean between 2.5 502–8969, or email at john.ramer@ Dated: October 4, 2016. and 3.0 miles off the coast of San Luis ferc.gov. j. Deadline for filing motions to Kimberly D. Bose, Obispo County, California, and on land near the town of Morro Bay. intervene and protests, comments, terms Secretary. The preliminary permit for Project and conditions, and recommendations: [FR Doc. 2016–24471 Filed 10–7–16; 8:45 am] No. 14584 will remain in effect until the Due to the small size and location of BILLING CODE 6717–01–P close of business, November 3, 2016. this project and the close coordination But, if the Commission is closed on this with state and federal agencies during preparation of the application, the 60- DEPARTMENT OF ENERGY day, then the permit remains in effect until the close of business on the next day timeframe in 18 CFR 4.34(b) is Federal Energy Regulatory day in which the Commission is open.2 shortened. Instead, motions to intervene Commission New applications for this site may not and protests, comments, terms and be submitted until after the permit conditions, and recommendations are [Project No. 14585–001] surrender is effective. due 30 days from the issuance date of this notice. All reply comments must be Dated: October 4, 2016. Dynegy Estero Bay Wave Park, LLC; filed with the Commission within 45 Notice of Surrender of Preliminary Kimberly D. Bose, days from the issuance date of this Permit Secretary. notice. [FR Doc. 2016–24473 Filed 10–7–16; 8:45 am] The Commission strongly encourages Take notice that Dynegy Estero Bay BILLING CODE 6717–01–P electronic filing. Please file motions to Wave Park, LLC, permittee for the intervene, protests, comments, and proposed Estero Bay Wave Park Project, recommendations using the has requested that its preliminary DEPARTMENT OF ENERGY Commission’s eFiling system at http:// permit be terminated. The permit was www.ferc.gov/docs-filing/efiling.asp. issued on October 28, 2014, and would Federal Energy Regulatory 1 Commenters can submit brief comments have expired on November 1, 2017. Commission up to 6,000 characters, without prior The project would have been located in [Project No. 14680–002] registration, using the eComment system coastal waters between 2.5 and 3.0 miles at http://www.ferc.gov/docs-filing/ off the coast of San Luis Obispo County, Water Street Land, LLC; Notice of ecomment.asp. You must include your California, and on land near the town of Application Accepted for Filing With name and contact information at the end Morro Bay. the Commission, Intent To Waive of your comments. For assistance, The preliminary permit for Project Scoping, Soliciting Motions To please contact FERC Online Support at No. 14585 will remain in effect until the Intervene and Protests, Ready for [email protected], (866) close of business, November 3, 2016. Environmental Analysis, and Soliciting 208–3676 (toll free), or (202) 502–8659 But, if the Commission is closed on this Comments, Terms and Conditions, and (TTY). In lieu of electronic filing, please day, then the permit remains in effect Recommendations, and Establishing send a paper copy to: Secretary, Federal until the close of business on the next an Expedited Schedule for Processing Energy Regulatory Commission, 888 2 day in which the Commission is open. First Street NE., Washington, DC 20426. New applications for this site may not Take notice that the following The first page of any filing should be submitted until after the permit hydroelectric application has been filed include docket number P–14680–002. surrender is effective. with the Commission and is available The Commission’s Rules of Practice Dated: October 4, 2016. for public inspection. require all intervenors filing documents Kimberly D. Bose, a. Type of Application: Exemption with the Commission to serve a copy of Secretary. from Licensing that document on each person on the [FR Doc. 2016–24475 Filed 10–7–16; 8:45 am] b. Project No.: 14680–002 official service list for the project. c. Date filed: July 13, 2016 Further, if an intervenor files comments BILLING CODE 6717–01–P d. Applicant: Water Street Land, LLC or documents with the Commission e. Name of Project: Natick Pond Dam relating to the merits of an issue that DEPARTMENT OF ENERGY Hydroelectric Project may affect the responsibilities of a f. Location: On the Pawtuxet River, in particular resource agency, they must Federal Energy Regulatory the Towns of Warwick and West also serve a copy of the document on Commission Warwick, Kent County, Rhode Island. that resource agency. No federal lands would be occupied by k. This application has been accepted [Project No. 14584–001] project works or located within the for filing and is now ready for Dynegy Point Estero Wave Park, LLC; project boundary. environmental analysis. Notice of Surrender of Preliminary g. Filed Pursuant to: Public Utility l. The proposed Natick Pond Dam Permit Regulatory Policies Act of 1978, 16 Hydroelectric Project would consist of: U.S.C. 2705, 2708 (2012), amended by (1) An existing 265-foot-long granite Take notice that Dynegy Point Estero the Hydropower Regulatory Efficiency block dam with a 19.3-foot-high, 166- Wave Park, LLC, permittee for the Act of 2013, Public Law 113–23, 127 foot-long spillway; (2) an existing 58- proposed Point Estero Wave Park Stat. 493 (2013). foot to 125.3-foot-wide, 1-foot- to 28- Project, has requested that its h. Applicant Contact: Mr. Rob Cioe, foot-deep earth embankment; (3) an preliminary permit be terminated. The Water Street Land, LLC, P.O. Box 358, existing 44-foot-long, 4-foot- to 20-foot- permit was issued on October 28, 2014, North Kingstown, RI 02852; (480) 797– high south granite block training wall; and would have expired on November 3077. (4) an existing 1,244-foot-long, 18-foot- to 41.25-foot-high granite block and 1 149 FERC ¶ 62,059. 1 149 FERC ¶ 62,058. cobble stone north training wall; (5) an 2 18 CFR 385.2007(a)(2) (2016). 2 18 CFR 385.2007(a)(2) (2016). existing 4-foot-wide, 6-foot-high granite

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block low level outlet; (6) an existing n. A copy of the application is which the filing responds; (3) furnish 46.0-acre impoundment (Natick Pond) available for review at the Commission the name, address, and telephone with a normal surface elevation of about in the Public Reference Room or may be number of the person protesting or 48.5 feet North American Vertical viewed on the Commission’s Web site at intervening; and (4) otherwise comply Datum of 1988; (7) a new 97-foot-long, http://www.ferc.gov using the with the requirements of 18 CFR 32.2-foot-wide, 6.6-foot-deep concrete ‘‘eLibrary’’ link. Enter the docket 385.2001 through 385.2005. All intake channel; (8) four new 7.6-foot- number excluding the last three digits in comments, recommendations, terms and high, 11.1-foot-wide steel sluice gates the docket number field to access the conditions or prescriptions must set each with new 8.3-foot-high, 32.2-foot- document. For assistance, contact FERC forth their evidentiary basis and wide steel trashracks with 6-inch clear Online Support. For assistance, contact otherwise comply with the requirements bar spacing; (9) a new 20.8-foot-high, FERC Online Support. A copy is also of 18 CFR 4.34(b). Agencies may obtain 23.7-foot-long, 27.7-foot-wide concrete available for inspection and copies of the application directly from powerhouse; (10) two new 12-foot-high, reproduction at the address in item h the applicant. A copy of any protest or 92-foot-long, 28-foot-wide concrete above. motion to intervene must be served turbine bays containing two 42.7-foot- You may also register online at http:// upon each representative of the long, 9.2-foot-diameter Archimedes www.ferc.gov/docs-filing/ applicant specified in the particular screw turbine-generator units each rated esubscription.asp to be notified via application. A copy of all other filings at 180 kilowatts (kW) for a total email of new filings and issuances in reference to this application must be installed capacity of 360 kW; (11) a new related to this or other pending projects. accompanied by proof of service on all 43-foot long, 29-foot-wide, 5-foot-deep For assistance, contact FERC Online persons listed in the service list tailrace; (12) a new 54-foot-long, 4.5- Support. prepared by the Commission in this foot-wide aluminum eel passage facility; o. Any qualified applicant desiring to proceeding, in accordance with 18 CFR (13) a new water-level sensor and file a competing application must 4.34(b) and 385.2010. automatic sluice gate controller; (14) a submit to the Commission, on or before p. Procedural Schedule: The new 40-foot-long, 480-volt below- the specified intervention deadline date, application will be processed according ground transmission line connecting the a competing development application, to the following procedural schedule. powerhouse electrical panel to a new or a notice of intent to file such an Revisions to the schedule may be made 15-kilovolt-amp (kVA) step-up application. Submission of a timely as appropriate. transformer connecting a new 220-foot- notice of intent allows an interested long, 12.47-kilovolt above-ground person to file the competing Milestone Target date transmission line to National Grid’s development application no later than 120 days after the specified intervention distribution system; and (15) Notice of the availability of February 2017. deadline date. Applications for the EA. appurtenant facilities. The estimated preliminary permits will not be annual generation of the proposed accepted in response to this notice. Dated: October 5, 2016. Natick Pond Dam Project would be A notice of intent must specify the Kimberly D. Bose, about 1,800 megawatt-hours. The exact name, business address, and applicant proposes to operate the telephone number of the prospective Secretary. project in a run-of-river mode. There are applicant, and must include an [FR Doc. 2016–24604 Filed 10–7–16; 8:45 am] no federal or state lands associated with unequivocal statement of intent to BILLING CODE 6717–01–P the project. submit a development application. A m. Due to the applicant’s close notice of intent must be served on the coordination with federal and state applicant(s) named in this public notice. ENVIRONMENTAL PROTECTION agencies during the preparation of the Anyone may submit comments, a AGENCY application, completed studies during protest, or a motion to intervene in [FRL–9954–01–OA] pre-filing consultation, and agency accordance with the requirements of recommended preliminary terms and Rules of Practice and Procedure, 18 CFR Farm, Ranch, and Rural Communities conditions, we intend to waive scoping 385.210, .211, .214. In determining the Committee Teleconference and expedite the exemption process. appropriate action to take, the Based on a review of the application, Commission will consider all protests or AGENCY: Environmental Protection resource agency consultation letters other comments filed, but only those Agency (EPA). including the preliminary 30(c) terms who file a motion to intervene in ACTION: Notice of Public Advisory and conditions, and comments filed to accordance with the Commission’s Committee Teleconference. date, Commission staff intends to Rules may become a party to the prepare a single environmental proceeding. Any comments, protests, or SUMMARY: Under the Federal Advisory assessment (EA). Commission staff motions to intervene must be received Committee Act, Public Law 92–463, determined that the issues that need to on or before the specified comment date EPA gives notice of a teleconference be addressed in its EA have been for the particular application. meeting of the Farm, Ranch, and Rural adequately identified during the pre- All filings must (1) bear in all capital Communities Committee (FRRCC). The filing period, which included a public letters the title ‘‘PROTEST’’, ‘‘MOTION FRRCC is a policy-oriented committee scoping meeting and site visit, and no TO INTERVENE’’, ‘‘NOTICE OF that provides policy advice, new issues are likely to be identified INTENT TO FILE COMPETING information, and recommendations to through additional scoping. The EA will APPLICATION,’’ ‘‘COMPETING the EPA Administrator on a range of consider assessing the potential effects APPLICATION,’’ ‘‘COMMENTS,’’ environmental issues and policies that of project construction and operation on ‘‘REPLY COMMENTS,’’ are of importance to agriculture and geology and soils, aquatic, terrestrial, ‘‘RECOMMENDATIONS,’’ or ‘‘TERMS rural communities. threatened and endangered species, AND CONDITIONS;’’ (2) set forth in the Purpose of Meeting: The purpose of recreation and land use, aesthetic, and heading the name of the applicant and this teleconference is to discuss specific cultural and historic resources. the project number of the application to recommendations that were drafted by

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the Committee at the May 2016 meeting Ferris, Acting Designated Federal Distributors, Retailers, Supporters (e.g., and finalize any outstanding comments. Officer, at [email protected], or 202– non-governmental organizations), and Recommendations regarding soil health 564–8831 as soon as possible to allow Innovators (e.g., chemical and outreach, when finalized, will be EPA as much time as possible to process manufacturers). All applications and transmitted to the Agency and made your request. accompanying materials must be available to the public. Dated: October 5, 2016. received by Friday, December 16, 2016. DATES: The Farm, Ranch, and Rural Lena Ferris, Award winners will be recognized at a ceremony in late spring 2017. Communities Committee will hold a Acting Designated Federal Officer. public teleconference on October 27th, [FR Doc. 2016–24490 Filed 10–7–16; 8:45 am] FOR FURTHER INFORMATION CONTACT: For 2016 from 2:00 p.m. until 4:00 p.m. BILLING CODE 6560–50–P technical information contact: Chen Eastern Standard Time. Wen, Chemistry, Economics and ADDRESSES: The meeting will be held at Sustainable Strategies Division, Office the U.S. EPA North Building, 1200 ENVIRONMENTAL PROTECTION of Pollution Prevention and Toxics, Constitution Avenue NW., Room 2317, AGENCY Environmental Protection Agency, 1200 Washington, DC 20004. Pennsylvania Ave. NW., Washington, FOR FURTHER INFORMATION CONTACT: [EPA–HQ–OPPT–2015–0785; FRL–9953–39] DC 20460–0001; telephone number: Lena Ferris, Acting Designated Federal (202) 564–8849; email address: 2017 Safer Choice Partner of the Year Officer, [email protected], 202–564– [email protected]. Awards Program 8831, US EPA, Office of the For general information contact: The Administrator (1101A), 1200 AGENCY: Environmental Protection TSCA-Hotline, ABVI-Goodwill, 422 Pennsylvania Avenue NW., Washington, Agency (EPA). South Clinton Ave., Rochester, NY DC 20460. ACTION: Notice. 14620; telephone number: (202) 554– SUPPLEMENTARY INFORMATION: Members 1404; email address: TSCA-Hotline@ of the public wishing to gain access to SUMMARY: EPA is seeking applications epa.gov. for the 2017 Safer Choice Partner of the the teleconference, make brief oral SUPPLEMENTARY INFORMATION: comments, or provide a written Year Awards. In 2015, EPA developed statement to the FRRCC must contact the Partner of the Year Awards to I. General Information recognize Safer Choice stakeholders Lena Ferris, Acting Designated Federal A. Does this action apply to me? Officer, at [email protected], or 202– who have advanced the goals of the 564–8831 by October 25th, 2016. Pollution Prevention Act and the Safer You may be potentially affected by General Information: The agenda and Choice program by reducing pollution at this action if you are a Safer Choice meeting materials will be available at its source through safer chemistry. At program partner or stakeholder. The www.epa.gov/faca/frrcc. General the 2017 Partner of the Year Awards, as following list of North American information about the FRRCC can be at the two prior awards, Safer Choice Industrial Classification System found on the same Web site. will recognize stakeholder organizations (NAICS) codes is not intended to be Meeting Access: For information on from five broad categories: Formulators/ exhaustive, but rather provides a guide access or services for individuals with Product Manufacturers of both to help readers determine whether this disabilities or to request Consumer and Institutional/Industrial document applies to them. Potentially accommodations please contact Lena (I/I) products, Purchasers and affected entities may include:

NAICS Code Affected industry

325510 ...... Paint and Coating Manufacturing. 325611 ...... Soap and Other Detergent Manufacturing. 325612 ...... Polish and Other Sanitation Good Manufacturing. 325910 ...... Printing Ink Manufacturing. 325992 ...... Photographic Film, Paper, Plate, and Chemical Manufacturing. 325998 ...... All Other Miscellaneous Chemical Product and Preparation Manufacturing. 561210 ...... Facilities Support Services. 561720 ...... Janitorial Services. 561740 ...... Carpet and Upholstery Cleaning Services. 611310 ...... Colleges, Universities, and Professional Schools. 8123 ...... Dry Cleaning and Laundry Services. 921190 ...... Other General Government Support.

B. How can I get related information? EPA–HQ–OPPT–2015–0785, is available and the telephone number for the OPPT at http://www.regulations.gov or at the Docket is (202) 566–0280. Please review The full Safer Choice Partner of the Office of Pollution Prevention and the visitor instructions and additional Year Awards announcement and award Toxics Docket (OPPT Docket), information about the docket available application materials can be found at: Environmental Protection Agency at http://www.epa.gov/dockets. https://www.epa.gov/saferchoice/safer- Docket Center (EPA/DC), West William choice-partner-year-awards. Jefferson Clinton Bldg., Rm. 3334, 1301 II. What action is the agency taking? C. How can I get copies of this Constitution Ave. NW., Washington, EPA is seeking applications for the document and other related DC. The Public Reading Room is open 2017 Safer Choice Partner of the Year information? from 8:30 a.m. to 4:30 p.m., Monday Awards. In 2015, EPA developed the through Friday, excluding legal Partner of the Year Awards to recognize The docket for this action, identified holidays. The telephone number for the Safer Choice stakeholders who have by docket identification (ID) number Public Reading Room is (202) 566–1744, advanced the goals of the Pollution

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Prevention Act and the Safer Choice Open Session including but not limited to releases, program by reducing pollution at its 1. Announcement of Notation Votes, discharges, satisfactions, endorsements, source through safer chemistry. The and assignments and deeds. Safer Choice Partner of the Year Awards 2. Big Data and Employment Effective October 1, 2016, the recognize program participants for Discrimination Receivership Estate has been advancing the goal of chemical safety terminated, the Receiver discharged, through exemplary participation in or Note: In accordance with the Sunshine Act, the meeting will be open and the Receivership Estate has ceased promotion of the Safer Choice Program. to exist as a legal entity. Safer Choice Program participants are to public observation of the Federal Deposit Insurance Corporation. continually driving innovation to make Commission’s deliberations and voting. chemical products safer. Our program Seating is limited and it is suggested Robert E. Feldman, currently labels more than 2,000 that visitors arrive 30 minutes before the Executive Secretary. products, used by consumers, meeting in order to be processed [FR Doc. 2016–24437 Filed 10–7–16; 8:45 am] institutions and industry that meet our through security and escorted to the BILLING CODE 6714–01–P Safer Choice Standard. The 2017 Partner meeting room. (In addition to of the Year Awards will be the third publishing notices on EEOC annual event, with recognition for Safer Commission meetings in the Federal FEDERAL DEPOSIT INSURANCE Choice stakeholder organizations from Register, the Commission also provides CORPORATION five broad categories: (1) Formulators/ information about Commission meetings Notice of Termination; 10281 Product Manufacturers of both on its Web site, www.eeoc.gov., and Independent National Bank, Ocala, Consumer and Institutional/Industrial provides a recorded announcement a Florida (I/I) products, (2) Purchasers and week in advance on future Commission Distributors, (3) Retailers, (4) Supporters sessions.) The Federal Deposit Insurance (e.g., non-governmental organizations, Please telephone (202) 663–7100 Corporation (FDIC), as Receiver for including environmental and health (voice) and (202) 663–4074 (TTY) at any 10281 Independent National Bank, advocates, trade associations, academia, time for information on these meetings. Ocala, Florida (Receiver) has been sports teams, and others), and (5) The EEOC provides sign language authorized to take all actions necessary Innovators (e.g., chemical interpretation and Communication to terminate the receivership estate of manufacturers, technology developers, Access Realtime Translation (CART) Independent National Bank and others). services at Commission meetings for the The award application and hearing impaired. Requests for other (Receivership Estate); the Receiver has instructions are available at https:// reasonable accommodations may be made all dividend distributions www.epa.gov/saferchoice/safer-choice- made by using the voice and TTY required by law. partner-year-awards. Interested numbers listed above. The Receiver has further irrevocably applicants may also register for CONTACT PERSON FOR MORE INFORMATION: authorized and appointed FDIC- webinars on the award application Bernadette B. Wilson, Acting Executive Corporate as its attorney-in-fact to process by visiting the Web site. All Officer on (202) 663–4077. execute and file any and all documents applications and accompanying Dated: October 6, 2016. that may be required to be executed by the Receiver which FDIC-Corporate, in materials must be received by Friday, This Notice Issued October 6, 2016. its sole discretion, deems necessary; December 16, 2016. Award winners will Bernadette B. Wilson, be recognized at a ceremony in late including but not limited to releases, Acting Executive Officer, Executive spring 2017. discharges, satisfactions, endorsements, Secretariat. assignments and deeds. Authority: 15 U.S.C. 2601 et seq. [FR Doc. 2016–24661 Filed 10–6–16; 4:15 pm] Effective October 1, 2016, the Dated: October 3, 2016. BILLING CODE P Receivership Estate has been Wendy C. Hamnett, terminated, the Receiver discharged, Director, Office of Pollution Prevention and and the Receivership Estate has ceased Toxics. FEDERAL DEPOSIT INSURANCE to exist as a legal entity. [FR Doc. 2016–24494 Filed 10–7–16; 8:45 am] CORPORATION Federal Deposit Insurance Corporation. BILLING CODE 6560–50–P Notice of Termination; 10498 Robert E. Feldman, AztecAmerica Bank; Berwyn, Illinois Executive Secretary. EQUAL EMPLOYMENT OPPORTUNITY [FR Doc. 2016–24434 Filed 10–7–16; 8:45 am] The Federal Deposit Insurance BILLING CODE 6714–01–P COMMISSION Corporation (FDIC), as Receiver for 10498 AztecAmerica Bank, Berwyn, Sunshine Act Notice Illinois (Receiver) has been authorized FEDERAL DEPOSIT INSURANCE AGENCY HOLDING THE MEETING: Equal to take all actions necessary to terminate CORPORATION Employment Opportunity Commission. the receivership estate of AztecAmerica Bank (Receivership Estate); the Receiver Notice of Termination; 10159 Valley DATE AND TIME: Thursday, October 13, has made all dividend distributions Capital Bank, N.A., Mesa, Arizona 2016, 1:00 p.m. Eastern Time. required by law. PLACE: Jacqueline A. Berrien Training The Receiver has further irrevocably The Federal Deposit Insurance Center on the First Floor of the EEOC authorized and appointed FDIC- Corporation (FDIC), as Receiver for Office Building, 131 M Street NE., Corporate as its attorney-in-fact to 10159 Valley Capital Bank, N.A., Mesa, Washington, DC 20507. execute and file any and all documents Arizona (Receiver) has been authorized STATUS: The meeting will be open to the that may be required to be executed by to take all actions necessary to terminate public. the Receiver which FDIC-Corporate, in the receivership estate of Valley Capital MATTERS TO BE CONSIDERED: its sole discretion, deems necessary; Bank, N.A. (Receivership Estate); the

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Receiver has made all dividend 10490 Bank of Jackson County, must be received at the Reserve Bank distributions required by law. Graceville, Florida (Receiver) has been indicated or the offices of the Board of The Receiver has further irrevocably authorized to take all actions necessary Governors not later than November 1, authorized and appointed FDIC- to terminate the receivership estate of 2016. Corporate as its attorney-in-fact to Bank of Jackson County (Receivership A. Federal Reserve Bank of St. Louis execute and file any and all documents Estate); the Receiver has made all (David L. Hubbard, Senior Manager) that may be required to be executed by dividend distributions required by law. P.O. Box 442, St. Louis, Missouri the Receiver which FDIC-Corporate, in The Receiver has further irrevocably 63166–2034. Comments can also be sent its sole discretion, deems necessary; authorized and appointed FDIC- electronically to including but not limited to releases, Corporate as its attorney-in-fact to [email protected]: discharges, satisfactions, endorsements, execute and file any and all documents 1. Farmers and Merchants Bancorp, assignments and deeds. that may be required to be executed by Inc., Hannibal, Missouri, to become a Effective October 1, 2016, the the Receiver which FDIC-Corporate, in bank holding company by acquiring Receivership Estate has been its sole discretion, deems necessary; F&M Bank and Trust Company, terminated, the Receiver discharged, including but not limited to releases, Hannibal, Missouri. and the Receivership Estate has ceased discharges, satisfactions, endorsements, to exist as a legal entity. B. Federal Reserve Bank of Kansas assignments and deeds. City (Dennis Denney, Assistant Vice Federal Deposit Insurance Corporation. Effective October 1, 2016, the President) 1 Memorial Drive, Kansas Robert E. Feldman, Receivership Estate has been City, Missouri 64198–0001: terminated, the Receiver discharged, Executive Secretary. 1. Sunflower Reincorporation Sub, and the Receivership Estate has ceased [FR Doc. 2016–24433 Filed 10–7–16; 8:45 am] Inc., Salina, Kansas; to become a bank to exist as a legal entity. BILLING CODE 6714–01–P holding company by acquiring 100 Federal Deposit Insurance Corporation. percent of the voting shares of Robert E. Feldman, Sunflower Financial, Inc., and thereby FEDERAL DEPOSIT INSURANCE Executive Secretary. acquire Sunflower Bank, NA, both in CORPORATION [FR Doc. 2016–24435 Filed 10–7–16; 8:45 am] Salina, Kansas. Notice of Termination; 10492 DuPage BILLING CODE 6714–01–P Board of Governors of the Federal Reserve National Bank; West Chicago, Illinois System, October 4, 2016. Michele Taylor Fennell, The Federal Deposit Insurance FEDERAL RESERVE SYSTEM Assistant Secretary of the Board. Corporation (FDIC), as Receiver for [FR Doc. 2016–24376 Filed 10–7–16; 8:45 am] 10492 DuPage National Bank, West Formations of, Acquisitions by, and BILLING CODE 6210–01–P Chicago, Illinois (Receiver) has been Mergers of Bank Holding Companies authorized to take all actions necessary to terminate the receivership estate of The companies listed in this notice have applied to the Board for approval, DuPage National Bank (Receivership OFFICE OF GOVERNMENT ETHICS Estate); the Receiver has made all pursuant to the Bank Holding Company Act of 1956 (12 U.S.C. 1841 et seq.) dividend distributions required by law. Agency Information Collection (BHC Act), Regulation Y (12 CFR part The Receiver has further irrevocably Activities; Submission for OMB 225), and all other applicable statutes authorized and appointed FDIC- Review; Proposed Collection; and regulations to become a bank Corporate as its attorney-in-fact to Comment Request for a Modified OGE holding company and/or to acquire the execute and file any and all documents Form 201 Ethics in Government Act assets or the ownership of, control of, or that may be required to be executed by Access Form the Receiver which FDIC-Corporate, in the power to vote shares of a bank or its sole discretion, deems necessary; bank holding company and all of the AGENCY: Office of Government Ethics including but not limited to releases, banks and nonbanking companies (OGE). discharges, satisfactions, endorsements, owned by the bank holding company, including the companies listed below. ACTION: Notice of request for agency and assignments and deeds. public comments. Effective October 01, 2016, the The applications listed below, as well as other related filings required by the Receivership Estate has been SUMMARY: After this first round notice Board, are available for immediate terminated, the Receiver discharged, and public comment period, the U.S. inspection at the Federal Reserve Bank and the Receivership Estate has ceased Office of Government Ethics (OGE) indicated. The applications will also be to exist as a legal entity. plans to submit a proposed modified available for inspection at the offices of OGE Form 201 Ethics in Government Federal Deposit Insurance Corporation. the Board of Governors. Interested Act access form to the Office of Robert E. Feldman, persons may express their views in Management and Budget (OMB) for Executive Secretary. writing on the standards enumerated in review and approval of a three-year [FR Doc. 2016–24436 Filed 10–7–16; 8:45 am] the BHC Act (12 U.S.C. 1842(c)). If the extension under the Paperwork BILLING CODE 6714–01–P proposal also involves the acquisition of Reduction Act of 1995. The OGE Form a nonbanking company, the review also 201 is used by persons requesting access includes whether the acquisition of the to executive branch public financial FEDERAL DEPOSIT INSURANCE nonbanking company complies with the disclosure reports and other covered CORPORATION standards in section 4 of the BHC Act records. Notice of Termination; 10490 Bank of (12 U.S.C. 1843). Unless otherwise DATES: Jackson County; Graceville, Florida noted, nonbanking activities will be Written comments by the public conducted throughout the United States. and agencies on this proposed extension The Federal Deposit Insurance Unless otherwise noted, comments are invited and must be received by Corporation (FDIC), as Receiver for regarding each of these applications December 12, 2016.

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ADDRESSES: Comments may be Abstract: The OGE Form 201 collects provide, the requested public financial submitted to OGE, by any of the information from, and provides certain disclosure reports will be either emailed following methods: information to, persons who seek access or mailed to the requester. This change Email: [email protected]. (Include to OGE Form 278 Public Financial will not affect the estimated time of reference to ‘‘OGE Form 201 Paperwork Disclosure Reports, including OGE response to complete the form. Comment’’ in the subject line of the Form 278–T Periodic Transaction OGE also intends to update the message.) Reports, and other covered records. The maximum civil monetary penalty for FAX: 202–482–9237, Attn: Brandon form reflects the requirements of the improperly obtaining or using a public Steele. Ethics in Government Act, subsequent financial disclosure report on both the Mail, Hand Delivery/Courier: Office of amendments pursuant to the STOCK automated and nonautomated versions Government Ethics, 1201 New York Act, and OGE’s implementing of the form, in accordance with 5 CFR Avenue NW., Suite 500, Attention: regulations that must be met by a person 2634.703. Brandon Steele, Assistant Counsel, before access can be granted. These Request for Comments: OGE is Washington, DC 20005–3917. requirements include the address of the publishing this first round notice of its Instructions: Comments may be requester, as well as any other person on intent to request paperwork clearance posted on OGE’s Web site, www.oge.gov. whose behalf a record is sought, and for a proposed modified OGE Form 201 Sensitive personal information, such as acknowledgement that the requester is Ethics Act Access Form. Agency and account numbers or Social Security aware of the prohibited uses of public comment is invited specifically numbers, should not be included. executive branch public disclosure on the need for and practical utility of Comments generally will not be edited financial reports. See 5 U.S.C. appendix this information collection, the accuracy to remove any identifying or contact 105(b) and (c) and 402 (b)(1) and 5 CFR of OGE’s burden estimate, the information. 2634.603(c) and (f). Executive branch enhancement of quality, utility and FOR FURTHER INFORMATION CONTACT: departments and agencies are clarity of the information collected, and Brandon Steele at the U.S. Office of encouraged to utilize the OGE Form 201 the minimization of burden (including Government Ethics; telephone: 202– for individuals seeking access to public the use of information technology). 482–9209; TTY: 800–877–8339; FAX: financial disclosure reports and other Comments received in response to this 202–482–9237; Email: [email protected]. covered documents. OGE permits notice will be summarized for, and may An electronic copy of the OGE Form 201 departments and agencies to use or be included with, the OGE request for version used to manually submit access develop their own forms as long as the extension of OMB paperwork approval. requests to OGE or other executive forms collect and provide all of the The comments will also become a branch agencies by mail or FAX is required information. matter of public record. available in the Forms Library section of OGE is proposing modifications to the Approved: September 30, 2016. OGE’s Web site at http://www.oge.gov. A automated version of the OGE Form Walter M. Shaub, Jr., paper copy may also be obtained, 201, available only through the OGE Director, U.S. Office of Government Ethics. without charge, by contacting Mr. Web site at www.oge.gov. Initially [FR Doc. 2016–24501 Filed 10–7–16; 8:45 am] Steele. An automated version of the launched in March 2012, the automated BILLING CODE 6345–03–P OGE Form 201, also available on OGE’s version of the access form originally Web site, enables the requester to enabled a requestor to obtain electronically fill out, submit and immediately upon Web site submission OFFICE OF GOVERNMENT ETHICS receive access to financial reports and of the completed form, those financial Agency Information Collection certain related records for individuals disclosure reports of individuals who Activities; Proposed Collection; who have been nominated by the have been nominated by the President Comment Request for a Modified OGE President to executive branch positions to executive branch positions requiring Form 450 Executive Branch requiring Senate confirmation, and Senate confirmation. OGE recently Confidential Financial Disclosure individuals who have declared their modified the technological process used Report candidacy for the Office of the President to provide the information and no of the United States. longer allows requesters to immediately AGENCY: Office of Government Ethics SUPPLEMENTARY INFORMATION: download reports upon submission of (OGE). Title: Request to Inspect or Receive the automated OGE Form 201. Instead, ACTION: Notice of request for agency and Copies of Executive Branch Personnel the forms are first reviewed by an OGE public comments. Public Financial Disclosure Reports or employee for completeness before the Other Covered Records. information is sent to the requester SUMMARY: After this first round notice Agency Form Number: OGE Form either by email or mail, according to the and public comment period, the Office 201. requester’s preference. Adding this step of Government Ethics (OGE) plans to OMB Control Number: 3209–0002. submit a modified OGE Form 450 Type of Information Collection: helps ensure that the requirements of section 105(b) of the Ethics in Executive Branch Confidential Financial Extension with modifications of a Disclosure Report to the Office of currently approved collection. Government Act are met before public financial disclosure reports are released. Management and Budget (OMB) for Type of Review Request: Regular. review and approval of a three-year Respondents: Individuals requesting Because of this change in procedure, a extension under the Paperwork access to executive branch public requester using the automated OGE Reduction Act of 1995. financial disclosure reports and other Form 201 now has the option of either covered records. providing a mailing address including DATES: Written comments by the public Estimated Annual Number of street, city, state, and country and agencies on this proposed extension Respondents: 1003. information (as was previously are invited and must be received by Estimated Time per Response: 10 required) or providing an email address December 12, 2016. minutes. plus city, state, and country ADDRESSES: Comments may be Estimated Total Annual Burden: 170 information. Depending on which submitted to OGE, by any of the hours. information the requester chooses to following methods:

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Email: [email protected]. (Include proposes to clarify the instructions in 3. Health System and Value Research reference to ‘‘OGE Form 450 paperwork two places to assist filers in completing (HSVR) comment’’ in the subject line of the the form. OGE also proposes to revise Date: October 19–20, 2016 (Open from message.) the Privacy Act Statement in accordance 8:30 a.m. to 9:00 a.m. on October 19th FAX: 202–482–9237, Attn: Brandon with the OGE/GOVT–2 Executive and closed for remainder of the meeting) Steele. Branch Confidential Financial Mail, Hand Delivery/Courier: Office of Disclosure Reports Privacy Act system 4. Healthcare Effectiveness and Government Ethics, 1201 New York of records. Outcomes Research (HEOR) Avenue NW., Suite 500, Attention: Request for Comments: OGE is Date: October 26–27, 2016 (Open from Brandon Steele, Assistant Counsel, publishing this first round notice of its 8:30 a.m. to 9:00 a.m. on October 26th Washington, DC 20005–3917. intent to request paperwork clearance and closed for remainder of the meeting) Instructions: Comments may be for a proposed modified OGE Form 450. 5. Healthcare Information Technology posted on OGE’s Web site, www.oge.gov. Public comment is invited specifically Research (HITR) Sensitive personal information, such as on the need for and practical utility of account numbers or Social Security this information collection, the accuracy Date: October 27–28, 2016 (Open from numbers, should not be included. of OGE’s burden estimate, the 8:30 a.m. to 9:00 a.m. on October 27th Comments generally will not be edited enhancement of quality, utility and and closed for remainder of the meeting) clarity of the information collected, and to remove any identifying or contact ADDRESSES: (Below specifics where each information. the minimization of burden (including meeting will be held) FOR FURTHER INFORMATION CONTACT: the use of information technology). Brandon Steele at the U.S. Office of Comments received in response to this HSQR, HCRT, HEOR and HITR notice will be summarized for, and may Government Ethics; telephone: 202– Gaithersburg Marriott Washingtonian 482–9209; TTY: 800–877–8339; FAX: be included with, the OGE request for extension of OMB paperwork approval. Center, 9751 Washingtonian Blvd., 202–482–9237; Email: [email protected]. Gaithersburg, MD 20878. An electronic copy of the OGE Form 450 The comments will also become a is available in the Forms Library section matter of public record. HSVR of OGE’s Web site at http:// Approved: September 30, 2016. www.oge.gov. A paper copy may also be Walter M. Shaub, Jr., The Even Hotel, 1775 Rockville Pike, obtained, without charge, by contacting Director, Office of Government Ethics. Rockville, MD 20857. Mr. Steele. [FR Doc. 2016–24502 Filed 10–7–16; 8:45 am] FOR FURTHER INFORMATION CONTACT: (To SUPPLEMENTARY INFORMATION: BILLING CODE 6345–03–P obtain a roster of members, agenda or Title: Executive Branch Confidential minutes of the non-confidential portions Financial Disclosure Report. of the meetings.) Agency Form Number: OGE Form DEPARTMENT OF HEALTH AND Mrs. Bonnie Campbell, Committee 450. HUMAN SERVICES Management Officer, Office of OMB Control Number: 3209–0006. Type of Information Collection: Agency for Healthcare Research and Extramural Research Education and Extension with modifications of a Quality Priority Populations, Agency for currently approved collection. Healthcare Research and Quality Type of Review Request: Regular. Notice of Meetings (AHRQ), 5600 Fishers Lane, Rockville, Respondents: Private citizens who are Maryland 20857, Telephone (301) 427– AGENCY: Agency for Healthcare Research 1554. potential (incoming) regular Federal and Quality (AHRQ), HHS. employees whose positions are ACTION: Notice of five AHRQ SUPPLEMENTARY INFORMATION: designated for confidential disclosure subcommittee meetings. filing, and special Government In accordance with section 10(a)(2) of the Federal Advisory Committee Act (5 employees whose agencies require that SUMMARY: The subcommittees listed U.S.C. App. 2), AHRQ announces they file new entrant disclosure reports below are part of AHRQ’s Health meetings of the scientific peer review prior to assuming Government Services Research Initial Review Group groups listed above, which are responsibilities. Committee. Grant applications are to be Estimated Annual Number of reviewed and discussed at these subcommittees of AHRQ’s Health Respondents: 24,640. meetings. Each subcommittee meeting Services Research Initial Review Group Estimated Time per Response: 1 hour. will commence in open session before Committees. Each subcommittee Estimated Total Annual Burden: closing to the public for the duration of meeting will commence in open session 24,640 hours. the meeting. These meetings will be before closing to the public for the Abstract: The OGE Form 450 collects closed to the public in accordance with duration of the meeting. The information from covered department 5 U.S.C. App. 2 section 10(d), 5 U.S.C. subcommittee meetings will be closed to and agency employees as required 552b(c)(4), and 5 U.S.C. 552b(c)(6). the public in accordance with the provisions set forth in 5 U.S.C. App. 2 under OGE’s executive branchwide DATES: See below for dates of meetings: regulatory provisions in subpart I of 5 1. Healthcare Safety and Quality section 10(d), 5 U.S.C. 552b(c)(4), and 5 CFR part 2634. The basis for the OGE Improvement Research (HSQR) U.S.C. 552b(c)(6) The grant applications reporting regulation is section 201(d) of Date: October 12–13, 2016 (Open from and the discussions could disclose Executive Order 12674 of April 12, 1989 8:00 a.m. to 8:30 a.m. on October 12th confidential trade secrets or commercial (as modified by Executive Order 12731 and closed for remainder of the meeting) property such as patentable material, of October 17, 1990, 3 CFR, 1990 Comp., 2. Health Care Research and Training and personal information concerning pp. 306–311, at p. 308) and section (HCRT) individuals associated with the grant 107(a) of the Ethics in Government Act, Date: October 13–14, 2016 (Open from applications, the disclosure of which 5 U.S.C. app., sec. 107(a). OGE proposes 8:00 a.m. to 8:30 a.m. on October 13th would constitute a clearly unwarranted several modifications to the form. OGE and closed for remainder of the meeting) invasion of personal privacy.

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Agenda items for these meetings are and receiving Federal benefits. Section payments of the premium tax credit and subject to change as priorities dictate. 7201 of the Omnibus Budget cost-sharing reductions and authorize Reconciliation Act of 1990 (Pub. L. 101– use of secure, electronic interfaces and Sharon B. Arnold, 508) further amended the Privacy Act an on-line system for the verification of Deputy Director. regarding protections for such eligibility. [FR Doc. 2016–24386 Filed 10–7–16; 8:45 am] individuals. The Privacy Act, as The Computer Matching and Privacy BILLING CODE 4160–90–P amended, regulates the use of computer Protection Act of 1988 (CMPPA) (Public matching by Federal agencies when Law 100–503), amended the Privacy Act records in a system of records are DEPARTMENT OF HEALTH AND (5 U.S.C. 552a) and requires the parties matched with other Federal, state, or HUMAN SERVICES participating in a matching program to local government records. It requires execute a written agreement specifying Centers for Medicare & Medicaid Federal agencies involved in a CMP to: the terms and conditions under which Services 1. Negotiate written agreements with the matching will be conducted. CMS the other agencies participating in the has determined that status verification [CMS Computer Match No. 2016–15; HHS Computer Match No. 1609] matching programs; checks to be conducted through the 2. Obtain the Data Integrity Board CMS Data Services Hub (Hub) by Privacy Act of 1974 approval of the match agreements; agencies administering insurance 3. Furnish detailed reports about affordability programs using data AGENCY: Department of Health and matching programs to Congress and provided in bulk by PC through a Human Services (HHS), Centers for OMB; security transfer data protocol to CMS Medicare & Medicaid Services (CMS). 4. Notify applicants and beneficiaries constitute a ‘‘computer matching ACTION: Notice of Computer Matching that the records are subject to matching; program’’ as defined in the CMPPA. Program. and, 5. Verify match findings before PURPOSE(S) OF THE MATCHING PROGRAM SUMMARY: In accordance with the reducing, suspending, terminating, or requirements of the Privacy Act of 1974, The purpose of the Computer denying an individual’s benefits or as amended, this notice announces the Matching Agreement is to establish the payments. establishment of a Computer Matching terms, conditions, safeguards, and Program that CMS plans to conduct This matching program meets the procedures under which the Peace with the Peace Corps (PC). requirements of the Privacy Act of 1974, Corps will provide records, information, as amended. DATES: Effective Dates: Comments are or data to CMS for verifying eligibility invited on all portions of this notice. Walter Stone, for Minimum Essential Coverage through a Peace Corps Health Benefits Public comments are due within 30 CMS Privacy Act Officer, Centers for Medicare days after publication. The matching & Medicaid Services. Plan. The data will be used by CMS in program will become effective no sooner its capacity as a Federally-facilitated than 40 days after the report of the CMS Computer Match No. 2016–15 Exchange, and agencies administering insurance affordability programs that matching program is sent to the Office HHS Computer Match No.1609 of Management and Budget (OMB) and will receive the results of verifications Congress, or 30 days after publication in NAME using PC data obtained through the CMS the Federal Register, whichever is later. Computer Matching Agreement Data Services Hub. ADDRESSES: The public should send between the Department of Health and Data will be matched for the purpose comments to: CMS Privacy Act Officer, Human Services, Centers for Medicare & of verifying an Applicant or Enrollee’s Division of Security, Privacy Policy & Medicaid Services and the Peace Corps eligibility for PC Health Benefit Plans Governance, Information Security & for the ‘‘Verification of Eligibility for that constitute minimum essential Privacy Group, Office of Enterprise Minimum Essential Coverage Under the coverage as defined in § 5000A(f) of the Information, CMS, Room N l–24–08, Patient Protection and Affordable Care Internal Revenue Code of 1986, 26 7500 Security Boulevard, Baltimore, Act Through a Peace Corps Health U.S.C. 5000A, as amended by § 1501 of Maryland 21244–1850. Comments Benefits Plan.’’ the ACA. received will be available for review at SECURITY CLASSIFICATION this location, by appointment, during DESCRIPTION OF RECORDS TO BE USED IN THE MATCHING PROGRAM regular business hours, Monday through Unclassified. Friday from 9:00 a.m.–3:00 p.m., Eastern PARTICIPATING AGENCIES The Peace Corps maintains the Time zone. following SORN to support this data Department of Health and Human FOR FURTHER INFORMATION CONTACT: matching program: ‘‘Peace Corps Services (HHS), Centers for Medicare & Manual Section 897, Attachment B, PC– Lindsey Murtagh, Center for Consumer Medicaid Services (CMS), and the Peace 17 Volunteer Applicant and Service Information and Insurance Oversight, Corps (PC). Centers for Medicare & Medicaid Records System.’’ Routine Use (i) is Services, Phone: (301) 492–4106, E- AUTHORITY FOR CONDUCTING MATCHING used ‘‘to verify active or former Mail: [email protected]. PROGRAM Volunteer service’’—supports disclosure SUPPLEMENTARY INFORMATION: The Sections 1411 and 1413 of the Patient to CMS. Computer Matching and Privacy Protection and Affordable Care Act of CMS maintains the following SORN Protection Act of 1988 (Public Law 2010 (Public Law 111–148), as amended to support this data to support this data (Pub. L.) 100–503), amended the Privacy by the Health Care and Education matching program: ‘‘Health Insurance Act (5 U.S.C. 552a) by describing the Reconciliation Act of 2010 (Public Law Exchanges Program (HIX)’’, CMS System manner in which computer matching 111–152) (collectively, the ACA) require No. 09–70–0560, originally published at involving Federal agencies could be the Secretary of HHS to establish a 78 FR 8538 (Feb. 6, 2013), and last performed and adding certain program for applying for and amended at 78 Federal Register, 63211 protections for individuals applying for determining eligibility for advance (October 23, 2013).

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INCLUSIVE DATES OF THE MATCH Services, Phone: (301) 492–4106, E- Authority for Conducting Matching The CMP will become effective no Mail: [email protected]. Program sooner than 40 days after the report of SUPPLEMENTARY INFORMATION: The Sections 1411 and 1413 of the Patient the matching program is sent to OMB, Computer Matching and Privacy Protection and Affordable Care Act of 30 days after a copy of the matching Protection Act of 1988 (Public Law 2010 (Public Law 111–148), as amended agreement is transmitted to Congress, or (Pub. L) 100–503), amended the Privacy by the Health Care and Education 30 days after publication in the Federal Act (5 U.S.C. 552a) by describing the Reconciliation Act of 2010 (Public Law Register, whichever is later. The manner in which computer matching 111–152) (collectively, the ACA) require matching program will continue for 18 involving Federal agencies could be the Secretary of HHS to establish a months from the effective date and may performed and adding certain program for applying for and be extended for an additional 12 months protections for individuals applying for determining eligibility for advance thereafter, if certain conditions are met. and receiving Federal benefits. Section payments of the premium tax credit and [FR Doc. 2016–24388 Filed 10–7–16; 8:45 am] 7201 of the Omnibus Budget cost-sharing reductions and authorize Reconciliation Act of 1990 (Pub. L. 101– BILLING CODE 4120–03–P use of secure, electronic interfaces and 508) further amended the Privacy Act an on-line system for the verification of regarding protections for such eligibility. DEPARTMENT OF HEALTH AND individuals. The Privacy Act, as The Computer Matching and Privacy HUMAN SERVICES amended, regulates the use of computer Protection Act of 1988 (CMPPA) (Public matching by Federal agencies when Lawl00–503), amended the Privacy Act records in a system of records are Centers for Medicare & Medicaid (5 U.S.C. 552a) and requires the parties matched with other Federal, state, or Services participating in a matching program to local government records. It requires execute a written agreement specifying Privacy Act of 1974, CMS Computer Federal agencies involved in computer the terms and conditions under which Match No. 2016–14, HHS Computer matching programs (CMP) to: the matching will be conducted. CMS Match No. 1608 1. Negotiate written agreements with has determined that status verification the other agencies participating in the AGENCY: Centers for Medicare & checks to be conducted through the matching programs; CMS Data Services Hub (Hub) by Medicaid Services (CMS), Department 2. Obtain the Data Integrity Board agencies administering applicable State of Health and Human Services (HHS). approval of the match agreements; health subsidy programs using the ACTION: Notice of Computer Matching 3. Furnish detailed reports about Program (CMP). matching programs to Congress and Enterprise Human Resources Integration OMB; Data Warehouse (EHRIDW) Status File SUMMARY: In accordance with the 4. Notify applicants and beneficiaries provided to CMS by OPM constitute a requirements of the Privacy Act of 1974, that the records are subject to matching; ‘‘computer matching program’’ as as amended, this notice announces the and, defined in the CMPPA. establishment of a CMP that CMS plans 5. Verify match findings before Purpose(s) of the Matching Program to conduct with the Office of Personnel reducing, suspending, terminating, or Management (OPM). denying an individual’s benefits or The purpose of the Computer Matching Agreement is to establish the DATES: Effective Dates: Comments are payments. This matching program meets the terms, conditions, safeguards, and invited on all portions of this notice. procedures under which OPM will Public comments are due within 30 requirements of the Privacy Act of 1974, as amended. provide records, information, or data to days after publication. The matching CMS for verifying eligibility for program will become effective no sooner Walter Stone, Minimum Essential Coverage through than 40 days after the report of the CMS Privacy Act Officer, Centers for Medicare an OPM Federal Employees Health matching program is sent to the Office & Medicaid Services. Benefits Plan. The data will be used by of Management and Budget (OMB), 30 CMS Computer Match No. 2016–14 CMS in its capacity as a Federally- days after a copy of the matching facilitated Exchange, and agencies HHS Computer Match No.1608 agreement is transmitted to Congress, or administering applicable State health 30 days after the report of the matching Name subsidy programs that will receive the program is published in the Federal results of verifications using OPM data Register, whichever is later. ‘‘Computer Matching Agreement between the Department of Health and obtained through the CMS Data Services For Information Contact: The public Hub. should send comments to: CMS Privacy Human Services, Centers for Medicare & Medicaid Services and the Office of Data will be matched for the purpose Act Officer, Division of Security, of verifying an Applicant or Enrollee’s Privacy Policy & Governance, Personnel Management For The Verification of Eligibility For Minimum eligibility for OPM Federal Employees Information Security & Privacy Group, Health Benefit Plans that constitute Office of Enterprise Information, CMS, Essential Coverage Under the Patient Protection and Affordable Care Act minimum essential coverage as defined Room Nl–24–08, 7500 Security in 5000A(f) of the Internal Revenue Boulevard, Baltimore, Maryland 21244– Through an Office of Personnel Management Health Benefits Plan.’’ Code of 1986, 26 U.S.C. 5000A, as 1850. Comments received will be amended by 1501 of the ACA. available for review at this location, by Security Classification appointment, during regular business Description of Records To Be Used in Unclassified. hours, Monday through Friday from the Matching Program 9:00 a.m.–3:00 p.m., Eastern Time zone. Participating Agencies The CMP will be conducted with data FOR FURTHER INFORMATION CONTACT: Department of Health and Human maintained by CMS in the Health Lindsey Murtagh, Center for Consumer Services (HHS), Centers for Medicare & Insurance Exchanges (HIX) Program, Information and Insurance Oversight, Medicaid Services (CMS), and the Office CMS System No. 09–70–0560, as Centers for Medicare & Medicaid of Personnel Management (OPM). amended. The system is described in

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System of Records Notice (SORN) any of the following subjects: (1) The CMS–10088 Notification of FIs and published at 78 Federal Register (FR) necessity and utility of the proposed CMS of co-located Medicare providers 63211 (Oct. 23, 2013). information collection for the proper Under the PRA (44 U.S.C. 3501– The OPM System of Records for this performance of the agency’s functions; 3520), federal agencies must obtain matching program is titled ‘‘General (2) the accuracy of the estimated approval from the Office of Management Personnel Records’’ (OPM/GOVT–1), burden; (3) ways to enhance the quality, and Budget (OMB) for each collection of published at 77 Federal Register, 73694 utility, and clarity of the information to information they conduct or sponsor. (December 11, 2012). OPM will submit be collected; and (4) the use of The term ‘‘collection of information’’ is to CMS a monthly Status File that is a automated collection techniques or defined in 44 U.S.C. 3502(3) and 5 CFR full refresh of all Federal employee other forms of information technology to 1320.3(c) and includes agency requests health care insurance information. OPM minimize the information collection or requirements that members of the also will submit to CMS, on an annual burden. public submit reports, keep records, or basis, a Premium Spread Index File that DATES: Comments must be received by provide information to a third party. provides information identifying the December 12, 2016. Section 3506(c)(2)(A) of the PRA lowest self-only premium for an OPM requires federal agencies to publish a FEHB plan available to a Federal ADDRESSES: When commenting, please reference the document identifier or 60-day notice in the Federal Register employee in each State as well as concerning each proposed collection of national OPM FEHB plans. OMB control number. To be assured consideration, comments and information, including each proposed Inclusive Dates of the Match recommendations must be submitted in extension or reinstatement of an existing collection of information, before The CMP will become effective no any one of the following ways: submitting the collection to OMB for sooner than 40 days after the report of 1. Electronically. You may send your approval. To comply with this the matching program is sent to 0MB, 30 comments electronically to http:// requirement, CMS is publishing this days after a copy of the matching www.regulations.gov. Follow the notice. agreement is transmitted to Congress, or instructions for ‘‘Comment or 30 days after publication in the Federal Submission’’ or ‘‘More Search Options’’ Information Collection Register, whichever is later. The to find the information collection document(s) that are accepting 1. Type of Information Collection matching program will continue for 18 Request: Extension of a currently months from the effective date and may comments. 2. By regular mail. You may mail approved collection; Title of be extended for an additional 12 months Information Collection: Medicare thereafter, if certain conditions are met. written comments to the following address: CMS, Office of Strategic Geographic Classification Review Board [FR Doc. 2016–24387 Filed 10–7–16; 8:45 am] Operations and Regulatory Affairs, Procedures and Criteria; Use: During the BILLING CODE 4120–03–P Division of Regulations Development, first few years of IPPS, hospitals were Attention: Document Identifier/OMB paid strictly based on their physical Control Number llRoom C4–26–05, geographic location concerning the DEPARTMENT OF HEALTH AND wage index (Metropolitan Statistical HUMAN SERVICES 7500 Security Boulevard, Baltimore, Maryland 21244–1850. Areas (MSAs)) and the standardized amount (rural, other urban, or large Centers for Medicare & Medicaid To obtain copies of a supporting urban). However, a growing number of Services statement and any related forms for the proposed collection(s) summarized in hospitals became concerned that their [Document Identifier: CMS–R–138 and this notice, you may make your request payment rates were not providing 10088] using one of following: accurate compensation. The hospitals argued that they were not competing Agency Information Collection 1. Access CMS’ Web site address at http://www.cms.hhs.gov/ with the hospitals in their own Activities: Proposed Collection; geographic area, but instead that they Comment Request PaperworkReductionActof1995. 2. Email your request, including your were competing with hospitals in AGENCY: Centers for Medicare & address, phone number, OMB number, neighboring geographic areas. At that Medicaid Services, Department of and CMS document identifier, to point, Congress enacted Section Health and Human Services. [email protected]. 1886(d)(10) of the Act which enabled ACTION: Notice. 3. Call the Reports Clearance Office at hospitals to apply to be considered part (410) 786–1326. of neighboring geographic areas for SUMMARY: The Centers for Medicare & payment purposes based on certain FOR FURTHER INFORMATION CONTACT: Medicaid Services (CMS) is announcing criteria. The application and decision Reports Clearance Office at (410) 786– an opportunity for the public to process is administered by the MGCRB 1326. comment on CMS’ intention to collect which is not a part of CMS so that CMS information from the public. Under the SUPPLEMENTARY INFORMATION: could not be accused of any untoward Paperwork Reduction Act of 1995 (the Contents action. However, CMS needs to remain PRA), federal agencies are required to apprised of any potential payment publish notice in the Federal Register This notice sets out a summary of the changes. Hospitals are required to concerning each proposed collection of use and burden associated with the provide CMS with copy of any information (including each proposed following information collections. More applications that they made to the extension or reinstatement of an existing detailed information can be found in MGCRB. CMS also developed the collection of information) and to allow each collection’s supporting statement guidelines for the MGCRB that were the 60 days for public comment on the and associated materials (see interim final issue of the Federal proposed action. Interested persons are ADDRESSES). Register, and must ensure that the invited to send comments regarding our CMS–R–138 Medicare Geographic MGCRB properly applied the burden estimates or any other aspect of Classification Review Board guidelines. This check and balance this collection of information, including Procedures and Criteria process also contributes to limiting the

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number of hospitals that ultimately ‘‘Sunscreen Innovation Act: Section • If you want to submit a comment need to appeal their MGCRB decisions 586C(c) Advisory Committee Process.’’ with confidential information that you to the CMS Administrator. Form This guidance explains the process by do not wish to be made available to the Number: CMS–R–138 (OMB control which FDA intends to carry out the public, submit the comment as a number: 0938–0573); Frequency: section of the Federal Food, Drug, and written/paper submission and in the Occasionally; Affected Public: Cosmetic Act (the FD&C Act), as manner detailed (see ‘‘Written/Paper Businesses or other for-profits and Not- amended by the Sunscreen Innovation Submissions’’ and ‘‘Instructions’’). for-profit institutions; Number of Act (SIA), which governs the convening Written/Paper Submissions Respondents: 300; Total Annual of advisory committees to provide Responses: 300; Total Annual Hours: recommendations on requests submitted Submit written/paper submissions as 300. (For policy questions regarding this follows: under the SIA regarding • collection contact Noel Manlove at 410– nonprescription sunscreen active Mail/Hand delivery/Courier (for 786–5161.) ingredients and the number of requests written/paper submissions): Division of 2. Type of Information Collection to be considered per meeting. The Dockets Management (HFA–305), Food Request: Reinstatement of a previously recommendations in this guidance and Drug Administration, 5630 Fishers approved collection; Title of apply to 586A requests submitted under Lane, Rm. 1061, Rockville, MD 20852. • For written/paper comments Information Collection: Notification of the FD&C Act and to pending requests submitted to the Division of Dockets FIs and CMS of co-located Medicare as defined by the SIA that seek a Management, FDA will post your providers; Use: Many long-term care determination from FDA on whether a comment, as well as any attachments, hospitals (LTCHs) are co-located with nonprescription sunscreen active except for information submitted, other Medicare providers (acute care ingredient, or a combination of marked and identified, as confidential, hospitals, IRFs, SNFs, psychiatric nonprescription sunscreen active if submitted as detailed in facilities), which leads to potential ingredients, is generally recognized as gaming of the Medicare system based on ‘‘Instructions.’’ safe and effective (GRASE) for use under Instructions: All submissions received patient shifting. In regulations at 42 CFR specified conditions and should be 412.22(e)(3) and (h)(6) and 412.532(i), must include the Docket No. FDA– included in the over-the-counter (OTC) 2015–D–3990 for ‘‘Sunscreen CMS is requiring LTCHs to notify sunscreen drug monograph. The SIA Medicare Administrative Contractors Innovation Act: Section 586C(c) describes specific circumstances under Advisory Committee Process.’’ Received (MACs) and CMS of co-located which FDA is not required to convene providers in order to establish policies comments will be placed in the docket or submit requests to the and, except for those submitted as to limit payment abuse that will be Nonprescription Drugs Advisory based on FIs tracking patient movement ‘‘Confidential Submissions,’’ publicly Committee (NDAC). We are issuing this viewable at http://www.regulations.gov among these co-located providers. Form guidance pursuant to the SIA, which Number: CMS–10088 (OMB control or at the Division of Dockets directs FDA to issue guidance on four Management between 9 a.m. and 4 p.m., number: 0938–0897); Frequency: topics, including the topic discussed in Annually; Affected Public: Businesses Monday through Friday. this guidance. This guidance finalizes • Confidential Submissions—To or other for-profits and Not-for-profit the draft guidance on the same topic submit a comment with confidential institutions; Number of Respondents: issued on November 23, 2015. information that you do not wish to be 25; Total Annual Responses: 25; Total DATES: Submit either electronic or made publicly available, submit your Annual Hours: 6. (For policy questions written comments on Agency guidances comments only as a written/paper regarding this collection contact Emily at any time. submission. You should submit two Lipkin at 410–786–3633.) ADDRESSES: You may submit comments copies total. One copy will include the Dated: October 4, 2016. as follows: information you claim to be confidential William N. Parham, III, with a heading or cover note that states Director, Paperwork Reduction Staff, Office Electronic Submissions ‘‘THIS DOCUMENT CONTAINS of Strategic Operations and Regulatory Submit electronic comments in the CONFIDENTIAL INFORMATION.’’ The Affairs. following way: Agency will review this copy, including [FR Doc. 2016–24415 Filed 10–7–16; 8:45 am] • Federal eRulemaking Portal: http:// the claimed confidential information, in BILLING CODE 4120–01–P www.regulations.gov. Follow the its consideration of comments. The instructions for submitting comments. second copy, which will have the Comments submitted electronically, claimed confidential information DEPARTMENT OF HEALTH AND including attachments, to http:// redacted/blacked out, will be available HUMAN SERVICES www.regulations.gov will be posted to for public viewing and posted on http:// the docket unchanged. Because your www.regulations.gov. Submit both Food and Drug Administration comment will be made public, you are copies to the Division of Dockets [Docket No. FDA–2015–D–3990] solely responsible for ensuring that your Management. If you do not wish your comment does not include any name and contact information to be Sunscreen Innovation Act: Section confidential information that you or a made publicly available, you can 586C(c) Advisory Committee Process; third party may not wish to be posted, provide this information on the cover Guidance for Industry; Availability such as medical information, your or sheet and not in the body of your AGENCY: Food and Drug Administration, anyone else’s Social Security number, or comments and you must identify this HHS. confidential business information, such information as ‘‘confidential.’’ Any ACTION: Notice of availability. as a manufacturing process. Please note information marked as ‘‘confidential’’ that if you include your name, contact will not be disclosed except in SUMMARY: The Food and Drug information, or other information that accordance with 21 CFR 10.20 and other Administration (FDA or Agency) is identifies you in the body of your applicable disclosure law. For more announcing the availability of a comments, that information will be information about FDA’s posting of guidance for industry entitled posted on http://www.regulations.gov. comments to public dockets, see 80 FR

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56469, September 18, 2015, or access editorial changes, we have clarified the amended by the Sunscreen Innovation the information at: http://www.fda.gov/ information in section III of the Act (SIA), and withdrawing a pending regulatoryinformation/dockets/ guidance on when to submit a request request, as defined by the SIA. The default.htm. for an NDAC meeting. recommendations in this guidance Docket: For access to the docket to This guidance is being issued apply to 586A requests and pending read background documents or the consistent with FDA’s good guidance requests that seek a determination from electronic and written/paper comments practices regulation (21 CFR 10.115). FDA of whether a nonprescription received, go to http:// The guidance represents the current sunscreen active ingredient, or a www.regulations.gov and insert the thinking of FDA on the process by combination of nonprescription docket number, found in brackets in the which the Agency will carry out section sunscreen active ingredients, is heading of this document, into the 586C(c) of the SIA (21 U.S.C. 360fff–3). generally recognized as safe and ‘‘Search’’ box and follow the prompts It does not establish any rights for any effective (GRASE) for use under and/or go to the Division of Dockets person and is not binding on FDA or the specified conditions and should be Management, 5630 Fishers Lane, Rm. public. You can use an alternative included in the over-the-counter (OTC) 1061, Rockville, MD 20852. approach if it satisfies the requirements sunscreen drug monograph. We are Submit written requests for single of the applicable statutes and issuing this guidance under the SIA, copies of this guidance to the Division regulations. which directs FDA to issue guidance on of Drug Information, Center for Drug various topics, including guidance on II. Electronic Access Evaluation and Research, Food and the process by which a request under Drug Administration, 10001 New Persons with access to the Internet section 586A or a pending request is Hampshire Ave., Hillandale Building, may obtain the guidance at either http:// withdrawn. This guidance finalizes the 4th Floor, Silver Spring, MD 20993– www.fda.gov/Drugs/Guidance draft guidance issued on November 23, 0002. Send one self-addressed adhesive ComplianceRegulatoryInformation/ 2015. label to assist that office in processing Guidances/default.htm or http:// DATES: Submit either electronic or your requests. See the SUPPLEMENTARY www.regulations.gov. written comments on Agency guidances INFORMATION section for electronic III. Paperwork Reduction Act of 1995 at any time. access to the guidance document. ADDRESSES: You may submit comments This guidance contains collections of FOR FURTHER INFORMATION CONTACT: as follows: information that are exempt from the Kristen Hardin, Center for Drug Paperwork Reduction Act of 1995 (44 Electronic Submissions Evaluation and Research, Food and U.S.C. 3501–3520) (PRA). Section Submit electronic comments in the Drug Administration, 10903 New 586D(a)(1)(C) of the FD&C Act (21 U.S.C Hampshire Ave., Bldg. 22, Rm. 5443, following way: 360fff–4(a)(1)(C)) states that the PRA • Federal eRulemaking Portal: http:// Silver Spring, MD 20993, 240–402– shall not apply to collections of 4246. www.regulations.gov. Follow the information made for purposes of instructions for submitting comments. SUPPLEMENTARY INFORMATION: guidance under section 586D(a). Comments submitted electronically, I. Background Dated: October 5, 2016. including attachments, to http:// www.regulations.gov will be posted to FDA is announcing the availability of Leslie Kux, Associate Commissioner for Policy. the docket unchanged. Because your a guidance for industry entitled comment will be made public, you are [FR Doc. 2016–24460 Filed 10–7–16; 8:45 am] ‘‘Sunscreen Innovation Act: Section solely responsible for ensuring that your 586C(c) Advisory Committee Process.’’ BILLING CODE 4164–01–P comment does not include any This guidance provides background confidential information that you or a information on the sunscreen OTC third party may not wish to be posted, monograph process, as well as on the DEPARTMENT OF HEALTH AND HUMAN SERVICES such as medical information, your or Agency’s intended process for anyone else’s Social Security number, or convening the NDAC. It also Food and Drug Administration confidential business information, such recommends procedures for sponsors of as a manufacturing process. Please note 586A requests (submitted under section [Docket No. FDA–2015–D–4012] that if you include your name, contact 586A of the FD&C Act (21 U.S.C. 360fff– information, or other information that 1)) and for sponsors of pending requests Sunscreen Innovation Act: Withdrawal of a 586A Request or Pending identifies you in the body of your (as defined by section 586(6) of the comments, that information will be FD&C Act (21 U.S.C. 360fff (6))) to Request; Guidance for Industry; Availability posted on http://www.regulations.gov. follow in requesting an NDAC meeting. • If you want to submit a comment This guidance also explains how FDA AGENCY: Food and Drug Administration, with confidential information that you intends to process these requests and HHS. do not wish to be made available to the describes the factors the Agency may ACTION: Notice of availability. public, submit the comment as a consider in determining whether and written/paper submission and in the when to refer such requests to the SUMMARY: The Food and Drug manner detailed (see ‘‘Written/Paper NDAC. Administration (FDA or Agency) is Submissions’’ and ‘‘Instructions’’). This guidance finalizes the draft announcing the availability of a guidance that was issued under the guidance for industry entitled Written/Paper Submissions same title on November 23, 2015 (see 80 ‘‘Sunscreen Innovation Act: Withdrawal Submit written/paper submissions as FR 72972), and reflects FDA’s of a 586A Request or Pending Request.’’ follows: consideration of public comments on This guidance provides • Mail/Hand delivery/Courier (for the draft guidance. The draft guidance recommendations for the process for written/paper submissions): Division of and related public comments are withdrawing a 586A request submitted Dockets Management (HFA–305), Food publicly available in Docket No. FDA– under the Federal Food, Drug, and and Drug Administration, 5630 Fishers 2015–D–3990. In addition to minor Cosmetic Act (the FD&C Act), as Lane, Rm. 1061, Rockville, MD 20852.

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• For written/paper comments Submit written requests for single editorial changes, we have clarified the submitted to the Division of Dockets copies of this guidance to the Division use of publicly available data and Management, FDA will post your of Drug Information, Center for Drug information submitted to the docket as comment, as well as any attachments, Evaluation and Research, Food and it pertains to the withdrawal process. except for information submitted, Drug Administration, 10001 New This guidance is being issued marked and identified, as confidential, Hampshire Ave., Hillandale Building, consistent with FDA’s good guidance if submitted as detailed in 4th Floor, Silver Spring, MD 20993– practices regulation (21 CFR 10.115). ‘‘Instructions.’’ 0002. Send one self-addressed adhesive The guidance represents the current Instructions: All submissions received label to assist that office in processing thinking of FDA on the withdrawal of must include the Docket No. FDA– your requests. See the SUPPLEMENTARY 586A requests and pending requests 2015–D–4012 for ‘‘Sunscreen INFORMATION section for electronic under the SIA. It does not establish any Innovation Act; Withdrawal of a 586A access to the guidance document. rights for any person and is not binding Request or Pending Request.’’ Received FOR FURTHER INFORMATION CONTACT: on FDA or the public. You can use an comments will be placed in the docket Kristen Hardin, Center for Drug alternative approach if it satisfies the and, except for those submitted as Evaluation and Research, Food and requirements of the applicable statutes ‘‘Confidential Submissions,’’ publicly Drug Administration, 10903 New and regulations. viewable at http://www.regulations.gov Hampshire Ave., Bldg. 22, Rm. 5443, II. Electronic Access or at the Division of Dockets Silver Spring, MD 20993, 240–402– Management between 9 a.m. and 4 p.m., 4246. Persons with access to the Internet may obtain the guidance at either http:// Monday through Friday. SUPPLEMENTARY INFORMATION: • Confidential Submissions—To www.fda.gov/Drugs/Guidance submit a comment with confidential I. Background ComplianceRegulatoryInformation/ information that you do not wish to be Guidances/default.htm or http:// FDA is announcing the availability of www.regulations.gov. made publicly available, submit your a guidance for industry entitled comments only as a written/paper ‘‘Sunscreen Innovation Act; Withdrawal III. Paperwork Reduction Act of 1995 submission. You should submit two of a 586A Request or Pending Request.’’ This guidance contains collections of copies total. One copy will include the This guidance provides background information that are exempt from the information you claim to be confidential information on the sunscreen OTC Paperwork Reduction Act of 1995 (44 with a heading or cover note that states monograph process and the new U.S.C. 3501–3520) (PRA). Section ‘‘THIS DOCUMENT CONTAINS procedures under the SIA (21 U.S.C. 586D(a)(1)(C) of the FD&C Act (21 U.S.C CONFIDENTIAL INFORMATION.’’ The 360fff), for reviewing 586A requests 360fff–4(a)(1)(C)) states that the PRA Agency will review this copy, including (requests made under section 586A of shall not apply to collections of the claimed confidential information, in the FD&C Act (21 U.S.C. 360fff–1)) and information made for purposes of its consideration of comments. The pending requests for nonprescription guidance under section 586D(a). second copy, which will have the sunscreen active ingredients (the SIA Dated: October 5, 2016. claimed confidential information process). This guidance provides redacted/blacked out, will be available recommendations for the general Leslie Kux, for public viewing and posted on http:// withdrawal process for 586A requests Associate Commissioner for Policy. www.regulations.gov. Submit both and pending requests. At certain stages [FR Doc. 2016–24459 Filed 10–7–16; 8:45 am] copies to the Division of Dockets of the SIA process, a sponsor who BILLING CODE 4164–01–P Management. If you do not wish your submitted the 586A request or pending name and contact information to be request might seek to have it made publicly available, you can withdrawn, or a request may be DEPARTMENT OF HEALTH AND provide this information on the cover withdrawn due to the sponsor’s failure HUMAN SERVICES sheet and not in the body of your to act on the request and failure to Food and Drug Administration comments and you must identify this respond to communications from FDA. information as ‘‘confidential.’’ Any This guidance addresses the expected [Docket No. FDA–2013–D–1446] information marked as ‘‘confidential’’ effect of a withdrawal on key phases of will not be disclosed except in the SIA process, including withdrawals Self-Monitoring Blood Glucose Test accordance with 21 CFR 10.20 and other made prior to or after the initial Systems for Over-the-Counter Use; applicable disclosure law. For more eligibility determination, the Guidance for Industry and Food and information about FDA’s posting of submission of safety and efficacy data, Drug Administration Staff; Availability comments to public dockets, see 80 FR the filing determination, or the GRASE AGENCY: Food and Drug Administration, 56469, September 18, 2015, or access determination. This guidance also HHS. the information at: http://www.fda.gov/ discusses the submission of a new 586A ACTION: Notice of availability. regulatoryinformation/dockets/ request for the same sunscreen default.htm. ingredient for which a 586A or pending SUMMARY: The Food and Drug Docket: For access to the docket to request had been previously submitted Administration (FDA or Agency) is read background documents or the and withdrawn. announcing the availability of the electronic and written/paper comments This guidance finalizes the draft guidance entitled ‘‘Self-Monitoring received, go to http:// guidance that was issued under the Blood Glucose Test Systems for Over- www.regulations.gov and insert the same title on November 23, 2015 (see 80 the-Counter Use.’’ This document docket number, found in brackets in the FR 72970), and reflects FDA’s describes studies and criteria that FDA heading of this document, into the consideration of public comments on recommends be used when submitting ‘‘Search’’ box and follow the prompts the draft guidance. The draft guidance premarket notifications (510(k)s) for and/or go to the Division of Dockets and related public comments are self-monitoring blood glucose test Management, 5630 Fishers Lane, Rm. publicly available in Docket No. FDA– systems (SMBGs) intended for over-the- 1061, Rockville, MD 20852. 2015–D–4012. In addition to minor counter (OTC) home use by lay-users.

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FDA intends for this document to serve be placed in the docket and, except for assist that office in processing your as a guide for manufacturers in those submitted as ‘‘Confidential request. conducting appropriate performance Submissions,’’ publicly viewable at FOR FURTHER INFORMATION CONTACT: studies and preparing 510(k)s for these http://www.regulations.gov or at the Leslie Landree, Center for Devices and device types. Division of Dockets Management Radiological Health, Food and Drug DATES: Submit either electronic or between 9 a.m. and 4 p.m., Monday Administration, 10903 New Hampshire written comments on this guidance at through Friday. Ave., Bldg. 66, Rm. 4623, Silver Spring, • Confidential Submissions—To any time. General comments on Agency MD 20993–0002, 301–796–6147. submit a comment with confidential guidance documents are welcome at any SUPPLEMENTARY INFORMATION: time. information that you do not wish to be made publicly available submit your I. Background ADDRESSES: You may submit comments comments only as a written/paper This document describes studies and as follows: submission. You should submit two criteria that FDA recommends be used copies total. One copy will include the Electronic Submissions when submitting 510(k)s for SMBGs information you claim to be confidential Submit electronic comments in the which are for OTC home use by lay with a heading or cover note that states following way: users. FDA intends for this document to ‘‘THIS DOCUMENT CONTAINS • Federal eRulemaking Portal: http:// serve as a guide for manufacturers in CONFIDENTIAL INFORMATION.’’ The conducting appropriate performance www.regulations.gov. Follow the Agency will review this copy, including studies and preparing 510(k)s for these instructions for submitting comments. the claimed confidential information, in device types. This document is not Comments submitted electronically, its consideration of comments. The including attachments, to http:// second copy, which will have the meant to address blood glucose www.regulations.gov will be posted to claimed confidential information monitoring test systems (BGMSs) which the docket unchanged. Because your redacted/blacked out, will be available are intended for prescription point-of- comment will be made public, you are for public viewing and posted on http:// care use in professional healthcare solely responsible for ensuring that your www.regulations.gov. Submit both settings (e.g., hospitals, physician comment does not include any copies to the Division of Dockets offices, long term care facilities, etc.). confidential information that you or a Management. If you do not wish your Elsewhere in this issue of the Federal third party may not wish to be posted, name and contact information to be Register, FDA is announcing the such as medical information, your or made publicly available, you can availability of the guidance ‘‘Blood anyone else’s Social Security number, or provide this information on the cover Glucose Monitoring Test Systems for confidential business information, such sheet and not in the body of your Prescription Point-of-Care Use’’ to as a manufacturing process. Please note comments and you must identify this address those device types. that if you include your name, contact information as ‘‘confidential.’’ Any Historically, FDA has not information, or other information that information marked as ‘‘confidential’’ recommended different types of identifies you in the body of your will not be disclosed except in information in 510(k)s for BGMSs used comments, that information will be accordance with 21 CFR 10.20 and other by healthcare professionals as compared posted on http://www.regulations.gov. applicable disclosure law. For more to SMBGs intended for home use by lay • If you want to submit a comment information about FDA’s posting of users. However, it has become with confidential information that you comments to public dockets, see 80 FR increasingly clear that these different do not wish to be made available to the 56469, September 18, 2015, or access use settings have distinct intended use public submit, the comment as a the information at: http://www.fda.gov/ populations with unique characteristics written/paper submission and in the regulatoryinformation/dockets/ that can impact device design manner detailed (see ‘‘Written/Paper default.htm. specifications, and that manufacturers Submissions’’ and ‘‘Instructions’’). Docket: For access to the docket to should take these unique characteristics into account when designing their Written/Paper Submissions read background documents or the electronic and written/paper comments devices. In order to distinguish between Submit written/paper submissions as received, go to http:// FDA recommendations for prescription- follows: www.regulations.gov and insert the use BGMSs, which are intended for use • Mail/Hand delivery/Courier (for docket number, found in brackets in the in point-of-care professional healthcare written/paper submissions): Division of heading of this document, into the settings, and SMBGs intended for use Dockets Management (HFA–305), Food ‘‘Search’’ box and follow the prompts for self-monitoring by lay users, the and Drug Administration, 5630 Fishers and/or go to the Division of Dockets Agency is issuing two separate Lane, Rm. 1061, Rockville, MD 20852. Management, 5630 Fishers Lane, Rm. guidances for: (1) Prescription use blood • For written/paper comments 1061, Rockville, MD 20852. glucose meters, for use in point-of-care submitted to the Division of Dockets An electronic copy of the guidance professional healthcare settings and (2) Management, FDA will post your document is available for download OTC SMBG devices intended for home comment, as well as any attachments, from the Internet. See the use for self-monitoring by lay persons. except for information submitted, SUPPLEMENTARY INFORMATION section for FDA believes that in making this marked and identified, as confidential, information on electronic access to the distinction, SMBGs can be better if submitted as detailed in guidance. Submit written requests for designed to meet the needs of their ‘‘Instructions.’’ single copies of the guidance to the intended use populations, thereby Instructions: All submissions received Office of the Center Director, Guidance providing greater safety and efficacy. must include the Docket No FDA–2013– and Policy Development, Center for While FDA recommends that the D–1446 for ‘‘Self-Monitoring Blood Devices and Radiological Health, Food information described in this guidance Glucose Test Systems for Over-the- and Drug Administration, 10903 New be included in premarket submissions Counter Use; Guidance for Industry and Hampshire Ave., Bldg. 66, Rm. 5431, for SMBGs, submissions containing Food and Drug Administration Staff; Silver Spring, MD 20993–0002. Send alternative information may be Availability.’’ Received comments will one self-addressed adhesive label to sufficient if able to demonstrate

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substantial equivalence to a legally the collections of information in 21 CFR the docket unchanged. Because your marketed predicate device. part 820 have been approved under comment will be made public, you are In the Federal Register of January 7, OMB control number 0910–0073; and solely responsible for ensuring that your 2014 (79 FR 829), the Agency issued the the collections of information in the comment does not include any draft guidance entitled ‘‘Self-Monitoring guidance document ‘‘Requests for confidential information that you or a Blood Glucose Test Systems for Over- Feedback on Medical Device third party may not wish to be posted, the-Counter Use.’’ In the Federal Submissions: The Pre-Submission such as medical information, your or Register of April 9, 2014 (79 FR 19622), Program and Meetings with Food and anyone else’s Social Security number, or the Agency announced that the deadline Drug Administration Staff’’ have been confidential business information, such for the comment period would be approved under OMB control number as a manufacturing process. Please note extended until May 7, 2014, to allow for 0910–0756. that if you include your name, contact more public comments on this draft Dated: October 4, 2016. information, or other information that guidance document. FDA considered identifies you in the body of your the comments received on this draft Leslie Kux, comments, that information will be guidance and FDA revised the guidance Associate Commissioner for Policy. posted on http://www.regulations.gov. as appropriate in response to the [FR Doc. 2016–24431 Filed 10–7–16; 8:45 am] • If you want to submit a comment comments. BILLING CODE 4164–01–P with confidential information that you do not wish to be made available to the II. Significance of Guidance public submit, the comment as a This guidance is being issued DEPARTMENT OF HEALTH AND written/paper submission and in the consistent with FDA’s good guidance HUMAN SERVICES manner detailed (see ‘‘Written/Paper practices regulation (21 CFR 10.115). Submissions’’ and ‘‘Instructions’’). The guidance represents the current Food and Drug Administration Written/Paper Submissions thinking of FDA on ‘‘Self-Monitoring [Docket No. FDA–2013–D–1445] Blood Glucose Test Systems for Over- Submit written/paper submissions as the-Counter Use.’’ It does not establish Blood Glucose Monitoring Test follows: any rights for any person and is not Systems for Prescription Point-of-Care • Mail/Hand delivery/Courier (for binding on FDA or the public. You can Use; Guidance for Industry and Food written/paper submissions): Division of use an alternative approach if it satisfies and Drug Administration Staff; Dockets Management (HFA–305), Food the requirements of the applicable Availability and Drug Administration, 5630 Fishers statutes and regulations. Lane, Rm. 1061, Rockville, MD 20852. AGENCY: Food and Drug Administration, • For written/paper comments III. Electronic Access HHS. submitted to the Division of Dockets Persons interested in obtaining a copy ACTION: Notice of availability. Management, FDA will post your of the guidance may do so by comment, as well as any attachments, downloading an electronic copy from SUMMARY: The Food and Drug except for information submitted, the Internet. A search capability for all Administration (FDA or Agency) is marked and identified, as confidential, Center for Devices and Radiological announcing the availability of the if submitted as detailed in Health guidance documents is available guidance entitled ‘‘Blood Glucose ‘‘Instructions.’’ at http://www.fda.gov/MedicalDevices/ Monitoring Test Systems for Instructions: All submissions received DeviceRegulationandGuidance/ Prescription Point-of-Care Use.’’ This must include the Docket No. FDA– GuidanceDocuments/default.htm. document describes studies and criteria 2013–D–1445 for ‘‘Blood Glucose Guidance documents are also available that FDA recommends be used when Monitoring Test Systems for at http://www.regulations.gov. Persons submitting premarket notifications Prescription Point-of-Care Use; unable to download an electronic copy (510(k)s) for blood glucose monitoring Guidance for Industry and Food and of ‘‘Self-Monitoring Blood Glucose Test systems (BGMSs) which are for Drug Administration Staff; Systems for Over-the-Counter Use’’ may prescription point-of-care use in Availability.’’ Received comments will send an email request to CDRH- professional healthcare settings. FDA be placed in the docket and, except for [email protected] to receive an intends for this document to serve as a those submitted as ‘‘Confidential electronic copy of the document. Please guide for manufacturers in conducting Submissions,’’ publicly viewable at use the document number 1756 to appropriate performance studies and http://www.regulations.gov or at the identify the guidance you are preparing 510(k)s for these device types. Division of Dockets Management requesting. DATES: Submit either electronic or between 9 a.m. and 4 p.m., Monday written comments on this guidance at through Friday. IV. Paperwork Reduction Act of 1995 any time. General comments on Agency • Confidential Submissions—To This guidance refers to previously guidance documents are welcome at any submit a comment with confidential approved collections of information time. information that you do not wish to be found in FDA regulations and guidance. ADDRESSES: You may submit comments made publicly available submit your These collections of information are as follows: comments only as a written/paper subject to review by the Office of submission. You should submit two Management and Budget (OMB) under Electronic Submissions copies total. One copy will include the the Paperwork Reduction Act of 1995 Submit electronic comments in the information you claim to be confidential (44 U.S.C. 3501–3520). The collections following way: with a heading or cover note that states of information in 21 CFR part 807 • Federal eRulemaking Portal: http:// ‘‘THIS DOCUMENT CONTAINS subpart E have been approved under www.regulations.gov. Follow the CONFIDENTIAL INFORMATION.’’ The OMB control number 0910–0120; the instructions for submitting comments. Agency will review this copy, including collections of information in 21 CFR 801 Comments submitted electronically, the claimed confidential information, in and 21 CFR 809.10 have been approved including attachments, to http:// its consideration of comments. The under OMB control number 0910–0485; www.regulations.gov will be posted to second copy, which will have the

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claimed confidential information self-monitoring blood glucose test fragile and are more likely to present redacted/blacked out, will be available systems (SMBGs) for over-the-counter physiological and pathological factors for public viewing and posted on http:// (OTC) home use by lay-users. Elsewhere that could interfere with glucose www.regulations.gov. Submit both in this issue of the Federal Register, measurements relative to lay-users. copies to the Division of Dockets FDA is announcing the availability of Errors in BGMSs accuracy can lead to Management. If you do not wish your the guidance ‘‘Self-Monitoring Blood incorrect insulin dosing, which, when name and contact information to be Glucose Test Systems for Over-the- combined with other factors, can lead to made publicly available, you can Counter Use’’ to address those device increased episodes of hypoglycemia. For provide this information on the cover types. hospitalized patients who may be sheet and not in the body of your Historically, FDA has not seriously ill, glucose meter inaccuracies comments and you must identify this recommended different types of could further increase risk to health. information as ‘‘confidential.’’ Any information in 510(k)s for BGMSs used This document describes studies that information marked as ‘‘confidential’’ by healthcare professionals as compared can be conducted to demonstrate BGMS will not be disclosed except in to SMBGs intended for home use by lay- performance for devices intended to be accordance with 21 CFR 10.20 and other users. However, it has become used in diverse professional healthcare applicable disclosure law. For more increasingly clear that these different settings on subjects in various states of information about FDA’s posting of use settings have distinct intended use health. While FDA recommends that the comments to public dockets, see 80 FR populations with unique characteristics information described in this guidance 56469, September 18, 2015, or access that can impact device design be included in premarket submissions the information at: http://www.fda.gov/ specifications, and that manufacturers for BGMSs, submissions containing regulatoryinformation/dockets/ should take these unique characteristics alternative information may be default.htm. into account when designing their sufficient if able to demonstrate Docket: For access to the docket to devices. In order to distinguish between substantial equivalence to a legally read background documents or the FDA recommendations for prescription- marketed predicate device. electronic and written/paper comments use blood glucose meters, which are In the Federal Register of January 7, received, go to http:// intended for use in point-of-care 2014 (79 FR 830), the Agency issued the www.regulations.gov and insert the professional healthcare settings, and draft guidance entitled ‘‘Blood Glucose docket number, found in brackets in the SMBG devices intended for home use Monitoring Test Systems for heading of this document, into the for self-monitoring by lay-persons, the Prescription Point-of-Care Use’’. In the ‘‘Search’’ box and follow the prompts Agency is issuing two separate Federal Register of April 9, 2014 (79 FR and/or go to the Division of Dockets guidances for (i) BGMSs intended for 19622), the Agency announced that the Management, 5630 Fishers Lane, Rm. use in point-of-care professional deadline for the comment period would 1061, Rockville, MD 20852. healthcare settings, and (ii) SMBGs be extended until May 7, 2014, to allow An electronic copy of the guidance intended for home use for self- for more public comments on this draft document is available for download monitoring by lay-users. FDA believes guidance document. FDA considered from the Internet. See the that in making this distinction, BGMSs the comments received on this draft SUPPLEMENTARY INFORMATION section for can be better designed to meet the needs guidance and FDA revised the guidance information on electronic access to the of their intended use populations, as appropriate in response to the guidance. Submit written requests for a thereby providing greater safety and comments. single copy of the guidance document to efficacy. Because BGMSs are used in II. Significance of Guidance the Office of the Center Director, professional healthcare settings, they are This guidance is being issued Guidance and Policy Development, more likely to be used on multiple consistent with FDA’s good guidance Center for Devices and Radiological patients. The Centers for Medicare and practices regulation (21 CFR 10.115). Health, Food and Drug Administration, Medicaid Services and Centers for The guidance represents the current 10903 New Hampshire Ave., Bldg. 66, Disease Control and Prevention have thinking of FDA on ‘‘Blood Glucose Rm. 5431, Silver Spring, MD 20993– expressed concern over the possibility Monitoring Test Systems for 0002. Send one self-addressed adhesive that blood glucose meters can transmit Prescription Point-of-Care Use.’’ It does label to assist that office in processing bloodborne pathogens if these devices not establish any rights for any person your request. are contaminated with blood specimens and is not binding on FDA or the public. FOR FURTHER INFORMATION CONTACT: and shared between users without You can use an alternative approach if Leslie Landree, Center for Devices and effective cleaning, disinfecting, and it satisfies the requirements of the Radiological Health, Food and Drug appropriate infection control measures. applicable statutes and regulations. Administration, Bldg. 66, Rm. 4623, This document describes certain design 10903 New Hampshire Ave., Silver features and capacity for cleaning and III. Electronic Access Spring, MD 20993–0002, 301–796–6147. disinfection to prevent the spread of Persons interested in obtaining a copy SUPPLEMENTARY INFORMATION: bloodborne pathogens. of the guidance may do so by In addition, concerns have been downloading an electronic copy from I. Background raised citing the inability of currently the Internet. A search capability for all This document describes studies and cleared BGMSs to perform effectively in Center for Devices and Radiological criteria that FDA recommends be used professional healthcare settings because Health guidance documents is available when submitting 510(k)s for BGMSs these devices have not been adequately at http://www.fda.gov/MedicalDevices/ which are for prescription point-of-care evaluated in some of the populations in DeviceRegulationandGuidance/ use in professional settings. FDA which they are being used. Patients in GuidanceDocuments/default.htm. intends for this document to serve as a professional healthcare settings are Guidance documents are also available guide for manufacturers in conducting often fundamentally different than lay- at http://www.regulations.gov. Persons appropriate performance studies and users using these devices at home. unable to download an electronic copy preparing 510(k)s for these device types. Patients in professional healthcare of ‘‘Blood Glucose Monitoring Test This document is not meant to address settings can be acutely ill and medically Systems for Prescription Point-of-Care

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Use’’ may send an email request to to the public and will be accessible by is full, individuals who could not be [email protected] to receive webcast and conference call. accommodated are welcome to provide an electronic copy of the document. Name of Committee: Interagency Autism written comments instead. Comments to Please use the document number 1755 Coordinating Committee (IACC). be read or presented in the meeting to identify the guidance you are Type of meeting: Open Meeting. must not exceed 250 words or 3 requesting. Date: October 26, 2016. minutes, but a longer version may be Time: 9:00 a.m. to 5:00 p.m.* Eastern Time submitted in writing for the record. IV. Paperwork Reduction Act of 1995 * Approximate end time. Commenters going beyond the 250 word This guidance refers to previously Agenda: To discuss business, updates, and or 3 minute time limit in the meeting issues related to ASD research and services may be asked to conclude immediately approved collections of information activities. The Committee will discuss found in FDA regulations and guidance. updates of the IACC Strategic Plan. in order to allow other comments and These collections of information are Place: National Institutes of Health , 31 presentations to proceed on schedule. subject to review by the Office of Center Drive, Building 31, C Wing, 6th Floor, Any interested person may submit Management and Budget (OMB) under Conference Room 6, Bethesda, MD 20892. written public comments to the IACC the Paperwork Reduction Act of 1995 Webcast Live: https://videocast.nih.gov. prior to the meeting by emailing the (44 U.S.C. 3501–3520). The collections Conference Call Access: Dial: 888–469– comments to IACCPublicInquiries@ of information in 21 CFR part 807 2037, Access code: 3353029. mail.nih.gov or by submitting comments subpart E have been approved under Cost: The meeting is free and open to the at the web link: https://iacc.hhs.gov/ public. OMB control number 0910–0120; the Registration: A registration web link will meetings/public-comments/submit/ collections of information in 21 CFR 801 be posted on the IACC Web site index.jsp by 5:00 p.m. ET on Tuesday, and 21 CFR 809.10 have been approved (www.iacc.hhs.gov) prior to the meeting. Pre- October 18, 2016. The comments should under OMB control number 0910–0485; registration is recommended to expedite include the name, address, telephone the collections of information in 21 CFR check-in. Seating in the meeting room is number, and when applicable, the part 820 have been approved under limited to room capacity and on a first come, business or professional affiliation of OMB control number 0910–0073; the first served basis. Onsite registration will also the interested person. NIMH anticipates collections of information in the be available. written public comments received by guidance document ‘‘Recommendations: Deadlines: Notification of intent to present 5:00 p.m. ET on Tuesday, October 18, oral comments: Wednesday, October 12, Clinical Laboratory Improvement 2016 by 5:00 p.m. ET. 2016 will be presented to the Committee Amendments of 1988 (CLIA) Waiver Submission of written/electronic statement prior to the meeting for the Committee’s Applications for Manufacturers of In for oral comments: Tuesday, October 18, consideration. Any written comments Vitro Diagnostic Devices’’ have been 2016 by 5:00 p.m. ET. received after the 5:00 p.m. ET, October approved under OMB control number Submission of written comments: Tuesday, 18, 2016 deadline through October 25, 0910–0598; and the collections of October 18, 2016 by 5:00 p.m. ET. 2016 will be provided to the Committee information in the guidance document For IACC Public Comment guidelines either before or after the meeting, ‘‘Requests for Feedback on Medical please see: https://iacc.hhs.gov/meetings/ depending on the volume of comments Device Submissions: The Pre- public-comments/guidelines/. received and the time required to Access: Medical Center Metro Station (Red Submission Program and Meetings with Line). process them in accordance with Food and Drug Administration Staff’’ Contact Person: Ms. Angelice Mitrakas, privacy regulations and other applicable have been approved under OMB control Office of Autism Research Coordination, Federal policies. All written public number 0910–0756. National Institute of Mental Health, NIH, comments and oral public comment Dated: October 4, 2016. 6001 Executive Boulevard, Room 6182A, statements received by the deadlines for Bethesda, MD 20892–9669, Phone: 301–435– Leslie Kux, both oral and written public comments 9269, Email: IACCPublicInquiries@ will be provided to the IACC for their Associate Commissioner for Policy. mail.nih.gov. consideration and will become part of [FR Doc. 2016–24430 Filed 10–7–16; 8:45 am] Public Comments: Any member of the the public record. Attachments of BILLING CODE 4164–01–P public interested in presenting oral copyrighted publications are not comments to the Committee must notify permitted, but web links or citations for any copyrighted works cited may be DEPARTMENT OF HEALTH AND the Contact Person listed on this notice provided. HUMAN SERVICES by 5:00 p.m. ET on Wednesday, October 12, 2016, with their request to present In the 2009 IACC Strategic Plan, the National Institutes of Health oral comments at the meeting, and a IACC listed the ‘‘Spirit of Collaboration’’ written/electronic copy of the oral as one of its core values, stating that, National Institute of Mental Health presentation/statement must be ‘‘We will treat others with respect, listen (NIMH); Notice of Meeting submitted by 5:00 p.m. ET on Tuesday, to diverse views with open minds, October 18, discuss submitted public comments, Pursuant to section 10(a) of the A limited number of slots for oral and foster discussions where Federal Advisory Committee Act, as comment are available, and in order to participants can comfortably offer amended (5 U.S.C. App.), notice is ensure that as many different opposing opinions.’’ In keeping with hereby given of an Interagency Autism individuals are able to present this core value, the IACC and the NIMH Coordinating Committee (IACC or throughout the year as possible, any Office of Autism Research Coordination Committee) meeting. given individual only will be permitted (OARC) ask that members of the public The purpose of the IACC meeting is to present oral comments once per who provide public comments or to discuss business, agency updates, and calendar year (2016). Only one participate in meetings of the IACC also issues related to autism spectrum representative of an organization will be seek to treat others with respect and disorder (ASD) research and services allowed to present oral comments in consideration in their communications activities. The Committee will discuss any given meeting; other representatives and actions, even when discussing the 2016–2017 update of the IACC of the same group may provide written issues of genuine concern or Strategic Plan. The meeting will be open comments. If the oral comment session disagreement.

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Remote Access: The meeting will be Date: November 4, 2016. 1, 2016 will be relayed to the NSABB prior open to the public through a conference Time: 12:00 p.m.–3:00 p.m. Eastern. to the teleconference meeting. Any written call phone number and webcast live on Agenda: Presentations and discussions comments received after this deadline will be the Internet. Members of the public who regarding: (1) Stakeholder engagement on provided to the Board either before or after implementation of the U.S. Government the meeting, depending on the volume of participate using the conference call Policy for Institutional Oversight of Life comments received and the time required to phone number will be able to listen to Sciences Dual Use Research of Concern process them in accordance with privacy the meeting but will not be heard. If you (DURC); (2) status of the Blue Ribbon Panel regulations and other applicable federal experience any technical problems with review of the 2014 variola virus incident on policies. the webcast or conference call, please the NIH Bethesda campus; and (3) other Dated: October 4, 2016. send an email to IACCPublicInquiries@ business of the Board. mail.nih.gov. Place: National Institutes of Health, 6705 David Clary, Individuals wishing to participate in Rockledge Drive, Suite 750, Bethesda, MD Program Analyst, Office of Federal Advisory person or by using these electronic 20892 (Telephone Conference call only; No Committee Policy. services and who need special in-person meeting). [FR Doc. 2016–24412 Filed 10–7–16; 8:45 am] Call-in Information: U.S. Toll-Free Dial-In: BILLING CODE 4140–01–P assistance, such as captioning of the 1 (888) 939–3921. Confirmation Number: conference call or other reasonable 43519965. accommodations, should submit a Contact Person: Christopher Viggiani, request to the Contact Person listed on Ph.D., Executive Director, NSABB, NIH DEPARTMENT OF HEALTH AND this notice at least five days prior to the Office of Science Policy, 6705 Rockledge HUMAN SERVICES meeting. Drive, Suite 750, Bethesda, Maryland 20892, Security: In the interest of security, (301) 496–9838, [email protected]. National Institutes of Health NIH has instituted stringent procedures Under authority 42 U.S.C. 217a, Section 222 of the Public Health Service Act, as National Institute of Environmental for entrance onto the NIH campus. All Health Sciences; Notice of Meeting visitor vehicles, including taxicabs and amended, the Department of Health and hotel and airport shuttles, will be Human Services established the National Science Advisory Board for Biosecurity Pursuant to section 10(d) of the inspected before being allowed on (NSABB) to provide advice regarding federal Federal Advisory Committee Act, as campus. Visitors will be asked to show oversight of dual use research—defined as amended (5 U.S.C. App.), notice is one form of identification (for example, legitimate biological research that generates hereby given of a meeting of the Board a government-issued photo ID, driver’s information and technologies that could be of Scientific Counselors, NIEHS. license, or passport) and to state the misused to pose a biological threat to public The meeting will be open to the purpose of their visit. Also as a part of health and/or national security. public as indicated below, with security procedures, attendees should The toll-free teleconference line will be attendance limited to space available. be prepared to present a photo ID at the open to the public at 11:30 a.m. to allow time for operator-assisted check-in. Persons Individuals who plan to attend and meeting registration desk during the planning to participate in the teleconference need special assistance, such as sign check-in process. Pre-registration is may also pre-register online via the link language interpretation or other recommended. Seating will be limited provided below or by calling Palladian reasonable accommodations, should to the room capacity and seats will be Partners, Inc. (Contact: Ida Donner at 301– notify the Contact Person listed below on a first come, first served basis, with 273–2838). Pre-registration will close at 12:00 in advance of the meeting. expedited check-in for those who are p.m. Eastern on November 1, 2016. After that pre-registered. time, attendees may register their information The meeting will be closed to the Meeting schedule subject to change. with the teleconference operator upon public as indicated below in accordance Information about the IACC is dialing into the meeting. Individuals who with the provisions set forth in section available on the Web site: http:// plan to participate and need special 552b(c)(6), Title 5 U.S.C., as amended www.iacc.hhs.gov. assistance should submit a request to the for the review, discussion, and contact person listed on this notice by evaluation of individual intramural Dated: October 4, 2016. October 28. programs and projects conducted by the Carolyn Baum, Meeting materials: The meeting agenda and links to the online pre-registration will be NATIONAL INSTITUTE OF Program Analyst, Office of Federal Advisory ENVIRONMENTAL HEALTH Committee Policy. available at: http://osp.od.nih.gov/office- biotechnology-activities/biosecurity/nsabb/ SCIENCES, including consideration of [FR Doc. 2016–24409 Filed 10–7–16; 8:45 am] nsabb-meetings-and-conferences. Please personnel qualifications and BILLING CODE 4140–01–P check this Web site for updates. performance, and the competence of Public Comments: Time will be allotted on individual investigators, the disclosure the agenda for the delivery of oral public DEPARTMENT OF HEALTH AND of which would constitute a clearly comments. Members of the public interested unwarranted invasion of personal HUMAN SERVICES in delivering prepared comments relevant to the mission of the NSABB should indicate so privacy. National Institutes of Health upon registration. Sign-up for delivering Name of Committee: Board of Scientific prepared oral comments will be limited to Counselors, NIEHS. Office of the Director, Office of Science one per person or organization representative Date: November 13–15, 2016. Policy, Office of Biotechnology per open comment period. Individual Closed: November 13, 2016, 7:00 p.m. to Activities; Notice of Meeting comments will be time-limited to facilitate 10:00 p.m. broad participation from multiple speakers. Agenda: To review and evaluate Pursuant to section 10(a) of the In addition, interested persons may file programmatic and personnel issues. Federal Advisory Committee Act, as written comments at any time with the Board Place: Doubletree Guest Suites, 2515 amended (5 U.S.C. App.), notice is via an email sent to [email protected] or by Meridian Parkway, Research Triangle Park, hereby given of the meeting of the regular mail sent to the Contact Person listed NC 27713. National Science Advisory Board for on this notice. Written statements should Open: November 14, 2016, 8:30 a.m. to include the name, contact information, and 11:50 a.m. Biosecurity (NSABB). when applicable, the professional affiliation Agenda: Scientific Presentations. Name of Committee: National Science of the interested person. Written comments Place: Nat. Inst. of Environmental Health Advisory Board for Biosecurity. received by 12:00 p.m. Eastern on November Sciences, Building 101, Rodbell Auditorium,

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111 T. W. Alexander Drive, Research Education; 93.894, Resources and Manpower DEPARTMENT OF HEALTH AND Triangle Park, NC 27709. Development in the Environmental Health HUMAN SERVICES Closed: November 14, 2016, 11:50 a.m. to Sciences; 93.113, Biological Response to 1:30 p.m. Environmental Health Hazards; 93.114, National Institutes of Health Agenda: To review and evaluate Applied Toxicological Research and Testing, programmatic and personnel issues. National Institutes of Health, HHS) Eunice Kennedy Shriver National Place: Nat. Inst. of Environmental Health Dated: October 4, 2016. Institute of Child Health and Human Sciences, Building 101, Rodbell Auditorium, Development; Notice of Closed 111 T. W. Alexander Drive, Research Carolyn Baum, Triangle Park, NC 27709. Program Analyst, Office of Federal Advisory Meeting Committee Policy. Open: November 14, 2016, 1:30 p.m. to Pursuant to section 10(d) of the 3:00 p.m. [FR Doc. 2016–24410 Filed 10–7–16; 8:45 am] Federal Advisory Committee Act, as Agenda: Poster Session. BILLING CODE 4140–01–P Place: Nat. Inst. of Environmental Health amended (5 U.S.C. App.), notice is Sciences, Building 101, Rodbell Auditorium, hereby given of the following meeting. The meeting will be closed to the 111 T. W. Alexander Drive, Research DEPARTMENT OF HEALTH AND Triangle Park, NC 27709. public in accordance with the Closed: November 14, 2016, 3:00 p.m. to HUMAN SERVICES provisions set forth in sections 3:30 p.m. National Institutes of Health 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Agenda: To review and evaluate as amended. The grant applications and programmatic and personnel issues. the discussions could disclose Place: Nat. Inst. of Environmental Health Center for Scientific Review; Notice of Sciences, Building 101, Rodbell Auditorium, Closed Meeting confidential trade secrets or commercial property such as patentable material, 111 T. W. Alexander Drive, Research Pursuant to section 10(d) of the Triangle Park, NC 27709. and personal information concerning Open: November 14, 2016, 3:45 p.m. to Federal Advisory Committee Act, as individuals associated with the grant 5:25 p.m. amended (5 U.S.C. App.), notice is applications, the disclosure of which Agenda: Scientific Presentations. hereby given of the following meeting. would constitute a clearly unwarranted Place: Nat. Inst. of Environmental Health The meeting will be closed to the invasion of personal privacy. Sciences, Building 101, Rodbell Auditorium, public in accordance with the 111 T. W. Alexander Drive, Research provisions set forth in sections Name of Committee: National Institute of Triangle Park, NC 27709. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Child Health and Human Development Initial Closed: November 14, 2016, 5:25 p.m. to Review Group Biobehavioral and Behavioral as amended. The grant applications and Sciences Subcommittee B&BS. 6:35 p.m. the discussions could disclose Agenda: To review and evaluate Date: December 2, 2016. programmatic and personnel issues. confidential trade secrets or commercial Time: 8:00 a.m. to 6:00 p.m. Place: Nat. Inst. of Environmental Health property such as patentable material, Agenda: To review and evaluate grant Sciences, Building 101, Rodbell Auditorium, and personal information concerning applications. 111 T. W. Alexander Drive, Research individuals associated with the grant Place: Renaissance Mayflower Hotel, 1127 Triangle Park, NC 27709. applications, the disclosure of which Connecticut Avenue NW., Washington, DC Closed: November 14, 2016, 7:30 p.m. to 20036. would constitute a clearly unwarranted Contact Person: Marita R. Hopmann, Ph.D., 10:00 p.m. invasion of personal privacy. Agenda: To review and evaluate Scientific Review Administrator Division of programmatic and personnel issues. Name of Committee: Center for Scientific Scientific Review National Institute of Child Place: Doubletree Guest Suites, 2515 Review Special Emphasis Panel; Cancer Health and Human Development, NIH, 6710B Meridian Parkway, Research Triangle Park, Therapeutics. Rockledge Dr., Rockville, Maryland 20892 NC 27713. Date: October 20, 2016. (301) 435–6911, [email protected]. Closed: November 15, 2016, 8:30 a.m. to Time: 11:00 a.m. to 12:00 p.m. (Catalogue of Federal Domestic Assistance 12:00 p.m. Agenda: To review and evaluate grant Program Nos. 93.864, Population Research; Agenda: To review and evaluate applications. 93.865, Research for Mothers and Children; programmatic and personnel issues. Place: National Institutes of Health, 6701 93.929, Center for Medical Rehabilitation Place: Nat. Inst. of Environmental Health Rockledge Drive, Bethesda, MD 20892, Research; 93.209, Contraception and Sciences, Building 101, Rodbell Auditorium, (Telephone Conference Call). Infertility Loan Repayment Program, National 111 T. W. Alexander Drive, Research Contact Person: Jeffrey Smiley, Ph.D., Institutes of Health, HHS) Triangle Park, NC 27709. Scientific Review Officer, Center for Dated: October 3, 2016. Scientific Review, National Institutes of Contact Person: Darryl C. Zeldin, Scientific Michelle Trout, Director & Principal Investigator, Division of Health, 6701 Rockledge Drive, Room 6194, Intramural Research, National Institute of MSC 7804, Bethesda, MD 20892, 301–594– Program Analyst, Office of Federal Advisory Environmental Health Sciences, NIH, 111 7945, [email protected]. Committee Policy. TW Alexander Drive, Mail drop A2–09, This notice is being published less than 15 [FR Doc. 2016–24413 Filed 10–7–16; 8:45 am] Research Triangle Park, NC 27709, 919–541– days prior to the meeting due to the timing BILLING CODE 4140–01–P 1169, [email protected]. limitations imposed by the review and Any interested person may file written funding cycle. comments with the committee by forwarding (Catalogue of Federal Domestic Assistance DEPARTMENT OF HEALTH AND the statement to the Contact Person listed on Program Nos. 93.306, Comparative Medicine; HUMAN SERVICES this notice. The statement should include the 93.333, Clinical Research, 93.306, 93.333, name, address, telephone number and when 93.337, 93.393–93.396, 93.837–93.844, National Institutes of Health applicable, the business or professional 93.846–93.878, 93.892, 93.893, National affiliation of the interested person. Institutes of Health, HHS) National Institute of Neurological (Catalogue of Federal Domestic Assistance Dated: October 4, 2016. Disorders and Stroke; Notice of Closed Program Nos. 93.115, Biometry and Risk Natasha M. Copeland, Meeting Estimation—Health Risks from Environmental Exposures; 93.142, NIEHS Program Analyst, Office of Federal Advisory Pursuant to section 10(d) of the Hazardous Waste Worker Health and Safety Committee Policy. Federal Advisory Committee Act, as Training; 93.143, NIEHS Superfund [FR Doc. 2016–24406 Filed 10–7–16; 8:45 am] amended (5 U.S.C. App.), notice is Hazardous Substances—Basic Research and BILLING CODE 4140–01–P hereby given of the following meeting.

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The meeting will be closed to the applications, the disclosure of which Place: Doubletree Hotel Bethesda public in accordance with the would constitute a clearly unwarranted (Formerly Holiday Inn Select), 8120 provisions set forth in sections invasion of personal privacy. Wisconsin Avenue, Bethesda, MD 20814. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Contact Person: Sergei Ruvinov, Ph.D., Name of Committee: Center for Scientific Scientific Review Officer, Center for as amended. The grant applications and Review Special Emphasis Panel; Member Scientific Review, National Institutes of the discussions could disclose Conflict: Psychosocial Risks and Disease Health, 6701 Rockledge Drive, Room 4158, confidential trade secrets or commercial Prevention. MSC 7806, Bethesda, MD 20892, 301–435– property such as patentable material, Date: November 2, 2016. 1180, [email protected]. Time: 1:00 p.m. to 4:00 p.m. and personal information concerning Name of Committee: Center for Scientific Agenda: To review and evaluate grant individuals associated with the grant Review Special Emphasis Panel; Member applications. Conflict: Lung Injury, Repair, and applications, the disclosure of which Place: National Institutes of Health, 6701 Regeneration. would constitute a clearly unwarranted Rockledge Drive, Bethesda, MD 20892 Date: November 7, 2016. invasion of personal privacy. (Virtual Meeting). Time: 10:00 a.m. to 5:00 p.m. Contact Person: Weijia Ni, Ph.D., Chief/ Name of Committee: National Institute of Agenda: To review and evaluate grant Scientific Review Officer, Center for Neurological Disorders and Stroke Special applications. Emphasis Panel; NST Member Conflict Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 3100, Place: National Institutes of Health, 6701 Review. Rockledge Drive, Bethesda, MD 20892, Date: October 10–11, 2016. MSC 7808, Bethesda, MD 20892, 301–594– 3292, [email protected]. (Virtual Meeting). Time: 8:00 a.m. to 6:00 p.m. Contact Person: Abdelouahab Aitouche, Agenda: To review and evaluate grant Name of Committee: Center for Scientific Ph.D., Scientific Review Officer, Center for applications. Review Special Emphasis Panel; AREA Scientific Review, National Institutes of Place: Embassy Suites Alexandria Old applications in Infectious Diseases and Health, 6701 Rockledge Drive, Room 4222, Town, 1900 Diagonal Road, Alexandria, VA Microbiology. MSC 7814, Bethesda, MD 20892, 301–435– 22314. Date: November 7, 2016. 2365, [email protected]. Contact Person: William Benzing, Ph.D., Time: 8:00 a.m. to 6:00 p.m. Scientific Review Officer, Scientific Review Agenda: To review and evaluate grant Name of Committee: Center for Scientific Branch, Division of Extramural Research, applications. Review Special Emphasis Panel; Member NINDS/NIH/DHHS, Neuroscience Center, Place: Marines’ Memorial Club and Hotel, Conflict: Addictions, Depression, Bipolar 6001 Executive Blvd., Suite 3204, MSC 9529, 609 Sutter Street, San Francisco, CA 94102. Disorder, Schizophrenia. Bethesda, MD 20892–9529, 301–496–0660, Contact Person: Liangbiao Zheng, Ph.D., Date: November 7, 2016. [email protected]. Scientific Review Officer, Center for Time: 10:00 a.m. to 4:00 p.m. Scientific Review, National Institutes of Agenda: To review and evaluate grant This notice is being published less than 15 applications. days prior to the meeting due to the timing Health, 6701 Rockledge Drive, Room 3202, MSC 7808, Bethesda, MD 20892, 301–996– Place: National Institutes of Health, 6701 limitations imposed by the review and Rockledge Drive, Bethesda, MD 20892, funding cycle. 5819, [email protected]. Name of Committee: Center for Scientific (Virtual Meeting). (Catalogue of Federal Domestic Assistance Contact Person: Kristin Kramer, Ph.D., Program Nos. 93.853, Clinical Research Review Special Emphasis Panel; Pilot Clinical Studies in Kidney Diseases. Scientific Review Officer, Center for Related to Neurological Disorders; 93.854, Scientific Review, National Institutes of Biological Basis Research in the Date: November 7–8, 2016. Time: 8:00 a.m. to 6:00 p.m. Health, 6701 Rockledge Drive, Room 5205, Neurosciences, National Institutes of Health, MSC 7846, Bethesda, MD 20892, (301) 437– HHS) Agenda: To review and evaluate grant applications. 0911, [email protected]. Dated: October 4, 2016 Place: National Institutes of Health, 6701 Name of Committee: Center for Scientific Sylvia L. Neal, Rockledge Drive, Bethesda, MD 20892 Review Special Emphasis Panel; Member Program Analyst, Office of Federal Advisory (Virtual Meeting). Conflict: Stress and Psychopathology. Committee Policy. Contact Person: Ganesan Ramesh, Center Date: November 7–8, 2016. for Scientific Review, National Institutes of Time: 11:00 a.m. to 7:00 p.m. [FR Doc. 2016–24408 Filed 10–7–16; 8:45 am] Health, 6701 Rockledge Dr. Room 2182 MSC Agenda: To review and evaluate grant BILLING CODE 4140–01–P 7818, Bethesda, md 20892, ganesan.ramesh@ applications. nih.gov. Place: National Institutes of Health, 6701 Name of Committee: Center for Scientific Rockledge Drive, Bethesda, MD 20892, DEPARTMENT OF HEALTH AND Review Special Emphasis Panel; Small (Virtual Meeting). HUMAN SERVICES Business: Digestive Sciences. Contact Person: Maribeth Champoux, Date: November 7, 2016. Ph.D., Scientific Review Officer, Center for National Institutes of Health Time: 8:00 a.m. to 6:00 p.m. Scientific Review, National Institutes of Agenda: To review and evaluate grant Health, 6701 Rockledge Drive, Room 3170, Center for Scientific Review; Notice of applications MSC 7848, Bethesda, MD 20892, 301–594– Closed Meetings Place: Embassy Suites at the Chevy Chase 3163, [email protected]. Pavilion, 4300 Military Road NW., Name of Committee: Center for Scientific Pursuant to section 10(d) of the Washington, DC 20015. Review Special Emphasis Panel; Member Federal Advisory Committee Act, as Contact Person: Martha Garcia, Ph.D., Conflict: KNOD and SSPS Applications. amended (5 U.S.C. App.), notice is Scientific Reviewer Officer, Center for Date: November 7, 2016. hereby given of the following meetings. Scientific Review, National Institutes of Time: 11:00 a.m. to 2:00 p.m. The meetings will be closed to the Health, 6701 Rockledge Drive, Room 2186, Agenda: To review and evaluate grant public in accordance with the MSC 7818, Bethesda, MD 20892, 301–435– applications. provisions set forth in sections 1243, [email protected]. Place: National Institutes of Health, 6701 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Name of Committee: Center for Scientific Rockledge Drive, Bethesda, MD 20892, as amended. The grant applications and Review Special Emphasis Panel; SBIR/STTR (Telephone Conference Call). Applications in Drug Discovery and Contact Person: Ellen K Schwartz, EDD, the discussions could disclose Development. Scientific Review Officer, Center for confidential trade secrets or commercial Date: November 7, 2016. Scientific Review, National Institutes of property such as patentable material, Time: 8:30 a.m. to 6:00 p.m. Health, 6701 Rockledge Drive, Room 3144, and personal information concerning Agenda: To review and evaluate grant MSC 7770, Bethesda, MD 20892, 301–828– individuals associated with the grant applications. 6146, [email protected].

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Name of Committee: Center for Scientific Place: National Institutes of Health, 6701 Dated: October 4, 2016. Review Special Emphasis Panel; Member Rockledge Drive, Bethesda, MD 20892, Natasha M. Copeland, (Telephone Conference Call). Conflict: Developmental Risk Prevention, Program Analyst, Office of Federal Advisory Contact Person: Scott Jakes, Ph.D., Aging and Social Behavior. Committee Policy. Date: November 7, 2016. Scientific Review Officer, Center for [FR Doc. 2016–24411 Filed 10–7–16; 8:45 am] Time: 2:00 p.m. to 4:00 p.m. Scientific Review, National Institutes of Agenda: To review and evaluate grant Health, 6701 Rockledge Drive, Room 4198, BILLING CODE 4140–01–P applications. MSC 7812, Bethesda, MD 20892, 301–495– Place: National Institutes of Health, 6701 1506, [email protected]. Rockledge Drive, Bethesda, MD 20892, (Catalogue of Federal Domestic Assistance DEPARTMENT OF HEALTH AND (Telephone Conference Call). Program Nos. 93.306, Comparative Medicine; HUMAN SERVICES Contact Person: Weijia Ni, Ph.D., Chief/ 93.333, Clinical Research, 93.306, 93.333, Scientific Review Officer, Center for 93.337, 93.393–93.396, 93.837–93.844, National Institutes of Health Scientific Review, National Institutes of 93.846–93.878, 93.892, 93.893, National Health, 6701 Rockledge Drive, Room 3100, Institutes of Health, HHS) Center for Scientific Review; Notice of MSC 7808, Bethesda, MD 20892, 301–594– Dated: October 4, 2016. Closed Meetings 3292, [email protected]. Natasha M. Copeland, Pursuant to section 10(d) of the Name of Committee: Center for Scientific Program Analyst, Office of Federal Advisory Federal Advisory Committee Act, as Review Special Emphasis Panel; Resource for Committee Policy. Biocomputing, Visualization, and amended (5 U.S.C. App.), notice is Informatics. [FR Doc. 2016–24407 Filed 10–7–16; 8:45 am] hereby given of the following meetings. Date: November 7–9, 2016. BILLING CODE 4140–01–P The meetings will be closed to the Time: 4:00 p.m. to 2:00 p.m. public in accordance with the Agenda: To review and evaluate grant provisions set forth in sections applications. DEPARTMENT OF HEALTH AND 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Place: Hotel Nikko San Francisco, 222 HUMAN SERVICES as amended. The grant applications and Mason Street, San Francisco, CA 94102. the discussions could disclose Contact Person: Nuria E Assa-Munt, Ph.D., National Institutes of Health confidential trade secrets or commercial Scientific Review Officer, Center for property such as patentable material, National Institute of Allergy And Scientific Review, National Institutes of and personal information concerning Health, 6701 Rockledge Drive, Room 4164, Infectious Diseases; Notice of Closed individuals associated with the grant MSC 7806, Bethesda, MD 20892, (301) 451– Meeting 1323, [email protected]. applications, the disclosure of which would constitute a clearly unwarranted Name of Committee: Center for Scientific Pursuant to section 10(d) of the Review Special Emphasis Panel; Meeting Federal Advisory Committee Act, as invasion of personal privacy. Conflict: Child Psychopathology and amended (5 U.S.C. App.), notice is Name of Committee: Center for Scientific Developmental Disorders. hereby given of the following meeting. Review Special Emphasis Panel; Member Date: November 7–8, 2016. The meeting will be closed to the Conflict: Hypertension and Microcirculation. Time: 12:00 p.m. to 5:00 p.m. public in accordance with the Date: November 3–4, 2016. Agenda: To review and evaluate grant provisions set forth in sections Time: 8:00 a.m. to 10:00 p.m. applications. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Agenda: To review and evaluate grant Place: National Institutes of Health, 6701 as amended. The grant applications and applications. Rockledge Drive, Bethesda, MD 20892, Place: National Institutes of Health, 6701 the discussions could disclose Rockledge Drive, Bethesda, MD 20892 (Virtual Meeting). confidential trade secrets or commercial Contact Person: Unja Lucille Hayes, Ph.D., (Virtual Meeting). Scientific Review Officer, National Institutes property such as patentable material, Contact Person: Natalia Komissarova, of Health, Center for Scientific Review, 6701 and personal information concerning Ph.D., Scientific Review Officer, Center for Rockledge Drive, Bethesda, MD 20892, 301– individuals associated with the grant Scientific Review, National Institutes of 435–1037, [email protected]. applications, the disclosure of which Health, 6701 Rockledge Drive, Room 5207, would constitute a clearly unwarranted MSC 7846, Bethesda, MD 20892, 301–435– Name of Committee: Center for Scientific 1206, [email protected]. Review Special Emphasis Panel; Toxicology invasion of personal privacy. Name of Committee: Center for Scientific and Digestive, Kidney and Urological Name of Committee: Microbiology, Review Special Emphasis Panel; RFA–OD– Systems AREA Review. Infectious Diseases and AIDS Initial Review 15–004—Tobacco Regulatory Science Small Date: November 8, 2016. Group; Acquired Immunodeficiency Grant Program for New Investigators (R03). Time: 8:00 a.m. to 5:00 p.m. Syndrome Research Review Committee. Date: November 4, 2016. Agenda: To review and evaluate grant Date: November 21–22, 2016. Time: 8:00 a.m. to 6:00 p.m. applications. Time: 10:00 a.m. to 5:00 p.m. Agenda: To review and evaluate grant Place: National Institutes of Health, 6701 Agenda: To review and evaluate grant applications. Rockledge Drive, Bethesda, MD 20892, applications. Place: Bethesda Marriott, 5151 Pooks Hill (Virtual Meeting). Place: National Institutes of Health, 5601 Road, Bethesda, MD 20814. Contact Person: Jonathan K Ivins, Ph.D., Fishers Lane, Rockville, MD 20892 Contact Person: Lawrence Ka-Yun Ng, Scientific Review Officer, Center for (Telephone Conference Call). Ph.D., Scientific Review Officer, Center for Scientific Review, National Institutes of Contact Person: Brenda L. Fredericksen, Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 4040A, Ph.D., Scientific Review Officer, Scientific Health, 6701 Rockledge Drive, Room 6152, MSC 7806, Bethesda, MD 20892, (301) 594– Review Program, Division of Extramural MSC 7804, Bethesda, MD 20892, 301–435– 1245, [email protected]. Activities, Room #3G22A, National Institutes 1719, [email protected]. Name of Committee: Center for Scientific of Health/NIAID, 5601 Fishers Lane, MSC Name of Committee: AIDS and Related Review Special Emphasis Panel; Member 9823, Bethesda, MD 20892–9823, (240) 669– Research Integrated Review Group; AIDS Conflict: Cellular and Molecular 5052, [email protected]. Discovery and Development of Therapeutics Immunology. (Catalogue of Federal Domestic Assistance Study Section. Date: November 8, 2016. Program Nos. 93.855, Allergy, Immunology, Date: November 4, 2016. Time: 12:00 p.m. to 3:00 p.m. and Transplantation Research; 93.856, Time: 9:00 a.m. to 5:00 p.m. Agenda: To review and evaluate grant Microbiology and Infectious Diseases Agenda: To review and evaluate grant applications. Research, National Institutes of Health, HHS) applications.

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Place: National Institutes of Health, 6701 Name of Committee: Center for Scientific Scientific Review, National Institutes of Rockledge Drive, Bethesda, MD 20892 Review Special Emphasis Panel; Shared Health, 6701 Rockledge Drive, Room 6187, (Virtual Meeting). Instrumentation Miscellaneous. MSC 7806, Bethesda, MD 20892, 301–495– Contact Person: Shiv A. Prasad, Ph.D., Date: November 9–10, 2016. 1718, [email protected]. Scientific Review Officer, Center for Time: 8:00 a.m. to 5:00 p.m. Name of Committee: Center for Scientific Scientific Review, National Institutes of Agenda: To review and evaluate grant Review Special Emphasis Panel; Health, 6701 Rockledge Drive, Room 5220, applications. Fellowships: Endocrinology, Metabolism, MSC 7852, Bethesda, MD 20892, 301–443– Place: National Institutes of Health, 6701 Nutrition, and Reproductive Science. Rockledge Drive, Bethesda, MD 20892 5779, [email protected]. Date: November 9, 2016. (Virtual Meeting). Name of Committee: Center for Scientific Time: 1:00 p.m. to 5:00 p.m. Contact Person: Alexander Gubin, Ph.D., Review Special Emphasis Panel; PAR–16–24: Agenda: To review and evaluate grant Scientific Review Officer, Center for Accelerating the Pace of Drug Abuse applications. Research Using Existing Data. Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 6046B, Place: National Institutes of Health, 6701 Date: November 4, 2016. Rockledge Drive, Bethesda, MD 20892 Time: 11:00 a.m. to 2:00 p.m. MSC 7892, Bethesda, MD 20892, 301–408– 9655, [email protected]. (Virtual Meeting). Agenda: To review and evaluate grant Contact Person: Elaine Sierra-Rivera, Ph.D., Name of Committee: Center for Scientific applications. Scientific Review Officer, EMNR IRG, Center Place: National Institutes of Health, 6701 Review Special Emphasis Panel; Small Business: Bioanalytical Chemistry, for Scientific Review, National Institutes of Rockledge Drive, Bethesda, MD 20892 Health, 6701 Rockledge Drive, Room 6182, (Virtual Meeting). Biophysics and Assay Development. Date: November 9–10, 2016. MSC 7892, Bethesda, MD 20892, 301–435– Contact Person: Kate Fothergill, Ph.D., 2514, [email protected]. Scientific Review Officer, Center for Time: 8:30 a.m. to 1:00 p.m. Name of Committee: Center for Scientific Scientific Review, National Institutes of Agenda: To review and evaluate grant Review Special Emphasis Panel; Member Health, 6701 Rockledge Drive, Room 3142, applications. Bethesda, MD 20892, 301–435–2309, Place: Hotel Kabuki, 1625 Post Street, San Conflict: Developmental Cell Physiology. [email protected]. Francisco, CA 94115. Date: November 9, 2016. Contact Person: Vonda K. Smith, Ph.D., Time: 1:00 p.m. to 3:30 p.m. Name of Committee: Center for Scientific Scientific Review Officer, Center for Agenda: To review and evaluate grant Review Special Emphasis Panel; Scientific Review, National Institutes of applications. Reproductive Health and Pregnancy. Health, 6701 Rockledge Drive, Room 6188, Place: National Institutes of Health, 6701 Date: November 4, 2016. MSC 7892, Bethesda, MD 20892, 301–435– Rockledge Drive, Bethesda, MD 20892 Time: 1:00 p.m. to 3:30 p.m. 1789, [email protected]. (Telephone Conference Call). Agenda: To review and evaluate grant Name of Committee: Center for Scientific Contact Person: Raya Mandler, Ph.D., applications. Review Special Emphasis Panel; Fellowship: Scientific Review Officer, Center for Place: National Institutes of Health, 6701 Infectious Diseases and Microbiology. Scientific Review, National Institutes of Rockledge Drive, Bethesda, MD 20892 Date: November 9–10, 2016. Health, 6701 Rockledge Drive, Room 5217, (Virtual Meeting). Time: 8:30 a.m. to 5:00 p.m. MSC 7840, Bethesda, MD 20892, 301–402– Contact Person: Gary Hunnicutt, Ph.D., Agenda: To review and evaluate grant 8228, [email protected]. Scientific Review Officer, Center for applications. Name of Committee: Center for Scientific Scientific Review, National Institutes of Place: Residence Inn Bethesda, 7335 Health, 6701 Rockledge Drive, Room 6164, Review Special Emphasis Panel; National Wisconsin Avenue, Bethesda, MD 20814. Resource for Cell Analysis and Modeling. MSC 7892, Bethesda, MD 20892, 301–435– Contact Person: Alexander D. Politis, 0229, [email protected]. Date: November 9–11, 2016. Ph.D., Scientific Review Officer, Center for Time: 4:00 p.m. to 2:00 p.m. Name of Committee: Center for Scientific Scientific Review, National Institutes of Agenda: To review and evaluate grant Review Special Emphasis Panel; Health, 6701 Rockledge Drive, Room 3210, applications. Cardiovascular and Surgical Devices. MSC 7808, Bethesda, MD 20892, (301) 435– Place: The Farmington Inn, 827 Date: November 7, 2016. 1150, [email protected]. Farmington Avenue, Farmington, CT 06032. Time: 7:30 a.m. to 6:00 p.m. Name of Committee: Center for Scientific Agenda: To review and evaluate grant Contact Person: C–L Albert Wang, Ph.D., Review Special Emphasis Panel; Immune Scientific Review Officer, Center for applications. system plasticity in dental, oral, and Place: Embassy Suites at the Chevy Chase Scientific Review, National Institutes of craniofacial diseases. Health, 6701 Rockledge Drive, Room 4146, Pavilion, 4300 Military Road NW., Date: November 9, 2016. Washington, DC 20015. MSC 7806, Bethesda, MD 20892, 301–435– Time: 9:00 a.m. to 6:00 p.m. 1016, [email protected]. Contact Person: Jan Li, MD, Ph.D., Agenda: To review and evaluate grant Scientific Review Officer, Center for applications. Name of Committee: Center for Scientific Scientific Review, National Institutes of Place: National Institutes of Health, 6701 Review Special Emphasis Panel; Member Health, 6701 Rockledge Drive, Room 5106, Rockledge Drive, Bethesda, MD 20892 Conflict: Vocal Cords and Larynx. Bethesda, MD 20892, 301.435.1049, jan.li@ (Virtual Meeting). Date: November 9, 2016. nih.gov. Contact Person: Yi-Hsin Liu, Ph.D., Time: 12:00 p.m. to 1:00 p.m. Name of Committee: Center for Scientific Scientific Review Officer, Center for Agenda: To review and evaluate grant Review Special Emphasis Panel; Member Scientific Review, National Institutes of applications. Conflict: Hepatobiliary Pathobiology and Health, 6701 Rockledge Drive, Room 4214, Place: National Institutes of Health, 6701 Toxicology. MSC 7814, Bethesda, MD 20892, 301–435– Rockledge Drive, Bethesda, MD 20892 Date: November 7, 2016. 1781, [email protected]. (Telephone Conference Call). Time: 1:00 p.m. to 4:00 p.m. Name of Committee: Center for Scientific Contact Person: Maribeth Champoux, Agenda: To review and evaluate grant Review Special Emphasis Panel; OBT Area Ph.D., Scientific Review Officer, Center for applications. Review. Scientific Review, National Institutes of Place: National Institutes of Health, 6701 Date: November 9, 2016. Health, 6701 Rockledge Drive, Room 3170, Rockledge Drive, Bethesda, MD 20892 Time: 10:00 a.m. to 4:00 p.m. MSC 7848, Bethesda, MD 20892, 301–594– (Telephone Conference Call). Agenda: To review and evaluate grant 3163, [email protected]. Contact Person: Atul Sahai, Ph.D., applications. (Catalogue of Federal Domestic Assistance Scientific Review Officer, Center for Place: National Institutes of Health, 6701 Program Nos. 93.306, Comparative Medicine; Scientific Review, National Institutes of Rockledge Drive, Bethesda, MD 20892 93.333, Clinical Research, 93.306, 93.333, Health, 6701 Rockledge Drive, Room 2188, (Virtual Meeting). 93.337, 93.393–93.396, 93.837–93.844, MSC 7818, Bethesda, MD 20892, 301–435– Contact Person: Rolf Jakobi, Ph.D., 93.846–93.878, 93.892, 93.893, National 1198, [email protected]. Scientific Review Officer, Center for Institutes of Health, HHS)

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Dated: October 5, 2016. Samantha Deshommes, Chief, 20 USCIS to gather the information David Clary, Massachusetts Avenue NW., necessary to adjudicate TPS Program Analyst, Office of Federal Advisory Washington, DC 20529–2140, applications and determine if an Committee Policy. Telephone number (202) 272–8377 applicant is eligible for TPS. [FR Doc. 2016–24513 Filed 10–7–16; 8:45 am] (This is not a toll-free number. (5) An estimate of the total number of BILLING CODE 4140–01–P Comments are not accepted via respondents and the amount of time telephone message). Please note contact estimated for an average respondent to information provided here is solely for respond: The estimated total number of DEPARTMENT OF HOMELAND questions regarding this notice. It is not respondents for the information SECURITY for individual case status inquiries. collection I–821 is 73,807 respondents Applicants seeking information about at an estimated 1 hour and 55 minutes U.S. Citizenship and Immigration the status of their individual cases can (1.92 hours) per response. 73,069 Services check Case Status Online, available at respondents for biometrics processing at the USCIS Web site at http:// an estimated 1 hour and 10 minutes [OMB Control Number 1615–0043] www.uscis.gov, or call the USCIS (1.17 hours) per response. Agency Information Collection National Customer Service Center at (6) An estimate of the total public Activities: Application for Temporary (800) 375–5283; TTY (800) 767–1833. burden (in hours) associated with the Protected Status, Form I–821; Revision SUPPLEMENTARY INFORMATION: collection: The total estimated annual of a Currently Approved Collection hour burden associated with this Comments collection is 227,200 hours. AGENCY: U.S. Citizenship and You may access the information (7) An estimate of the total public Immigration Services, Department of collection instrument with instructions, burden (in cost) associated with the Homeland Security. or additional information by visiting the collection: The estimated total annual ACTION: 30-Day notice. Federal eRulemaking Portal site at: cost burden associated with this http://www.regulations.gov and enter collection of information is $9,318,256. SUMMARY: The Department of Homeland USCIS–2007–0013 in the search box. Dated: October 3, 2016. Security (DHS), U.S. Citizenship and Written comments and suggestions from Samantha Deshommes, Immigration Services (USCIS) will be the public and affected agencies should submitting the following information address one or more of the following Chief, Regulatory Coordination Division, Office of Policy and Strategy, U.S. Citizenship collection request to the Office of four points: Management and Budget (OMB) for and Immigration Services, Department of (1) Evaluate whether the proposed Homeland Security. review and clearance in accordance collection of information is necessary [FR Doc. 2016–24496 Filed 10–7–16; 8:45 am] with the Paperwork Reduction Act of for the proper performance of the 1995. The information collection notice functions of the agency, including BILLING CODE 9111–97–P was previously published in the Federal whether the information will have Register on May 23, 2016, at 81 FR practical utility; 32341, allowing for a 60-day public (2) Evaluate the accuracy of the DEPARTMENT OF THE INTERIOR comment period. USCIS did receive 5 agency’s estimate of the burden of the comments in connection with the 60- proposed collection of information, Fish and Wildlife Service day notice. including the validity of the [FWS–HQ–ES–2016–N159; FF09E15000– DATES: The purpose of this notice is to methodology and assumptions used; FXHC112509CBRA1–167] allow an additional 30 days for public (3) Enhance the quality, utility, and comments. Comments are encouraged clarity of the information to be John H. Chafee Coastal Barrier and will be accepted until November 10, collected; and Resources System; Availability of Draft 2016. This process is conducted in (4) Minimize the burden of the Maps for Louisiana, Puerto Rico, and accordance with 5 CFR 1320.10. collection of information on those who the U.S. Virgin Islands; Request for are to respond, including through the Comments ADDRESSES: Written comments and/or suggestions regarding the item(s) use of appropriate automated, electronic, mechanical, or other AGENCY: Fish and Wildlife Service, contained in this notice, especially Interior. regarding the estimated public burden technological collection techniques or other forms of information technology, ACTION: Notice of availability; request and associated response time, must be for comments. directed to the OMB USCIS Desk Officer e.g., permitting electronic submission of responses. via email at oira_submission@ SUMMARY: The Coastal Barrier Resources omb.eop.gov. Comments may also be Overview of This Information Act (CBRA) requires the Secretary of the submitted via fax at (202) 395–5806. All Collection Interior (Secretary) to review the maps submissions received must include the (1) Type of Information Collection of the John H. Chafee Coastal Barrier agency name and the OMB Control Request: Revision of a Currently Resources System (CBRS) at least once Number 1615–0043. Approved Collection. every 5 years and make any minor and You may wish to consider limiting the (2) Title of the Form/Collection: technical modifications to the amount of personal information that you Application for Temporary Protected boundaries of the CBRS as are necessary provide in any voluntary submission Status. to reflect changes that have occurred in you make. For additional information (3) Agency form number, if any, and the size or location of any CBRS unit as please read the Privacy Act notice that the applicable component of the DHS a result of natural forces. The U.S. Fish is available via the link in the footer of sponsoring the collection: I–821; USCIS. and Wildlife Service (Service) has http://www.regulations.gov. (4) Affected public who will be asked conducted this review and has prepared FOR FURTHER INFORMATION CONTACT: or required to respond, as well as a brief draft revised maps for 14 CBRS units in USCIS, Office of Policy and Strategy, abstract: Primary: Individuals or Louisiana, all units in Puerto Rico, and Regulatory Coordination Division, households. Form I–821 is necessary for all units in the U.S. Virgin Islands. The

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draft maps were produced by the The Service’s review of 14 CBRS units to wetland loss along Bay Jacques, Fleur Service as part of a CBRS ‘‘digital in Louisiana, all units in Puerto Rico, Pond, Pipeline Canal, Scofield Bay, and Shell conversion’’ project that is done in and all units in the U.S. Virgin Islands Island Bay. The western boundary coincident partnership with the Federal Emergency resulted in a set of 65 draft revised with Unit S01A has been moved eastward to account for accretion at the eastern end of an Management Agency (FEMA). This maps, dated July 8, 2016, depicting a unnamed island between Bay Joe Wise and notice announces the findings of the total of 121 CBRS units. The set of maps the Gulf of Mexico. Service’s review and request for includes 31 maps for 14 CBRS units S01A: BAY JOE WISE COMPLEX. The comments on the draft revised maps located in Louisiana; 28 maps for 70 eastern boundary coincident with Unit S01 from Federal, State, and local officials. CBRS units located in Puerto Rico; and has been moved eastward to account for DATES: To ensure consideration, the 6 maps for 37 CBRS units located in the accretion at the eastern end of an unnamed Service must receive written comments U.S. Virgin Islands. The Service’s island between Bay Joe Wise and the Gulf of by November 10, 2016. review of these areas found a total of 41 Mexico. The western boundary of the unit CBRS units that require modifications has been modified to account for the ADDRESSES: Mail comments to Katie northward migration of an unnamed island Niemi, Coastal Barriers Coordinator, due to natural changes in the size or between Bay Cheniere Ronquille and the Gulf U.S. Fish and Wildlife Service, location of the units since they were last of Mexico. Ecological Services Program, 5275 mapped. S10: MERMENTAU RIVER UNIT. A Leesburg Pike, MS: ES, Falls Church, Following the close of the comment portion of the eastern boundary of the unit VA 22041, or send comments by period on the date listed in the DATES has been modified to account for shoreline electronic mail (email) to section of this document, the Service erosion along the Gulf of Mexico near Beach Prong. The southern boundary of the [email protected]. will review all comments received from Federal, State, and local officials on the excluded area at the western end of the unit FOR FURTHER INFORMATION CONTACT: draft maps; make adjustments to the has been modified to account for shoreline Katie Niemi, Coastal Barriers draft maps, as appropriate; and publish erosion along the Gulf of Mexico. Coordinator; (703) 358–2071 a notice in the Federal Register to (telephone); or [email protected] (email). Puerto Rico announce the availability of the final SUPPLEMENTARY INFORMATION: revised maps. The Service’s review found 22 of the 70 CBRS units in Puerto Rico to have Background Below is a summary of the changes depicted on the draft revised maps. changed due to natural forces. Maps for Background information on the CBRA the following CBRS units in Puerto Rico (16 U.S.C. 3501 et seq.) and the CBRS, Louisiana are depicted on U.S. Geological Survey as well as information on the digital The Service’s review found 6 of the 14 topographic quadrangles instead of conversion effort and the methodology CBRS units in Louisiana that are aerial imagery: PR–07 PR–09P, PR–10, used to produce the revised maps, can included in this review (Units LA–03P, PR–45P, PR–49P, PR–61, PR–63P, PR– be found in a notice the Service LA–04P, LA–05P, LA–07, LA–08P, LA– 64P, and PR–65P. published in the Federal Register on 09, LA–10, S01, S01A, S02, S08, S09, PR–07: LAGUNA AGUAS PRIETAS UNIT. August 29, 2013 (78 FR 53467). S10, and S11) to have changed due to A portion of the excluded area boundary of However, there is one deviation from natural forces. the unit has been modified to account for the methodology described in the 2013 The remaining seven Louisiana CBRS natural changes that have occurred in the notice. The Service was unable to obtain units not included in this review (Units configuration of the shoreline along Laguna aerial imagery to serve as the CBRS base LA–01, LA–02, S03, S04, S05, S06, and Aguas Prietas and the Atlantic Ocean. map for several areas in Puerto Rico that S07) were remapped and referenced in PR–09P: RIO FAJARDO UNIT. Portions of both meets the standards described in notices the Service published in the the landward boundary of the unit have been the 2013 notice (i.e., generally less than Federal Register on November 17, 2015 modified to account for natural changes that 5 years old, 1 meter per pixel resolution have occurred in the configuration of the (80 FR 71826) and March 14, 2016 (81 mangroves. or better, orthorectified, and available FR 13407). PR–10: PUNTA BARRANCAS UNIT. The free of charge) and is also free from LA–03P: CHANDELEUR ISLANDS UNIT. northern boundary of the unit has been cloud cover. In these cases (affecting A portion of the western boundary of the unit modified to account for natural changes that eight CBRS maps in Puerto Rico), the has been moved westward to account for the have occurred in the configuration of the Service substituted 2013 U.S. Geological migration of the Chandeleur Islands and to mangroves. Survey 7.5-minute topographic include associated shoals within the unit. In PR–16P: PUERTO DEL MANGLAR UNIT. quadrangles for aerial imagery. some places, the boundary has been A portion of the eastern boundary of the unit For information on how to access the generalized due to a lack of remaining has been modified to account for natural draft revised maps, see Availability of features in the area. changes that have occurred in the Draft Maps and Related Information. LA–05P: MARSH ISLAND/RAINEY UNIT. configuration of the wetland/fastland The northern boundary of the unit has been interface. Proposed Modifications to the CBRS modified to account for wetland erosion PR–17P: ENSENADA SOMBE UNIT. A Boundaries along Vermilion Bay and West Cote Blanche portion of the western boundary of the unit Bay. The eastern boundary of the unit has has been modified to account for natural This notice fulfills a requirement been modified to account for wetland erosion changes that have occurred along the under the CBRA (16 U.S.C. 3503(f)(3)) along East Cote Blanche Bay. Due to the shoreline of Ensenada Sombe. Portions of the that the Secretary publish a notice in the significant rate of erosion in this area, some northeastern boundary were modified to Federal Register of any proposed of the boundaries have been generalized. account for natural changes that have revisions to the CBRS to reflect: (1) LA–10: CALCASIEU PASS UNIT. A occurred in the configuration of the shoreline Changes that have occurred to the CBRS portion of the northern boundary of the unit of an unnamed ponding area. as a result of natural forces (e.g., erosion has been modified to account for wetland PR–18P: CAYO ALGODONES UNIT. A erosion along West Cove. Due to the portion of the northern boundary of the unit and accretion); (2) voluntary additions significant rate of erosion in this area, some has been modified to account for natural to the CBRS requested by property of the boundaries have been generalized. changes that have occurred along an owners; or (3) additions of excess S01: BASTIAN BAY COMPLEX. Portions unnamed channel. A portion of the Federal property to the CBRS (as of the eastern and northern boundaries of the northeastern boundary has been modified to authorized under 16 U.S.C. 3503(c)–(e)). unit have been modified and generalized due account for natural changes that have

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occurred in the configuration of the southeastern boundary has been modified to VI–11: WESTEND SALTPOND UNIT. A mangroves of Bosque Estatal De Ceiba. account for natural changes that have portion of the northeastern boundary of the PR–40: PUNTA TUNA UNIT. A portion of occurred along the shoreline of an island unit has been modified to account for the northwestern boundary of the unit has located in the channel of Can˜ o Boquero´n. shoreline erosion along Westend Saltpond. been modified to account for natural changes PR–69: PUNTA CARENERO UNIT. VI–11P: WESTEND SALTPOND UNIT. that have occurred in the configuration of the Portions of the landward boundary of the Offshore boundaries have been added at the mangroves. unit have been modified to account for western end of the unit to clarify the extent PR–41: RIO MAUNABO UNIT. The natural changes that have occurred in the of the unit. The eastern lateral boundary has western lateral boundary of the unit has been configuration of the wetland/fastland been extended offshore to clarify the extent extended to clarify the extent of the unit. No interface. of the unit. No modifications were made to modifications were made to the boundaries PR–83: TORTUGUERO UNIT. Portions of the boundaries of this unit as a result of of this unit as a result of changes due to the landward boundary of the unit have been changes due to natural forces. natural forces. modified to account for natural changes that VI–12P: CINNAMON BAY UNIT. A portion PR–45P: BAHIA DE JOBOS UNIT. A have occurred in the configuration of the of the landward boundary of the unit has portion of the northwestern landward wetland/fastland interface. Portions of the been modified to account for shoreline boundary of the unit has been modified to boundary have been modified to account for erosion along Cinnamon Bay. account for natural changes that have natural changes that have occurred along the VI–13P: MAHO BAY UNIT. A portion of occurred in the configuration of the shoreline of Laguna Tortuguero. the landward boundary of the unit has been mangroves of Mar Negro. PR–84: PUNTA GARZA UNIT. A portion of modified to reflect natural changes that have PR–49P: PUNTA AGUILA UNIT. A portion the western boundary of the unit has been occurred in the configuration of the wetland/ of the northwestern boundary of the unit has modified to account for natural changes that fastland interface. been modified to account for natural changes have occurred in the configuration of the VI–15P: LEINSTER BAY UNIT. Portions of mangroves. that have occurred in the configuration of the the landward boundary of the unit have been PR–86P: PUNTA SALINAS UNIT. A shoreline along an unnamed bay. modified to account for shoreline erosion portion of the northern boundary of the unit PR–55: ISLA DEL FRIO UNIT. A portion of along Leinster Bay and natural changes that has been modified to account for natural the landward boundary of the unit has been have occurred in the wetland/fastland changes that have occurred in the shoreline modified to account for natural changes that interface. along Bahı´a Toa. have occurred in the configuration of the VI–19P: RAM HEAD UNIT. Lateral offshore PR–87: PUNTA VACIA TALEGA UNIT. A shoreline along the Caribbean Sea. boundaries have been added to the eastern portion of the southwestern boundary of the PR–56: PUNTA CABULLONES UNIT. A and western ends of the unit to clarify the unit has been modified to account for natural portion of the landward boundary of the unit extent of the unit. No modifications were has been modified to account for natural changes that have occurred in the configuration of Canal Blasina. A portion of made to the boundaries of this unit as a result changes that have occurred in the of changes due to natural forces. configuration of the mangroves. the southern boundary has been modified to account for natural changes that have VI–27: LIMESTONE BAY UNIT. Portions PR–61: ENSENADA LAS PARDAS UNIT. of the landward boundary of the unit were The landward boundary of the unit has been occurred in the configuration of the wetland/ fastland interface. modified to reflect natural changes that have modified to account for natural changes that occurred in the configuration of the marsh have occurred in the configuration of the U.S. Virgin Islands adjacent to Limestone Bay. mangroves. The Service’s review found 13 of the VI–29: MAGENS BAY UNIT. Portions of PR–63P: CAYO DON LUIS UNIT. The the landward boundary of the unit have been northeastern portion of the landward 37 CBRS units in the U.S. Virgin Islands modified to account for natural changes that boundary of the unit has been modified to to have changed due to natural forces. have occurred in the configuration of the account for natural changes that have VI–01: RUST UP TWIST UNIT. Portions of shoreline along Magens Bay. occurred along the shoreline of an unnamed the landward boundary of the unit have been VI–32: VESSUP BAY UNIT. An offshore ponding area. modified to reflect natural changes that have boundary has been added to the unit in PR–64P: BAHIA MONTALVA UNIT. A occurred in the configuration of the wetland/ Vessup Bay to clarify the extent of the unit. portion of the northeastern landward fastland interface. The western lateral No modifications were made to the boundary of the unit has been modified to boundary has been extended offshore to boundaries of this unit as a result of changes account for natural changes that have clarify the extent of the unit. due to natural forces. occurred along the shoreline of Bahia VI–02: SALT RIVER BAY UNIT. Portions VI–34: JERSEY BAY UNIT. Portions of the Montalva. Portions of the northwest and of the landward boundary of the unit have landward boundary of the unit have been northeast landward boundary have been been modified to reflect natural changes that modified to account for natural changes that modified to account for natural changes that have occurred in the wetland/fastland have occurred in the configuration of the have occurred in the configuration of the interface. shoreline and wetland/fastland interface. The mangroves. Portions of the excluded area VI–03: ALTONA LAGOON UNIT. Portions eastern lateral boundary has been extended boundary have been modified to account for of the landward boundary of the unit have offshore to clarify the extent of the unit. natural changes that have occurred in the been modified to reflect natural changes that configuration of the wetland/fastland have occurred in the wetland/fastland Request for Comments interface along Isla Matei. interface. The CBRA requires consultation with PR–65P: ISLA CUEVA/GUAYACAN UNIT. VI–06: ROBIN BAY UNIT. A portion of the the appropriate Federal, State, and local Portions of the northeastern and landward boundary of the unit has been officials on the proposed CBRS northwestern landward boundary of the unit modified to account for natural changes that have been modified to account for natural have occurred in the configuration of the boundary modifications to reflect changes that have occurred in the shoreline along an unnamed salt pond. changes that have occurred in the size configuration of the mangroves. VI–09: KRAUSE LAGOON UNIT. A portion or location of any CBRS unit as a result PR–66: CABO ROJO UNIT. A portion of the of the landward boundary of the unit has of natural forces (16 U.S.C. 3503(c)). We northeastern boundary of the unit has been been modified to reflect natural changes that invite interested Federal, State, and modified to account for natural changes that have occurred in the wetland/fastland local officials to review and comment have occurred in the configuration of the interface. The eastern boundary of the unit on the draft maps for 14 CBRS units in shoreline of an unnamed lake. has been modified to account for natural Louisiana, all units in Puerto Rico, and PR–67P: BAHIA DE BOQUERON UNIT. A changes that have occurred along Krause all units in the U.S. Virgin Islands. The portion of the northwestern landward Lagoon Channel. boundary of the unit has been modified to VI–10: LONG POINT UNIT. A portion of Service is specifically notifying the account for natural changes that have the landward boundary of the unit has been following stakeholders concerning the occurred in the configuration of the shoreline modified to account for shoreline erosion availability of the draft maps and along Laguna Guaniquilla. A portion of the along Long Point Bay. opportunity to provide comments on the

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proposed boundary modifications: The Public Availability of Comments SUPPLEMENTARY INFORMATION: The Chair and Ranking Member of the House Before including your address, phone recommendations, findings, and actions of Representatives Committee on number, email address, or other of the Review Committee are advisory Natural Resources; the Chair and personal identifying information in your only and not binding on any person. Ranking Member of the Senate comment, you should be aware that These advisory findings and Committee on Environment and Public your entire comment—including your recommendations do not necessarily Works; the members of the Senate and personal identifying information—may represent the views of the National Park House of Representatives for the be made publicly available at any time. Service or Secretary of the Interior. The affected areas; the Governors of the While you can ask us in your comment National Park Service and the Secretary affected areas; the local elected officials to withhold your personal identifying of the Interior have not taken a position of the affected areas; and the information from public review, we on these matters. The Review Committee was appropriate Federal, State, and local cannot guarantee that we will be able to established by Section 8 of the Act, and agency officials. do so. Federal, State, and local officials may is an advisory body governed by the submit written comments and Gary Frazer, Federal Advisory Committee Act, as accompanying data to the individual Assistant Director for Ecological Services. amended, 5 U.S.C., App. Pursuant to 25 and location identified in the [FR Doc. 2016–24461 Filed 10–7–16; 8:45 am] U.S.C. 3006(d), any records and findings ADDRESSES section above. We will also BILLING CODE 4333–15–P made by the Review Committee relating accept digital Geographic Information to the identity or cultural affiliation of System (GIS) data files that are any cultural items and the return of accompanied by written comments. DEPARTMENT OF THE INTERIOR such items may be admissible in any Comments regarding specific units action brought under section 15 of the National Park Service should reference the appropriate CBRS Act (25 U.S.C. 3013). At its July 13, 2016, public meeting in unit number and unit name. Please note [NPS–WASO–NAGPRA–21877]; Missoula, MT, the Review Committee that boundary modifications through [PPWOCRADN0–PCU00RP14.R50000] heard a request from the Pueblo of Santa this process can only be made to reflect Ana, New Mexico, as an affected party. changes that have occurred in the size Native American Graves Protection The Pueblo of Santa Ana requested a or location of any CBRS unit as a result and Repatriation Review Committee finding of fact and the facilitation of a of natural forces, voluntary additions to Findings and Recommendations resolution of a dispute before the the CBRS, or additions of excess Federal Regarding Human Remains and Review Committee and asked that the property to the CBRS (as authorized Associated Funerary Objects for the Pueblo of Santa Ana, New Mexico Review Committee consider the cultural under 16 U.S.C. 3503(c)–(e)); other affiliation and most appropriate requests for changes to the CBRS will AGENCY: National Park Service, Interior. claimant for human remains and not be considered at this time. We must ACTION: Findings and recommendations. associated funerary objects under the receive comments on or before the date control of the American Museum of DATES SUMMARY: listed in . The National Park Service is Natural History (AMNH). publishing this notice as part of its Availability of Draft Maps and Related In 1914, human remains representing, administrative responsibilities pursuant Information at minimum, 37 individuals and 3 to the Native American Graves associated funerary objects were The draft maps and digital boundary Protection and Repatriation Act removed from Pueblo San Pedro Viejo, data can be accessed and downloaded (NAGPRA or the Act). The in Bernalillo County, NM, during from the Service’s Web site: http:// recommendations, findings, and actions excavations sponsored by the AMNH. www.fws.gov/ecological-services/ in this notice are advisory only and are AMNH has determined that there is a habitat-conservation/Coastal.html. The not binding on any person and may be relationship of shared group identity digital boundary data are available for admissible in any action brought under (cultural affiliation) that can be reference purposes only. The digital section 15 of the Act. The Native reasonably traced between these Native boundaries are best viewed using the American Graves Protection and American human remains and base imagery to which the boundaries Repatriation Review Committee (Review associated funerary objects and Kewa were drawn; this information is printed Committee) finds there is a relationship Pueblo, New Mexico, Pueblo of San in the title block of the draft maps. The of shared group identity that can be Felipe, New Mexico, and Pueblo of Service is not responsible for any reasonably traced between certain Santa Ana, New Mexico. misuse or misinterpretation of the Native American human remains and The AMNH published its digital boundary data. associated funerary objects and the determination of cultural affiliation in a Interested parties may also contact the Kewa Pueblo, New Mexico, Pueblo of Notice of Inventory Completion in the Service individual identified in the FOR San Felipe, New Mexico, and Pueblo of Federal Register (80 FR 76304–76305, FURTHER INFORMATION CONTACT section of Santa Ana, New Mexico. The Review December 8, 2015). Subsequently, the this notice to make arrangements to Committee recommends that the Pueblo Pueblo of San Felipe and the Pueblo of view the draft maps at the Service’s of Santa Ana, New Mexico, take the lead Santa Ana made separate requests for Headquarters office. Interested parties in repatriation and reburial of the the repatriation of the human remains who are unable to access the draft maps human remains. and associated funerary objects. Based via the Service’s Web site or at the ADDRESSES: The Review Committee on the information in AMNH’s Service’s Headquarters office may meeting transcript containing the possession, AMNH could not determine contact the Service individual identified proceedings and Review Committee the most appropriate of the two in the FOR FURTHER INFORMATION deliberation and findings is available claimants pursuant to the NAGPRA CONTACT section above, and reasonable online at http://www.nps.gov/nagpra/ regulations (43 CFR 10.10(c)(2)). accommodations will be made to ensure Review or from the National NAGPRA The Pueblo of Santa Ana disputes the individual’s ability to view the draft Program upon request (Nagpra_info@ AMNH’s determination that the Kewa maps. nps.gov). Pueblo, New Mexico, and the Pueblo of

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San Felipe, New Mexico, are culturally SUMMARY: The National Park Service is culturally affiliated with the Wiyot affiliated with Pueblo San Pedro Viejo publishing this notice as part of its Tribe. On February 25, 2015, PHMA and the individuals whose human administrative responsibilities pursuant denied the Wiyot Tribe’s claim to the remains were removed from the site. to the Native American Graves items as objects of cultural patrimony The Pueblo of Santa Ana disputes Protection and Repatriation Act and/or sacred objects under NAGPRA. AMNH’s decision that it could not (NAGPRA or the Act). The On December 9, 2015, after the Wiyot determine the Pueblo of Santa Ana to be recommendations, findings, and actions Tribe provided additional the most appropriate claimant. The in this notice are advisory only and are documentation to support its claim, Pueblo of Santa Ana requested that the not binding on any person and may be PHMA upheld its determination that the Review Committee review the record, admissible in any action brought under items were not eligible for repatriation first make a finding of fact on cultural section 15 of the Act. The Native under NAGPRA. On February 23, 2016, affiliation, and then, if necessary, make American Graves Protection and the Wiyot Tribe appealed PHMA’s a recommendation to the parties on Repatriation Review Committee (Review determination through the University of resolving the dispute concerning the Committee) finds that certain items California Office of the President most appropriate claimant. meet the definition of ‘‘sacred objects’’ (UCOP) and on June 7, 2016, UCOP Such finding of fact and facilitation of but do not meet the definition of upheld PHMA’s determination that the the resolution of this dispute between ‘‘objects of cultural patrimony’’ under items do not meet the NAGPRA the Pueblo of Santa Ana and AMNH are the Act and its implementing definition of sacred objects or objects of the express responsibilities of the regulations. cultural patrimony. Review Committee under the provisions ADDRESSES: The Review Committee The Wiyot Tribe disputes PHMA’s of Act at 25 U.S.C. 3006(c)(3) and (4). meeting transcript containing the determination that the items do not The Designated Federal Officer and the proceedings and Review Committee meet the definition of objects of cultural Review Committee Chair agreed that the deliberation and findings is available patrimony and/or sacred objects. The Review Committee would consider the online at http://www.nps.gov/nagpra/ Wiyot Tribe requested that the Review request at a public meeting held on July Review or from the National NAGPRA Committee review the record, first make 13, 2016, in Missoula, MT. Program upon request (Nagpra_info@ a finding of fact on the identity of the Finding of Fact and Recommendation nps.gov). items, and then, if necessary, make a to the Parties: All seven Review recommendation to the parties on Committee members currently SUPPLEMENTARY INFORMATION: The resolving the dispute. appointed by the Secretary of the recommendations, findings, and actions Such finding of fact and facilitation of Interior participated. By a vote of five of the Review Committee are advisory the resolution of this dispute between (5) to one (1) (the Chair did not vote), only and not binding on any person. the Wiyot Tribe and PHMA are the the Review Committee: These advisory findings and express responsibilities of the Review (a) Agreed with AMNH’s recommendations do not necessarily Committee under the provisions of the determination that there is a represent the views of the National Park Act at 25 U.S.C. 3006(c)(3) and (4). The relationship of shared group identity Service or Secretary of the Interior. The Designated Federal Officer and the that can be reasonably traced between National Park Service and the Secretary Review Committee Chair agreed that the the Native American human remains of the Interior have not taken a position Review Committee would consider the and associated funerary objects removed on these matters. request at a public meeting held on July from Pueblo San Pedro Viejo and the The Review Committee was 14, 2016, in Missoula, MT. Kewa Pueblo, New Mexico, Pueblo of established by Section 8 of the Act, and Finding Of Fact: Six of the seven San Felipe, New Mexico, and Pueblo of is an advisory body governed by the Review Committee members currently Santa Ana, New Mexico; and Federal Advisory Committee Act, as appointed by the Secretary of the (b) recommended that ‘‘the Pueblo of amended, 5 U.S.C., App. Pursuant to 25 Interior participated. By a vote of four Santa Ana take the lead in repatriation U.S.C. 3006(d), any records and findings (4) to one (1) (the Chair did not vote), and reburial.’’ made by the Review Committee relating the Review Committee found that the to the identity or cultural affiliation of items are sacred objects under Dated: September 6, 2016. any cultural items and the return of NAGPRA. By a vote of three (3) to two Armand Minthorn, such items may be admissible in any (2) (the Chair did not vote), the Review Chair, Native American Graves Protection action brought under section 15 of the Committee found that the items are not and Repatriation Review Committee. Act (25 U.S.C. 3013). objects of cultural patrimony under [FR Doc. 2016–24467 Filed 10–7–16; 8:45 am] At its July 14, 2016, public meeting in NAGPRA. BILLING CODE 4312–52–P Missoula, MT, the Review Committee heard a request from the Wiyot Tribe, Dated: September 6, 2016. California, as an affected party. The Armand Minthorn, DEPARTMENT OF THE INTERIOR Wiyot Tribe requested a finding of fact Chair, Native American Graves Protection and the facilitation of a resolution of a and Repatriation Review Committee. National Park Service dispute before the Review Committee [FR Doc. 2016–24468 Filed 10–7–16; 8:45 am] [NPS–WASO–NAGPRA–21878; and asked that the Review Committee BILLING CODE 4312–52–P PPWOCRADN0–PCU00RP14.R50000] consider the identity of cultural items under the control of the Phoebe A. Native American Graves Protection Hearst Museum of Anthropology, DEPARTMENT OF JUSTICE and Repatriation Review Committee University of California Berkeley Findings and Recommendations (PHMA). Federal Bureau of Investigation Regarding Cultural Items for the Wiyot In April 2014, the Wiyot Tribe Tribe, California Meeting of the CJIS Advisory Policy submitted a written request for the Board AGENCY: National Park Service, Interior. repatriation of two sets of shamanic regalia, claimed as both sacred objects AGENCY: Federal Bureau of Investigation ACTION: Findings and recommendations. and objects of cultural patrimony and (FBI), DOJ.

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ACTION: Meeting notice. made available to the APB for their examined electronically at http:// consideration prior to the meeting. www.justice.gov/enrd/consent-decrees. SUMMARY: The purpose of this notice is Anyone requiring special to announce the meeting of the Federal Cherie L. Rogers, Bureau of Investigation’s Criminal accommodations should notify Mr. Assistant Section Chief, Environmental Justice Information Services (CJIS) Trent at least seven (7) days in advance Defense Section, Environment and Natural Resources Division. Advisory Policy Board (APB). The CJIS of the meeting. [FR Doc. 2016–24432 Filed 10–7–16; 8:45 am] APB is a federal advisory committee Dated: September 30, 2016. BILLING CODE 4410–15–P established pursuant to the Federal R. Scott Trent, Advisory Committee Act (FACA). This CJIS Designated Federal Officer, Criminal meeting announcement is being Justice Information Services Division, Federal DEPARTMENT OF JUSTICE published as required by Section 10 of Bureau of Investigation. the FACA. [FR Doc. 2016–24462 Filed 10–7–16; 8:45 am] Notice of Lodging of Proposed DATES: The APB will meet in open BILLING CODE 4410–02–P Consent Decree Under the Toxic session from 8:30 a.m. until 5 p.m., on Substances Control Act December 7–8, 2016. On September 28, 2016, a proposed ADDRESSES: The meeting will take place DEPARTMENT OF JUSTICE consent decree was lodged with the at the Phoenix Convention Center, 100 United States District Court for the Notice of Lodging Proposed Consent North Third Street, Phoenix, AZ 85004, Northern District of Illinois in the telephone (602) 262–6225. Decree lawsuit entitled United States v. Sears FOR FURTHER INFORMATION CONTACT: Home Improvement Products, Inc., Civil In accordance with Departmental Inquiries may be addressed to Ms. Action No. 1:16–cv–09302. Policy, 28 CFR 50.7, notice is hereby Jillana L. Plybon; Management Program The United States filed this lawsuit Assistant; CJIS Training and Advisory given that a proposed Consent Decree in against Sears Home Improvement Process Unit, Resources Management United States v. Idlewild Acres, LLC, et Products, Inc., (‘‘SHIP’’) alleging Section; FBI CJIS Division, Module C2, al., Case No. 1:16–cv–11967, was lodged violations of Sections 402(c) and 406(b) 1000 Custer Hollow Road, Clarksburg, with the United States District Court for of Title IV of the Toxic Substances West Virginia 26306–0149; telephone the District of Massachusetts on Control Act (‘‘TSCA’’), 15 U.S.C. 2682(c) (304) 625–5424, facsimile (304) 625– September 30, 2016. and 2686(b), and the regulations 5090. This proposed Consent Decree promulgated thereunder. The complaint concerns a complaint filed by the alleged that home renovations SUPPLEMENTARY INFORMATION: The FBI undertaken by SHIP’s contractors did CJIS APB is responsible for reviewing United States against Defendants Idlewild Acres, LLC and Peter M. Wild, not comply with requirements to policy issues and appropriate technical document activities related to lead and operational issues related to the pursuant to 33 U.S.C. 1319(b) and (d), to obtain injunctive relief from and based paint at various locations programs administered by the FBI’s CJIS throughout the country. The proposed impose civil penalties against the Division, and thereafter, making consent decree requires SHIP to Defendants for violating the Clean Water appropriate recommendations to the FBI implement procedures that will help Director. The programs administered by Act by discharging pollutants without a ensure compliance with TSCA’s the CJIS Division are the Next permit into waters of the United States. requirements and pay a civil penalty of Generation Identification, Interstate The proposed Consent Decree resolves $400,000. Identification Index, Law Enforcement these allegations by requiring the The publication of this notice opens Enterprise Portal, National Crime Defendants to restore the impacted areas a period for public comment on the Information Center, National Instant and to pay a civil penalty. consent decree. Comments should be Criminal Background Check System, The Department of Justice will accept addressed to the Assistant Attorney National Incident-Based Reporting written comments relating to this General, Environment and Natural System, National Data Exchange, and proposed Consent Decree for thirty (30) Resources Division, and should refer to Uniform Crime Reporting. days from the date of publication of this United States v. Sears Home This meeting is open to the public. Notice. Please address comments to Improvement Products, Inc., D.J. Ref. All attendees will be required to check- Phillip R. Dupre´, Trial Attorney, United No. 90–5–1–1–11241/1. All comments in at the meeting registration desk. must be submitted no later than thirty Registrations will be accepted on a States Department of Justice, Environment and Natural Resources (30) days after the publication date of space available basis. Interested persons this notice. Comments may be Division, Environmental Defense whose registrations have been accepted submitted either by email or by mail in Section, Post Office Box 7611, may be permitted to participate in the the following manner: discussions at the discretion of the Washington, DC 20044, and refer to meeting chairman and with approval of United States v. Idlewild Acres, LLC, et To submit Send them to: the Designated Federal Officer (DFO). al., DJ # 90–5–1–1–19681. comments: Any member of the public may file a The proposed Consent Decree may be written statement with the Board. By email ...... pubcomment-ees.enrd@ examined at the Clerk’s Office, United usdoj.gov. Written comments shall be focused on States District Court for the District of By mail ...... Assistant Attorney General, the APB’s current issues under Massachusetts, 1 Courthouse Way, Suite U.S. DOJ–ENRD, P.O. Box discussion and may not be repetitive of 2300, Boston, MA 02210. In addition, 7611, Washington, DC previously submitted written the proposed Consent Decree may be 20044–7611 statements. Written comments should be provided to Mr. R. Scott Trent, DFO, During the public comment period, at least seven (7) days in advance of the the consent decree may be examined meeting so that the comments may be and downloaded at this Justice

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Department Web site: https:// To submit telephone call-in directions provided www.justice.gov/enrd/Consent_Decrees. comments: Send them to: below. We will provide a paper copy of the CALL–IN DIRECTIONS FOR OPEN SESSIONS: consent decree upon written request By email ...... pubcomment-ees.enrd@ • Call toll-free number: 1–866–451– usdoj.gov. and payment of reproduction costs. 4981; Please mail your request and payment By mail ...... Assistant Attorney General, • U.S. DOJ—ENRD, P.O. When prompted, enter the to: Consent Decree Library, U.S. DOJ— Box 7611, Washington, DC following numeric pass code: ENRD, P.O. Box 7611, Washington, DC 20044–7611. 5907707348 20044–7611. • Once connected to the call, your Please enclose a check or money order During the public comment period, telephone line will be automatically for $10.00 (25 cents per page the consent decree may be examined ‘‘MUTED’’. • reproduction cost) payable to the United and downloaded at this Justice To participate in the meeting during States Treasury. Department Web site: https:// public comment press #6 to ‘‘UNMUTE’’ Karen Dworkin, www.justice.gov/enrd/consent-decrees. your telephone line, once you have Assistant Chief, Environmental Enforcement We will provide a paper copy of the concluded your comments please press Section, Environment and Natural Resources consent decree upon written request *6 to ‘‘MUTE’’ your line. Division. and payment of reproduction costs. Members of the public are asked to keep [FR Doc. 2016–24441 Filed 10–7–16; 8:45 am] Please mail your request and payment their telephones muted to eliminate background noises. To avoid disrupting BILLING CODE 4410–15–P to: Consent Decree Library, U.S. DOJ— ENRD, P.O. Box 7611, Washington, DC the meeting, please refrain from placing 20044–7611. the call on hold if doing so will trigger DEPARTMENT OF JUSTICE Please enclose a check or money order recorded music or other sound. From for $8.00 (25 cents per page time to time, the presiding Chair may Notice of Lodging of Proposed reproduction cost) payable to the United solicit comments from the public. Consent Decree Under the Clean Air States Treasury. Meeting Schedule Act Robert Brook, Sunday, October 16, 2016—Time * On October 4, 2016, the Department Assistant Section Chief, Environmental of Justice lodged a proposed Consent 1. Operations and Regulations Enforcement Section, Environment and Committee—12:30 p.m. Decree with the United States District Natural Resources Division. Court for the Northern District of Iowa 2. Finance Committee [FR Doc. 2016–24458 Filed 10–7–16; 8:45 am] 3. Institutional Advancement in the lawsuit entitled United States v. BILLING CODE P NGL Crude Logistics, LLC and Western Committee Dubuque Biodiesel, LLC, Civil Action 4. Communications Subcommittee of No. 2:16–cv–01038–LRR. the Institutional Advancement The United States filed this lawsuit LEGAL SERVICES CORPORATION Committee under the Clean Air Act. The United 5. Audit Committee Sunshine Act Meeting States’ Complaint names NGL Crude Monday, October 17, 2016 Logistics, LLC (f/k/a Gavilon, LLC) and DATE AND TIME: The Legal Services 1. Governance & Performance Review Western Dubuque Biodiesel, LLC as Corporation’s Board of Directors and its Committee—8:15 a.m. defendants. The United States’ six committees will meet October 16– 2. Delivery of Legal Services Committee Complaint seeks retirement of 18, 2016. On Sunday, October 16, the approximately 36 million Renewable first meeting will commence at 12:30 Tuesday, October 18, 2016 Identification Numbers (RINs) and civil p.m., Mountain Standard Time (MST), 1. Board of Directors—9:00 a.m. penalties. with the meeting thereafter commencing STATUS OF MEETING: The proposed Consent Decree Open, except as promptly upon adjournment of the requires Western Dubuque Biodiesel, noted below. immediately preceding meeting. On Board of Directors—Open, except LLC to pay a $6 million civil penalty to Monday, October 17, the first meeting that, upon a vote of the Board of resolve the civil claims alleged in the will commence at 8:15 a.m., MST, with Directors, a portion of the meeting may Complaint against Western Dubuque the next meeting commencing promptly be closed to the public to hear briefings Biodiesel, LLC through the date of upon adjournment of the immediately by management and LSC’s Inspector lodging. The proposed Consent Decree preceding meeting. On Tuesday, General, and to consider and act on the does not resolve the United States’ October 18, the first meeting will General Counsel’s report on potential claims against NGL Crude Logistics, commence at 9:00 a.m., MST, it will be and pending litigation involving LSC, LLC. The publication of this notice opens followed by the closed session meeting development activities, and on a list of a period for public comment on the of the Board of Directors which will prospective Leaders Council consent decree. Comments should be commence promptly upon adjournment members.** addressed to the Assistant Attorney of the prior meeting. Institutional Advancement General, Environment and Natural LOCATION: The Hotel Andaluz, 125 2nd Committee—Open, except that the Resources Division, and should refer to Street NW., Albuquerque, New Mexico meeting may be closed to the public to United States v. NGL Crude Logistics, 87102. * Please note that all times in this notice are in PUBLIC OBSERVATION LLC and Western Dubuque Biodiesel, : Unless otherwise Eastern Standard Time. LLC, D.J. Ref. No. 90–5–2–1–11163. All noted herein, the Board and all ** Any portion of the closed session consisting comments must be submitted no later committee meetings will be open to solely of briefings does not fall within the Sunshine than thirty (30) days after the public observation. Members of the Act’s definition of the term ‘‘meeting’’ and, public who are unable to attend in therefore, the requirements of the Sunshine Act do publication date of this notice. not apply to such portion of the closed session. 5 Comments may be submitted either by person but wish to listen to the public U.S.C. 552b (a) (2) and (b). See also 45 CFR 1622.2 email or by mail: proceedings may do so by following the & 1622.3.

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receive a briefing on the development • Stefanie Davis, Assistant General Closed Session activities, and donor report. ** Counsel • 1. Approval of the minutes of the Audit Committee—Open, except that Helen Guyton, Assistant General Committee’s Closed Session the meeting may be closed to the public Counsel meeting of July 17, 2016 to hear a briefing on the Office of 8. Public comment 9. Consider and act on other business 2. Development activities report Compliance and Enforcement’s active 3. Consider and act on motion to enforcement matters. ** 10. Consider and act on motion to adjourn meetingllllll approve Leaders Council invitees A verbatim written transcript will be 4. Consider and act on other business made of the closed session of the Board, October 16, 2016 5. Consider and act on motion to Institutional Advancement Committee, adjourn the meetingllllll and Audit Committee. The transcript of FINANCE COMMITTEE any portions of the closed sessions Open Session Communications Subcommittee of the falling within the relevant provisions of Institutional Advancement Committee 1. Approval of agenda the Government in the Sunshine Act, 5 2. Approval of minutes of the Open Session U.S.C. 552b(c)(6) and (10), will not be Committee’s Open Session available for public inspection. A copy 1. Approval of agenda telephonic meeting of June 28, 2016 2. Approval of minutes of the of the General Counsel’s Certification 3. Approval of minutes of the that, in his opinion, the closing is Subcommittee’s Open Session Committee’s Open Session meeting of July 17, 2016 authorized by law will be available telephonic meeting of July 14, 2016 upon request. 3. Communications analytics update 4. Approval of minutes of the • Carl Rauscher, Director of MATTERS TO BE CONSIDERED: Committee’s Open Session meeting Communications and Media October 16, 2016 of July 17, 2016 Relations 5. Review of Finance Committee Charter 4. Approval of proposed Operations & Regulations Committee 6. Presentation of LSC’s Financial Communications Subcommittee Report for the eleven-month period Open Session Charter ending July 31, 2016 5. Board visits to LSC programs 1. Approval of agenda • David Richardson, Treasurer/ 2. Approval of minutes of the • John G. Levi, Chairman of the Board Comptroller • Committee’s meeting of July 18, 7. Report on status of FY 2017 Julie Reiskin, Subcommittee Chair 2016 appropriations process 6. Public comment 3. Review of Operations and Regulations • Carol Bergman, Vice President for 7. Consider and act on other business Committee Charter Government Relations & Public 8. Consider and act on motion to 4. Consider and act on Final Rule of Affairs adjourn the meetingllllll Proposed Rulemaking for 45CFR 8. Consider and act on Resolution October 16, 2016 part 1627—Subgrants with #2016–XXX, Temporary Operating consolidation of transfer provisions Budget for FY 2017 Audit Committee from 45 CFR part 1610.7 • David Richardson, Treasurer/ Open Session • Ron Flagg, General Counsel, Comptroller 1. Approval of agenda Corporate Secretary and Vice 9. Report on status of FY 2018 2. Approval of minutes of the President for Legal Affairs appropriations process Committee’s Open Session meeting • Stefanie Davis, Assistant General • Carol Bergman, Vice President for of July 17, 2016 Counsel Government Relations & Public 3. Consider and act on Resolution • Mark Freedman, Senior Associate Affairs General Counsel 10. Public comment #2016–XXX, Audit Committee 5. Consider and act on Proposed Rule 11. Consider and act on other business Charter for 45 CFR part 1630—Cost 12. Consider and act on adjournment of 4. Briefing by Office of Inspector Standards and the Property meetingllllll General • Acquisition and Management Jeffrey Schanz, Inspector General Institutional Advancement Committee Manual 5. Discussions with the Office of • Ron Flagg, General Counsel, Open Session Inspector General (OIG) pursuant to Section VIII(A)(3) and Section Corporate Secretary and Vice 1. Approval of agenda VIII(A)(4) of the Audit Committee President for Legal Affairs 2. Approval of minutes of the • Charter Stefanie Davis, Assistant General Committee’s Open Session meeting • John Seeba, Assistant Inspector Counsel of April 17, 2016 6. Consider and act on Justification 3. Approval of minutes of the General for Audits Memo for 45 CFR part 1629— Committee’s Open Session meeting 6. Discussions with OIG, Management, Bonding on Recipients of July 17, 2016 and WithumSmith+Brown on the • Ron Flagg, General Counsel, 4. Update on Leaders Council contemplated scope and plan for Corporate Secretary and Vice • John G. Levi, chairman LSC’s required annual audit, President for Legal Affairs 5. Development Report pursuant to Section VIII(A)(1) of the • Stefanie Davis, Assistant General • Wendy Rhein, Chief Development Committee Charter Counsel Officer • David Richardson, Treasurer and 7. Consider and act on Technical 6. Review of Institutional Advancement Comptroller Amendments for 45 CFR part Committee Charter • John Seeba, Assistant Inspector 1602—Procedures for disclosure of 7. Public Comment General for Audits information under FOIA 8. Consider and act on other business 7. Pursuant to Section VIII(C)(6) of the • Ron Flagg, General Counsel, 9. Consider and act on motion to Committee Charter, review LSC’s Corporate Secretary and Vice adjourn open session meeting and efforts, including training and President for Legal Affairs proceed to a closed session education, to help ensure that LSC

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employees and grantees act Affairs 11. Consider and act on the report of the ethically and safeguard LSC funds • Report on Board transition Ron Institutional Advancement • Ron Flagg, General Counsel, Flagg, General Counsel, Corporate Committee Corporate Secretary and Vice Secretary and Vice President for 12. Consider and act on the report of the President for Legal Affairs Legal Affairs Delivery of Legal Services • Lynn Jennings, Vice President for 8. Public comment Committee Grants Management 9. Consider and act on other business 13. Consider and act on Resolution in • David Richardson, Treasurer/ 10. Consider and act on motion to Memoriam Vernon J. Roanhorse Comptroller adjourn meetingllllll 14. Public comment • Jeffrey Schanz, Inspector General October 17, 2016 15. Consider and act on other business 8. Management update regarding risk 16. Consider and act on whether to management Delivery of Legal Services Committee authorize a closed session of the • Ron Flagg, General Counsel, Open Session Board to address items listed below Corporate Secretary and Vice President for Legal Affairs 1. Approval of agenda Closed Session 9. Briefing about follow-up by the Office 2. Approval of minutes of the Committee’s Open Session meeting 1. Approval of minutes of the Board’s of Compliance and Enforcement on Closed Session meeting of July 17, referrals by the Office of Inspector on July 18, 2016 3. Review of Delivery of Legal Services 2016 General regarding audit reports and 2. Briefing by Management annual Independent Public audits Committee Charter 4. Review and discussion of future 3. Briefing by Inspector General of grantees topics for Committee meetings 4. Consider and act on General • Lora Rath, Director, Office of • Jim Sandman, President Counsel’s report on potential and Compliance and Enforcement • Lynn Jennings, Vice President for pending litigation involving LSC • John Seeba, Assistant Inspector Grants Management 5. Consider and act on list of General for Audits • Janet LaBella, Director, Office of prospective funders 10. Public comment Program Performance 6. Consider and act on motion to 11. Consider and act on other business 5. Review of schedule of Program adjourn meeting Closed Session Quality Visits conducted by the CONTACT PERSON FOR INFORMATION: 1. Approval of minutes of the Office of Program Performance Katherine Ward, Executive Assistant to • Janet LaBella, Director, Office of Committee’s Closed Session the Vice President & General Counsel, at Program Performance meeting of July 17, 2016 (202) 295–1500. Questions may be sent 6. Panel presentation and Committee _ _ 2. Briefing by the Office of Compliance by electronic mail to FR NOTICE discussion of development and and Enforcement on active [email protected]. implementation of grantee priorities enforcement matter(s) and follow- NON–CONFIDENTIAL MEETING MATERIALS: and case acceptance guidelines: up to open investigation referrals Non-confidential meeting materials will Performance Area 1, Criteria 2 from the Office of Inspector be made available in electronic format at • Ed Marks, Executive Director, New • Lora Rath, Director, Office of least 24 hours in advance of the meeting Mexico legal Aid on the LSC Web site, at http:// Compliance and Enforcement • Lee Richardson, Executive Director, 3. Consider and act on motion to www.lsc.gov/board-directors/meetings/ Legal Aid of Arkansas llllll board-meeting-notices/non-confidential- adjourn the meeting • Rhodia Thomas, Executive Director, materials-be-considered-open-session. October 17, 2016 MidPenn Legal Services • Janet LaBella, Director, Office of ACCESSIBILITY: LSC complies with the Governance and Performance Review Program Performance (Moderator) American’s with Disabilities Act and Committee 7. Public comment Section 504 of the 1973 Rehabilitation Open Session 8. Consider and act on other business Act. Upon request, meeting notices and materials will be made available in 1. Approval of agenda 9. Consider and act on motion to adjourn the meetingllllll alternative formats to accommodate 2. Approval of minutes of the individuals with disabilities. Committee’s Open Session meeting October 18, 2016 Individuals who need other of July 18, 2016 Board of Directors accommodations due to disability in 3. Approval of minutes of the order to attend the meeting in person or Open Session Committee’s Closed Session telephonically should contact Katherine meeting of July 18, 2016 1. Pledge of Allegiance Ward, at (202) 295–1500 or FR_ 4. Review of Governance and 2. Approval of agenda [email protected], at least Performance Review Committee 3. Chairman’s Report 2 business days in advance of the Charter 4. Members’ Report meeting. If a request is made without 5. Report on 2016 Board and Committee 5. President’s Report advance notice, LSC will make every evaluations 6. Inspector General’s Report effort to accommodate the request but • Carol Bergman, Vice President for 7. Consider and act on the report of the cannot guarantee that all requests can be Government Relations & Public Finance Committee fulfilled. Affairs 8. Consider and act on the report of the 6. Report on foundation grants and Audit Committee Dated: October 6, 2016. LSC’s research agenda 9. Consider and act on the report of the Katherine Ward, • Jim Sandman, President Operations and Regulations Executive Assistant to the Vice President for 7. Report on transition planning Committee Legal Affairs, General Counsel & Corporate • Report on White House transition 10. Consider and act on the report of the Secretary. Carol Bergman, Vice President for Governance and Performance [FR Doc. 2016–24638 Filed 10–6–16; 4:15 pm] Government Relations & Public Review Committee BILLING CODE 7050–01–P

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MILLENNIUM CHALLENGE Dated: October 5, 2016. • ‘‘Pending Subsequent Reports’’ CORPORATION Sarah E. Fandell, amounts represent disbursements made VP/General Counsel and Corporate Secretary, [MCC FR 16–07] to the Compact permitted account that Millennium Challenge Corporation. will be allocated to individual projects Notice of Quarterly Report (October 1, As used in MCC’s disclosures under in subsequent quarters and reported as 2013—December 31, 2014) section 605 of the Act: such in subsequent quarterly reports. • ‘‘Total Obligation’’ for listed The ‘‘Cumulative Disbursements’’ AGENCY: Millennium Challenge Compacts includes both ‘‘Compact amount for ‘‘Pending Subsequent Corporation. Implementation Funding’’ under section Reports’’ represents the balance of such ACTION: Notice. 609(g) of the Act as well as funding outlays remaining at the end of the under section 605 of the Act. reporting period. SUMMARY: The Millennium Challenge • ‘‘Disbursements’’ are cash outlays • Corporation (MCC) is reporting for the rather than expenditures. Closed Compacts do not have any fiscal year (FY) quarters October 1, 2013 • ‘‘Measures’’ are the same Key quarterly disbursements; however, they to December 31, 2014, on assistance Performance Indicators that MCC are included in the report if provided under section 605 of the reports each quarter. The Key deobligations took place during the Millennium Challenge Act of 2003 (22 Performance Indicators may change over reporting period. Closed Compacts U.S.C. 7701 et seq.), as amended (the time to more accurately reflect compact include: Armenia, Benin I, Burkina Act), and on transfers or allocations of implementation progress. The unit for Faso, Cabo Verde I, El Salvador I, funds to other federal agencies under these measures is ‘‘a number of’’ unless Georgia I, Ghana I, Honduras, Lesotho I, section 619(b) of the Act. The following otherwise indicated. Madagascar, Mali, Mongolia I, Morocco • report will be made available to the ‘‘Program Administration and I, Mozambique, Namibia, Nicaragua, public by publication in the Federal Control’’ funds are used to pay items Tanzania and Vanuatu. Register and on the Internet Web site of such as salaries, rent, and the cost of • the MCC (www.mcc.gov) in accordance office equipment, as well as audit and Unless otherwise indicated, all with section 612(b) of the Act. oversight agent fees. programs and projects were solicited. 605 ASSISTANCE—DISBURSEMENTS [In United States dollars]

Cumulative Entity provided Program/project name Total FY 2014 FY 2014 FY 2014 FY 2014 FY 2015 disburse- assistance obligation Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1 ments

Burkina Faso ...... Agriculture Project ...... 141,510,059 11,393,735 9,790,338 15,405,386 8,402,118 3,324,525 140,420,941 Bright 2 School Project ...... 26,840,570 0 0 0 0 0 26,840,570 Land Tenure Project ...... 58,434,615 3,975,944 5,654,577 7,801,917 9,865,824 3,447,221 58,244,614 Monitoring and Evaluation ...... 7,880,000 424,223 242,078 67,134 437,447 191,644 4,669,395 Pending Subsequent Report ...... 0 ¥507,539 484,451 453,947 ¥754,421 ¥180,104 363,539 Program Administration and Control 49,758,545 2,404,048 1,718,737 2,052,781 2,175,099 2,480,361 48,345,809 Roads Project...... 194,530,681 13,041,011 24,609,125 31,397,256 29,573,406 17,544,857 193,891,857

Total Burkina Faso ...... 478,954,470 30,731,422 42,499,307 57,178,420 49,699,473 26,808,504 472,776,725

Cabo Verde II ...... Land Management For Investment 17,260,000 615,975 559,468 333,731 490,929 259,147 3,268,991 Projects. Monitoring and Evaluation ...... 1,390,000 566 ¥1,481 10,220 11,150 10,735 36,765 Pending Subsequent Report ...... 0 69,969 ¥62,154 22,752 ¥11,104 6,032 25,495 Program Administration and Control 7,850,000 258,835 349,255 320,156 343,206 270,631 2,841,607 Water, Sanitation and Hygiene 39,730,000 501,339 200,358 678,551 898,674 1,267,782 4,050,504 Project.

Total Cabo Verde II ...... 66,230,000 1,446,684 1,045,446 1,365,409 1,732,856 1,814,326 10,223,361

El Salvador II ...... Business Development Services ..... 3,300,000 0 0 0 0 0 0 Human Capital Project ...... 900,000 0 0 0 0 0 0 Infrastructure Project ...... 1,500,000 0 0 0 0 0 0 Monitoring and Evaluation ...... 400,000 0 0 0 0 0 0 Pending Subsequent Report ...... 0 0 0 0 0 0 0 Program Administration and Control 3,900,000 0 0 0 0 0 0

Total El Salvador II ...... 10,000,000 0 0 0 0 0 0

Georgia II ...... Education Project ...... 76,500,000 44,290 159,933 140,131 1,294 331,945 677,594 Monitoring and Evaluation ...... 3,500,000 0 0 0 0 0 0 Pending Subsequent Report ...... 0 209,055 ¥77,780 177,616 51,163 ¥320,798 39,256 Program Administration and Control 14,000,000 505,624 407,151 334,171 391,417 736,270 2,374,633 Tertiary Education Project ...... 30,000,000 431,731 388,954 199,789 1,463,627 1,532,985 4,017,085 Vocational Education Project ...... 16,000,000 0 0 0 0 69,300 69,300

Total Georgia II ...... 140,000,000 1,190,700 878,258 851,707 1,907,501 2,349,702 7,177,868

Ghana ...... Administrative ...... 0 0 0 0 0 0 0 Agriculture Project ...... 188,731,530 ¥407,393 0 407,393 ¥180,293 0 188,731,530 Infrastructure Project ...... 0 0 0 0 0 0 0 Monitoring and Evaluation ...... 6,941,811 0 0 0 0 0 6,941,811 Pending Subsequent Report ...... 0 3,700,000 0 ¥3,700,000 0 0 0 Program Administration and Control 36,874,551 0 0 0 1 0 36,874,550 Rural Development Project ...... 76,030,565 0 0 0 127,291 0 76,030,565

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605 ASSISTANCE—DISBURSEMENTS—Continued [In United States dollars]

Cumulative Entity provided Program/project name Total FY 2014 FY 2014 FY 2014 FY 2014 FY 2015 disburse- assistance obligation Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1 ments

Transportation Project ...... 227,710,512 ¥3,292,608 0 3,292,608 53,000 0 227,710,512

Total Ghana ...... 536,288,969 0 0 0 0 0 536,288,968

Ghana II ...... Access to Electricity Project ...... 700,000 0 0 0 0 0 0 Energy Efficiency and Demand Side 0 0 0 0 0 0 0 Management Project. Financial and Operational Turn- 7,600,800 0 0 0 0 0 0 around (Electricity Company of Ghana 1). Financial and Operational Turn- 3,529,000 0 0 0 0 0 0 around (Northern Electricity Dis- tribution Company). Financial and Operational Turn- 0 0 0 0 0 0 0 around (Electricity Company of Ghana 2). Monitoring and Evaluation ...... 1,510,000 0 0 0 0 0 0 Pending Subsequent Report ...... 0 0 0 0 0 0 0 Power Generation Sector Improve- 4,854,800 0 0 0 0 0 0 ment Project. Program Administration and Control 7,455,400 0 0 0 0 0 0 Regulatory Strengthening and Ca- 3,250,000 0 0 0 0 0 0 pacity Building Project.

Total Ghana II ...... 28,900,000 0 0 0 0 0 0

Indonesia ...... Community Nutrition Project ...... 129,500,000 5,335 36,978 181,792 253,944 11,822,595 34,759,317 Green Prosperity Project ...... 332,500,000 34,962 62,580 66,609 141,356 777,506 1,182,494 Monitoring and Evaluation ...... 12,200,000 0 0 0 0 720,664 720,664 Pending Subsequent Report ...... 0 317,285 ¥120,503 377,840 ¥174,359 256,222 729,754 Procurement Modernization Project 50,000,000 351,912 341,260 471,128 816,074 1,925,931 4,009,914 Program Administration and Control 75,800,000 1,402,143 1,512,095 1,954,049 2,499,064 2,322,534 13,595,118

Total Indonesia...... 600,000,000 2,111,637 1,832,410 3,051,419 3,536,080 17,825,452 54,997,260

Jordan ...... Expansion of Wastewater Treat- 97,120,950 15,128,511 11,768,335 940,143 9,282,359 1,248,335 76,116,031 ment Capacity. Monitoring and Evaluation ...... 2,809,894 21,610 28,847 219,805 21,662 21,675 375,783 Pending Subsequent Report ...... 0 ¥35,119 4,053 ¥5,097 23,043 3,021 34,447 Program Administration and Control 19,650,805 386,135 467,561 429,410 490,247 575,135 4,326,590 Wastewater Collection...... 66,989,225 3,532,261 2,768,093 3,419,241 5,502,460 4,992,258 32,752,377 Water Network Restructuring and 88,529,127 3,669,481 4,160,537 2,180,324 3,954,905 6,103,494 24,484,800 Rehabilitation.

Total Jordan ...... 275,100,000 22,702,880 19,197,425 7,183,826 19,274,676 12,943,918 138,090,029

Lesotho ...... Capacity Building ...... 0 0 0 0 0 0 0 Civil/Legal Sector Support ...... 0 0 0 0 0 0 0 Health Sector Project ...... 143,650,195 15,919,722 ¥753,987 23,881 0 0 143,650,195 Land Tenure Project ...... 0 0 0 0 0 0 0 Monitoring and Evaluation ...... 5,500,728 256,974 181,013 0 0 0 5,500,728 Pending Subsequent Report ...... 0 ¥199,501 1 ¥12,942 0 0 0 Private Sector Development Project 24,162,433 1,986,028 0 0 0 0 24,162,433 Procurement and Administration ..... 0 0 0 0 0 0 0 Program Administration and Control 34,918,925 2,188,853 101,302 ¥10,939 0 0 34,918,925 Water Sector Project ...... 149,813,612 14,004,878 ¥1 0 0 0 149,813,612

Total Lesotho ...... 358,045,892 34,156,953 ¥471,671 0 0 0 358,045,892

Malawi ...... Gender Integration Project ...... 0 0 0 0 0 0 0 Monitoring and Evaluation ...... 6,960,100 35,880 143,520 0 0 1,131 186,464 Natural Resource Management 28,026,000 213,866 91,018 379,585 300,685 10,819 995,972 Project. Pending Subsequent Report ...... 0 248,392 ¥180,088 ¥11,041 45,236 ¥6,728 250,859 Power Project ...... 255,648,800 572,012 134,447 1,035,243 2,253,940 1,735,978 5,731,621 Power Sector Reform Project ...... 25,553,400 221,705 249,385 724,681 718,116 1,335,602 3,472,531 Program Administration and Control 34,511,700 1,027,028 1,383,181 2,356,867 1,627,106 1,629,994 9,346,909 Total Malawi...... 350,700,000 2,318,884 1,821,463 4,485,335 4,945,082 4,706,796 19,984,357 Mali ...... Alatona Irrigation Project ...... 252,895,691 0 0 0 0 0 252,895,69 Bamako-Senou Airport Improve- 143,371,915 0 0 0 ¥31,476 0 143,371,915 ment Project. Industrial Park Project ...... 2,637,472 0 0 0 0 0 2,637,472 Monitoring and Evaluation ...... 1,688,026 0 0 0 0 0 1,688,027 Pending Subsequent Report ...... 0 0 0 0 0 0 0 Program Administration and Control 35,003,642 0 0 0 0 0 35,003,642

Total Mali ...... 435,596,747 0 0 0 ¥31,476 0 435,596,747

Moldova ...... Monitoring and Evaluation ...... 3,538,930 213,834 63,212 382,519 220,343 14,623 1,634,272

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605 ASSISTANCE—DISBURSEMENTS—Continued [In United States dollars]

Cumulative Entity provided Program/project name Total FY 2014 FY 2014 FY 2014 FY 2014 FY 2015 disburse- assistance obligation Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1 ments

Pending Subsequent Report ...... 0 ¥118,059 199,517 810,446 ¥293,684 ¥594,765 134,081 Program Administration and Control 23,247,668 1,223,387 813,895 832,821 836,381 905,775 13,680,202 Road Rehabilitation Project ...... 112,390,000 20,756,036 2,755,131 11,349,069 14,836,137 21,216,346 101,421,448 Transition To High Value Agriculture 122,823,402 9,798,457 4,753,661 15,362,042 10,226,080 12,254,189 72,924,459 Project.

Total Moldova ...... 262,000,000 31,873,654 8,585,415 28,736,897 25,825,256 33,796,167 189,794,463

Mongolia ...... Energy and Environmental Project .. 40,420,819 275,302 14,282 17,246 0 0 40,420,819 Health Project ...... 41,873,775 3,261,083 18,608 0 0 0 41,873,776 Monitoring and Evaluation ...... 5,085,246 392,984 0 0 0 0 5,085,246 Pending Subsequent Report ...... 0 ¥615,790 ¥57,984 0 0 0 0 Program Administration and Control 28,610,318 1,328,261 662,064 149,507 ¥74,754 0 28,610,318 Property Rights Project ...... 28,543,830 318,125 20,212 0 0 0 28,543,830 Rail Project ...... 369,560 0 0 0 0 0 369,560 Roads Project ...... 74,775,867 6,147,460 4,236 0 0 0 74,775,867 Vocational Education Project ...... 49,322,727 111,456 17,530 0 0 0 49,322,727

Total Mongolia ...... 269,002,143 11,218,881 678,948 166,754 ¥74,754 0 269,002,143

Morocco ...... Artisan and Fez Medina Project ...... 84,019,666 15,726,838 ¥323,055 329,816 0 0 84,019,666 Enterprise Support Project ...... 15,126,518 3,211 49 0 0 0 15,126,518 Financial Accountability ...... 0 0 0 0 0 0 0 Financial Services Project ...... 42,817,020 1,928,094 0 0 0 0 42,817,020 Fruit Tree Productivity Project ...... 324,163,440 30,388,407 1 0 0 0 323,369,991 Monitoring and Evaluation ...... 16,255,526 2,789,915 0 0 0 0 16,255,526 Pending Subsequent Report ...... 0 ¥1,053,506 ¥136,770 ¥46,373 0 0 0 Program Administration and Control 56,500,517 3,891,292 ¥18 26,022 0 0 56,500,517 Rural Development Project ...... 0 0 0 0 0 0 0 Small-Scale Fisheries Project ...... 111,281,204 18,507,220 310,950 ¥309,465 0 0 111,281,204 Transportation Project ...... 0 0 0 0 0 0 0

Total Morocco ...... 650,163,890 72,181,470 ¥148,843 0 0 0 649,370,442

Mozambique ...... Farmer Income Support Project ...... 18,857,349 1,855,435 19,893 0 0 0 18,857,349 Land Tenure Project ...... 39,466,421 3,668,233 ¥31,999 0 0 0 39,466,421 Monitoring and Evaluation ...... 4,073,077 851,699 21,760 0 0 0 4,073,077 Pending Subsequent Report ...... 0 ¥2,837,741 ¥3,115,537 ¥46,329 0 0 0 Program Administration and Control 48,483,703 6,187,513 1,870,307 46,329 706,997 0 48,483,703 Rehabilitation/Construction Of 136,802,301 17,844,298 95,729 0 0 0 136,802,301 Roads Project. Water Supply and Sanitation Project 200,221,661 23,300,256 2,150,510 0 0 0 200,221,661

Total Mozambique ...... 447,904,512 50,869,694 1,010,662 0 706,997 0 447,904,512

Namibia ...... Agriculture Project...... 51,439,139 3,092,659 4,301,409 3,858,573 2,064,357 2,237,463 50,029,275 Education Project...... 141,886,916 12,286,634 8,956,394 9,803,025 13,032,538 4,370,143 137,237,213 Monitoring and Evaluation...... 6,886,182 84,364 290,198 632,806 672,659 773,743 6,415,390 Pending Subsequent Report ...... 0 1,676,086 ¥516,092 ¥7,268,389 310,960 646,860 3,716,700 Program Administration and Control 35,789,383 1,665,196 1,235,533 1,423,372 1,598,913 3,994,297 33,365,598 Rural Development Project ...... 0 0 0 0 0 0 0 Tourism Project ...... 68,475,842 4,619,357 5,669,962 11,283,451 10,496,386 6,288,359 65,464,315

Total Namibia...... 304,477,463 23,424,296 19,937,405 19,732,839 28,175,814 18,310,864 296,228,491

Philippines ...... Community Development Grants 120,000,000 4,129,561 7,696,771 7,155,121 7,748,991 7,125,483 75,901,515 Project. KALAHI–CIDSS Project ...... 0 0 0 0 0 0 0 Monitoring and Evaluation ...... 8,207,000 173,308 135,260 99,022 139,294 168,264 2,027,532 Pending Subsequent Report ...... 0 2,111,447 21,877 ¥1,617,650 911,404 ¥1,092,558 5,058,482 Program Administration and Control 36,910,000 1,060,649 1,075,900 1,114,616 1,113,703 1,468,306 14,398,261 Revenue Administration Reform 54,300,000 55,909 1,125,801 2,645,058 875,506 1,116,814 11,666,358 Project. Roads Project ...... 214,493,000 7,517,140 3,797,637 8,678,866 16,632,689 10,530,412 95,566,371

Total Philippines...... 433,910,000 15,048,013 13,853,246 18,075,033 27,421,587 19,316,721 204,618,519

Senegal ...... Demand Assessment ...... 0 0 0 0 0 0 0 Irrigation ...... 170,341,171 8,082,655 16,444,544 19,022,475 12,166,091 15,456,116 100,655,919 Land Tenure Project ...... 0 0 0 0 0 0 0 Monitoring and Evaluation ...... 3,757,500 16,716 28,420 24,849 41,683 128,216 774,411 Pending Subsequent Report ...... 0 ¥719,147 166,031 ¥535,530 249,080 22,606 568,061 Pre-Feasibility and Feasibility Anal- 0 0 0 0 0 0 0 ysis. Program Administration and Control 41,188,830 1,212,154 1,243,739 1,768,298 1,290,872 1,433,630 20,493,819 Roads Project...... 324,712,499 10,925,884 16,542,582 25,570,082 17,326,600 24,658,251 135,713,053

Total Senegal...... 540,000,000 19,518,262 34,425,315 45,850,174 31,074,326 41,698,818 258,205,264

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605 ASSISTANCE—DISBURSEMENTS—Continued [In United States dollars]

Cumulative Entity provided Program/project name Total FY 2014 FY 2014 FY 2014 FY 2014 FY 2015 disburse- assistance obligation Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1 ments

Tanzania ...... Energy Sector Project ...... 199,461,627 22,613,285 0 0 0 0 199,461,627 Monitoring and Evaluation ...... 4,632,363 387,554 0 0 0 0 4,632,363 Pending Subsequent Report ...... 0 0 0 0 0 0 0 Program Administration and Control 30,480,760 1,631,748 10,372 0 0 0 30,480,760 Transport Sector Project ...... 405,402,512 44,755,778 0 0 0 0 405,402,512 Water Sector Project ...... 54,568,652 5,093,064 0 0 0 0 54,568,652

Total Tanzania ...... 694,545,914 74,481,428 10,372 0 0 0 694,545,914

Zambia ...... Infrastructure Project ...... 0 0 0 0 0 0 0 Monitoring and Evaluation ...... 5,841,000 0 6,843 1,268 0 0 25,999 Pending Subsequent Report ...... 0 ¥17,617 18,233 58,777 6,634 7,788 110,436 Program Administration and Control 38,823,951 1,716,377 1,050,630 1,612,473 1,673,344 1,928,332 10,096,838 Water Supply and Sanitation Project 8,137,125 0 0 ¥1,324,821 0 1,205,107 8,017,411 Water Supply, Sanitation and Drain- 301,955,564 62,473 80,042 173,719 529,434 322,397 1,456,503 age Project.

Total Zambia ...... 354,757,640 1,761,233 1,155,748 521,417 2,209,413 3,463,624 19,707,186

605 ASSISTANCE—MEASURES

FY 2014 FY 2015 Country Objectives Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1

Burkina Faso ...... Agriculture Devel- Hectares of new Hectares of new Hectares of new Hectares of new opment Project perimeter devel- perimeter devel- perimeter devel- perimeter devel- Objectives: Ex- opment in Di. opment in Di. opment in Di. opment in Di. panded produc- Responsible Responsible Responsible Responsible tive use of land members of members of members of members of in order to in- Water User As- Water User As- Water User As- Water User As- crease the vol- sociations sociations sociations sociations ume and value trained in the trained in the trained in the trained in the of agricultural Sourou. Sourou. Sourou. Sourou. production in Farmers trained ... Farmers trained ... Farmers trained ... Farmers trained Project Zones. Farmers who Farmers who Farmers who Farmers who have applied have applied have applied have applied improved prac- improved prac- improved prac- improved prac- tices as a result tices as a result tices as a result tices as a result of training. of training. of training. of training. Local water com- Local water com- Local water com- Local water com- mittees estab- mittees estab- mittees estab- mittees estab- lished and oper- lished and oper- lished and oper- lished and oper- ational in the ational in the ational in the ational in the Comoe´ and Comoe´ and Comoe´ and Comoe´ and Mouhoun. Mouhoun. Mouhoun. Mouhoun. Basin Water Re- Basin Water Re- Basin Water Re- Basin Water Re- sources Devel- sources Devel- sources Devel- sources Devel- opment and opment and opment and opment and Management Management Management Management Master Plan de- Master Plan de- Master Plan de- Master Plan de- veloped and veloped and veloped and veloped and validated. validated. validated. validated. Hectares under Hectares under Hectares under Hectares under improved prac- improved prac- improved prac- improved prac- tices as a result tices as a result tices as a result tices as a result of training. of training. of training. of training. BRIGHT II School Percent of girls Percent of girls Percent of girls Percent of girls Project Objec- regularly attend- regularly attend- regularly attend- regularly attend- tives: Increased ing (90 percent ing (90 percent ing (90 percent ing (90 percent primary school attendance) attendance) attendance) attendance) completion BRIGHT II BRIGHT II BRIGHT II BRIGHT II rates for girls. schools. schools. schools. schools. Girls promotion Girls promotion Girls promotion Girls promotion rates to next rates to next rates to next rates to next grade in grade in grade in grade in BRIGHT II BRIGHT II BRIGHT II BRIGHT II schools. schools. schools. schools. Percent of girls Percent of girls Percent of girls Percent of girls dropping out of dropping out of dropping out of dropping out of school. school. school. school.

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605 ASSISTANCE—MEASURES—Continued

FY 2014 FY 2015 Country Objectives Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1

Percent of girls Percent of girls Percent of girls Percent of girls passing the an- passing the an- passing the an- passing the an- nual Primary nual Primary nual Primary nual Primary Certificate exam Certificate exam Certificate exam Certificate exam in BRIGHT II in BRIGHT II in BRIGHT II in BRIGHT II schools. schools. schools. schools. Students enrolled Students enrolled Students enrolled Students enrolled in BRIGHT II in BRIGHT II in BRIGHT II in BRIGHT II schools (both schools (both schools (both schools (both girls and boys). girls and boys). girls and boys). girls and boys). Land Tenure Stakeholders Stakeholders Stakeholders Stakeholders Project Objec- trained. trained. trained. trained. tives: Increased Rural hectares Rural hectares Rural hectares Rural hectares investment in formalized in formalized in formalized in formalized in land and rural the new zone of the new zone of the new zone of the new zone of productivity Di, targeted Di, targeted Di, targeted Di, targeted through im- under the Agri- under the Agri- under the Agri- under the Agri- proved land culture Devel- culture Devel- culture Devel- culture Devel- tenure security opment project. opment project. opment project. opment project. and land man- Land administra- Land administra- Land administra- Land administra- agement. tion offices es- tion offices es- tion offices es- tion offices es- tablished or up- tablished or up- tablished or up- tablished or up- graded. graded. graded. graded. Municipal build- Municipal build- Municipal build- Municipal build- ings con- ings con- ings con- ings con- structed. structed. structed. structed. Rural land pos- Rural and posses- Rural land pos- Rural land pos- session certifi- sion certificates session certifi- session certifi- cates approved approved by the cates approved cates approved by the local local govern- by the local by the local government. ment. government. government. Land conflicts re- Land conflicts re- Land conflicts re- Land conflicts re- corded in the corded in the corded in the corded in the 17 communes 17 communes 17 communes 17 communes of phase I of of phase I of of phase I of of phase I of the Rural Land the Rural Land the Rural Land the Rural Land Governance Governance Governance Governance project. project. project. project. Land resolved in Land resolved in Land resolved in Land resolved in the 17 com- the 17 com- the 17 com- the 17 com- munes of munes of munes of munes of Phase I of the Phase I of the Phase I of the Phase I of the Rural Land Rural Land Rural Land Rural Land Governance Governance Governance Governance project. project. project. project. Roads Project Periodic road Periodic road Periodic road Periodic road Objectives: En- maintenance maintenance maintenance maintenance hanced access coverage rate coverage rate coverage rate coverage rate to markets (for all funds) (for all funds) (for all funds) (for all funds) through invest- (percent). (percent). (percent). (percent). ments in the Kilometers of pri- Kilometers of pri- Kilometers of pri- Kilometers of pri- road network. mary roads mary roads mary roads mary roads completed. completed. completed. completed. Percent disbursed Percent disbursed Percent disbursed Percent disbursed of road con- of road con- of road con- of road con- struction con- struction con- struction con- struction con- tracts (primary tracts (primary tracts (primary tracts (primary roads). roads). roads). roads). Kilometers of rural Kilometers of rural Kilometers of rural Kilometers of rural roads com- roads com- roads com- roads com- pleted. pleted. pleted. pleted. Percent disbursed Percent disbursed Percent disbursed Percent disbursed of road con- of road con- of road con- of road con- struction con- struction con- struction con- struction con- tracts (rural tracts (rural tracts (rural tracts (rural roads). roads). roads). roads).

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605 ASSISTANCE—MEASURES—Continued

FY 2014 FY 2015 Country Objectives Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1

Cabo Verde II ...... Land Manage- Legal and regu- Legal and regu- Legal and regu- Legal and regu- Legal and regu- ment for Invest- latory reforms latory reforms latory reforms latory reforms latory reforms ment Projects adopted. adopted. adopted. adopted. adopted. Objectives: In- Field test of Field test of Field test of Field test of Field test of creased invest- ‘‘Fieldwork Op- ‘‘Fieldwork Op- ‘‘Fieldwork Op- ‘‘Fieldwork Op- ‘‘Fieldwork Op- ments in and erations Man- erations Man- erations Man- erations Man- erations Man- value of prop- ual’’ and meth- ual’’ and meth- ual’’ and meth- ual’’ and meth- ual’’ and meth- erty; improved odology com- odology com- odology com- odology com- odology com- ease of doing pleted on Sal. pleted on Sal. pleted on Sal. pleted on Sal. pleted on Sal. business; in- Stakeholders re- Stakeholders re- Stakeholders re- Stakeholders re- creased invest- ceiving formal ceiving formal ceiving formal ceiving formal ments and on-the-job train- on-the-job train- on-the-job train- on-the-job train- value added in ing or technical ing or technical ing or technical ing or technical tourism; in- assistance re- assistance re- assistance re- assistance re- creased em- garding roles, garding roles, garding roles, garding roles, ployment. responsibilities responsibilities responsibilities responsibilities or new tech- or new tech- or new tech- or new tech- nologies. nologies. nologies. nologies. Percent of tar- geted surface area on target island (Sal) in- corporated into the Land Man- agement Infor- mation and Transaction System (LMITS). Households in intervention is- land(s) of high tourism invest- ment potential with land rights formalized through project. Parcels corrected or incorporated in land system. Land administra- tion offices es- tablished or up- graded. Adoption of ‘‘Op- erations Man- ual’’ for the Rights and Boundaries Ac- tivity fieldwork in full force and effect.

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605 ASSISTANCE—MEASURES—Continued

FY 2014 FY 2015 Country Objectives Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1

Water, Sanitation, Value of implicit Value of implicit Value of implicit Value of implicit Value of implicit and Hygiene subsidy reduc- subsidy reduc- subsidy reduc- subsidy reduc- subsidy reduc- Project Objec- tion (U.S. dol- tion (U.S. dol- tion (U.S. dol- tion (U.S. dol- tion (U.S. dol- tives: Increased lars). lars). lars). lars). lars). access to im- Operating cost Operating cost Operating cost Operating cost Operating cost proved water coverage (per- coverage (per- coverage (per- coverage (per- coverage (per- and sanitation; cent). cent). cent). cent). cent). reduced house- Service coverage Service coverage Service coverage Service coverage Service coverage hold costs for by corporatized by corporatized by corporatized by corporatized by corporatized water; reduced utilities (per- utilities (per- utilities (per- utilities (per- utilities (per- incidence of cent). cent). cent). cent). cent). waterborne dis- Continuity of serv- Continuity of serv- Continuity of serv- Continuity of serv- Continuity of serv- ease; improved ice (hours/day). ice (hours/day). ice (hours/day). ice (hours/day). ice (hours/day). capital accumu- Objective meas- Objective meas- Objective meas- Objective meas- Objective meas- lation; increase ure of water ure of water ure of water ure of water ure of water productive gov- quality (percent. quality (percent. quality (percent. quality (percent. quality (per- ernment spend- Non-revenue Non-revenue Non-revenue Non-revenue cent). ing. water for Mul- water for Mul- water for Mul- water for Mul- Non-revenue tiple Municipal tiple Municipal tiple Municipal tiple Municipal water for Mul- Utility/utilities Utility/utilities Utility/utilities Utility/utilities tiple Municipal (percent). (percent). (percent). (percent). Utility/utilities (percent). Value of signed Value of signed Value of signed Value of signed Value of signed water and sani- water and sani- water and sani- water and sani- water and sani- tation construc- tation construc- tation construc- tation construc- tation construc- tion contracts. tion contracts. tion contracts. tion contracts. tion works con- tracts. Percent disbursed Percent disbursed Percent disbursed Percent disbursed Percent disbursed of water and of water and of water and of water and of water and sanitation con- sanitation con- sanitation con- sanitation con- sanitation con- struction con- struction con- struction con- struction con- struction works tracts. tracts. tracts. tracts. contracts. Strategic National Strategic National Strategic National Strategic National Strategic National Master Plan Master Plan Master Plan Master Plan Master Plan and Strategic and Strategic and Strategic and Strategic and Strategic Environmental Environmental Environmental Environmental Environmental and Social As- and Social As- and Social As- and Social As- and Social As- sessment ap- sessment ap- sessment ap- sessment ap- sessment ap- proved by ap- proved by ap- proved by ap- proved by ap- proved by ap- propriate au- propriate au- propriate au- propriate au- propriate au- thorities. thorities. thorities. thorities. thorities. Value of signed Value of signed Value of signed Value of signed Value of signed water and sani- water and sani- water and sani- water and sani- water and sani- tation feasibility tation feasibility tation feasibility tation feasibility tation feasibility and design con- and design con- and design con- and design con- and design con- tracts. tracts. tracts. tracts. tracts. Percent disbursed Percent disbursed Percent disbursed Percent disbursed Percent disbursed of water and of water and of water and of water and of water and sanitation feasi- sanitation feasi- sanitation feasi- sanitation feasi- sanitation feasi- bility and design bility and design bility and design bility and design bility and design contracts. contracts. contracts. contracts. contracts. Percent disbursed Percent disbursed Percent disbursed Percent disbursed Percent disbursed of technical ad- of technical ad- of technical ad- of technical ad- of technical ad- visory services visory services visory services visory services visory services and training and training and training and training and training contracts in contracts in contracts in contracts in contracts in support of the support of the support of the support of the support of the Water, Sanita- Water, Sanita- Water, Sanita- Water, Sanita- Water, Sanita- tion and Hy- tion and Hy- tion and Hy- tion and Hy- tion and Hy- giene Project. giene Project. giene Project. giene Project. giene Project. Value disbursed Value disbursed Value disbursed Value disbursed Value disbursed of Infrastructure of Infrastructure of Infrastructure of Infrastructure of Infrastructure Grant Facility Grant Facility Grant Facility Grant Facility Grant Facility Social Funds Social Funds Social Funds Social Funds Social Funds for disadvan- for disadvan- for disadvan- for disadvan- for disadvan- taged groups taged groups taged groups taged groups taged groups and/or poor and/or poor and/or poor and/or poor and/or poor households. households. households. households. households.

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605 ASSISTANCE—MEASURES—Continued

FY 2014 FY 2015 Country Objectives Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1

Value of all Value of all signed technical signed technical advisory serv- advisory serv- ices and train- ices and train- ing contracts in ing contracts in support of the support of the Water, Sanita- Water, Sanita- tion and Hy- tion and Hy- giene Project. giene Project. Collection Ratio. Multiple municipal utilities staff per 1,000 potable water connec- tions. El Salvador II ...... Business Devel- Measures pending Measures pending Measures pending Measures pending Measures pend- opment Serv- ing. ices. Human Capital Project. Infrastructure Project. Georgia II ...... Education Project Measures pending Measures pending Measures pending Measures pending Schools fully re- habilitated. Science labs in- stalled and equipped. Percent disbursed of educational facility construc- tion, rehabilita- tion, and equip- ping contracts. School-based pro- fessional devel- opment facilitators trained. School principals trained. Science, math, English, and in- formation and communication technology teachers trained. Completion of teacher training design frame- work. International as- sessments completed Completion of pilot testing of national assess- ment instru- ments. Vocational Edu- Measures pending Measures pending Measures pending Measures pending Students partici- cation Project. pating in MCC- supported Technical Voca- tional Education and Training (TVET) pro- grams. Industry co-invest- ment in TVET provision.

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605 ASSISTANCE—MEASURES—Continued

FY 2014 FY 2015 Country Objectives Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1

Date first grant agreement is signed. Total grant out- lays. Tertiary Education Measures pending Measures pending Measures pending Measures pending Students enrolled Project. in MCC-sup- ported U.S. bachelor’s pro- grams. First cohort of stu- dents enter MCC-funded science, tech- nology, engi- neering and math bachelor’s program. Signing of part- nership agree- ment between the Government of Georgia and university part- ner. Georgian partner university fac- ulty members receiving train- ing from U.S. partner institu- tion. Ghana II ...... Access to Elec- Measures pending Measures pending Measures pending Measures pending Measures pend- tricity Project. ing. Energy Efficiency and Demand Side Manage- ment Project. Power Generation Sector Improve- ment Project. Regulatory Strengthening and Capacity Building Project. Indonesia ...... Community Nutri- Value of Generasi Value of Generasi Value of Generasi Value of Generasi Value of Generasi tion Project Ob- block grants block grants block grants block grants block grants jectives: Re- funded. funded. funded. funded. funded. duce and pre- vent low birth weight and childhood stunt- ing and malnourishment of children in project areas, and to increase household in- come through cost savings, productivity growth and higher lifetime earnings. Service providers Service providers Service providers Service providers Service providers Service providers trained on infant trained on infant trained on infant trained on infant trained on infant trained on and young child and young child and young child and young child and young child mother, infant feeding. feeding. feeding. feeding. feeding. and young child feeding.

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605 ASSISTANCE—MEASURES—Continued

FY 2014 FY 2015 Country Objectives Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1

Communications Communications Communications Communications Communications Date Communica- Campaign de- Campaign de- Campaign de- Campaign de- Campaign de- tions Campaign sign complete. sign complete. sign complete. sign complete. sign complete. design com- plete. Micro-nutrient Micro-nutrient Micro-nutrient Micro-nutrient Micro-nutrient Micro-nutrient packages deliv- packages deliv- packages deliv- packages deliv- packages deliv- packages deliv- ered (Iron Folic) ered (Iron Folic) ered (Iron Folic) ered (Iron Folic) ered (Iron Folic) ered (Iron (millions). (millions). (millions). (millions). (millions). Folic). Micro-nutrient Micro-nutrient Micro-nutrient Micro-nutrient Micro-nutrient packages deliv- packages deliv- packages deliv- packages deliv- packages deliv- ered (Taburia) ered (Taburia) ered (Taburia) ered (Taburia) ered (Taburia). (millions). (millions). (millions). (millions). Generasi pro- Generasi pro- Generasi pro- Generasi pro- posals. posals. posals. posals. Generasi Generasi Generasi Generasi facilitators facilitators facilitators facilitators trained on trained on trained on trained on stunting and stunting and stunting and stunting and gender. gender. gender. gender. Sanitation trig- gering events. Service providers trained on growth moni- toring. Green Prosperity Signed memo- Signed memo- Signed memo- Signed memo- Signed memo- Project Objec- randa of under- randa of under- randa of under- randa of under- randa of under- tives: Increase standing be- standing be- standing be- standing be- standing be- productivity and tween the Indo- tween the Indo- tween the Indo- tween the Indo- tween the Indo- reduce reliance nesia account- nesia account- nesia account- nesia account- nesia account- on fossil fuels able entity and able entity and able entity and able entity and able entity and by expanding districts. districts. districts. districts. districts. renewable en- Green Knowledge Green Knowledge Green Knowledge Green Knowledge Green Knowledge ergy; and In- work plan com- work plan com- work plan com- work plan com- work plan com- crease produc- pleted. pleted. pleted. pleted. pleted. tivity and re- Financial service Financial service Financial service Financial service duce land- provider part- provider part- provider part- provider part- based green- nerships estab- nerships estab- nerships estab- nerships estab- house gas lished (loan lished (loan lished (loan lished (loan emissions by agreement). agreement). agreement). agreement). improving land Financial service Financial service Financial service Financial service use practices provider part- provider part- provider part- provider part- and manage- nerships estab- nerships estab- nerships estab- nerships estab- ment of natural lished (grant lished (grant lished (grant lished (grant resources. partnerships). partnerships). partnerships). partnerships). Financial service Financial service Financial service Financial service provider part- provider part- provider part- provider part- nerships estab- nerships estab- nerships estab- nerships estab- lished (grant lished (grant lished (grant lished (grant managers). managers). managers). managers). Project financing Project financing Project financing Project financing approved by the approved by the approved by the approved by the Green Pros- Green Pros- Green Pros- Green Pros- perity Finance perity Finance perity Finance perity Finance Facility. Facility. Facility. Facility. Formal district Formal district Formal district Formal district adoption of adoption of adoption of adoption of guidelines for guidelines for guidelines for guidelines for participatory vil- participatory vil- participatory vil- participatory vil- lage boundary lage boundary lage boundary lage boundary setting. setting. setting. setting. Financial service Financial service Financial service Financial service provider part- provider part- provider part- provider part- nerships estab- nerships estab- nerships estab- nerships estab- lished (imple- lished (imple- lished (imple- lished (imple- menting entity menting entity menting entity menting entity agreements). agreements). agreements). agreements).

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605 ASSISTANCE—MEASURES—Continued

FY 2014 FY 2015 Country Objectives Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1

Project funds dis- Project funds dis- Project funds dis- Project funds dis- bursed by the bursed by the bursed by the bursed by the Technical As- Technical As- Technical As- Technical As- sistance and sistance and sistance and sistance and Oversight Activ- Oversight Activ- Oversight Activ- Oversight Activ- ity (percent). ity (percent). ity (percent). ity (percent). Hectares targeted for improved practices for sustainable ag- riculture (includ- ing agro-for- estry) as a re- sult of Green Prosperity-fund- ed projects and/ or partnerships. Hectares targeted for protection through Green Prosperity-fund- ed projects and/ or partnerships. Additional capac- ity of renewable energy planned. Grant agreements approved by Green Pros- perity Finance Facility. Villages assisted in participatory boundary set- ting. District land use, land cover, and permits and li- censes inven- tories created. Proposals that re- ceive project preparation support. Procurement Procurement Procurement Procurement Procurement Procurement Modernization management in- management in- management in- management in- management in- Project Objec- formation sys- formation sys- formation sys- formation sys- formation sys- tives: Achieve tem adopted. tem adopted. tem adopted. tem adopted. tem adopted significant gov- Creation of sus- Creation of sus- Creation of sus- Creation of sus- (Phase I). ernment ex- tainable pro- tainable pro- tainable pro- tainable pro- Date the sustain- penditure sav- curement policy curement policy curement policy curement policy able procure- ings on pro- National Action National Action National Action National Action ment policy Na- cured goods Plan. Plan. Plan. Plan. tional Action and services, Framework agree- Framework agree- Framework agree- Framework agree- Plan endorsed. while assuring ments signed ments signed ments signed ments signed their quality sat- and catalogued. and catalogued. and catalogued. and catalogued. isfies the public Procurement Procurement Procurement Procurement need, and to Service Unit Service Unit Service Unit Service Unit achieve the de- staff trained. staff trained. staff trained. staff trained. livery of public Creation of public Creation of public Creation of public Creation of public services as private partner- private partner- private partner- private partner- planned. ship standard ship standard ship standard ship standard bidding docu- bidding docu- bidding docu- bidding docu- ments. ments. ments. ments. Date e-catalogue system estab- lished. Mentor visits con- ducted.

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605 ASSISTANCE—MEASURES—Continued

FY 2014 FY 2015 Country Objectives Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1

Hours of training conducted. Jordan ...... Expansion Of Treated waste- Treated waste- Treated waste- Treated waste- Treated waste- Wastewater water used in water used in water used in water used in water used in Treatment Ca- agriculture (as a agriculture (as a agriculture (as a agriculture (as a agriculture (as a pacity Objec- percent of all percent of all percent of all percent of all percent of all tives: Increase water used for water used for water used for water used for water used for the volume of irrigation in irrigation in irrigation in irrigation in irrigation in treated waste- Northern and Northern and Northern and Northern and Northern and water available Middle Jordan Middle Jordan Middle Jordan Middle Jordan Middle Jordan as a substitute Valley). Valley). Valley). Valley). Valley). for freshwater in Value disbursed Value disbursed Value disbursed Value disbursed Value disbursed agricultural use. of construction of construction of construction of construction of construction contracts; MCC contracts; MCC contracts; MCC contracts; MCC contracts; MCC contribution. contribution. contribution. contribution. contribution. Total engineering, Total engineering, Total engineering, Total engineering, Total engineering, procurement, procurement, procurement, procurement, procurement, and construc- and construc- and construc- and construc- and construc- tion costs of As- tion costs of As- tion costs of As- tion costs of As- tion costs of As- Samra Expan- Samra Expan- Samra Expan- Samra Expan- Samra Expan- sion. sion. sion. sion. sion. Wastewater Col- Sewer blockage Sewer blockage Sewer blockage Sewer blockage Sewer blockage lection Objec- events; annual. events; annual. events; annual. events; annual. events; annual. tives: Increase Volume of waste- Volume of waste- Volume of waste- Volume of waste- Volume of waste- access to the water collected; water collected; water collected; water collected; water collected; wastewater net- (millions of (millions of (millions of (millions of (millions of work, increase cubic meters cubic meters cubic meters cubic meters cubic meters the volume of per year). per year). per year). per year). per year). wastewater col- Residential popu- Residential popu- Residential popu- Residential popu- Residential popu- lected and re- lation con- lation con- lation con- lation con- lation con- duce the inci- nected to the nected to the nected to the nected to the nected to the dents of sew- sewer system sewer system sewer system sewer system sewer system age overflow. (percent). (percent). (percent). (percent). (percent). Expand network Expand network Expand network Expand network Expand network (kilometers). (kilometers). (kilometers). (kilometers). (kilometers). Value disbursed Value disbursed Value disbursed Value disbursed Value disbursed of sanitation of sanitation of sanitation of sanitation of sanitation construction construction construction construction construction contracts. contracts. contracts. contracts. contracts. Water Network Network water Network water Network water Network water Network water Restructuring consumption consumption consumption consumption consumption and Rehabilita- per capita (resi- per capita (resi- per capita (resi- per capita (resi- per capita (resi- tion Objectives: dential and non- dential and non- dential and non- dential and non- dential and non- Reduce water residential); li- residential); li- residential); li- residential); li- residential); li- losses, improve ters/capita/day. ters/capita/day. ters/capita/day. ters/capita/day. ters/capita/day. continuity of Operating cost Operating cost Operating cost Operating cost Operating cost water service coverage— coverage— coverage— coverage— coverage— and improve Water Authority Water Authority Water Authority Water Authority Water Authority overall effi- Jordan Zarqa. Jordan Zarqa. Jordan Zarqa. Jordan Zarqa. Jordan Zarqa. ciency and use Non-Revenue Non-Revenue Non-Revenue Non-Revenue Non-Revenue of network Water (percent). Water (percent). Water (percent). Water (percent). Water (percent). water delivery Continuity of Sup- Continuity of Sup- Continuity of Sup- Continuity of Sup- Continuity of Sup- leading to ply time; hours ply time; hours ply time; hours ply time; hours ply time; hours households per week. per week. per week. per week. per week. substituting net- Restructured and Restructured and Restructured and Restructured and Restructured and work water for rehabilitated pri- rehabilitated pri- rehabilitated pri- rehabilitated pri- rehabilitated pri- costly alter- mary and sec- mary and sec- mary and sec- mary and sec- mary and sec- natives. ondary pipe- ondary pipe- ondary pipe- ondary pipe- ondary pipe- lines (kilo- lines (kilo- lines (kilo- lines (kilo- lines (kilo- meters). meters). meters). meters). meters). Restructured and Restructured and Restructured and Restructured and Restructured and rehabilitated ter- rehabilitated ter- rehabilitated ter- rehabilitated ter- rehabilitated ter- tiary pipelines tiary pipelines tiary pipelines tiary pipelines tiary pipelines (kilometers). (kilometers). (kilometers). (kilometers). (kilometers).

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605 ASSISTANCE—MEASURES—Continued

FY 2014 FY 2015 Country Objectives Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1

Value disbursed Value disbursed Value disbursed Value disbursed Value disbursed of water con- of water con- of water con- of water con- of water con- struction con- struction con- struction con- struction con- struction con- tracts—Infra- tracts—Infra- tracts—Infra- tracts—Infra- tracts—Water structure Activ- structure Activ- structure Activ- structure Activ- Network ity and Water ity and Water ity and Water ity and Water Project. Smart Homes Smart Homes Smart Homes Smart Homes Activity. Activity. Activity. Activity. National Aid Fund National Aid Fund National Aid Fund National Aid Fund National Aid Fund households with households with households with households with households with improved water improved water improved water improved water improved water and wastewater and wastewater and wastewater and wastewater and wastewater network. network. network. network. network. National Aid Fund National Aid Fund National Aid Fund National Aid Fund National Aid Fund households households households households households connected to connected to connected to connected to connected to the wastewater the wastewater the wastewater the wastewater the wastewater network as a network as a network as a network as a network as a result of the result of the result of the result of the result of the Water Smart Water Smart Water Smart Water Smart Water Smart Homes Activity. Homes Activity. Homes Activity. Homes Activity. Homes Activity. Lesotho ...... Health Sector Deliveries con- Compact closed .. Compact closed .. Compact closed .. Compact closed. Project Objec- ducted in health tives: Increase centers (per- access to life- cent). extending anti- People with HIV retroviral treat- still alive 12 ment and es- months after ini- sential health tiation of treat- services by pro- ment (percent). viding a sus- Tuberculosis noti- tainable delivery fications (per platform. 100,000 popu- lation). Health centers equipped (per- cent). Physical comple- tion of health center facilities (percent). Physical comple- tion of Out- patient Depart- ments (percent). Physical comple- tion of the Botsabelo facili- ties (percent). Private Sector De- Debit/smart cards Compact closed .. Compact closed .. Compact closed .. Compact closed. velopment issued. Project Objec- Bonds registered tives: Stimulate Change in time investment by for property improving ac- transactions cess to credit, (percent). reducing trans- Urban land par- action costs cels regularized and increasing and registered. the participation Stakeholders of women in the trained. economy. Time required to resolve com- mercial disputes (days). Cases filed at the commercial court.

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605 ASSISTANCE—MEASURES—Continued

FY 2014 FY 2015 Country Objectives Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1

Women holding ti- tles to land. People trained. Water Sector Physical comple- Compact closed .. Compact closed .. Compact closed .. Compact closed. Project Objec- tion of Metolong tives: Improve water treatment the water sup- works contract ply for industrial (percent). and domestic Households with needs, and en- provisions to hance rural live- connect to lihoods through water networks. improved water- Non-revenue shed manage- water (percent). ment. Physical comple- tion of Urban Water supply works contracts (percent). Ventilated im- proved pit la- trines built. Water points con- structed. Malawi ...... Natural Resource Value of signed Value of signed Value of signed Value of signed Value of signed Management weed and sedi- weed and sedi- weed and sedi- weed and sedi- weed and sedi- Project Objec- ment manage- ment manage- ment manage- ment manage- ment manage- tives: Increase ment activity ment activity ment activity ment activity ment activity efficiency of hy- contracts. contracts. contracts. contracts. contracts. dropower gen- Distribution of Distribution of Distribution of Distribution of eration. invasive aquatic invasive aquatic invasive aquatic invasive aquatic species (cubic species (cubic species (cubic species (cubic kilometers). kilometers). kilometers). kilometers). Amount of weed Amount of weed Amount of weed Amount of weed harvested at harvested at harvested at harvested at Liwonde bar- Liwonde bar- Liwonde bar- Liwonde bar- rage (metric rage (metric rage (metric rage (metric tons). tons). tons). tons). Grant agreements in place with civil society and private sector service pro- viders. Value of signed Environmental and Natural Re- source Manage- ment & Social and Gender As- sessment project con- tracts. Power Project Ob- Percent disbursed Percent disbursed Percent disbursed Percent disbursed Percent disbursed jectives: Im- of feasibility and of feasibility and of feasibility and of feasibility and of feasibility and prove the avail- design con- design con- design con- design con- design con- ability, reliability tracts. tracts. tracts. tracts. tracts. and quality of Average duration Average duration Average duration Average duration the power sup- of outages/inter- of outages/inter- of outages/inter- of outages/inter- ply by increas- ruptions (hours). ruptions (hours). ruptions (hours). ruptions (hours). ing the through- Average fre- Average fre- Average fre- Average fre- put capacity quency of quency of quency of quency of and stability of forced outages/ forced outages/ forced outages/ forced outages/ the national Interruptions Interruptions Interruptions Interruptions electricity grid. (ratio). (ratio). (ratio). (ratio).

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FY 2014 FY 2015 Country Objectives Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1

Average fre- Average fre- Average fre- quency of quency of quency of forced outages/ forced outages/ forced outages/ Interruptions Interruptions Interruptions (ratio). (ratio). (ratio). Value of signed power infra- structure con- struction con- tracts. Power Sector Re- Cost recovery Cost recovery Cost recovery Cost recovery form Project ratio—operating ratio—operating ratio—operating ratio—operating Objectives: Cre- expenses (per- expenses (per- expenses (per- expenses (per- ate an enabling cent). cent). cent). cent). environment for Debt- equity ratio Debt- equity ratio Debt- equity ratio Debt- equity ratio future expan- Average creditor Average collec- Average collec- Average collec- sion by days. tions period tions period tions period strengthening (days). (days). (days). sector institu- tions and en- hancing regula- tion and gov- ernance of the sector. Electricity Supply Corporation of Malawi Mainte- nance Expendi- tures ratio to planned mainte- nance budget. Bad Debt. Approved tariff levels and schedules (ac- tual) (U.S. cents/kilowatt hour). Tariff levels and Tariff levels and Tariff levels and Tariff levels and schedules (U.S. schedules (U.S. schedules (U.S. schedules (U.S. cents/kilowatt cents/kilowatt cents/kilowatt cents/kilowatt hour). hour). hour). hour). Moldova ...... Road Rehabilita- Reduced cost for Reduced cost for Reduced cost for Reduced cost for Reduced cost for tion Project Ob- road users. road users. road users. road users. road users. jectives: En- Average annual Average annual Average annual Average annual Average annual hance transpor- daily traffic. daily traffic. daily traffic. daily traffic. daily traffic. tation conditions. Road mainte- Road mainte- Road mainte- Road mainte- Road mainte- nance expendi- nance expendi- nance expendi- nance expendi- nance expendi- ture. ture. ture. ture. ture. Kilometers of Kilometers of Kilometers of Kilometers of Kilometers of roads com- roads com- roads com- roads com- roads com- pleted. pleted. pleted. pleted. pleted. Percent of con- Percent of con- Percent of con- Percent of con- Percent of con- tracted roads tracted roads tracted roads tracted roads tracted roads works disbursed. works disbursed. works disbursed. works disbursed. works dis- bursed. Road safety train- Road safety train- Road safety train- Road safety train- Road safety train- ing for children ing for children ing for children ing for children ing for children (number of chil- (number of chil- (number of chil- (number of chil- (number of chil- dren). dren). dren). dren). dren). Date Resettle- Date Resettle- Date Resettle- Date Resettle- Date Resettle- ment Action ment Action ment Action ment Action ment Action Plan completed. Plan completed. Plan completed. Plan completed. Plan completed. Trafficking in per- Trafficking in per- Trafficking in per- Trafficking in per- Trafficking in per- sons training sons training sons training sons training sons training participants. participants. participants. participants. participants. Roughness (me- ters per kilo- meter).

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605 ASSISTANCE—MEASURES—Continued

FY 2014 FY 2015 Country Objectives Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1

Temporary em- ployment gen- erated in road construction (number em- ployed). Hectares under Hectares under Hectares under Hectares under Hectares under improved or improved or improved or improved or improved or new irrigation. new irrigation. new irrigation. new irrigation. new irrigation. Centralized irriga- Centralized irriga- Centralized irriga- Centralized irriga- Centralized irriga- tion systems re- tion systems re- tion systems re- tion systems re- tion systems re- habilitated. habilitated. habilitated. habilitated. habilitated. Percent disbursed Percent disbursed Percent disbursed Percent disbursed Percent disbursed of irrigation con- of irrigation con- of irrigation con- of irrigation con- of irrigation con- struction con- struction con- struction con- struction con- struction con- tracts. tracts. tracts. tracts. tracts. Management Management Management Management Management transfer agree- transfer agree- transfer agree- transfer agree- transfer agree- ments signed. ments signed. ments signed. ments signed. ments signed. New high value New high value New high value New high value New high value agriculture infra- agriculture infra- agriculture infra- agriculture infra- agriculture infra- structure in structure in structure in structure in structure in place (metric place (metric place (metric place (metric place (metric tons). tons). tons). tons). tons). Loans past due ... Loans past due ... Loans past due ... Loans past due ... Loans past due. Value of agricul- Value of agricul- Value of agricul- Value of agricul- Value of agricul- tural and rural tural and rural tural and rural tural and rural tural and rural loans. loans. loans. loans. loans. Loan borrowers ... Loan borrowers ... Loan borrowers ... Loan borrowers ... Loan borrowers. Loan borrowers Loan borrowers Loan borrowers Loan borrowers Loan borrowers (female). (female). (female). (female). (female). Value of sales fa- Value of sales fa- Value of sales fa- Value of sales fa- Value of sales fa- cilitated. cilitated. cilitated. cilitated. cilitated. Farmers who Farmers who Farmers who Farmers who Farmers who have applied have applied have applied have applied have applied improved prac- improved prac- improved prac- improved prac- improved prac- tices as a result tices as a result tices as a result tices as a result tices as a result of training. of training. of training. of training. of training. Farmers trained ... Farmers trained ... Farmers trained ... Farmers trained ... Farmers trained. Farmers trained Farmers trained Farmers trained Farmers trained Farmers trained (female). (female). (female). (female). (female). Enterprises as- Enterprises as- Enterprises as- Enterprises as- Enterprises as- sisted. sisted. sisted. sisted. sisted. Enterprises as- Enterprises as- Enterprises as- Enterprises as- Enterprises as- sisted (female). sisted (female). sisted (female). sisted (female). sisted (female). Water user asso- Water user asso- Water user asso- Water user asso- ciations achiev- ciations achiev- ciations achiev- ciations achiev- ing financial ing financial ing financial ing financial sustainability. sustainability. sustainability. sustainability. Transition To High Value of signed ir- Value of signed ir- Value of signed ir- Value of signed ir- Value of signed ir- Value Agri- rigation con- rigation con- rigation con- rigation con- rigation con- culture Project struction con- struction con- struction con- struction con- struction con- Objectives: In- tracts. tracts. tracts. tracts. tracts. crease incomes Date Revised Date Revised Date Revised Date Revised Date Revised in the agricul- Legal Water Legal Water Legal Water Legal Water Legal Water tural sector; Management Management Management Management Management Create models Framework Framework Framework Framework Framework for transition to passed. passed. passed. passed. passed. high value agri- Water user asso- Water user asso- Water user asso- Water user asso- Water user asso- culture (HVA) in ciations with ac- ciations with ac- ciations with ac- ciations with ac- ciations with ac- CIS areas and tive and rep- tive and rep- tive and rep- tive and rep- tive and rep- an enabling en- resentative gov- resentative gov- resentative gov- resentative gov- resentative gov- vironment ernance. ernance. ernance. ernance. ernance. (legal, financial Water user asso- Water user asso- Water user asso- Water user asso- Water user asso- and market) for ciations with ciations with ciations with ciations with ciations with replication. gender-bal- gender-bal- gender-bal- gender-bal- gender-bal- anced manage- anced manage- anced manage- anced manage- anced manage- ment and gov- ment and gov- ment and gov- ment and gov- ment and gov- ernance. ernance. ernance. ernance. ernance.

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605 ASSISTANCE—MEASURES—Continued

FY 2014 FY 2015 Country Objectives Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1

Enterprises that Enterprises that Enterprises that Enterprises that Enterprises that have applied have applied have applied have applied have applied improved tech- improved tech- improved tech- improved tech- improved tech- niques. niques. niques. niques. niques. Percent disbursed Percent disbursed Percent disbursed Percent disbursed Percent disbursed of irrigation fea- of irrigation fea- of irrigation fea- of irrigation fea- of irrigation fea- sibility and de- sibility and de- sibility and de- sibility and de- sibility and de- sign contracts. sign contracts. sign contracts. sign contracts. sign contracts. Value of signed ir- Value of signed ir- Value of signed ir- Value of signed ir- Value of signed ir- rigation feasi- rigation feasi- rigation feasi- rigation feasi- rigation feasi- bility and design bility and design bility and design bility and design bility and design contracts. contracts. contracts. contracts. contracts. Temporary em- ployment gen- erated in irriga- tion. The Central Phytosanitary Lab is certified. Mongolia ...... Energy and Envi- Heat-only boilers Compact closed .. Compact closed .. Compact closed .. Compact closed. ronmental sites upgraded. Project Objec- Subsidized stoves tives: Increased sold. wealth and pro- Power dispatched ductivity from substation through greater (millions of kilo- fuel use effi- watt hours). ciency and de- creasing health costs from air pollution in Ulaanbaatar. Health Project Amount of civil Compact closed .. Compact closed .. Compact closed .. Compact closed. Objectives: Re- society grants duce the risk of (U.S. dollars). premature Cervical cancer death and dis- cases detected ability from early (percent). NCDs and traf- Screening for hy- fic injuries. pertension (per- cent). School teachers trained. Health staff trained. Primary healthcare fa- cilities with non- communicable disease serv- ices (percent). Property Rights Wells completed. Project Objec- tives: Increase the security and capitalization of land assets held by lower- income Mongo- lians, and in- crease peri- urban herder productivity and incomes.

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605 ASSISTANCE—MEASURES—Continued

FY 2014 FY 2015 Country Objectives Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1

Stakeholders Compact closed .. Compact closed .. Compact closed .. Compact closed. trained. Leases awarded .. Project herder groups limiting their livestock population to the carrying ca- pacity of their leases on farms in 3 central aimags (Ulaanbaatar, Darkhan and Erdenet) (per- cent). Official cost pre- scribed for property trans- actions (first- time) (U.S. dol- lars). Household with land rights for- malized. Legal and regu- latory reforms adopted. Stakeholders trained. Roads Project Kilometers of Compact closed .. Compact closed .. Compact closed .. Compact closed. Objectives: roads com- More efficient pleted. transport for Kilometers of trade and ac- roads under de- cess to services. sign. Percent disbursed of road con- struction con- tracts. Technical Voca- Students partici- Compact closed .. Compact closed .. Compact closed .. Compact closed. tional Education pating in MCC- Project Objec- supported edu- tives: Increase cation activities. employment Public-private and income partnership among unem- funding contrib- ployed and un- uted to Tech- deremployed nical Vocational Mongolians. Education and Training (TVET) schools (per- cent). Educational facili- ties constructed or rehabilitated. Instructors trained.

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605 ASSISTANCE—MEASURES—Continued

FY 2014 FY 2015 Country Objectives Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1

Morocco ...... Artisan and Fez Total receiving lit- Compact closed .. Compact closed .. Compact closed .. Compact closed. Medina Project eracy training. Objectives: In- Graduates of crease revenue MCC-supported from cultural functional lit- and artisan ac- eracy program tivities, and im- (female). prove edu- Graduates of cational and MCC-supported professional functional lit- qualifications of eracy program compact bene- (male). ficiaries. Total receiving professional training. Females receiving professional training. Graduates of vo- cational training program (resi- dential, appren- ticeship and continuing edu- cation). Drop-out rates of participants of residential and apprenticeship programs (per- cent). Potters trained. MCC-subsidized gas kilns bought by arti- sans. Adoption rate of improved pro- duction prac- tices promoted by the project (percent). Tourist circuits im- proved or cre- ated. Small and me- dium enter- prises (SMEs) that append the label on their products. SMEs partici- pating in pro- motion events. Sites constructed or rehabilitated (4 foundouks, Place Lalla Ydouna, Ain Nokbi). Beneficiaries of Ain Nokbi con- struction and artisan resettle- ment program.

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605 ASSISTANCE—MEASURES—Continued

FY 2014 FY 2015 Country Objectives Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1

Enterprise Sup- Reduction in SME Compact closed .. Compact closed .. Compact closed .. Compact closed. port Project Ob- mortality (treat- jectives: Im- ment firms with prove the out- respect to con- comes of the trol firms) one Moukawalati year after sup- and National port completion Initiative for (percent). Human Devel- Days of individual opment pro- coaching. grams by in- Beneficiaries creasing the vi- trained. ability of young enterprises cre- ated through these programs. Financial Services Value of loan Compact closed .. Compact closed .. Compact closed .. Compact closed. Project Objec- agreements be- tives: Improve tween micro- micro-enterprise credit associa- services and re- tions and Jaida move most se- (millions of Mo- vere constraints roccan dirhams). to the develop- Microfinance insti- ment of the tutions’ portfolio microfinance at risk at 30 sector based on days (percent). market prin- Value of loans cipals. granted through mobile branches (U.S. dollars). Clients reached through mobile branches. Value of loan dis- bursements to Jaida (U.S. dol- lars). Fruit Tree Produc- Area planted and Compact closed .. Compact closed .. Compact closed .. Compact closed. tivity Project delivered to Objectives: farmers (hec- Stimulate tares). growth in the Area in expansion agricultural sec- perimeters for tor and reduce which water the volatility of and soil con- agricultural pro- servation meas- duction by re- ures have been structuring implemented farming from (hectares). grains towards Cumulative area fruit tree cultiva- of irrigated pe- tion. rimeters reha- bilitated (hec- tares). Yield of rehabili- tated olive trees in irrigated areas (metric tons per hec- tare). Average agricul- tural revenue per farm in oasis areas (U.S. dollars).

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605 ASSISTANCE—MEASURES—Continued

FY 2014 FY 2015 Country Objectives Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1

Hectares under improved irriga- tion. Yield of rehabili- tated date palms in oasis areas (metric tons per hec- tare). In vitro seedlings successfully planted. Farmers trained (in all areas tar- geted by the project). Catalyst Fund proposals ap- proved. Disbursements under the cata- lyst fund (U.S. dollars). Small-Scale Fish- Boats benefitting Compact closed .. Compact closed .. Compact closed .. Compact closed. eries Project from landing Objectives: sites and ports. Supported by Artisan fishers modern landing- who received a site infrastruc- training certifi- ture, equipment cate. and storage fa- Average price of cilities, develop fish at auction value-chain ac- markets (Mo- tivities related roccan dirhams to the fishing in- per kilogram). dustry encour- Work days cre- aging greater ated for con- access to na- struction jobs in tional and inter- landing sites, national mar- ports, and kets, while im- wholesale mar- proving the fish ket sites. quality and pre- Active mobile fish serving re- vendors trained sources. and equipped by the project. Net annual in- come of mobile fish vendors (U.S. dollars). Mozambique ...... Farmer Income Survival rate of Compact closed .. Compact closed .. Compact closed .. Compact closed. Support Project coconut seed- Objectives: To lings (percent). protect and re- Coconut seedlings store income planted. from coconuts Farmers trained in and their de- surveillance and rivatives and pest and dis- expand farmers’ ease control for productive ca- coconuts. pacity through Farmers trained in income diver- planting and sification.. post planting management of coconuts. Hectares of alter- native crops under produc- tion.

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605 ASSISTANCE—MEASURES—Continued

FY 2014 FY 2015 Country Objectives Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1

Farmers trained in alternative crop production and productivity en- hancing strate- gies. Farmers using al- ternative crop production and productivity en- hancing strate- gies (percent). Businesses re- ceiving Busi- ness Develop- ment Fund grants. Land Tenure People trained Compact closed .. Compact closed .. Compact closed .. Compact closed. Project Objec- (paralegal tives: Establish courses at efficient and se- Legal and Judi- cure land ac- cial Training cess for house- Centre, general holds, commu- training at Na- nities, and in- tional Direc- vestors. torate for Land and Forestry, etc.). Land administra- tion offices es- tablished or up- graded. Land tenure regu- larization (LTR) urban parcels mapped. LTR land use property rights certificates (DUATs) deliv- ered to the urban bene- ficiaries. LTR rural hec- tares mapped. LTR DUATs deliv- ered to the rural beneficiaries. Community Land Fund rural hec- tares formalized. Community Land Fund commu- nities land areas mapped. Rehabilitation/ Percent of roads Compact closed .. Compact closed .. Compact closed .. Compact closed. Construction of works contracts Roads Project disbursed. Objectives: To Kilometers of increase access roads issued to productive take-over certifi- resources and cates. markets while reducing asso- ciated transport costs.

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605 ASSISTANCE—MEASURES—Continued

FY 2014 FY 2015 Country Objectives Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1

Water Supply and Value of municipal Compact closed .. Compact closed .. Compact closed .. Compact closed. Sanitation sanitation and Project Objec- drainage sys- tives: To in- tems construc- crease access tion contracts to reliable signed. sources of pota- Amount disbursed ble water sup- for municipal ply in urban and sanitation and rural areas and drainage con- improved sani- struction con- tation in urban tracts. and peri-urban Value of contracts areas. signed for con- struction of water systems. Percent of revised construction contract dis- bursed for water systems. Rural water points constructed. Percent of rural population of the six interven- tion districts with access to improved water sources. Amount disbursed for rural water points construc- tion contracts (U.S. dollars). Persons trained in hygiene and sanitary best practices. Namibia ...... Agriculture Project Participating Participating Participating Participating Participating Objectives: En- households reg- households reg- households reg- households reg- households reg- hance the istered in the istered in the istered in the istered in the istered in the health and mar- Community- Community- Community- Community- Community- keting efficiency Based Range- Based Range- Based Range- Based Range- Based Range- of livestock in land and Live- land and Live- land and Live- land and Live- land and Live- the Northern stock Manage- stock Manage- stock Manage- stock Manage- stock Manage- Communal ment sub-activ- ment sub-activ- ment sub-activ- ment sub-activ- ment sub-activ- Areas of Na- ity. ity. ity. ity. ity. mibia and to in- Grazing areas Grazing areas Grazing areas Grazing areas Grazing areas crease income with docu- with docu- with docu- with docu- with docu- from indigenous mented com- mented com- mented com- mented com- mented com- natural products bined manage- bined manage- bined manage- bined manage- bined manage- accruing to the ment plans. ment plans. ment plans. ment plans. ment plans. poor nationwide. Parcels corrected Parcels corrected Parcels corrected Parcels corrected Parcels corrected or incorporated or incorporated or incorporated or incorporated or incorporated in land system. in land system. in land system. in land system. in land system. Stakeholders Stakeholders Stakeholders Stakeholders Stakeholders trained. trained. trained. trained. trained. Cattle tagged with Cattle tagged with Cattle tagged with Cattle tagged with Cattle tagged with RFID tags. RFID tags. RFID tags. RFID tags. RFID tags. Value of grant Value of grant Value of grant Value of grant Value of grant agreements agreements agreements agreements agreements signed under signed under signed under signed under signed under the Livestock the Livestock the Livestock the Livestock the Livestock Efficiency Fund. Efficiency Fund. Efficiency Fund. Efficiency Fund. Efficiency Fund. Farmers trained ... Farmers trained ... Farmers trained ... Farmers trained ... Farmers trained.

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605 ASSISTANCE—MEASURES—Continued

FY 2014 FY 2015 Country Objectives Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1

Payment to pro- Payment to pro- Payment to pro- Payment to pro- Payment to pro- ducers from In- ducers from In- ducers from In- ducers from In- ducers from In- digenous Nat- digenous Nat- digenous Nat- digenous Nat- digenous Nat- ural Products ural Products ural Products ural Products ural Products sales. sales. sales. sales. sales. Grazing areas Grazing areas Grazing areas Grazing areas Grazing areas doing combined doing combined doing combined doing combined doing combined herding. herding. herding. herding. herding. Legal and regu- Legal and regu- Legal and regu- Legal and regu- Legal and regu- latory reforms latory reforms latory reforms latory reforms latory reforms adopted. adopted. adopted. adopted. adopted. New state veteri- New state veteri- New state veteri- New state veteri- New state veteri- nary offices nary offices nary offices nary offices nary offices operational. operational. operational. operational. operational. Education Project Learners (any Learners (any Learners (any Learners (any Learners (any Objectives: Im- level) partici- level) partici- level) partici- level) partici- level) partici- prove the qual- pating in the 47 pating in the 47 pating in the 47 pating in the 47 pating in the 47 ity of the work- schools sub-ac- schools sub-ac- schools sub-ac- schools sub-ac- schools sub-ac- force in Na- tivity. tivity. tivity. tivity. tivity. mibia by en- Educational facili- Educational facili- Educational facili- Educational facili- Educational facili- hancing the eq- ties con- ties con- ties con- ties con- ties con- uity and effec- structed, reha- structed, reha- structed, reha- structed, reha- structed, reha- tiveness of bilitated, bilitated, bilitated, bilitated, bilitated, basic voca- equipped in the equipped in the equipped in the equipped in the equipped in the tional, and ter- 47 schools 47 schools 47 schools 47 schools 47 schools tiary education sub-activity. sub-activity. sub-activity. sub-activity. sub-activity. and of technical Textbooks deliv- Textbooks deliv- Textbooks deliv- Textbooks deliv- Textbooks deliv- skills. ered. ered. ered. ered. ered. Educators trained Educators trained Educators trained Educators trained Educators trained to be textbook to be textbook to be textbook to be textbook to be textbook management management management management management trainers. trainers. trainers. trainers. trainers. Educators trained Educators trained Educators trained Educators trained Educators trained to be textbook to be textbook to be textbook to be textbook to be textbook utilization train- utilization train- utilization train- utilization train- utilization train- ers. ers. ers. ers. ers. Visits to Namibia Visits to Namibia Visits to Namibia Visits to Namibia Visits to Namibia accountable en- accountable en- accountable en- accountable en- accountable en- tity assisted re- tity assisted re- tity assisted re- tity assisted re- tity assisted re- gional study gional study gional study gional study gional study and resource and resource and resource and resource and resource centers. centers. centers. centers. centers. Compliance rate Compliance rate Compliance rate Compliance rate Compliance rate for National for National for National for National for National Training Fund Training Fund Training Fund Training Fund Training Fund levy. levy. levy. levy. levy. Graduates from Graduates from Graduates from Graduates from Graduates from MCC-supported MCC-supported MCC-supported MCC-supported MCC-supported education activi- education activi- education activi- education activi- education activi- ties. ties. ties. ties. ties. Percent of Percent of Percent of Percent of Percent of schools with po- schools with po- schools with po- schools with po- schools with po- sitions filled to sitions filled to sitions filled to sitions filled to sitions filled to teach informa- teach informa- teach informa- teach informa- teach informa- tion, commu- tion, commu- tion, commu- tion, commu- tion, commu- nication and nication and nication and nication and nication and technology lit- technology lit- technology lit- technology lit- technology lit- eracy. eracy. eracy. eracy. eracy. Regional study Regional study Regional study Regional study Regional study and resource and resource and resource and resource and resource centers opened centers opened centers opened centers opened centers opened to visitors. to visitors. to visitors. to visitors. to visitors. Percent of posi- Percent of posi- Percent of posi- Percent of posi- Percent of posi- tions at regional tions at regional tions at regional tions at regional tions at regional study and re- study and re- study and re- study and re- study and re- source centers source centers source centers source centers source centers staffed. staffed. staffed. staffed. staffed.

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605 ASSISTANCE—MEASURES—Continued

FY 2014 FY 2015 Country Objectives Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1

Community skills Community skills Community skills Community skills Community skills development development development development development centers and arts centers and arts centers and arts centers and arts centers and arts and crafts cen- and crafts cen- and crafts cen- and crafts cen- and crafts cen- ters completed. ters completed. ters completed. ters completed. ters completed. Modified National Modified National Modified National Modified National Modified National Student Finan- Student Finan- Student Finan- Student Finan- Student Finan- cial Assistance cial Assistance cial Assistance cial Assistance cial Assistance Fund manage- Fund manage- Fund manage- Fund manage- Fund manage- ment informa- ment informa- ment informa- ment informa- ment informa- tion system tion system tion system tion system tion system completed. completed. completed. completed. completed. Tourism Project Tourists to Etosha Tourists to Etosha Tourists to Etosha Tourists to Etosha Tourists to Etosha Objectives: National Park. National Park. National Park. National Park. National Park Grow the Na- Galton Gate Plan Galton Gate Plan Galton Gate Plan Galton Gate Plan Galton Gate Plan mibian tourism implemented. implemented. implemented. implemented. implemented. industry with a Unique visits on Unique visits on Unique visits on Unique visits on Unique visits on focus on in- Namibia Tour- Namibia Tour- Namibia Tour- Namibia Tour- Namibia Tour- creasing in- ism Board ism Board ism Board ism Board ism Board come to house- website. website. website. website. website. holds in com- Leisure tourist ar- Leisure tourist ar- Leisure tourist ar- Leisure tourist ar- Leisure tourist ar- munal conser- rivals. rivals. rivals. rivals. rivals. vancies. North American North American North American North American North American tourism busi- tourism busi- tourism busi- tourism busi- tourism busi- nesses (travel nesses (travel nesses (travel nesses (travel nesses (travel agencies and agencies and agencies and agencies and agencies and tour operators) tour operators) tour operators) tour operators) tour operators) that offer Na- that offer Na- that offer Na- that offer Na- that offer Na- mibian tours or mibian tours or mibian tours or mibian tours or mibian tours or tour packages. tour packages. tour packages. tour packages. tour packages. Annual gross rev- Annual gross rev- Annual gross rev- Annual gross rev- Annual gross rev- enue to conser- enue to conser- enue to conser- enue to conser- enue to conser- vancies receiv- vancies receiv- vancies receiv- vancies receiv- vancies receiv- ing assistance ing assistance ing assistance ing assistance ing assistance from Namibia from Namibia from Namibia from Namibia from Namibia accountable en- accountable en- accountable en- accountable en- accountable en- tity (Namibian tity (Namibian tity (Namibian tity (Namibian tity (Namibian dollars). dollars). dollars). dollars). dollars). Amount of new Amount of new Amount of new Amount of new Amount of new private sector private sector private sector private sector private sector investment se- investment se- investment se- investment se- investment se- cured by con- cured by con- cured by con- cured by con- cured by con- servancies as- servancies as- servancies as- servancies as- servancies as- sisted by Na- sisted by Na- sisted by Na- sisted by Na- sisted by Na- mibia account- mibia account- mibia account- mibia account- mibia account- able entity (Na- able entity (Na- able entity (Na- able entity (Na- able entity (Na- mibian dollars). mibian dollars). mibian dollars). mibian dollars). mibian dollars). Value of grants Value of grants Value of grants Value of grants Value of grants issued by the issued by the issued by the issued by the issued by the Conservancy Conservancy Conservancy Conservancy Conservancy Development Development Development Development Development Support Grant Support Grant Support Grant Support Grant Support Grant Fund (Namibian Fund (Namibian Fund (Namibian Fund (Namibian Fund (Namibian dollars). dollars). dollars). dollars). dollars). Galton Gate con- Galton Gate con- Galton Gate con- Galton Gate con- Galton Gate con- struction: struction: struction: struction: struction: schedule per- schedule per- schedule per- schedule per- schedule per- formance index. formance index. formance index. formance index. formance index. Ombika Gate con- Ombika Gate con- Ombika Gate con- Ombika Gate con- Ombika Gate con- struction: struction: struction: struction: struction: schedule per- schedule per- schedule per- schedule per- schedule per- formance index. formance index. formance index. formance index. formance index. Philippines ...... Community Devel- New jobs in tour- New jobs in tour- New jobs in tour- New jobs in tour- New jobs in tour- opment Grants ism created in ism created in ism created in ism created in ism created in Project. conservancies. conservancies. conservancies. conservancies. conservancies.

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605 ASSISTANCE—MEASURES—Continued

FY 2014 FY 2015 Country Objectives Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1

Completed Completed Completed KALAHI–CIDSS KALAHI–CIDSS KALAHI–CIDSS (KC) sub- (KC) sub- (KC) sub- projects imple- projects imple- projects imple- mented in com- mented in com- mented in com- pliance with pliance with pliance with technical plans technical plans technical plans and within and within and within schedule and schedule and schedule and budget. budget. budget. Communities and/ Communities and/ Communities and/ Communities and/ or barangays or barangays or barangays or barangays with KC sub- with KC sub- with KC sub- with KC sub- projects that projects that projects that projects that have a sustain- have a sustain- have a sustain- have a sustain- ability evalua- ability evalua- ability evalua- ability evalua- tion rating of tion rating of tion rating of tion rating of satisfactory or satisfactory or satisfactory or satisfactory or better (percent). better (percent). better (percent). better (percent). KALAHI–CIDSS Municipalities that Municipalities that Municipalities that Percentage of Percentage of Project Objec- provide their KC provide their KC provide their KC municipalities municipalities tives: The local counter- local counter- local counter- that provide that provide KALAHI–CIDSS part contribu- part contribu- part contribu- their KC local their KC local (KC) Project ex- tions (LCC) tions(LCC) tions (LCC) counterpart counterpart pects to im- based on their based on their based on their contributions contributions prove the re- LCC delivery LCC delivery LCC delivery (LCC) based on (LCC) based on sponsiveness of plan (percent). plan (percent). plan (percent). their LCC deliv- their LCC deliv- local govern- ery plan. ery plan. ments to com- munity needs, encourage com- munities to en- gage in devel- opment activi- ties, and deliver benefits to barangay resi- dents through the individual sub-projects. Sub-projects com- Sub-projects com- pleted with 100 pleted with 100 percent physical percent physical accomplishment. accomplish- ment. Barangays that have completed all the trainings during the so- cial preparation stage. Barangays that have completed Thematic Envi- ronment Man- agement Sys- tem TEMS Training. Barangays that have completed gender-related training.

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605 ASSISTANCE—MEASURES—Continued

FY 2014 FY 2015 Country Objectives Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1

Roads Project Kilometers of road Kilometers of road Kilometers of road Kilometers of road Value of road Objectives: The sections com- sections com- sections com- sections com- construction Secondary Na- pleted. pleted. pleted. pleted. contracts dis- tional Roads Value of road Value of road Value of road Value of road bursed. Development construction construction construction construction Project expects contracts contracts contracts contracts to lower vehicle signed. signed. signed. signed. operating costs Value of road Value of road Value of road Value of road and save the construction construction construction construction time of those contracts contracts contracts contracts Filipinos living signed. signed. signed. signed. near the roads. Project-affected Project-affected Project-affected Project-affected Project-affected parties resettled. parties resettled. parties resettled. parties resettled. parties reset- tled. Kilometers of roads with vehi- cle-passable (lanes). Project-affected entities com- pensated (fe- male). Revenue Adminis- Successful case Successful case Successful case Successful case Successful case tration Reform resolutions. resolutions. resolutions. resolutions. resolutions. Project Objec- tives: The Rev- enue Adminis- tration Reform Project expects to increase tax revenues over time and sup- port the Depart- ment of Fi- nance’s initia- tives to detect and deter cor- ruption within its revenue agen- cies. Personnel Personnel Personnel Personnel Personnel charged with charged with charged with charged with charged with graft, corrup- graft, corrup- graft, corrup- graft, corrup- graft, corrup- tion, lifestyle tion, lifestyle tion, lifestyle tion, lifestyle tion, lifestyle and/or criminal and/or criminal and/or criminal and/or criminal and/or criminal cases. cases. cases. cases. cases. Revenue District Revenue District Revenue District Revenue District Revenue District Offices using Offices using Offices using Offices using Offices using electronic tax electronic tax electronic tax electronic tax electronic tax information sys- information sys- information sys- information sys- information sys- tem (percent). tem (percent). tem (percent). tem (percent). tem (percent). Audit cases per- Audit cases per- Audit cases per- Percentage of Percentage of formed using formed using formed using audit cases per- audit cases per- automated audit automated audit automated audit formed using formed using tools (percent). tools (percent). tools (percent). automated audit automated audit tools. tools. Average time Average time Average time Average time taken to com- taken to com- taken to com- taken to com- plete investiga- plete investiga- plete investiga- plete investiga- tion (days). tion (days). tion (days). tion (days). Audits ...... Audits ...... Audits ...... Percentage of automatically- generated au- dits.

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605 ASSISTANCE—MEASURES—Continued

FY 2014 FY 2015 Country Objectives Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1

Audits completed Audits completed Audits completed in compliance in compliance in compliance with prescribed with prescribed with prescribed period of 120 period of 120 period of 120 days (percent). days (percent). days (percent). Percentage of au- dits completed in compliance with prescribed period of 180 days. Revenue collec- tion per audit (millions of Phil- ippine pesos). Revenue from new and exist- ing business registrants. Senegal ...... Irrigation Objec- Tons of irrigated Tons of irrigated Rice paddy pro- Rice paddy pro- Rice paddy pro- tives: Improve rice production. rice production. duction (tons). duction (tons). duction (tons). productivity of Hectares under Hectares under Hectares under Hectares under Hectares under the agricultural production. production. production. production production sector. across cropping across cropping seasons. season. Percent of dis- Percent of dis- Percent disbursed Percent disbursed Percent disbursed bursement on bursement on of irrigation con- of irrigation con- of irrigation con- the construction the construction struction con- struction con- struction con- contracts contracts tracts. tracts. tracts. signed for the signed for the irrigation infra- irrigation infra- structures in the structures in the Delta and the Delta and the Ngallenka. Ngallenka. New conflicts re- New conflicts re- Conflicts success- Conflicts success- Conflicts success- solved (percent). solved (percent). fully mediated. fully mediated. fully mediated. People trained on People trained on Participants in the Participants in the Participants in the land security land security training mod- training mod- training mod- tools. tools. ules on land ules on land ules on land tenure security tenure security tenure security tools. tools. tools. Women trained on Women trained on Participants in the Participants in the Participants in the land security land security training mod- training mod- training mod- tools. tools. ules on land ules on land ules on land tenure security tenure security tenure security tools (female). tools (female). tools (female). Cropping intensity Cropping intensity Cropping intensity Cropping intensity Cropping intensity (hectares under (hectares under (hectares under (hectares under (hectares under production per production per production per production per production per year/cultivable year/cultivable year/cultivable year/cultivable year/cultivable hectares) (Delta hectares) (Delta hectares) (Delta hectares) (Delta hectares) (Delta Activity). Activity). Activity). Activity). Activity). Cropping intensity Cropping intensity Cropping intensity Cropping intensity Cropping intensity (hectares under (hectares under (hectares under (hectares under (hectares under production per production per production per production per production per year/cultivable year/cultivable year/cultivable year/cultivable year/cultivable hectares) hectares) hectares) hectares) hectares) (Podor Activity). (Podor Activity). (Podor Activity). (Podor Activity). (Podor Activity). Value of the con- Value of the con- Value of the con- Value of the con- Value of the con- struction con- struction con- struction con- struction con- struction con- tracts signed for tracts signed for tracts signed for tracts signed for tracts signed for the irrigation in- the irrigation in- the irrigation in- the irrigation in- the irrigation in- frastructure in frastructure in frastructure in frastructure in frastructure in the Delta. the Delta. the Delta. the Delta. the Delta. Value of the con- Value of the con- Value of the con- Value of the con- Value of the con- struction con- struction con- struction con- struction con- struction con- tracts signed for tracts signed for tracts signed for tracts signed for tracts signed for the irrigation in- the irrigation in- the irrigation in- the irrigation in- the irrigation in- frastructure in frastructure in frastructure in frastructure in frastructure in Ngallenka. Ngallenka. Ngallenka. Ngallenka. Ngallenka.

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605 ASSISTANCE—MEASURES—Continued

FY 2014 FY 2015 Country Objectives Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1

Potentially irri- Potentially irri- gable lands gable lands area (Delta and area (Delta and Ngallenka) Ngallenka) (hectares). (hectares). Total area with Total area with Total area with improved irriga- improved irriga- improved irriga- tion infrastruc- tion infrastruc- tion infrastruc- ture (Delta and ture (Delta and ture (Delta and Ngallenka) Ngallenka) Ngallenka) (hectares). (hectares). (hectares). Temporary em- ployment gen- erated in irriga- tion (number employed). Hectares formal- ized (having a land allocation title and reg- istered). Roads Project Percent of dis- Percent of dis- Percent disbursed Percent disbursed Percent disbursed Objectives: Ex- bursements for bursements for of road con- of road con- of road con- pand Access to the contract the contract struction con- struction con- struction con- Markets and signed for the signed for the tracts. tracts. tracts. Services. constructions of constructions of the National the National Road (RN) #2 Road (RN) #2 and National and National Road (RN) #6. Road (RN) #6. Kilometers of Kilometers of Kilometers of Kilometers of Kilometers of roads rehabili- roads rehabili- roads rehabili- roads rehabili- roads rehabili- tated on the tated on the tated on the tated on the tated on the RN#2. RN#2. RN#2. RN#2. RN#2. International International Roughness Roughness Roughness Roughness Roughness (RN#2). (RN#2). (RN#2). Index on the Index on the RN#2. RN#2. International International Roughness Roughness Roughness Roughness Roughness (RN#6). (RN#6). (RN#6). Index on the Index on the RN#6. RN#6. Value of contracts Value of contracts Value of signed Value of signed Value of signed signed for the signed for the road construc- road construc- road construc- construction of construction of tion contracts. tion contracts. tion contracts. the RN#2 and the RN#2 and the RN#6. the RN#6. Kilometers of Kilometers of Kilometers of re- Kilometers of re- Kilometers of re- roads rehabili- roads rehabili- habilitated habilitated habilitated tated on the tated on the roads on RN#6. roads on RN#6. roads on RN#6. RN#6. RN#6. Kilometers of Kilometers of Kilometers of Kilometers of roads covered roads covered roads under de- roads under de- by the contract by the contract sign of the sign of the for the studies, for the studies, RN#2. RN#2. the supervision the supervision and manage- and manage- ment of the ment of the RN#2. RN#2. Kilometers of Kilometers of Kilometers of Kilometers of roads covered roads covered roads under de- roads under de- by the contract by the contract sign of the sign of the for the studies, for the studies, RN#6. RN#6. the supervision the supervision and manage- and manage- ment of the ment of the RN#6. RN#6.

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605 ASSISTANCE—MEASURES—Continued

FY 2014 FY 2015 Country Objectives Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1

Temporary em- ployment gen- erated in road construction (number em- ployed). Tanzania ...... Energy Sector Current power Compact closed .. Compact closed .. Compact closed .. Compact closed. Project Objec- customers tives: Increased (Zanzibar Inter- value added. connector Activ- ity). Transmission and distribution sub- stations capac- ity (megawatt peak) (Zanzibar Interconnector Activity). Technical and non-technical losses (Zanzi- bar) (percent). Kilometers of 132 kilovolt (kv) lines con- structed. Percent disbursed on overhead lines contract. Current power customers (Malagarsi Hy- dropower and Kigoma Dis- tribution Activ- ity). Capacity of photo- voltaic (PV) systems in- stalled (kilowatt peak). Current power customers (all six project re- gions in Main- land). Kilometers of 33/ 11 kV lines con- structed. Transmission and distribution sub- stations capac- ity (megavolt ampere) (all six project regions in Mainland). Technical and non-technical losses (all six project regions in Mainland and Kigoma) (per- cent). Cost recovery ratio.

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605 ASSISTANCE—MEASURES—Continued

FY 2014 FY 2015 Country Objectives Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1

Transport Sector Percent disbursed Compact closed .. Compact closed .. Compact closed .. Compact closed. Project Objec- on construction tives: Increased contracts. cash crop rev- Surfacing com- enue; Increased plete: aggregate vis- Tunduma- itor spending. Sumbawanga (percent). Surfacing com- plete: Tanga- Horohoro (per- cent). Surfacing com- plete: Namtumbo- Songea (per- cent). Surfacing com- plete: Peramiho- Mbinga (per- cent). Kilometers of roads com- pleted (taken over) (Mainland Roads Activity). Pemba: Percent disbursed on construction contract. Surfacing com- plete: Pemba (percent). Kilometers of roads com- pleted (taken over) (Zanzibar Rural Roads Activity). Road mainte- nance expendi- tures: Mainland Trunk Roads (percent). Road mainte- nance expendi- tures: Zanzibar Rural Roads (percent). Runway surfacing complete (per- cent). Water Sector Volume of water Compact closed .. Compact closed .. Compact closed .. Compact closed Project Objec- produced (mil- tives: Increased lions of liters investment in per day) (Lower human and Ruvu Plant Ex- physical capital; pansion Activ- Reduced preva- ity). lence of water- Operations and related dis- maintenance eases. cost recovery (percent) (Lower Ruvu Plant Expansion Activity).

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605 ASSISTANCE—MEASURES—Continued

FY 2014 FY 2015 Country Objectives Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1

Volume of water produced (mil- lions of liters per day) (Morogoro Water Supply Activity). Operations and Maintenance Cost Recovery (percent) (Morogoro Water Supply Activity). Zambia ...... Water Supply, Measures pending Measures pending Percent disbursed Percent disbursed Percent disbursed Sanitation and of water and of water and of water and Drainage sanitation con- sanitation con- sanitation con- Project Objec- struction con- struction con- struction con- tives: Increase tracts. tracts. tracts. access to clean Volume of water Volume of water Volume of water water to gen- produced (cubic produced (cubic produced (cubic erate time and meters per day). meters per day). meters per cost savings for Proposals re- Proposals re- day). beneficiaries. ceived. ceived. Proposals re- Grantees ...... Grantees ...... ceived. Grantees. People trained in People trained in People trained in social and gen- social and gen- social and gen- der integration der integration der integration and social inclu- and social inclu- and social inclu- sion. sion. sion. People trained in People trained in People trained in social and gen- social and gen- social and gen- der integration der integration der integration and social inclu- and social inclu- and social inclu- sion (female). sion (female). sion (female). People trained in People trained in People trained in social and gen- social and gen- social and gen- der integration der integration der integration and social inclu- and social inclu- and social inclu- sion (male). sion (male). sion (male). Meters installed or Meters installed or Meters installed or replaced. replaced. replaced. Value of com- Value of com- pensation for pensation for displaced busi- displaced busi- nesses and nesses and households households (U.S. dollars). (U.S. dollars). Value of water, Value of water, sanitation and sanitation and drainage con- drainage con- struction con- struction con- tracts signed tracts signed (U. S. dollars). (U. S. dollars). Households and Households and businesses dis- businesses dis- placed. placed. People trained in hygiene and sanitary best practices. People trained in hygiene and sanitary best practices (fe- male).

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605 ASSISTANCE—MEASURES—Continued

FY 2014 FY 2015 Country Objectives Quarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1

People trained in hygiene and sanitary best practices (male).

619(b)—TRANSFER OR ALLOCATION OF FUNDS

United States agency to which funds were transferred or allo- cated Amount Description of program or project

None ...... None ...... None.

[FR Doc. 2016–24512 Filed 10–7–16; 8:45 am] I. Abstract included in the request for OMB BILLING CODE 9211–03–P This collection provides a means by approval of this information collection. which NASA contractors can They will also become a matter of voluntarily and confidentially report public record. any safety concerns or hazards Frances Teel, NATIONAL AERONAUTICS AND pertaining to NASA programs, projects, SPACE ADMINISTRATION NASA PRA Clearance Officer. or operations. [FR Doc. 2016–24442 Filed 10–7–16; 8:45 am] Notice of Information Collection II. Method of Collection BILLING CODE 7510–13–P

AGENCY: National Aeronautics and The current, paper-based reporting Space Administration (NASA). system ensures the protection of a submitter’s anonymity and secure NATIONAL SCIENCE FOUNDATION NOTICE: (16–074). submission of the report by way of the Sunshine Act Meeting; National ACTION: Notice of information collection. U.S. Postal Service. Science Board III. Data SUMMARY: The National Aeronautics and The National Science Board’s Space Administration, as part of its Title: NASA Safety Reporting System. Committee on Honorary Awards, continuing effort to reduce paperwork OMB Number: 2700–0063. pursuant to NSF regulations (45 CFR and respondent burden, invites the Type of Review: Extension of a part 614), the National Science general public and other Federal currently approved collection. Foundation Act, as amended (42 U.S.C. agencies to take this opportunity to Affected Public: Business or other for- 1862n–5), and the Government in the comment on proposed and/or profit. Sunshine Act (5 U.S.C. 552b), hereby continuing information collections, as Number of Respondents: 75. gives notice of the scheduling of a required by the Paperwork Reduction Responses per Respondent: 1. teleconference for the transaction of Act of 1995 (Pub. L. 104–13, 44 U.S.C. Annual Responses: 75. National Science Board business, as 3506(c)(2)(A)). Hours per Request: 15 min. follows: Annual Burden Hours: 19. DATE AND TIME: October 13, 2016 from DATES: All comments should be Frequency of Report: As needed. submitted within 30 calendar days from 1:00–2:00 p.m. EDT. the date of this publication. IV. Request for Comments SUBJECT MATTER: (1) Committee Chair’s ADDRESSES: Interested persons are Comments are invited on: (1) Whether opening remarks; (2) Review and invited to submit written comments the proposed collection of information discuss candidates for the 2017 National regarding the proposed information is necessary for the proper performance Science Board Honorary Awards—the collection to the Office of Information of the functions of NASA, including Vannevar Bush Award and the NSB and Regulatory Affairs, Office of whether the information collected has Public Service Award. Management and Budget, 725 7th Street practical utility; (2) the accuracy of STATUS: Closed. NW., Washington, DC 20543. Attention: NASA’s estimate of the burden This meeting will be held by Desk Officer for NASA. (including hours and cost) of the teleconference at the National Science proposed collection of information; (3) Foundation, 4201 Wilson Blvd., FOR FURTHER INFORMATION CONTACT: ways to enhance the quality, utility, and Arlington, VA 22230. Please refer to the Requests for additional information or clarity of the information to be National Science Board Web site copies of the information collection collected; and (4) ways to minimize the www.nsf.gov/nsb for additional instrument(s) and instructions should burden of the collection of information information. Meeting information and be directed to Frances Teel, NASA PRA on respondents, including automated updates (time, place, subject or status of Clearance Officer, NASA Headquarters, collection techniques or the use of other meeting) may be found at http:// 300 E Street SW., JF000, Washington, forms of information technology. www.nsf.gov/nsb/meetings/notices.jsp. DC 20546, [email protected]. Comments submitted in response to Point of contact for this meeting is: Kim SUPPLEMENTARY INFORMATION: this notice will be summarized and Silverman, 4201 Wilson Blvd.,

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Arlington, VA 22230. Telephone: (703) David Tochen, General Counsel, Amendment Request submittal date of 292–7000. National Transportation Safety Board October 4, 2016 to April 4, 2018. This (substitute only for Ms. Bryson’s Chris Blair, new submittal date extends enforcement rating review) discretion until April 4, 2018, and Executive Assistant to the NSB Office. supports the Southern Nuclear [FR Doc. 2016–24675 Filed 10–6–16; 4:15 pm] Candi R. Bing, Federal Register Liaison. Operating Company, Inc. (the licensee) BILLING CODE 7555–01–P continued progress in activities related [FR Doc. 2016–24450 Filed 10–7–16; 8:45 am] to the transition to NFPA 805. BILLING CODE 7533–01–P NATIONAL TRANSPORTATION DATES: The confirmatory order was SAFETY BOARD issued on October 3, 2016. NATIONAL TRANSPORTATION Withdrawal of Notice SAFETY BOARD ADDRESSES: Please refer to Docket ID NRC–2016–0209 when contacting the AGENCY: National Transportation Safety Notice of Correction NRC about the availability of Board (NTSB). information regarding this document. AGENCY: National Transportation Safety ACTION: Notice. Board (NTSB). You may obtain publicly-available information related to this document SUMMARY: The NTSB is withdrawing a ACTION: Notice; correction. notice of the SES Performance Review using any of the following methods: Board to be published in the Federal SUMMARY: The NTSB published a notice • Federal Rulemaking Web site: Go to Register on October 11, 2016, of the SES Performance Review Board in http://www.regulations.gov and search (Document 2016–24439) titled: SES the Federal Register on October 4, 2016, for Docket ID NRC–2016–0209. Address Performance Review Board. The notice titled: SES Performance Review Board. questions about NRC dockets to Carol contained the incorrect document. This The notice contained an error. This Gallagher; telephone: 301–415–3463; document withdraws the previous document corrects the error. email: [email protected]. For submission. FOR FURTHER INFORMATION CONTACT: questions about this order, contact the Emily T. Carroll, Chief, Human FOR FURTHER INFORMATION CONTACT: individual listed in the FOR FURTHER Resources Division, Office of Emily T. Carroll, Chief, Human INFORMATION CONTACT section of this Administration, National Transportation Resources Division, Office of document. Safety Board, 490 L’Enfant Plaza SW., Administration, National Transportation • Washington, DC 20594–0001, (202) 314– NRC’s Agencywide Documents Safety Board, 490 L’Enfant Plaza SW., 6233. Access and Management System Washington, DC 20594–0001, (202) 314– (ADAMS): You may obtain publicly 6233. Correction available documents online in the Candi R. Bing, In the Federal Register of October 4, ADAMS Public Documents collection at Federal Register Liaison. 2016, in FR Doc. 2016–23867, on page http://www.nrc.gov/reading-rm/ [FR Doc. 2016–24449 Filed 10–7–16; 8:45 am] 68461, in the first column, add the adams.html. To begin the search, select following information before the last BILLING CODE 7533–01–P ‘‘ADAMS Public Documents’’ and then individual identified in the document: select ‘‘Begin Web-based ADAMS David Tochen, General Counsel, Search.’’ For problems with ADAMS, NATIONAL TRANSPORTATION National Transportation Safety Board please contact the NRC’s Public SAFETY BOARD (substitute only for Ms. Bryson’s Document Room (PDR) reference staff at rating review) 1–800–397–4209, 301–415–4737, or by Notice of Correction Candi R. Bing, email to [email protected]. The AGENCY: National Transportation Safety Federal Register Liaison. ADAMS accession number for each Board (NTSB). [FR Doc. 2016–24439 Filed 10–7–16; 8:45 am] document referenced (if it is available in ACTION: Notice; correction. BILLING CODE 7533–01–P ADAMS) is provided the first time that it is mentioned in this document. SUMMARY: The NTSB published a notice • NRC’s PDR: You may examine and of the SES Performance Review Board in NUCLEAR REGULATORY purchase copies of public documents at the Federal Register on October 4, 2016, COMMISSION the NRC’s PDR, Room O1–F21, One titled: SES Performance Review Board. White Flint North, 11555 Rockville The notice contained an error. This [Docket Nos. 50–321 and 50–366; EA–16– document corrects the error. 163; NRC–2016–0209] Pike, Rockville, Maryland 20852. FOR FURTHER INFORMATION CONTACT: FOR FURTHER INFORMATION CONTACT: In the Matter of Southern Nuclear Emily T. Carroll, Chief, Human Gerald Gulla, Office of Enforcement, Operating Co., Inc.; Edwin I. Hatch Resources Division, Office of U.S. Nuclear Regulatory Commission, Nuclear Plant, Unit Nos. 1 and 2 Administration, National Transportation Washington, DC 20555–001; telephone: Safety Board, 490 L’Enfant Plaza SW., AGENCY: Nuclear Regulatory 301–415–2872, email: Gerald.Gulla@ Washington, DC 20594–0001, (202)314– Commission. nrc.gov. 6233. ACTION: Confirmatory order; issuance. SUPPLEMENTARY INFORMATION: The text of Correction SUMMARY: The U.S. Nuclear Regulatory the Order is attached. In the Federal Register of October 4, Commission (NRC) is issuing a Dated at Rockville, Maryland, this 3rd day 2016, in FR Doc. 2016–23867, on page confirmatory order (Order) to revise the of October 2016. 68461, in the first column, add the Edwin I. Hatch Nuclear Plant Unit Nos. following information before the last 1 and 2 (Hatch) National Fire Protection individual identified in the document: Association (NFPA) 805 License

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For the Nuclear Regulatory Commission. In a letter dated December 2, 2013 LAR submittal date should be extended. Patricia K. Holahan, (ADAMS Accession No. ML13322B259), This Order is being issued to revise the Director, Office of Enforcement. the NRC staff acknowledged SNC HNP NFPA 805 LAR submittal date October 4, 2013, letter of intent to adopt from October 4, 2016, to April 4, 2018. United States of America Nuclear NFPA 805 and approved enforcement This new submittal date supports SNC’s Regulatory Commission discretion for 36 months starting on continued progress in activities related In the Matter of Southern Nuclear October 4, 2013. to the transition to NFPA 805, as described in their letter dated July 6, Operating Co., Inc.; (Edwin I. Hatch III Nuclear Plant, Unit Nos. 1 and 2) 2016. On February 24, 2012, NRC staff SNC may, at any time, cease its [Docket Nos. 50–321 and 50–366; EA–16– issued SECY–12–0031, ‘‘Enforcement transition to NFPA 805 and comply 163; License Nos. DPR–57 and NPF–5] Alternatives for Sites that Indicate with HNP’s existing licensing basis and Confirmatory Order Modifying License Additional Time Required to Submit the regulations set forth in 10 CFR Their License Amendment Requests to I 50.48, as applicable. As indicated in the Transition to 10 CFR 50.48(c) National Enforcement Policy, if SNC decides not Southern Nuclear Operating Fire Protection Association Standard to complete the transition to 10 CFR Company, Inc. (SNC, the licensee) is the 805.’’ In SECY–12–0031, the NRC staff 50.48(c), it must submit a letter stating holder of Facility Operating License identified enforcement alternatives for its intent to retain its existing licensing Nos. DPR–57 and NPF–5 issued by the licensees that indicate additional time is basis and withdraw its letter of intent to U.S. Nuclear Regulatory Commission required to submit their LAR to comply with 10 CFR 50.48(c). If SNC (NRC) pursuant to Part 50 of title 10 of transition to NFPA 805. SECY–12–0031 fails to meet the new LAR submittal the Code of Federal Regulations (10 describes three possible scenarios if date and fails to comply with its CFR), ‘‘Domestic Licensing of delays occur. In Scenario A.1, licensees existing licensing basis, the NRC will Production and Utilization Facilities,’’ may request to change the submittal take appropriate enforcement action, on August 6, 1974 and June 13, 1978, schedule by substituting one site for consistent with its Enforcement Policy. respectively. The licenses authorize the another. In Scenario A.2, the NRC staff On September 22, 2016, SNC operation of the Edwin I. Hatch Nuclear could issue a confirmatory order that consented to issuing this Order, as Plant, Unit Nos. 1 and 2 (HNP), in would extend enforcement discretion if described in Section V below. SNC accordance with conditions specified the licensee provides adequate further agreed that this Order will be therein. HNP is located in Appling justification. In Scenario B, the licensee effective upon issuance and that it has County, Georgia. does not submit an acceptable LAR by waived its rights to a hearing. II its scheduled date and does not meet the alternatives described in Scenario IV In a letter dated October 4, 2013 A.1 or A.2. Based on the licensee’s current status, (Agencywide Documents Access and In a public meeting on June 21, 2016 scheduled key activities, and planned Management System (ADAMS) (ADAMS Accession No. ML16179A186), modifications, the NRC has determined Accession No. ML13280A299), SNC between the NRC and SNC, the licensee that the licensee has provided adequate notified the U. S. Nuclear Regulatory described its progress for transitioning justification for its commitment given in Commission (NRC) of its intent to adopt HNP to NFPA 805. SNC also informed Section V, and, thus, for the extension National Fire Protection Association the NRC that an extension of the of enforcement discretion. Because the (NFPA) Standard 805, ‘‘Performance schedule for its LAR submittal is needed licensee will continue to perform Based Standard for Fire Protection for to allow appropriate development of its modifications to reduce current fire risk Light Water Reactor Electric Generating Fire Probabilistic Risk Assessment in parallel with the development of its Plants, 2001 Edition,’’ at HNP in (FPRA) model. In a letter dated July 6, NFPA 805 LAR, the NRC staff finds this accordance with 10 CFR 50.48(c). In this 2016 (ADAMS Accession No. acceptable to ensure public health and October letter, SNC committed to ML16188A341), SNC requested to safety. Based on the above and SNC’s commence its transition to the extend its LAR submittal date 18 consent, this Order is effective upon performance-based standard in the last months from October 4, 2016, to April issuance. quarter of 2013, and submit its license 4, 2018, in accordance with Scenario amendment request (LAR) A.2 of SECY–12–0031. V approximately 36 months after the In the July 6, 2016 letter, SNC Accordingly, pursuant to Sections transition start date, which would be provided the justification for revising 103, 161b, 161i, 161o, 182, and 186 of October 4, 2016. the LAR submittal date. The extension the Atomic Energy Act of 1954, as On July 12, 2011, the NRC published is necessary to complete development of amended (the Act), and the in the Federal Register (76 FR 40777) the FPRA model, to allow appropriate Commission’s regulations in 10 CFR the latest revision to its Interim coordination and implementation of 2.202, ‘‘Orders,’’ it is hereby ordered Enforcement Policy (Policy) regarding design modifications at HNP, and to that license nos. DPR–57 and NPF–5 are enforcement discretion for certain fire incorporate those modifications into the modified as follows: protection issues, allowing licensees to fire PRA that support the NFPA 805 A. SNC will submit an acceptable request enforcement discretion for transition. The NRC staff reviewed the license amendment request for Edwin I. pursuing transition to NFPA 805. The SNC’s letter that discussed its NFPA 805 Hatch Nuclear Plant, Unit Nos. 1 and 2, Policy states, in general, that transition progress, physical to adopt NFPA Standard 805 by no later enforcement discretion starts on the modifications, monitoring program, than April 4, 2018. date of the letter of intent and ends 3 LAR status, and major project B. SNC will continue to receive years after that initial start date. Once an milestones supporting submittal of the enforcement discretion until April 4, acceptable LAR is submitted and under NFPA 805 LAR in April 2018. 2018. If the NRC finds that the license review, enforcement discretion will The NRC has determined that, based amendment request is not acceptable, continue to be in place until the NRC on the above, the HNP NFPA 805 the NRC will take steps consistent with dispositions the LAR. enforcement discretion along with the the Enforcement Policy.

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The Director of the Office of Information about applying for a filed so that they can obtain access to Enforcement, in consultation with the digital ID certificate is available on the document via the E-Filing system. Director of the Office of Nuclear Reactor NRC’s public Web site at http:// A person filing electronically using Regulation, may, in writing, relax or www.nrc.gov/site-help/e- the NRC’s adjudicatory E-Filing system rescind any of the above conditions submittals.html. System requirements may seek assistance by contacting the upon demonstration by the licensee of for accessing the E-Submittal server are NRC Meta System Help Desk through good cause. detailed in NRC’s ‘‘Guidance for the ‘‘Contact Us’’ link located on the Electronic Submission,’’ which is NRC’s Web site at http://www.nrc.gov/ VI available on the agency’s public Web site-help/e-submittals.html, by email to In accordance with 10 CFR 2.202 and site at http://www.nrc.gov/site-help/e- [email protected], or by a toll- 10 CFR 2.309, any person adversely submittals.html. Participants may free call at (866) 672–7640. The NRC affected by this Order, other than SNC, attempt to use other software not listed Meta System Help Desk is available may request a hearing within 30 days of on the Web site, but should note that the between 8:00 a.m. and 8:00 p.m., ET, the issuance date of this Order. Where NRC’s E-Filing system does not support Monday through Friday, excluding good cause is shown, consideration will unlisted software, and the NRC Meta government holidays. be given to extending the time to request System Help Desk will not be able to Participants who believe that they a hearing. A request for extension of offer assistance in using unlisted have a good cause for not submitting time must be directed to the Director, software. documents electronically must file an Office of Enforcement, U.S. Nuclear If a participant is electronically exemption request, in accordance with Regulatory Commission, and include a submitting a document to the NRC in 10 CFR 2.302(g), with their initial paper statement of good cause for the accordance with the E-Filing rule, the filing requesting authorization to extension. participant must file the document continue to submit documents in paper All documents filed in NRC using the NRC’s online, Web-based format. Such filings must be submitted adjudicatory proceedings, including a submission form. In order to serve by: (1) First class mail addressed to the request for hearing, a petition for leave documents through the Electronic Office of the Secretary of the to intervene, any motion or other Information Exchange System, users Commission, U.S. Nuclear Regulatory document filed in the proceeding prior will be required to install a Web Commission, Washington, DC 20555– to the submission of a request for browser plug-in from the NRC Web site. 0001, Attention: Rulemaking and hearing or petition to intervene, and Further information on the Web-based Adjudications Staff; or (2) courier, documents filed by interested submission form, including the express mail, or expedited delivery governmental entities participating installation of the Web browser plug-in, service to the Office of the Secretary, under 10 CFR 2.315(c), must be filed in is available on the NRC’s public Web Sixteenth Floor, One White Flint North, accordance with the NRC’s E-Filing rule site at http://www.nrc.gov/site-help/e- 11555 Rockville Pike, Rockville, (72 FR 49139; August 28, 2007), as submittals.html. Maryland 20852, Attention: Rulemaking amended by 77 FR 46562; August 3, Once a participant has obtained a and Adjudications Staff. Participants 2012 (codified in pertinent part at 10 digital ID certificate and a docket has filing a document in this manner are CFR part 2, subpart C). The E-Filing been created, the participant can then responsible for serving the document on process requires participants to submit submit a request for hearing or petition all other participants. Filing is and serve all adjudicatory documents for leave to intervene through the EIE. considered complete by first-class mail over the internet, or in some cases to Submissions should be in Portable as of the time of deposit in the mail, or mail copies on electronic storage media. Document Format (PDF) in accordance by courier, express mail, or expedited Participants may not submit paper with NRC guidance available on the delivery service upon depositing the copies of their filings unless they seek NRC’s public Web site at http:// document with the provider of the an exemption in accordance with the www.nrc.gov/site-help/e- service. A presiding officer, having procedures described below. submittals.html. A filing is considered granted an exemption request from To comply with the procedural complete at the time the documents are using E-Filing, may require a participant requirements of E-Filing, at least ten submitted through the NRC’s E-Filing or party to use E-Filing if the presiding (10) days prior to the filing deadline, the system. To be timely, an electronic officer subsequently determines that the participant should contact the Office of filing must be submitted to the E-Filing reason for granting the exemption from the Secretary by email at system no later than 11:59 p.m. Eastern use of E-Filing no longer exists. [email protected], or by telephone Time (ET) on the due date. Upon receipt Documents submitted in adjudicatory at 301–415–1677, to (1) request a digital of a transmission, the E-Filing system proceedings will appear in the NRC’s identification (ID) certificate, which time-stamps the document and sends electronic hearing docket, which is allows the participant (or its counsel or the submitter an email notice available to the public at http:// representative) to digitally sign confirming receipt of the document. The ehd1.nrc.gov/ehd/, unless excluded documents and access the E-Submittal E-Filing system also distributes an email pursuant to an order of the Commission server for any proceeding in which it is notice that provides access to the or the presiding officer. Participants are participating; and (2) advise the document to the NRC’s Office of the requested not to include personal Secretary that the participant will be General Counsel and any others who privacy information, such as social submitting a request or petition for have advised the Office of the Secretary security numbers, home addresses, or hearing (even in instances in which the that they wish to participate in the home phone numbers in their filings, participant, or its counsel or proceeding, so that the filer need not unless an NRC regulation or other law representative, already holds an NRC- serve the documents on those requires submission of such issued digital ID certificate). Based upon participants separately. Therefore, any information. However, in some this information, the Secretary will others who wish to participate in the instances, a request to intervene will establish an electronic docket for the proceeding (or their counsel or require including information on local hearing in this proceeding if the representative) must apply for and residence in order to demonstrate a Secretary has not already established an receive a digital ID certificate before a proximity assertion of interest in the electronic docket. hearing request/petition to intervene is proceeding. With respect to copyrighted

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works, participants are requested not to Commission that such amendment adams.html. To begin the search, select include copyrighted materials in their involves no significant hazards ‘‘ADAMS Public Documents’’ and then submission, except for limited excerpts consideration, notwithstanding the select ‘‘Begin Web-based ADAMS that serve the purpose of the pendency before the Commission of a Search.’’ For problems with ADAMS, adjudicatory filings and would request for a hearing from any person. please contact the NRC’s Public constitute a Fair Use application. This biweekly notice includes all Document Room (PDR) reference staff at If a person other than the licensee notices of amendments issued, or 1–800–397–4209, 301–415–4737, or by requests a hearing, that person shall set proposed to be issued, from September email to [email protected]. The forth with particularity the manner in 13, 2016 to September 26, 2016. The last ADAMS accession number for each which his interest is adversely affected biweekly notice was published on document referenced (if it is available in by this Order and shall address the September 27, 2016. ADAMS) is provided the first time that criteria set forth in 10 CFR 2.309(d) and DATES: Comments must be filed by it is mentioned in this document. • (f). November 10, 2016. A request for a NRC’s PDR: You may examine and If a hearing is requested by a person hearing must be filed by December 12, purchase copies of public documents at whose interest is adversely affected, the 2016. the NRC’s PDR, Room O1–F21, One Commission will issue a separate Order ADDRESSES: You may submit comments White Flint North, 11555 Rockville designating the time and place of any by any of the following methods (unless Pike, Rockville, Maryland 20852. hearings, as appropriate. If a hearing is this document describes a different B. Submitting Comments held, the issue to be considered at such method for submitting comments on a hearing shall be whether this Order Please include Docket ID NRC–2016– specific subject): 0207, facility name, unit number(s), should be sustained. • Federal Rulemaking Web site: Go to In the absence of any request for application date, and subject in your http://www.regulations.gov and search hearing, or written approval of an comment submission. for Docket ID NRC–2016–0207. Address extension of time in which to request a The NRC cautions you not to include questions about NRC dockets to Carol hearing, the provisions specified in identifying or contact information that Gallagher; telephone: 301–415–3463; Section V above shall be final 30 days you do not want to be publicly email: [email protected]. For after issuance of this Order without disclosed in your comment submission. technical questions, contact the further order or proceedings. If an The NRC posts all comment individual listed in the FOR FURTHER extension of time for requesting a submissions at http:// INFORMATION CONTACT section of this hearing has been approved, the www.regulations.gov as well as entering document. provisions specified in Section V shall • the comment submissions into ADAMS. Mail comments to: Cindy Bladey, The NRC does not routinely edit be final when the extension expires if a Office of Administration, Mail Stop: hearing request has not been received. comment submissions to remove OWFN–12–H08, U.S. Nuclear identifying or contact information. Dated at Rockville, Maryland, this 3rd day of Regulatory Commission, Washington, October 2016. If you are requesting or aggregating DC 20555–0001. comments from other persons for For the Nuclear Regulatory Commission. For additional direction on obtaining submission to the NRC, then you should Patricia K. Holahan, information and submitting comments, Director, Office of Enforcement inform those persons not to include see ‘‘Obtaining Information and identifying or contact information that [FR Doc. 2016–24463 Filed 10–7–16; 8:45 am] Submitting Comments’’ in the they do not want to be publicly BILLING CODE 7590–01–P SUPPLEMENTARY INFORMATION section of disclosed in their comment submission. this document. Your request should state that the NRC FOR FURTHER INFORMATION CONTACT: Kay does not routinely edit comment NUCLEAR REGULATORY Goldstein, Office of Nuclear Reactor COMMISSION submissions to remove such information Regulation, U.S. Nuclear Regulatory before making the comment [NRC–2016–0207] Commission, Washington DC 20555– submissions available to the public or 0001; telephone: 301–415–1506, email: entering the comment submissions into Biweekly Notice; Applications and [email protected]. ADAMS. Amendments to Facility Operating II. Notice of Consideration of Issuance Licenses and Combined Licenses I. Obtaining Information and Submitting Comments of Amendments to Facility Operating Involving No Significant Hazards Licenses and Combined Licenses and Considerations A. Obtaining Information Proposed No Significant Hazards AGENCY: Nuclear Regulatory Please refer to Docket ID NRC–2016– Consideration Determination Commission. 0207, facility name, unit number(s), The Commission has made a ACTION: Biweekly notice. plant docket number, application date, proposed determination that the and subject when contacting the NRC following amendment requests involve SUMMARY: Pursuant to Section 189a. (2) about the availability of information for no significant hazards consideration. of the Atomic Energy Act of 1954, as this action. You may obtain publicly- Under the Commission’s regulations in amended (the Act), the U.S. Nuclear available information related to this § 50.92 of title 10 of the Code of Federal Regulatory Commission (NRC) is action by any of the following methods: Regulations (10 CFR), this means that publishing this regular biweekly notice. • Federal rulemaking Web site: Go to operation of the facility in accordance The Act requires the Commission to http://www.regulations.gov and search with the proposed amendment would publish notice of any amendments for Docket ID NRC–2016–0207. not (1) involve a significant increase in issued, or proposed to be issued, and • NRC’s Agencywide Documents the probability or consequences of an grants the Commission the authority to Access and Management System accident previously evaluated, or (2) issue and make immediately effective (ADAMS): You may obtain publicly- create the possibility of a new or any amendment to an operating license available documents online in the different kind of accident from any or combined license, as applicable, ADAMS Public Documents collection at accident previously evaluated; or (3) upon a determination by the http://www.nrc.gov/reading-rm/ involve a significant reduction in a

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margin of safety. The basis for this issue a notice of a hearing or an Requests for hearing, petitions for leave proposed determination for each appropriate order. to intervene, and motions for leave to amendment request is shown below. As required by 10 CFR 2.309, a file new or amended contentions that The Commission is seeking public petition shall set forth with particularity are filed after the 60-day deadline will comments on this proposed the interest of the petitioner in the not be entertained absent a determination. Any comments received proceeding, and how that interest may determination by the presiding officer within 30 days after the date of be affected by the results of the that the filing demonstrates good cause publication of this notice will be proceeding. The petition should by satisfying the three factors in 10 CFR considered in making any final specifically explain the reasons why 2.309(c)(1)(i) through (iii). determination. intervention should be permitted with If a hearing is requested, and the Normally, the Commission will not particular reference to the following Commission has not made a final issue the amendment until the general requirements: (1) The name, determination on the issue of no expiration of 60 days after the date of address, and telephone number of the significant hazards consideration, the publication of this notice. The petitioner; (2) the nature of the Commission will make a final Commission may issue the license petitioner’s right under the Act to be determination on the issue of no amendment before expiration of the 60- made a party to the proceeding; (3) the significant hazards consideration. The day period provided that its final nature and extent of the petitioner’s final determination will serve to decide determination is that the amendment property, financial, or other interest in when the hearing is held. If the final involves no significant hazards the proceeding; and (4) the possible determination is that the amendment consideration. In addition, the effect of any decision or order which request involves no significant hazards Commission may issue the amendment may be entered in the proceeding on the consideration, the Commission may prior to the expiration of the 30-day petitioner’s interest. The petition must issue the amendment and make it comment period if circumstances also set forth the specific contentions immediately effective, notwithstanding change during the 30-day comment which the petitioner seeks to have the request for a hearing. Any hearing period such that failure to act in a litigated at the proceeding. held would take place after issuance of timely way would result, for example in Each contention must consist of a the amendment. If the final derating or shutdown of the facility. If specific statement of the issue of law or determination is that the amendment the Commission takes action prior to the fact to be raised or controverted. In request involves a significant hazards expiration of either the comment period addition, the petitioner shall provide a consideration, then any hearing held or the notice period, it will publish in brief explanation of the bases for the would take place before the issuance of the Federal Register a notice of contention and a concise statement of any amendment unless the Commission issuance. If the Commission makes a the alleged facts or expert opinion finds an imminent danger to the health final no significant hazards which support the contention and on or safety of the public, in which case it consideration determination, any which the petitioner intends to rely in will issue an appropriate order or rule hearing will take place after issuance. proving the contention at the hearing. under 10 CFR part 2. The Commission expects that the need The petitioner must also provide A State, local governmental body, to take this action will occur very references to those specific sources and Federally-recognized Indian Tribe, or infrequently. documents of which the petitioner is agency thereof, may submit a petition to aware and on which the petitioner the Commission to participate as a party A. Opportunity To Request a Hearing intends to rely to establish those facts or under 10 CFR 2.309(h)(1). and Petition for Leave To Intervene expert opinion to support its position on The petition should state the nature Within 60 days after the date of the issue. The petition must include and extent of the petitioner’s interest in publication of this notice, any persons sufficient information to show that a the proceeding. The petition should be (petitioner) whose interest may be genuine dispute exists with the submitted to the Commission by affected by this action may file a request applicant on a material issue of law or December 12, 2016. The petition must for a hearing and a petition to intervene fact. Contentions shall be limited to be filed in accordance with the filing (petition) with respect to the action. matters within the scope of the instructions in the ‘‘Electronic Petitions shall be filed in accordance proceeding. The contention must be one Submissions (E-Filing)’’ section of this with the Commission’s ‘‘Agency Rules which, if proven, would entitle the document, and should meet the of Practice and Procedure’’ in 10 CFR petitioner to relief. A petitioner who requirements for petitions set forth in part 2. Interested persons should fails to satisfy these requirements with this section, except that under 10 CFR consult a current copy of 10 CFR 2.309, respect to at least one contention will 2.309(h)(2) a State, local governmental which is available at the NRC’s PDR, not be permitted to participate as a body, or Federally-recognized Indian located at One White Flint North, Room party. Tribe, or agency thereof does not need O1–F21, 11555 Rockville Pike (first Those permitted to intervene become to address the standing requirements in floor), Rockville, Maryland 20852. The parties to the proceeding, subject to any 10 CFR 2.309(d) if the facility is located NRC’s regulations are accessible limitations in the order granting leave to within its boundaries. A State, local electronically from the NRC Library on intervene, and have the opportunity to governmental body, Federally- the NRC’s Web site at http:// participate fully in the conduct of the recognized Indian Tribe, or agency www.nrc.gov/reading-rm/doc- hearing with respect to resolution of thereof may also have the opportunity to collections/cfr/. If a petition is filed that person’s admitted contentions, participate under 10 CFR 2.315(c). within 60 days, the Commission or a including the opportunity to present If a hearing is granted, any person presiding officer designated by the evidence and to submit a cross- who does not wish, or is not qualified, Commission or by the Chief examination plan for cross-examination to become a party to the proceeding Administrative Judge of the Atomic of witnesses, consistent with the NRC’s may, in the discretion of the presiding Safety and Licensing Board Panel, will regulations, policies, and procedures. officer, be permitted to make a limited rule on the petition; and the Secretary Petitions for leave to intervene must appearance pursuant to the provisions or the Chief Administrative Judge of the be filed no later than 60 days from the of 10 CFR 2.315(a). A person making a Atomic Safety and Licensing Board will date of publication of this notice. limited appearance may make an oral or

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written statement of position on the attempt to use other software not listed Washington, DC 20555–0001, Attention: issues, but may not otherwise on the Web site, but should note that the Rulemaking and Adjudications Staff; or participate in the proceeding. A limited NRC’s E-Filing system does not support (2) courier, express mail, or expedited appearance may be made at any session unlisted software, and the NRC delivery service to the Office of the of the hearing or at any prehearing Electronic Filing Help Desk will not be Secretary, Sixteenth Floor, One White conference, subject to the limits and able to offer assistance in using unlisted Flint North, 11555 Rockville Pike, conditions as may be imposed by the software. Rockville, Maryland, 20852, Attention: presiding officer. Details regarding the Once a participant has obtained a Rulemaking and Adjudications Staff. opportunity to make a limited digital ID certificate and a docket has Participants filing a document in this appearance will be provided by the been created, the participant can then manner are responsible for serving the presiding officer if such sessions are submit a petition. Submissions should document on all other participants. scheduled. be in Portable Document Format (PDF). Filing is considered complete by first- Additional guidance on PDF B. Electronic Submissions (E-Filing) class mail as of the time of deposit in submissions is available on the NRC’s the mail, or by courier, express mail, or All documents filed in NRC public Web site at http://www.nrc.gov/ expedited delivery service upon adjudicatory proceedings, including a site-help/electronic-sub-ref-mat.html. A depositing the document with the request for hearing, a petition for leave filing is considered complete at the time provider of the service. A presiding to intervene, any motion or other the documents are submitted through officer, having granted an exemption document filed in the proceeding prior the NRC’s E-Filing system. To be timely, request from using E-Filing, may require to the submission of a request for an electronic filing must be submitted to a participant or party to use E-Filing if hearing or petition to intervene the E-Filing system no later than 11:59 the presiding officer subsequently (hereinafter ‘‘petition’’), and documents p.m. Eastern Time on the due date. determines that the reason for granting filed by interested governmental entities Upon receipt of a transmission, the E- the exemption from use of E-Filing no participating under 10 CFR 2.315(c), Filing system time-stamps the document longer exists. must be filed in accordance with the and sends the submitter an email notice Documents submitted in adjudicatory NRC’s E-Filing rule (72 FR 49139; confirming receipt of the document. The proceedings will appear in the NRC’s August 28, 2007, as amended at 77 FR E-Filing system also distributes an email electronic hearing docket which is 46562, August 3, 2012). The E-Filing notice that provides access to the available to the public at http:// process requires participants to submit document to the NRC’s Office of the ehd1.nrc.gov/ehd/, unless excluded and serve all adjudicatory documents General Counsel and any others who pursuant to an order of the Commission, over the internet, or in some cases to have advised the Office of the Secretary or the presiding officer. Participants are mail copies on electronic storage media. that they wish to participate in the requested not to include personal Participants may not submit paper proceeding, so that the filer need not privacy information, such as social copies of their filings unless they seek serve the documents on those security numbers, home addresses, or an exemption in accordance with the participants separately. Therefore, home phone numbers in their filings, procedures described below. applicants and other participants (or unless an NRC regulation or other law To comply with the procedural their counsel or representative) must requires submission of such requirements of E-Filing, at least 10 apply for and receive a digital ID information. However, in some days prior to the filing deadline, the certificate before a hearing petition to instances, a petition will require participant should contact the Office of intervene is filed so that they can obtain including information on local the Secretary by email at access to the document via the E-Filing residence in order to demonstrate a [email protected], or by telephone system. at 301–415–1677, to request (1) a digital A person filing electronically using proximity assertion of interest in the identification (ID) certificate, which the NRC’s adjudicatory E-Filing system proceeding. With respect to copyrighted allows the participant (or its counsel or may seek assistance by contacting the works, except for limited excerpts that representative) to digitally sign NRC Electronic Filing Help Desk serve the purpose of the adjudicatory documents and access the E-Submittal through the ‘‘Contact Us’’ link located filings and would constitute a Fair Use server for any proceeding in which it is on the NRC’s public Web site at http:// application, participants are requested participating; and (2) advise the www.nrc.gov/site-help/e- not to include copyrighted materials in Secretary that the participant will be submittals.html, by email to their submission. submitting a petition (even in instances [email protected], or by a toll- The Commission will issue a notice or in which the participant, or its counsel free call at 1–866–672–7640. The NRC order granting or denying a hearing or representative, already holds an NRC- Electronic Filing Help Desk is available request or intervention petition, issued digital ID certificate). Based upon between 9 a.m. and 7 p.m., Eastern designating the issues for any hearing this information, the Secretary will Time, Monday through Friday, that will be held and designating the establish an electronic docket for the excluding government holidays. Presiding Officer. A notice granting a hearing in this proceeding if the Participants who believe that they hearing will be published in the Federal Secretary has not already established an have a good cause for not submitting Register and served on the parties to the electronic docket. documents electronically must file an hearing. Information about applying for a exemption request, in accordance with For further details with respect to digital ID certificate is available on the 10 CFR 2.302(g), with their initial paper these license amendment applications, NRC’s public Web site at http:// filing stating why there is good cause for see the application for amendment www.nrc.gov/site-help/e-submittals/ not filing electronically and requesting which is available for public inspection getting-started.html. System authorization to continue to submit in ADAMS and at the NRC’s PDR. For requirements for accessing the E- documents in paper format. Such filings additional direction on accessing Submittal server are available on the must be submitted by: (1) First class information related to this document, NRC’s public Web site at http:// mail addressed to the Office of the see the ‘‘Obtaining Information and www.nrc.gov/site-help/e-submittals/ Secretary of the Commission, U.S. Submitting Comments’’ section of this adjudicatory-sub.html. Participants may Nuclear Regulatory Commission, document.

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Duke Energy Progress, LLC, Docket No. offsite. These changes will not affect nor accordance with the provisions of 10 CFR 50–400, Shearon Harris Nuclear Power degrade the ability of the emergency diesel 50.59, thereby providing an effective level of Plant, Unit 1, New Hill, North Carolina generators (DGs) to perform their specified regulatory control and ensures that diesel safety functions as the diesel fuel oil fuel oil testing is conducted such that there Date of amendment request: May 26, continues to be properly evaluated. is no significant reduction in a margin of 2016. A publicly-available version is in The proposed changes do not adversely safety. ADAMS under Accession No. affect accident initiators or precursors nor A more rigorous testing of water and ML16151A001. alter the design assumptions, conditions, and sediment content is added to the ‘‘clear and Description of amendment request: configuration of the facility or the manner in bright’’ test used to establish the acceptability The amendment would revise the which the plant is operated and maintained. of new fuel oil for use prior to its addition to the fuel oil storage tanks. Additionally, an Shearon Harris Nuclear Power Plant, The proposed changes do not alter or prevent the ability of structures, systems or exception to RG 1.137 is proposed to allow Unit 1, technical specifications (TSs) to components from performing their intended for the performance of new fuel oil sampling institute a new administrative program function to mitigate the consequences on an offsite. The margin of safety provided by the TS for the establishment, initiating event with the assumed acceptance DGs is unaffected by the proposed changes implementation, and maintenance of a limits. The proposed changes do not affect since there continue to be TS requirements Diesel Fuel Oil Testing Program, the the source term, containment isolation, or to ensure fuel oil is of the appropriate quality specifics of which will be contained in radiological release assumptions used in and reliability for emergency DG use. The evaluating the radiological consequences of proposed changes provide the flexibility a licensee-controlled document. It also needed to improve fuel oil sampling and relocates to this program the current TS an accident previously evaluated. Further, the proposed changes do not increase the analysis methodologies, while maintaining surveillance requirements (SRs) for types and amounts of radioactive effluent sufficient controls to preserve the current evaluating diesel fuel oil, along with the that may be released offsite, nor significantly margins of safety. SRs for the draining, sediment removal, increase individual or cumulative Based on the above, Duke Energy and cleaning of each main fuel oil occupational or public radiation exposure. concludes that the proposed amendment storage tank at least once every 10 years. Therefore, the proposed changes do not does not involve a significant hazards involve a significant increase in the consideration under the standards set forth in In addition, an exception is proposed to 10 CFR 50.92, and, accordingly, a finding of Regulatory Guide (RG) 1.137, Revision probability or consequences of an accident previously evaluated. ‘‘no significant hazards consideration’’ is 1, ‘‘Fuel Oil Systems for Standby Diesel justified. Generators,’’ for the allowance of 2. Does the proposed amendment create the possibility of a new or different kind of The NRC staff has reviewed the performing sampling of new fuel oil accident from any accident previously licensee’s analysis and, based on this offsite prior to its addition to the fuel oil evaluated? review, it appears that the three storage tanks. Response: No. standards of 10 CFR 50.92(c) are Basis for proposed no significant The proposed amendment institutes a new satisfied. Therefore, the NRC staff hazards consideration determination: administrative program TS for the proposes to determine that the As required by 10 CFR 50.91(a), the establishment, implementation, and amendment request involves no licensee has provided its analysis of the maintenance of a Diesel Fuel Oil Testing Program, of which the current TS SR for significant hazards consideration. issue of no significant hazards Attorney for licensee: Kathryn B. consideration, which is presented evaluating new and stored diesel fuel oil and the cleaning of the fuel oil storage tanks are Nolan, Deputy General Counsel, Duke below: relocated, including pertinent ASTM Energy Business Services, 550 South 1. Does the proposed amendment involve standard references. A more rigorous testing Tryon Street, Mail Code DEC45A, a significant increase in the probability or of water and sediment content is added to the Charlotte, NC 28202. consequences of an accident previously ‘‘clear and bright’’ test used to establish the NRC Acting Branch Chief: Jeanne A. evaluated? acceptability of new fuel oil for use prior to Dion. Response: No. its addition to the fuel oil storage tanks. Entergy Nuclear Operations, Inc., The proposed amendment institutes a new Additionally, an exception to RG 1.137 is Docket No. 50–333, James A. FitzPatrick administrative program TS for the proposed to allow for the performance of new Nuclear Power Plant, Oswego County, establishment, implementation, and fuel oil sampling offsite. These changes do maintenance of a Diesel Fuel Oil Testing not alter the way any structure, system, or New York Program. The specifics of this program will component functions and does not modify Date of amendment request: August be contained in a licensee-controlled the manner in which the plant is operated. 29, 2016. A publicly-available version is document. The current TS SR for evaluating The requirements retained in the TS continue in ADAMS under Accession No. new and stored diesel fuel oil and the to require testing of the diesel fuel oil to ML16242A332. cleaning of the fuel oil storage tanks will be ensure the proper functioning of the DGs. Description of amendment request: relocated to this program. The American Therefore, the proposed changes do not The amendment would revise technical Society for Testing and Materials (ASTM) create the possibility of a new or different specification (TS) 5.5.6, Primary standard references pertaining to new and kind of accident from any accident Containment Leak Rate Testing stored fuel oil will be relocated to the previously evaluated. Program. These revisions would extend aforementioned program; however, 3. Does the proposed amendment involve the Type A Primary Containment requirements to perform testing in a significant reduction in the margin of accordance with applicable ASTM standards safety? Integrated Leak Rate Test interval to 15 are retained in the TS. Requirements to Response: No. years and extend the Type C Local Leak perform surveillances of both new and stored The proposed amendment institutes a new Rate Test testing interval up to 75 diesel fuel oil are also retained in the TS. administrative program TS for the months. Evaluations of future changes to the licensee- establishment, implementation, and Basis for proposed no significant controlled document will be conducted maintenance of a Diesel Fuel Oil Testing hazards consideration determination: pursuant to the requirements of 10 CFR Program, the specifics of which will be As required by 10 CFR 50.91(a), the 50.59. A more rigorous testing of water and contained in a licensee-controlled document. licensee has provided its analysis of the sediment content is added to the ‘‘clear and The current TS SR for evaluating new and issue of no significant hazards bright’’ test used to establish the acceptability stored diesel fuel oil and the cleaning of the consideration, which is presented of new fuel oil for use prior to its addition fuel oil storage tanks will be relocated to this to the fuel oil storage tanks. Additionally, an program, along with the pertinent ASTM below: exception to RG 1.137 is proposed to allow standard references. Changes to the licensee- 1. Does the proposed amendment involve for the performance of new fuel oil sampling controlled document are performed in a significant increase in the probability or

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consequences of an accident previously inspections performed in accordance with containment leak rate tests and Type C tests evaluated? ASME [American Society of Mechanical for JAF. The proposed surveillance interval Response: No. Engineers] Section Xl, the Maintenance Rule, extension is bounded by the 15-year ILRT The proposed amendment to the TS and TS requirements serve to provide a high Interval and the 75-month Type C test involves the extension of the JAF [James A. degree of assurance that the containment interval currently authorized within NEI 94– FitzPatrick Nuclear Power Plant] Type A would not degrade in a manner that is 01, Revision 3–A. Industry experience containment test interval to 15 years and the detectable only by a Type A test. Based on supports the conclusion that Type B and C extension of the Type C test interval to 75 the above, the proposed extensions do not testing detects a large percentage of months. The current Type A test interval of significantly increase the consequences of an containment leakage paths and that the 120 months (10 years) would be extended on accident previously evaluated. percentage of containment leakage paths that a permanent basis to no longer than 15 years The proposed amendment also deletes are detected only by Type A testing is small. from the last Type A test. The current Type exceptions previously granted to allow one The containment inspections performed in C test interval of 60 months for selected time extensions of the ILRT test frequency for accordance with ASME Section Xl, TS and components would be extended on a JAF. These exceptions were for activities that the Maintenance Rule serve to provide a high performance basis to no longer than 75 would have already taken place by the time degree of assurance that the containment months. Extensions of up to nine months this amendment is approved; therefore, their would not degrade in a manner that is (total maximum interval of 84 months for deletion is solely an administrative action detectable only by Type A testing. The Type C tests) are permissible only for non- that has no effect on any component and no combination of these factors ensures that the routine emergent conditions. The proposed impact on how the unit is operated. margin of safety in the plant safety analysis extension does not involve either a physical Therefore, the proposed change does not is maintained. The design, operation, testing change to the plant or a change in the manner result in a significant increase in the methods and acceptance criteria for Type A, probability or consequences of an accident in which the plant is operated or controlled. B, and C containment leakage tests specified previously evaluated. The containment is designed to provide an in applicable codes and standards would 2. Does the proposed change create the essentially leak tight barrier against the continue to be met, with the acceptance of possibility of a new or different kind of uncontrolled release of radioactivity to the this proposed change, since these are not accident from any accident previously environment for postulated accidents. As affected by changes to the Type A and Type such, the containment and the testing evaluated? Response: No. C test intervals. requirements invoked to periodically The proposed amendment also deletes demonstrate the integrity of the containment The proposed amendment to the TS involves the extension of the JAF Type A exceptions previously granted to allow one exist to ensure the plant’s ability to mitigate time extensions of the ILRT test frequency for the consequences of an accident, and do not containment test interval to 15 years and the extension of the Type C test interval to 75 JAF. These exceptions were for activities that involve the prevention or identification of months. The containment and the testing would have already taken place by the time any precursors of an accident. The change in requirements to periodically demonstrate the this amendment is approved; therefore, their dose risk for changing the Type A test integrity of the containment exist to ensure deletion is solely an administrative action frequency from three-per-ten years to once- the plant’s ability to mitigate the and does not change how the unit is operated per-fifteen-years, measured as an increase to consequences of an accident do not involve and maintained. Thus, there is no reduction the total integrated plant risk for those any accident precursors or initiators. The in any margin of safety. accident sequences influenced by Type A proposed change does not involve a physical Therefore, the proposed change does not testing, is 0.0087 person rem/year. EPRI change to the plant (i.e., no new or different involve a significant reduction in a margin of [Electric Power Research Institute] Report type of equipment will be installed) or a safety. No. 1009325, Revision 2–A states that a very change to the manner in which the plant is small population dose is defined as an The NRC staff has reviewed the ≤ ≤ operated or controlled. licensee’s analysis and, based on this increase of 1.0 person-rem per year, or The proposed amendment also deletes 1% of the total population dose, whichever exceptions previously granted to allow one review, it appears that the three is less restrictive for the risk impact time extensions of the ILRT test frequency for standards of 10 CFR 50.92(c) are assessment of the extended ILRT intervals. JAF. These exceptions were for activities that satisfied. Therefore, the NRC staff The results of the risk assessment for this would have already taken place by the time proposes to determine that the amendment meet these criteria. Moreover, this amendment is approved; therefore, their amendment request involves no the risk impact for the ILRT extension when deletion is solely an administrative action significant hazards consideration. Based compared to other severe accident risks is that does not result in any change in how the negligible. Therefore, this proposed on this review, it appears that the three unit is operated. standards of 10 CFR 50.92(c) are extension does not involve a significant Therefore, the proposed change does not increase in the probability of an accident create the possibility of a new or different satisfied. Therefore the NRC staff previously evaluated. kind of accident from any previously proposes to determine that the As documented in NUREG–1493, Type B evaluated. amendment request involves no and C tests have identified a very large 3. Does the proposed change involve a significant hazards consideration. percentage of containment leakage paths, and significant reduction in a margin of safety? Attorney for licensee: Ms. Jeanne Cho, the percentage of containment leakage paths Response: No. Assistant General Counsel, Entergy that are detected only by Type A testing is The proposed amendment to TS 5.5.6 Nuclear Operations, Inc., 440 Hamilton very small. The JAF Type A test history involves the extension of the JAF Type A Avenue, White Plains, NY 10601. supports this conclusion. containment test interval to 15 years and the The integrity of the containment is subject extension of the Type C test interval to 75 NRC Branch Chief: Travis L. Tate. to two types of failure mechanisms that can months for selected components. This Exelon Generation Company, LLC, be categorized as: (1) Activity based, and; (2) amendment does not alter the manner in Docket No. 50–461, Clinton Power time based. Activity based failure which safety limits, limiting safety system set Station (CPS), Unit No.1, DeWitt mechanisms are defined as degradation due points, or limiting conditions for operation to system and/or component modifications or are determined. The specific requirements County, Illinois maintenance. Local leak rate test and conditions of the TS Containment Leak Date of amendment request: July 28, requirements and administrative controls Rate Testing Program exist to ensure that the 2016. A publicly-available version is in such as configuration management and degree of containment structural integrity ADAMS under Accession No. procedural requirements for system and leak-tightness that is considered in the restoration ensure that containment integrity plant safety analysis is maintained. The ML16210A300. is not degraded by plant modifications or overall containment leak rate limit specified Description of amendment request: maintenance activities. The design and by TS is maintained. The proposed changes supports changes construction requirements of the The proposed change involves only the to the organization, staffing, and containment combined with the containment extension of the interval between Type A training requirements contained in

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Section 5.0 of the technical the focus of nuclear safety concerns to those specified in 10 CFR 50.82(a)(2), the 10 CFR specifications (TSs) after the license no associated with safely maintaining spent 50 license for CPS will no longer authorize longer authorizes operation of the nuclear fuel. These changes remove the operation of the reactor or emplacement or reactor or placement or retention of fuel implication that CPS can return to operation retention of fuel into the reactor vessel once the final certification required by 10 following submittal of the certifications in the reactor pressure vessel. CFR 50.82(a)(1)(ii) is submitted to the NRC. Basis for proposed no significant required by 10 CFR 50.82(a)(1). As a result, Any event involving safe storage of spent the occurrence of certain design basis hazards consideration determination: irradiated fuel or the methods used for postulated accidents are no longer As required by 10 CFR 50.91(a), the handling and storage of such fuel in the SFP considered credible when the reactor is licensee has provided its analysis of the would evolve slowly enough that no permanently defueled. The only remaining issue of no significant hazards immediate response would be required to credible accidents are the FHA, the consideration which is presented below: protect the health and safety of the public or Postulated Radioactive Releases Due to station personnel. Adequate communications 1. Does the proposed amendment involve Liquid Radwaste Tank Failures, and the Cask capability is provided to allow facility Drop Accident. The FHA is the limiting a significant increase in the probability or personnel to safely manage storage and Chapter 15 dose event for CPS in its consequences of an accident previously handling of irradiated fuel. As a result, no decommissioned state. evaluated? changes to radiological release parameters are The proposed changes do not adversely Response: No. involved. There is no effect on the type or The proposed changes would not take amount of radiation released, and there is no affect the inputs or assumptions of any of the effect until CPS has permanently ceased effect on predicted offsite doses in the event design basis analyses that impact the FHA. operation and entered a permanently of an accident. The proposed changes are limited to those defueled condition. The proposed changes Therefore, the proposed changes do not portions of the TS administrative controls would revise the CPS TS by deleting or involve a significant increase in the that are not related to the safe storage and modifying certain portions of the TS probability or consequence of an accident maintenance of spent irradiated fuel. administrative controls described in Section previously evaluated. These proposed changes do not directly 5.0 of the TS that are no longer applicable to 2. Does the proposed change create the involve any physical equipment limits or a permanently shutdown and defueled possibility of a new or different kind of parameters. The requirements that are facility. accident from any accident previously proposed to be revised and/or deleted from The proposed changes do not involve any evaluated? the CPS TS are not credited in the existing physical changes to plant structures, systems, Response: No. accident analysis for the remaining and components (SSCs) or the manner in The proposed changes to delete and/or applicable postulated accidents; therefore, which SSCs are operated, maintained, modify certain TS administrative controls they do not contribute to the margin of safety modified, tested, or inspected. The proposed have no impact on facility SSCs affecting the associated with the accident analysis. Certain changes do not involve a change to any safety safe storage of spent irradiated fuel, or on the postulated DBAs [design-basis accidents] limits, limiting safety system settings, methods of operation of such SSCs, or on the involving the reactor are no longer possible limiting control settings, limiting conditions handling and storage of spent irradiated fuel because the reactor will be permanently shut for operation, surveillance requirements, or itself. The proposed changes do not result in down and defueled and CPS will no longer design features. different or more adverse failure modes or be authorized to operate the reactor. The deletion and modification of Therefore, the proposed changes do not provisions of the facility administrative accidents than previously evaluated because the reactor will be permanently shut down involve a significant reduction in the margin controls do not affect the design of SSCs of safety. necessary for safe storage of spent irradiated and defueled and CPS will no longer be fuel or the methods used for handling and authorized to operate the reactor. The proposed changes will continue to The NRC staff has reviewed the storage of such fuel in the Spent Fuel Pool licensee’s analysis and, based on this (SFP). The proposed changes are require proper control and monitoring of administrative in nature and do not affect safety significant parameters and activities. review, it appears that the three any accidents applicable to the safe The proposed changes do not result in any standards of 10 CFR 50.92(c) are management of spent irradiated fuel or the new mechanisms that could initiate damage satisfied. Therefore, the NRC staff permanently shutdown and defueled to the remaining relevant safety barriers in proposes to determine that the condition of the reactor. support of maintaining the plant in a amendment request involves no permanently shutdown and defueled In a permanently defueled condition, the significant hazards consideration. only credible accidents are the Fuel Handling condition (e.g., fuel cladding and SFP Accident (FHA), Postulated Radioactive cooling). Since extended operation in a Attorney for licensee: Bradley J. Releases Due to Liquid Radwaste Tank defueled condition will be the only operation Fewell, Associate General Counsel, Failures, and Cask Drop Accident. Other allowed, and therefore bounded by the Exelon Nuclear,. 4300 Winfield Road, accidents such as Loss of Coolant Accident, existing analyses, such a condition does not Warrenville, IL 60555. Loss of Feedwater, and Reactivity and Power create the possibility of a new or different Distribution Anomalies will no longer be kind of accident. Acting NRC Branch Chief: G. Edward applicable to a permanently defueled reactor The proposed changes do not alter the Miller. plant. protection system design or create new NextEra Energy Duane Arnold, LLC, The probability of occurrence of previously failure modes. The proposed changes do not Docket No. 50–331, Duane Arnold involve a physical alteration of the plant, and evaluated accidents is not increased, since Energy Center, Linn County, Iowa extended operation in a permanently no new or different kind of equipment will defueled condition will be the only operation be installed. Consequently, there are no new NextEra Energy Point Beach, LLC, allowed, and therefore, bounded by the initiators that could result in a new or Docket Nos. 50–266 and 50–301, Point existing analyses. Additionally, the different kind of accident. Beach Nuclear Plant, Units 1 and 2, occurrence of postulated accidents associated Therefore, the proposed changes do not Town of Two Creeks, Manitowoc create the possibility of a new or different with reactor operation is no longer credible County, Wisconsin in a permanently defueled reactor. This kind of accident from any accident significantly reduces the scope of applicable previously evaluated. NextEra Energy Seabrook, LLC, Docket accidents. 3. Does the proposed change involve a No. 50–443, Seabrook Station, Unit No. The proposed changes in the significant reduction in a margin of safety? 1, Rockingham County, New Hampshire administrative controls do not affect the Response: No. ability to successfully respond to previously The proposed changes involve deleting Florida Power & Light Company, et al., evaluated accidents and do not affect and/or modifying certain TS administrative Docket Nos. 50–335 and 50–389, St. radiological assumptions used in the controls once the CPS facility has been Lucie Plant, Unit Nos. 1 and 2, St. Lucie evaluations. The proposed changes narrow permanently shutdown and defueled. As County, Florida

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Florida Power and Light Company, availability of the affected components, as Attorney for licensee: William Blair, Docket Nos. 50–250 and 50–251, Turkey well as their ability to mitigate the Managing Attorney—Nuclear, Florida Point Nuclear Generating Unit Nos. 3 consequences of accidents previously Power & Light Company, P.O. Box and 4, Miami-Dade County, Florida evaluated, is not affected. 14000, Juno Beach, FL 33408–0420. Therefore, the proposed change does not Date of amendment request: July 28, involve a significant increase in the Acting NRC Branch Chief: Jeanne A. 2016. A publicly-available version is in probability or consequences of an accident Dion. ADAMS under Accession No. previously evaluated. Northern States Power Company— ML16214A276. 2. Does the proposed change create the Minnesota (NSPM), Docket No. 50–263, possibility of a new or different kind of Description of amendment request: Monticello Nuclear Generating Plant, The amendments would revise the accident from any previously evaluated? Response: No. Wright County, Minnesota Technical Specifications (TS) consistent The proposed change does not alter the Date of amendment request: July 28, with Technical Specifications Task design or configuration of the plant. The 2016. A publicly-available version is in Force Traveler 545, Revision 3, ‘‘TS proposed change does not involve a physical ADAMS under Accession No. Inservice Testing [IST] Program alteration of the plant; no new or different kind of equipment will be installed. The ML16210A030. Removal & Clarify SR [Surveillance Description of amendment request: Requirement] Usage Rule Application to proposed change does not alter the types of [IST] performed. In most cases, the frequency The proposed amendment would Section 5.5 Testing’’ (ADAMS eliminate technical specification (TS), Accession No. ML15294A555). of [IST] is unchanged. However, the frequency of testing would not result in a Section 5.5.5, ‘‘Inservice Testing [IST] Basis for proposed no significant new or different kind of accident from any Program,’’ to remove requirements hazards consideration determination: previously evaluated since the testing duplicated in American Society of As required by 10 CFR 50.91(a), the methods are not altered. Mechanical Engineers (ASME) Code for licensee has provided its analysis of the Therefore, the proposed change does not Operation and Maintenance of Nuclear issue of no significant hazards create the possibility of a new or different Power Plants (OM Code), Case OMN–20, consideration, which is presented kind of accident from any previously ‘‘Inservice Test Frequency.’’ A new below: evaluated. 3. Does the proposed change involve a defined term, ‘‘Inservice Testing 1. Does the proposed change involve a significant reduction in a margin of safety? Program,’’ is added to TS Section 1.1, significant increase in the probability or Response: No. ‘‘Definitions.’’ The proposed change to consequences of an accident previously The proposed change eliminates some the TS is consistent with TSTF–545, evaluated? requirements from the TS in lieu of Response: No. Revision 3, ‘‘TS Inservice Testing requirements in the ASME Code, as modified Program Removal & Clarify SR The proposed change eliminates Technical by use of Code Case OMN–20. Compliance Specifications (TS) Section 5.5.6 and 5.5.7, with the ASME Code is required by 10 CFR [surveillance requirement] Usage Rule ‘‘Inservice Testing Program,’’ for Duane 50.55a. The proposed change also allows Application to Section 5.5 Testing.’’ TS Arnold and Point Beach, respectively, and inservice tests with frequencies greater than SRs that currently refer to the IST eliminates TS Section 6.8.4.i, ‘‘Inservice 2 years to be extended by 6 months to Program from Section 5.5.6 would be Testing Program’’ for St. Lucie Units 1 and facilitate test scheduling and consideration of revised to refer to the new defined term, 2. The proposed change eliminates the plant operating conditions that may not be requirements regarding [IST] from TS 4.0.5 in ‘‘Inservice Testing Program.’’ suitable for performance of the required Basis for proposed no significant the Seabrook and Turkey Point TS. Most testing. The testing frequency extension will requirements in the [IST] Program are hazards consideration determination: not affect the ability of the components to As required by 10 CFR 50.91(a), the removed, as they are duplicative of respond to an accident as the components are requirements in the ASME OM [American required to be operable during the testing licensee has provided its analysis of the Society of Mechanical Engineers Operation period extension. The proposed change will issue of no significant hazards and Maintenance] Code, as clarified by Code eliminate the existing TS allowance to defer consideration, which is presented Case OMN–20, ‘‘Inservice Test Frequency.’’ performance of missed inservice tests up to below: The remaining requirements related to the the duration of the specified testing 1. Does the proposed change involve a IST Program are eliminated because the NRC frequency, and instead will require an has determined their inclusion in the TS is significant increase in the probability or assessment of the missed test on equipment contrary to regulations. A new defined term, consequences of an accident previously operability. This assessment will consider ‘‘Inservice Testing Program,’’ is added to the evaluated? the effect on margin of safety (equipment TS, which references the requirements of 10 Response: No. operability). Should the component be CFR 50.55a(f). The proposed change revises TS Chapter 5, inoperable, the TS provide actions to ensure Performance of [IST] is not an initiator to ‘‘Administrative Controls,’’ Section 5.5, that the margin of safety is protected. The any accident previously evaluated. As a ‘‘Programs and Manuals,’’ by eliminating the proposed change also eliminates a statement result, the probability of occurrence of an ‘‘Inservice Testing Program’’ specification. that nothing in the ASME Code should be accident is not significantly affected by the Most requirements in the IST Program are construed to supersede the requirements of proposed change. Inservice test frequencies removed as they are duplicative of under Code Case OMN–20 are equivalent to any TS. The NRC has determined that requirements in the ASME OM Code, as the current testing period allowed by the TS statement to be incorrect. However, clarified by Code Case OMN–20, ‘‘Inservice with the exception that testing frequencies elimination of the statement will have no Test Frequency.’’ The remaining greater than 2 years may be extended by up effect on plant operation or safety. requirements in the Section 5.5 IST Program to 6 months to facilitate test scheduling and Therefore, the proposed change does not are eliminated because the NRC has consideration of plant operating conditions involve a significant reduction in a margin of determined their inclusion in the TS is that may not be suitable for performance of safety. contrary to the regulations. A new defined the required testing. The testing frequency The NRC staff has reviewed the term, ‘‘Inservice Testing Program,’’ is added extension will not affect the ability of the licensee’s analysis and, based on this to the TS, which references the requirements components to mitigate any accident review, it appears that the three of 10 CFR 50.55a(f). Performance of inservice testing is not an previously evaluated as the components are standards of 50.92(c) are satisfied. required to be operable during the testing initiator to any accident previously period extension. Performance of inservice Therefore, the NRC staff proposes to evaluated. As a result, the probability of tests utilizing the allowances in OMN–20 determine that the amendment request occurrence of an accident is not significantly will not significantly affect the reliability of involves no significant hazards affected by the proposed change. Inservice the tested components. As a result, the consideration. test frequencies under Code Case OMN–20

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are equivalent to the current testing period ASME Code should be construed to Response: No. allowed by the TS with the exception that supersede the requirements of any TS. The The proposed changes to the location and testing frequencies greater than 2 years may NRC has determined that statement to be dimensions of the protective plate continues be extended by up to 6 months to facilitate incorrect. However, elimination of the to provide sufficient space surrounding the test scheduling and consideration of plant statement will have no effect on plant containment recirculation screens for debris operating conditions that may not be suitable operation or safety. to settle before reaching the screens as for performance of the required testing. The Therefore, the proposed change does not confirmed by an evaluation demonstrating testing frequency extension will not affect the involve a significant reduction in a margin of that the protective plate continues to fulfill ability of the components to mitigate any safety. its design function of preventing debris from accident previously evaluated as the The NRC staff has reviewed the reaching the screens. In addition, the components are required to be operable licensee’s analysis and, based on this increase to the minimum IRWST screen size during the testing period extension. review, it appears that the three reinforces the ability of the screens to Performance of inservice tests utilizing the perform their design function with the allowances in OMN–20 will not significantly standards of 10 CFR 50.92(c) are increased RNS maximum flowrate proposed. affect the reliability of the tested satisfied. Therefore, the NRC staff The proposed changes do not adversely affect components. As a result, the availability of proposes to determine that the any accident initiating component, and thus the affected components, as well as their amendment request involves no the probabilities of the accidents previously ability to mitigate the consequences of significant hazards consideration. evaluated are not affected. The affected accidents previously evaluated, is not Attorney for licensee: Peter M. Glass, equipment does not adversely affect the affected. Assistant General Counsel, Xcel Energy ability of equipment to contain radioactive Therefore, the proposed change does not Services, Inc., 414 Nicollet Mall, material. Because the proposed change does involve a significant increase in the not affect a release path or increase the probability or consequences of an accident Minneapolis, MN 55401. NRC Branch Chief: David J. Wrona. expected dose rates, the potential previously evaluated. radiological releases in the UFSAR accident 2. Does the proposed change create the South Carolina Electric & Gas Company analyses are unaffected. possibility of a new or different kind of and South Carolina Public Service Therefore, the proposed amendment does accident from any accident previously Authority, Docket Nos. 52–027 and 52– not involve a significant increase in the evaluated? 028, Virgil C. Summer Nuclear Station, probability or consequences of an accident Response: No. previously evaluated. The proposed change does not alter the Units 2 and 3, Fairfield County, South Carolina 2. Does the proposed amendment create design or configuration of the plant. The the possibility of a new or different kind of proposed change does not involve a physical Date of amendment request: August accident from any accident previously alteration of the plant; no new or different 12, 2016. A publicly-available version is evaluated? kind of equipment will be installed. The in ADAMS under Accession No. Response: No. proposed change does not alter the types of ML16225A437. The proposed activity to change the inservice testing performed. In most cases, Description of amendment request: location and dimensions of the protective the frequency of inservice testing is plate above the containment recirculation unchanged. However, the frequency of The amendment request proposes changes to plant-specific Tier 2 screens, to change the minimum IRWST testing would not result in a new or different screen size, and to increase the maximum kind of accident from any previously information incorporated into the RNS flowrate through the IRWST and CR evaluated since the testing methods are not Updated Final Safety Analysis Report screens does not alter the method in which altered. (UFSAR), and involves changes to safety functions are accomplished. The Therefore, the proposed change does not combined license Appendix C (and analyses demonstrate that the screens are create the possibility of a new or different corresponding plant-specific Tier 1 able to perform accident, and no new failure kind of accident from any accident information). The proposed changes are modes are introduced by the proposed previously evaluated. to information identifying the frontal change. 3. Does the proposed change involve a face area and screen surface area for the Therefore, the proposed amendment does significant reduction a margin of safety? not create the possibility of a new or different Response: No. In-Containment Refueling Water Storage Tank (IRWST) screens, the location and kind of accident from any accident The proposed change eliminates some previously evaluated. requirements from the TS in lieu of dimensions of the protective plate 3. Does the proposed amendment involve requirements in the ASME Code, as modified located above the containment a significant reduction in a margin of safety? by use of Code Case OMN–20. Compliance recirculation (CR) screens, and Response: No. with the ASME Code is required by 10 CFR increasing the maximum Normal The proposed change to the design does 50.55a. The proposed change also allows Residual Heat Removal System (RNS) not change any of the codes or standards to inservice tests with frequencies greater than flowrate through the IRWST and CR which the IRWST screens, containment 2 years to be extended by 6 months to screens. Pursuant to the provisions of 10 recirculation screens, and containment facilitate test scheduling and consideration of CFR 52.63(b)(1), an exemption from recirculation screen protective plate are plant operating conditions that may not be designed as documented in the UFSAR. The suitable for performance of the required elements of the design as certified in the 10 CFR part 52, appendix D, design containment recirculation screen protective testing. The testing frequency extension will plate continues to prevent debris from not affect the ability of the components to certification rule is also requested for reaching the CR screens, and the IRWST and respond to an accident as the components are the plant-specific Design Control CR screens maintain their ability to block required to be operable during the testing Document Tier 1 material departures. debris while at the proposed increase in RNS period extension. The proposed change will Basis for proposed no significant maximum flowrate. eliminate the existing TS SR 3.0.3 allowance hazards consideration determination: No safety analysis or design basis to defer performance of missed inservice tests As required by 10 CFR 50.91(a), the acceptance limit/criterion is challenged or up to the duration of the specified frequency, licensee has provided its analysis of the exceeded by the proposed changes. and will instead require an assessment of the issue of no significant hazards Therefore, the proposed amendment does missed test on equipment operability. This consideration, which is presented not involve a significant reduction in a assessment will consider the effect on a margin of safety. margin of safety (equipment operability). below: Should the component be inoperable, the TS 1. Does the proposed amendment involve The NRC staff has reviewed the provide actions to ensure that the margin of a significant increase in the probability or licensee’s analysis and, based on this safety is protected. The proposed change also consequences of an accident previously review, it appears that the three eliminates a statement that nothing in the evaluated? standards of 10 CFR 50.92(c) are

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satisfied. Therefore, the NRC staff These changes have no adverse impact on South Carolina Electric & Gas Company, proposes to determine that the the support, design, or operation of South Carolina Public Service amendment request involves no mechanical and fluid systems. The response Authority, Docket No. 50–395, Virgil C. of systems to postulated accident conditions significant hazards consideration. is not adversely affected by the proposed Summer Nuclear Station, Unit No. 1, Attorney for licensee: Ms. Kathryn M. changes. There is no change to the predicted Fairfield County, South Carolina Sutton, Morgan, Lewis & Bockius LLC, radioactive releases due to normal operation Date of amendment request: August 1111 Pennsylvania Avenue NW., or postulated accident conditions. 29, 2016. A publicly-available version is Washington, DC, 20004–2514. Consequently, the plant response to in ADAMS under Accession No. NRC Branch Chief: Jennifer Dixon- previously evaluated accidents is not ML16243A463. Herrity. impacted, nor does the proposed change create any new accident precursors. Description of amendment request: South Carolina Electric & Gas Company Therefore, the proposed amendment does The amendment would remove the and South Carolina Public Service not involve a significant increase in the administrative controls associated with Authority, Docket Nos. 52–027 and 52– probability or consequences of an accident the Limiting Condition for Operation 028, Virgil C. Summer Nuclear Station, previously evaluated. 2. Does the proposed amendment create (LCO) of Technical Specification (TS) Units 2 and 3, Fairfield, South Carolina the possibility of a new or different kind of 3.5.4, ‘‘Refueling Water Storage Tank.’’ Date of amendment request: accident from any accident previously Basis for proposed no significant September 8, 2016. A publicly-available evaluated? hazards consideration determination: Response: No. As required by 10 CFR 50.91(a), the version is in ADAMS under Accession The proposed changes do not affect the No. ML16252A200. licensee has provided its analysis of the operation of any systems or equipment that issue of no significant hazards Description of amendment request: may initiate a new or different kind of The amendment request proposes accident, or alter any SSC such that a new consideration, which is presented changes to the Fire Pump Head and accident initiator or initiating sequence of below, with NRC staff edits in square Diesel Fuel Day Tank. Because, this events is created. The proposed changes to brackets: proposed change requires a departure the fire pump performance specifications and 1. Does the proposed change involve a from Tier 1 information in the fire pump fuel day tank volume do not affect significant increase in the probability or any safety-related equipment, nor do they Westinghouse Electric Company’s consequences of an accident previously add any new interface to safety-related SSCs. evaluated? AP1000 Design Control Document No system or design function or equipment (DCD), the licensee also requested an Response: No. qualification is affected by this change. The The proposed change removes an exemption from the requirements of the changes do not introduce a new failure mode, administrative note added by Amendment malfunction, or sequence of events that could Generic DCD Tier 1 in accordance with No. 192. The administrative control applied affect safety or safety-related equipment. 10 CFR 52.63(b)(1). by Amendment No. 192 was issued to Therefore, the proposed amendment does Basis for proposed no significant prevent or reduce the risk for drainage of the not create the possibility of a new or different hazards consideration determination: Reactor Water Storage Tank (RWST) when kind of accident from any accident aligned to the non-safety, non-seismic As required by 10 CFR 50.91(a), the previously evaluated. purification system. The station has licensee has provided its analysis of the 3. Does the proposed amendment involve implemented a modification that qualifies issue of no significant hazards a significant reduction in a margin of safety? the interconnection of the RWST to the consideration, which is presented Response: No. purification system. The installed design below: The proposed changes maintain compliance with the applicable Codes and prevents the RWST being drained below the 1. Does the proposed amendment involve Standards, thereby maintaining the margin of current Technical Specifications minimum a significant increase in the probability or safety associated with these SSCs. The volume requirement due to a failure in the consequences of an accident previously proposed changes do not alter any applicable non-safety purification system. The RWST evaluated? design codes, code compliance, design will continue to perform its safety function Response: No. function, or safety analysis. Consequently, no and the overall system performance has not The increase in head pressure by the safety analysis or design basis acceptance been affected [by] this proposed amendment. proposed change to the fire protection system limit/criterion is challenged or exceeded by Assumptions previously made in evaluating (FPS) motor-driven and diesel-driven fire the proposed change, thus the margin of the consequences of the accident are not pumps maintains compliance with National safety is not reduced. altered, and the consequences of the accident Fire Protection Association (NFPA) Standard Because no safety analysis or design basis are not increased. Therefore, the proposed NFPA–14, Standard for the Installation of acceptance limit/criterion is challenged or change does not involve a significant Standpipe, Private Hydrants, and Hose exceeded by these changes, no margin of increase in the probability or consequences Systems, 2000 Edition, requirements by safety is reduced. of an accident previously evaluated. The providing adequate pressure in the standpipe Therefore, the proposed amendment does Purification Loop supports the Spent Fuel and automatic sprinkler system to maintain not involve a significant reduction in a System and is not credited for safe shutdown the ability to fight and/or contain a margin of safety. of the plant or accident mitigation. Therefore, postulated fire. The proposed change to the the proposed change has insignificant impact diesel-driven fire pump fuel day tank volume The NRC staff has reviewed the on the probability and consequences of an maintains the availability of the diesel-driven licensee’s analysis and, based on this accident previously evaluated. A fire pump for service upon failure of the review, it appears that the three combination of design and administrative electric motor-driven fire pump or a loss of standards of 10 CFR 50.92(c) are controls ensure that the Purification Loop offsite power by providing a fuel day tank satisfied. Therefore, the NRC staff maintains RWST boron concentration and that is reserved exclusively for the diesel- proposes to determine that the water volume requirements whenever the driven pump and meets the minimum amendment request involves no contents of the RWST are processed through capacity requirements of NFPA 20, Standard significant hazards consideration. the system. The RWST is operated under for the Installation of Stationary Pumps for System Operating Procedure for the Spent Fire Protection, 1999 Edition. These changes Attorney for licensee: Ms. Kathryn M. Fuel Cooling System and is protected by do not affect the operation of any systems or Sutton, Morgan, Lewis & Bockius, LLC, maintaining the isolation valve for the lower equipment that initiate an analyzed accident 1111 Pennsylvania NW., Washington, return line locked closed in modes 1 through or alter any structures, systems, and DC 20004–2514. 4. component’s (SSC’s) accident initiator or NRC Branch Chief: Jennifer Dixon- 2. Does the proposed change create the initiating sequence of events. Herrity. possibility of a new or different kind of

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accident from any accident previously in ADAMS under Accession No. proposes to determine that the evaluated? ML16245A257. amendment request involves no Response: No. Description of amendment request: significant hazards consideration. The proposed change does not introduce a The amendment would revise the values Attorney for licensee: Jennifer M. new or different accident previously for the reactor core Safety Limit 2.1.1.2 Buettner, Associate General Counsel, evaluated. The station implemented a qualified design that prevents the RWST for Minimum Critical Power Ratios for Southern Nuclear Operating Company, from being drained below the current TS both single and dual recirculation loop 40 Iverness Center Parkway, 3.5.4.a minimum volume requirement. The operation. Birmingham, AL 35242. proposed change does not alter the design Basis for proposed no significant NRC Branch Chief: Michael T. requirements of the RWST or any Structure, hazards consideration determination: Markley. System or Component or its function during As required by 10 CFR 50.91(a), the Southern Nuclear Operating Company, accident conditions. The changes do not alter licensee has provided its analysis of the Inc., Docket Nos. 52–025 and 52–026, assumptions made in the safety analysis and issue of no significant hazards Vogtle Electric Generating Plant (VEGP), the current TS LCO are maintained. The consideration, which is presented Units 3 and 4, Burke County, Georgia Purification Loop supports the Spent Fuel below, with NRC staff edits in brackets: System and is not credited for safe shutdown Date of amendment request: July 29, 1. Does the proposed change involve a of the plant or accident mitigation. The 2016. A publicly-available version is in proposed change removes a note added by significant increase in the probability or Amendment No. 192 that applied an consequences of an accident previously ADAMS under Accession No. administrative control to manage the risk of evaluated? ML16211A436. a postulated RWST drainage scenario by the Response: No. Description of amendment request: purification system. The Safety Limit Minimum Critical Power The amendment request proposes to add Therefore, the proposed change does not Ratio (SLMCPR) ensures that 99.9% of the to License Condition 2.D.(1) of the create the possibility of a new or different fuel rods in the core will not be susceptible VEGP Units 3 and 4 combined licenses kind of accident from any previously to boiling transition during normal operation an Interim Amendment Request process evaluated. or the most limiting postulated design-basis for changes during construction when 3. Does the proposed change involve a transient event. The new SLMCPR values preserve the existing margin to the onset of emergent conditions are present. significant reduction in a margin of safety? Basis for proposed no significant Response: No. transition boiling; therefore, the probability The proposed change removes a note of fuel damage is not increased as a result of hazards consideration determination: added by Amendment No. 192. The proposed this proposed change. The determination of As required by 10 CFR 50.91(a), the change does not alter the safety limits, the revised HNP Unit 2 SLMCPRs has been licensee has provided its analysis of the limiting safety system settings or limiting performed using NRC-approved methods of issue of no significant hazards conditions for operation of the RWST. The evaluation. These plant-specific calculations consideration, which is presented below modification preserved the current licensing are performed each operating cycle and may with NRC staff’s edits in square and design bases of the RWST, therefore the require changes for future cycles. The revised brackets: margin of safety for the RWST are not SLMCPR values do not change the method of affected. The proposed changes do not operating the plant; therefore, they have no 1. Does the proposed amendment involve adversely affect systems that respond to effect on the probability of an accident, a significant increase in the probability or safely shutdown the plant and to maintain initiating event, or transient: consequences of an accident previously evaluated? the plant in a safe shutdown condition. The 2. Does the proposed change create the Response: No. Purification Loop supports the Spent Fuel possibility of a new or different kind of The proposed amendment would add an System and is not credited for safe shutdown accident from any accident previously Interim Amendment Request process to of the plant or accident mitigation. evaluated? Response: No. Condition 2.0.(1) of the Vogtle 3 and 4 COLs Therefore, the proposed change does not [combined licenses] to allow construction to involve a significant reduction in a margin of The proposed changes result only from a specific analysis for the HNP Unit 2 core continue, at SNC’s [Southern Nuclear safety. Operating Company] own risk, in emergent reload design. These changes do not involve conditions, where a non-conforming The NRC staff has reviewed the any new or different methods for operating condition that has little or no safety licensee’s analysis and, based on this the facility. No new initiating events or significance is discovered and the work review, it appears that the three transients result from these changes. standards of 10 CFR 50.92(c) are activity cannot be adjusted. The Interim 3. Does the proposed change involve a Amendment Request process would require satisfied. Therefore, the NRC staff significant reduction in a margin of safety? SNC to submit a Nuclear Construction Safety proposes to determine that the Response: No. Assessment which (1) identifies the proposed amendment request involves no The new SLMCPRs have been calculated change; (2) evaluates whether emergent significant hazards consideration. using NRC-approved methods of evaluation conditions are present; (3) evaluates whether Attorney for licensee: Kathryn M. with plant and cycle-specific input values for the change would result in any material Sutton, Morgan, Lewis & Bockius LLP, the fuel and core design for the upcoming decrease in safety; and (4) evaluates whether cycle of operation. The SLMCPR values continued construction would make the non- 1111 Pennsylvania Avenue NW., ensure that 99.9% of the fuel rods in the core Washington, DC 20004. conforming condition irreversible. Only if the will not be susceptible to boiling transition continued construction would have no NRC Branch Chief: Michael T. during normal operation or the most limiting material decrease in safety would the NRC Markley. postulated design-basis transient event. The issue a determination that construction could operating MCPR limit is set appropriately Southern Nuclear Operating Company, continue pending SNC’s initiation of the above the safety limit value to ensure COL–ISG–025 PAR [preliminary amendment Inc. (SNC); Georgia Power Company; adequate margin when the cycle-specific request]/LAR [license amendment request] Oglethorpe Power Corporation; transients are evaluated. Accordingly, the process. The requirement to include a Municipal Electric Authority of Georgia; margin of safety is maintained with the Nuclear Construction Safety Assessment City of Dalton, Georgia, Docket No. 50– revised values. ensures that the proposed amendment would 366, Edwin I. Hatch Nuclear Plant The NRC staff has reviewed the not involve a significant increase in the probability or consequences of an accident (HNP), Unit No. 2, Appling County, licensee’s analysis and, based on this Georgia previously evaluated. If the continued review, it appears that the three construction would result a material decrease Date of amendment request: August standards of 10 CFR 50.92(c) are in safety, then continued construction would 29, 2016. A publicly-available version is satisfied. Therefore, the NRC staff not be authorized.

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The proposed amendment does not modify SNC to submit a Nuclear Construction Safety Company’s AP1000 Design Control the design, construction, or operation of any Assessment which (1) identifies the proposed Document (DCD), the licensee also plant structures, systems, or components change; (2) evaluates whether emergent requested an exemption from the (SSCs), nor does it change any procedures or conditions are present; (3) evaluates whether requirements of the Generic DCD Tier 1 method of control for any SSCs. Because the the change would result in any material proposed amendment does not change the decrease in safety; and (4) evaluates whether in accordance with 10 CFR 52.63(b)(1). design, construction, or operation of any continued construction would make the non- Basis for proposed no significant SSCs, it does not adversely affect any design conforming condition irreversible. Only if the hazards consideration determination: function as described in the Updated Final continued construction would have no As required by 10 CFR 50.91(a), the Safety Analysis Report. material decrease in safety would the NRC licensee has provided its analysis of the The proposed amendment does not affect issue determination that construction could issue of no significant hazards the probability of an accident previously continue pending SNC’s initiation of the consideration, which is presented evaluated. Similarly, because the proposed COL–ISG–025 PAR/LAR process. below: amendment does not alter the design or The proposed amendment is not a operation of the nuclear plant or any plant modification, addition to, or removal of any 1. Does the proposed amendment involve SSCs, the proposed amendment does not plant SSCs. Furthermore, the proposed a significant increase in the probability or represent a change to the radiological effects amendment is not a change to procedures or consequences of an accident previously of an accident, and therefore, does not method of control of the nuclear plant or any evaluated? involve an increase in the consequences of an plant SSCs. The proposed amendment does Response: No. accident previously evaluated. not alter any design function or safety The proposed change to the roles of the Therefore, the proposed amendment does analysis. Consequently, no safety analysis or qualified data processing system (QDPS) and not involve a significant increase in the design basis acceptance limit/criterion is safety-related displays, as well as the change probability or consequences of an accident challenged or exceeded by the proposed to add Division A and Division D of the main previously evaluated. amendment, thus the margin of safety is not control room (MCR) safety-related displays to 2. Does the proposed amendment create reduced. The only impact of this activity is the listing of PMS equipment, as identified the possibility of a new or different kind of the addition of an Interim Amendment in Combined License (COL) Appendix C (and accident from any accident previously Request process. plant-specific Tier 1) Table 2.5.2–1 and evaluated? Therefore, the proposed amendment does Updated Final Safety Analysis Report Response: No. not involve a significant reduction in a (UFSAR) Table 3.11–1 and 3l.6–2 do not alter The proposed amendment would add an margin of safety. any accident initiating component/system Interim Amendment Request process to failure or event, thus the probabilities of the Condition 2.0.(1) of the Vogtle 3 and 4 COLs The NRC staff has reviewed the accidents previously evaluated are not to allow construction to continue, at SNC’s licensee’s analysis and, based on this affected. own risk, in emergent conditions, where a review, it appears that the three The proposed changes do not adversely non-conforming condition that has little or standards of 10 CFR 50.92(c) are affect safety-related equipment or a no safety significance is discovered and the satisfied. Therefore, the NRC staff radioactive material barrier, and this activity work activity cannot be adjusted. The Interim proposes to determine that the dos not involve the containment of Amendment Request process would require amendment request involves no radioactive material. SNC to submit a Nuclear Construction Safety The radioactive material source terms and Assessment which (1) identifies the proposed significant hazards consideration. release paths used in the safety analysis are change; (2) evaluates whether emergent Attorney for licensee: M. Stanford unchanged, thus the radiological releases in conditions are present; (3) evaluates whether Blanton, Balch & Bingham LLP, 1710 the UFSAR accident analysis are not affected. the change would result in any material Sixth Avenue North, Birmingham, AL Therefore, the proposed amendment does decrease in safety; and (4) evaluates whether 35203–2015. not involve a significant increase in the continued construction would make the non- NRC Branch Chief: Jennifer Dixon- probability or consequences of an accident conforming condition irreversible. Only if the Herrity. previously evaluated. continued construction would have no 2. Does the proposed amendment create material decrease in safety would NRC issue Southern Nuclear Operating Company, the possibility of a new or different kind of a determination that construction could Inc. Docket Nos. 52–025 and 52–026, accident from any accident previously continue pending SNC’s initiation of the Vogtle Electric Generating Plant Units 3 evaluated? COL–ISG–025 PAR/LAR process. and 4, Burke County, Georgia Response: No. The proposed amendment is not a The proposed change to the roles of the modification, addition to, or removal of any Date of amendment request: QDPS and safety-related displays, as well as plant SSCs. Furthermore, the proposed September 9, 2016. A publicly-available the change to add Division A and Division amendment is not a change to procedures or version is in ADAMS under Accession D of the MCR safety-related displays to the method of control of the nuclear plant or any No. ML16253A412. listing of PMS equipment, as identified in plant SSCs. The proposed amendment only Description of amendment request: COL Appendix C (and plant-specific Tier 1) adds a new screening process and does not The amendment request proposes Table 2.5.2–1 and UFSAR Table 3.11–1 and change the design, construction, or operation changes to update the Protection and 3l.6–2 does not create the possibility of a new of the nuclear plant or any plant operations. Safety Monitoring System (PMS) design, or different kind of accident from any Therefore, the proposed amendment does accident previously evaluated. The proposed not create the possibility of a new or different specifically the description of the roles changes do not alter the design or capability kind of accident from an accident previously of the Qualified Data Processing System of any sensors which provide input to the evaluated. (QDPS) and the safety displays. The QDPS. The functionality of the QDPS to 3. Does the proposed amendment involve proposed changes add Main Control process the input obtained from sensors into a significant reduction in a margin of safety? Room (MCR) safety-related display data to be sent to the safety displays is not Response: No. divisions A and D to plant-specific Tier affected by the proposed changes. The The proposed amendment would add an 1 (and associated COL Appendix C) and proposed changes do not affect any functions Interim Amendment Request process to the Updated Final Safety Analysis performed by the safety displays, nor do the Condition 2.0.(1) of the Vogtle 3 and 4 COLs Report (UFSAR), and correct the name proposed changes affect the capability of the to allow construction to continue, at SNC’s safety displays to display the data received own risk, in emergent conditions, where a of the QDPS in the UFSAR by referring from the QDPS. non-conforming condition that has little or to the QDPS as a system, rather than a Therefore, the proposed amendment does no safety significance is discovered and the subsystem. Because, this proposed not create the possibility of a new or different work activity cannot be adjusted. The Interim change requires a departure from Tier 1 kind of accident from any accident Amendment Request process would require information in Westinghouse Electric previously evaluated.

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3. Does the proposed amendment involve 1. Does the proposed amendment involve Therefore, the proposed amendment does a significant reduction in a margin of safety? a significant increase in the probability or not create the possibility of a new or different Response: No. consequences of an accident previously kind of accident from any accident There is no safety-related structure, system evaluated? previously evaluated. or component (SSC) or function adversely Response: No. 3. Does the proposed amendment involve affected by the proposed change to the roles The proposed changes to revise plant- a significant reduction in a margin of safety? of the QDPS and safety-related displays, nor specific Tier 1, COL Appendix C, and Response: No. by the change to add Division A and Division [Updated Final Safety Analysis Report There is no safety-related [structure, D of the MCR safety-related displays to the (UFSAR)] information concerning details of system, and component (SSC)] or function listing of Protection and Safety Monitoring the IDS, specifically the addition of seven adversely affected by the proposed change to System (PMS) equipment. The proposed Class 1E fuse isolation panels at the add IDS fuse isolation panels to non-Class 1E changes do not alter the mechanisms by interconnection of the non-Class 1E IDS IDS battery monitors and Class 1E IDS which system components are actuated or battery monitors and Class 1E IDS circuits, circuits. No safety analysis or design basis controlled. Because no safety analysis or are necessary to conform to Regulatory Guide acceptance limit/criterion is challenged or design basis acceptance limit/criterion is 1.75 Rev. 2 (consistent with UFSAR exceeded by the proposed changes and no challenged or exceeded by the proposed Appendix 1A exceptions) and IEEE 384–1981 margin or safety is reduced. changes, no margin of safety is reduced. to prevent a fault on non-Class 1E circuits or Therefore, the proposed amendment does Therefore, the proposed amendment does equipment from degrading the operation of not involve a significant reduction in a not involve a significant reduction in a Class 1E IDS circuits and equipment below margin of safety. margin of safety. an acceptable level. The proposed changes do The NRC staff has reviewed the The NRC staff has reviewed the not adversely affect the design functions of the IDS, including the Class 1E battery banks licensee’s analysis and, based on this licensee’s analysis and, based on this and the battery monitors. review, it appears that the three review, it appears that the three These proposed changes to revise plant- standards of 10 CFR 50.92(c) are standards of 10 CFR 50.92(c) are specific Tier 1, COL Appendix C, and UFSAR satisfied. Therefore, the NRC staff satisfied. Therefore, the NRC staff information concerning details of the IDS, proposes to determine that the specifically the addition of seven Class 1E proposes to determine that the amendment request involves no amendment request involves no fuse isolation panels at the interconnection of the non-Class 1E IDS battery monitors and significant hazards consideration. significant hazards consideration. Attorney for licensee: Mr. M. Stanford Attorney for licensee: Mr. M. Stanford Class 1E IDS circuits as described in the current licensing basis do not have an Blanton, Balch & Bingham LLP, 1710 Blanton, Balch & Bingham LLP, 1710 adverse effect on any of the design functions Sixth Avenue North, Birmingham, AL Sixth Avenue North, Birmingham, AL of any plant systems. The proposed changes 35203–2015. 35203–2015. do not adversely affect any plant electrical NRC Branch Chief: Jennifer Dixon- NRC Branch Chief: Jennifer Dixon- system and do not affect the support, design, Herrity. Herrity. or operation of mechanical and fluid systems required to mitigate the consequences of an Southern Nuclear Operating Company, Southern Nuclear Operating Company, accident. There is no change to plant systems Inc., Docket Nos. 52–025 and 52–026, Inc., Docket Nos. 52–025 and 52–026, or the response of systems to postulated Vogtle Electric Generating Plant, Units 3 Vogtle Electric Generating Plant Units 3 accident conditions. There is no change to and 4, Burke County, Georgia and 4, Burke County, Georgia the predicted radioactive releases due to Date of amendment request: Date of amendment request: postulated accident conditions. The plant response to previously evaluated accidents or September 13, 2016. A publicly- September 9, 2016. A publicly-available external events is not adversely affected, nor available version is in ADAMS under version is in ADAMS under Accession do the proposed changes create any new Accession No. ML16257A711. No. ML16253A204. accident precursors. Description of amendment request: Description of amendment request: Therefore, the proposed amendment does The amendment request proposes The amendment request proposes not involve a significant increase in the changes to the Updated Final Safety changes to revise plant-specific Tier 1, probability or consequences of an accident plant-specific Tier 2, and combined previously evaluated. Analysis Report (UFSAR) in the form of license (COL) Appendix C information 2. Does the proposed amendment create departures from the incorporated plant- concerning the details of the Class 1E the possibility of a new or different kind of specific Design Control Document Tier direct current and uninterruptible accident from any accident previously 2* information. The proposed departure evaluated? consists of changes to Tier 2* power supply system (IDS), specifically Response: No. adding seven Class 1E fuse panels to the information in the UFSAR to change the The proposed changes to revise plant- provided minimum reinforcement area IDS design. These proposed changes specific Tier 1, COL Appendix C, and UFSAR provide electrical isolation between the information concerning details of the IDS, in the column line 7.3 wall from non-Class 1E IDS battery monitors and specifically the addition of seven Class 1E elevation 82’–6’’ to elevation 100’–0’’. Basis for proposed no significant their respective Class 1E battery banks. fuse isolation panels at the interconnection of hazards consideration determination: Because, this proposed change requires the non-Class 1E IDS battery monitors and As required by 10 CFR 50.91(a), the a departure from Tier 1 information in Class 1E IDS circuits, are necessary to conform to Regulatory Guide 1.75 Rev. 2 licensee has provided its analysis of the the Westinghouse Electric Company’s (consistent with UFSAR Appendix 1A issue of no significant hazards AP1000 Design Control Document exceptions) and IEEE 384–1981 to prevent a consideration, which is presented (DCD), the licensee also requested an fault on non-Class 1E circuits or equipment below: exemption from the requirements of the from degrading the operation of Class 1E IDS Generic DCD Tier 1 in accordance with circuits and equipment below an acceptable 1. Does the proposed amendment involve 10 CFR 52.63(b)(1). level. The proposed changes do not adversely a significant increase in the probability or Basis for proposed no significant affect any plant electrical system and do not consequences of an accident previously hazards consideration determination: adversely affect the design function, support, evaluated? Response: No. As required by 10 CFR 50.91(a), the design, or operation of mechanical and fluid systems. The proposed changes do not result As indicated in the UFSAR Subsection licensee has provided its analysis of the in a new failure mechanism or introduce any 3H.5.1.2, the wall at column line 7.3 is a issue of no significant hazards new accident precursors. No design function shear wall that connects the shield building consideration, which is presented below described in the UFSAR is adversely affected and the nuclear island exterior wall at with NRC staff edits in square brackets: by the proposed changes. column line I. Deviations were identified in

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the constructed wall from the design the auxiliary building structure conforms to vaults, requiring that new fuel be placed only requirements. The wall was repaired in criteria and requirements in ACI 349–01 and in the spent fuel pool racks. Because no accordance with American Concrete Institute therefore maintains the margin of safety. The changes to fuel handling equipment, fuel (ACI) 349–01. This change impacts UFSAR reduction in margin does not alter any design storage systems, or fuel handling processes Table 3H.5–5. For the south face of the Vogtle function, design analysis, or safety analysis are involved, the proposed amendment does Unit 3 column line 7.3 wall, the provided input or result, and sufficient margin exists not increase the probability or consequences minimum steel for wall section 11 for the to justify departure from the Tier 2 * of a fuel handling accident. vertical reinforcement from the wall segment requirements for the wall. As such, because Therefore, the proposed change does not of elevation 82’–6’’ to 100’–0’’ is decreased the system continues to respond to design increase the probability or consequences of a from 3.12 in2/ft to 3.08 in2/ft. The change of basis accidents in the same manner as before previously evaluated accident. the provided versus required vertical without any changes to the expected 2. Does the proposed amendment create reinforcing steel does not change the response of the structure, no safety analysis the possibility of a new or different kind of performance of the affected portion of the or design basis acceptance limit/criterion is accident from any accident previously auxiliary building for postulated loads. The challenged or exceeded by the proposed evaluated? criteria and requirements of ACI 349–01 changes. Accordingly, no significant safety Response: No. provide a margin of safety to structural margin is reduced by the change. The proposed modification to the failure. The design of the auxiliary building Therefore, the proposed amendment does Technical Specifications does not require structure conforms to criteria and not involve a significant reduction in a changes to the plant hardware or alter the requirements in ACI 349–01 and therefore margin of safety. operating characteristics of any plant system. maintains the margin of safety. This change As a result, no new failure modes are being does not involve any accident initiating The NRC staff has reviewed the introduced. Therefore, the change does not components or events, thus leaving the licensee’s analysis and, based on this introduce a new or different kind of accident probabilities of an accident unaltered. The review, it appears that the three from those previously evaluated. reduced margin does not adversely affect any standards of 10 CFR 50.92(c) are Therefore, the proposed changes do not safety-related structures or equipment nor satisfied. Therefore, the NRC staff create the possibility of a new or different does the reduced margin reduce the proposes to determine that the kind of accident from any accident effectiveness of a radioactive material barrier. amendment request involves no previously evaluated. Thus, the proposed change would not affect significant hazards consideration. 3. Does the proposed amendment involve any safety-related accident mitigating Attorney for licensee: M. Stanford a significant reduction in a margin of safety? Response: No. function served by the containment internal Blanton, Balch & Bingham LLP, 1710 structures. The proposed change to TS 4.3.1.2 ensures Therefore, the proposed amendment does Sixth Avenue North, Birmingham, AL that the criticality margins of safety for fuel not involve a significant increase in the 35203–2015. storage are maintained, by excluding the new probability or consequences of an accident NRC Branch Chief: Jennifer Dixon- fuel storage vault as an approved fuel storage previously evaluated. Herrity. location. The change restricts the storage of new fuel to the spent fuel pool racks, which 2. Does the proposed amendment create Tennessee Valley Authority, Docket the possibility of a new or different kind of are fully analyzed from a criticality accident from any accident previously Nos. 50–259, 50–260, and 50–296, standpoint. The change does not physically evaluated? Browns Ferry Nuclear Plant, Units 1, 2, alter the fuel storage systems, or modify fuel Response: No. and 3, Limestone County, Alabama storage requirements in such a way as to The reduction of the provided versus Date of amendment request: August degrade the margins of criticality safety. required vertical reinforcing steel does not 12, 2016. A publicly-available version is Therefore, the proposed change does not involve a significant reduction in a margin of change the performance of the affected in ADAMS under Accession No. portion of the auxiliary building. As safety. demonstrated by the continued conformance ML16225A663. Description of amendment request: The NRC staff has reviewed the to the applicable codes and standards licensee’s analysis and, based on this governing the design of the structures, the The amendments would modify the wall withstands the same effects as Technical Specifications (TSs) for Units review, it appears that the three previously evaluated. There is no change to 1, 2, and 3 by revising TS 4.3.1.2, ‘‘Fuel standards of 10 CFR 50.92(c) are the design function of the wall, and no new Storage Criticality,’’ to preclude the satisfied. Therefore, the NRC staff failure mechanisms are identified as the same placement of fuel in the new fuel proposes to determine that the types of accidents are presented to the wall storage vaults. This TS change would amendment request involves no before and after the change. remove the existing TS 4.3.1.2 criticality significant hazards consideration. Therefore, the proposed amendment does Attorney for licensee: Sherry A. Quirk, not create the possibility of a new or different criteria wording in its entirety, and replaces it with language that General Counsel, Tennessee Valley kind of accident from any accident Authority, 400 West Summit Hill Dr., previously evaluated. specifically restricts the placement of fuel in the new fuel storage vaults. WT 6A, Knoxville, TN 37902. 3. Does the proposed amendment involve NRC Acting Branch Chief: Jeanne A. a significant reduction in a margin of safety? Basis for proposed no significant Response: No. hazards consideration determination: Dion. The proposed change of the provided As required by 10 CFR 50.91(a), the Virginia Electric and Power Company, versus required vertical reinforcing steel, licensee has provided its analysis of the Docket Nos. 50–280 and 50–281, Surry identified in UFSAR Table 3H.5–5, is not a issue of no significant hazards Power Station, Unit Nos. 1 and 2, Surry significant reduction in the margin of safety. consideration, which is presented For the south face of the Vogtle Unit 3 County, Virginia below: column line 7.3 wall, the provided minimum Date of amendment request: May 10, steel for wall section 11 for the vertical 1. Does the proposed amendment involve 2016. A publicly-available version is in reinforcement from the wall segment of a significant increase in the probability or ADAMS under Accession No. elevation 82’–6’’ to 100’–0’’ is decreased from consequences of an accident previously 2 2 ML16134A069. 3.12 in /ft to 3.08 in /ft. The change of the evaluated? Description of amendment request: provided versus required vertical reinforcing Response: No. steel does not change the performance of the The proposed amendment does not change The amendments would extend the affected portion of the auxiliary building for the fuel handling processes, the fuel handling Surry Power Station, Unit Nos. 1 and 2, postulated loads. The criteria and equipment, or require alteration of the plant Technical Specification 3.2, ‘‘Chemical requirements of ACI 349–01 provide a margin fuel storage systems. The amendment places and Volume Control System,’’ paragraph of safety to structural failure. The design of a restriction on use of the new fuel storage E requirements for primary grade water

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(PG) lockout from being applicable in Therefore, the proposed change does not Duke Energy Carolinas, LLC, Docket Refueling Shutdown and Cold involve a significant reduction in a margin of Nos. 50–413 and 50–414, Catawba Shutdown to being applicable in safety. Nuclear Station, Units 1 and 2, York Refueling Shutdown, Cold Shutdown, The NRC staff has reviewed the County, South Carolina Intermediate Shutdown, and Hot licensee’s analysis and, based on this Date of amendment request: January Shutdown (except during the approach review, it appears that the three 18, 2016, as supplemented by letter to critical and within 1 hour following standards of 10 CFR 50.92(c) are dated June 20, 2016. reactor shutdown from reactor critical or satisfied. Therefore, the NRC staff power operation). proposes to determine that the Brief description of amendments: The amendment request involves no amendments revised Technical Basis for proposed no significant Specification (TS) 5.5.2, ‘‘Containment hazards consideration determination: significant hazards consideration. Attorney for licensee: Lillian M. Leakage Rate Testing Program,’’ to allow As required by 10 CFR 50.91(a), the Cuoco, Senior Counsel, Dominion (1) an increase in the existing Type A licensee has provided its analysis of the Resources Services, Inc., 120 Tredegar Integrated Leakage Rate Testing Program issue of no significant hazards St., RS–2, Richmond, VA 23219. test interval from 10 years to 15 years, consideration, which is presented NRC Branch Chief: Michael T. in accordance with Nuclear Energy below: Markley. Institute (NEI) Topical Report NEI 94– 1. Does the proposed change involve a 01, Revision 3–A, ‘‘Industry Guideline significant increase in the probability or III. Notice of Issuance of Amendments for Implementing Performance-Based to Facility Operating Licenses and consequences of an accident previously Option of 10 CFR part 50, appendix J,’’ Combined Licenses evaluated? and the conditions and limitations Response: No. During the period since publication of specified in NEI 94–01, Revision 2–A; The proposed change conservatively the last biweekly notice, the (2) adoption of an extension of the imposes additional operational controls on Commission has issued the following containment isolation valve leakage the highest capacity flow path of PG to the amendments. The Commission has Reactor Coolant System (RCS). These testing (Type C) frequency from the 60 controls are currently credited in the boron determined for each of these months currently permitted by 10 CFR dilution analysis in Refueling Shutdown and amendments that the application part 50, appendix J, Option B, to a 75- Cold Shutdown modes. The proposed change complies with the standards and month frequency for Type C leakage rate extends these controls into Intermediate and requirements of the Atomic Energy Act testing of selected components, in Hot Shutdown modes. As such, the change of 1954, as amended (the Act), and the accordance with NEI 94–01, Revision 3– will provide defense against rapid reactivity Commission’s rules and regulations. A; (3) adoption of the use of American insertions due to boron dilution events and The Commission has made appropriate National Standards Institute/American reduce the probability of boron dilution findings as required by the Act and the Nuclear Society (ANSI/ANS)-56.8–2002, events. The proposed change will have no Commission’s rules and regulations in ‘‘Containment System Leakage Testing impact on normal operating plant releases 10 CFR Chapter I, which are set forth in and will not increase the predicted Requirements’’; and (4) adoption of a radiological consequences of accidents the license amendment. more conservative grace interval of 9 postulated in the UFSAR [Updated Final A notice of consideration of issuance months for Type A, Type B, and Type Safety Analysis Report]. The proposed of amendment to facility operating C leakage tests, in accordance with NEI change makes no physical modifications and license or combined license, as 94–01, Revision 3–A. does not change plant design. applicable, proposed no significant The amendments also made the Therefore, neither the probability of hazards consideration determination, following administrative changes: (1) occurrence nor the consequences of any and opportunity for a hearing in Deletion of the information regarding accident previously evaluated is significantly connection with these actions, was increased. the performance of containment visual published in the Federal Register as inspections as required by Regulatory 2. Does the proposed change create the indicated. possibility of a new or different kind of Position C.3, as the containment Unless otherwise indicated, the accident from any accident previously inspections are addressed in TS Commission has determined that these evaluated? Surveillance Requirement 3.6.1.1, and amendments satisfy the criteria for Response: No. (2) deletion of the information regarding categorical exclusion in accordance The proposed change is an extension of the performance of the next Catawba existing operational controls on PG flow to with 10 CFR 51.22. Therefore, pursuant Nuclear Station, Unit 1, Type A test no the RCS to include additional operating to 10 CFR 51.22(b), no environmental later than November 13, 2015, and the modes. The change precludes high flow rate impact statement or environmental next Catawba Nuclear Station, Unit 2, boron dilutions in Intermediate and Hot assessment need be prepared for these Type A test no later than February 6, Shutdown modes similar to the current TS amendments. If the Commission has requirement in Refueling and Cold Shutdown 2008, as both Type A tests have already prepared an environmental assessment modes. It does not affect the operation of the occurred. under the special circumstances emergency boration function of the Chemical Date of issuance: September 12, 2016. and Volume Control System (CVCS). provision in 10 CFR 51.22(b) and has Therefore, the proposed change does not made a determination based on that Effective date: As of the date of create the possibility of a new or different assessment, it is so indicated. issuance and shall be implemented kind of accident from any previously For further details with respect to the within 120 days of issuance. analyzed. action see (1) the applications for Amendment Nos.: 286 (Unit 1) and 3. Does the proposed change involve a amendment, (2) the amendment, and (3) 282 (Unit 2). A publicly-available significant reduction in a margin of safety? the Commission’s related letter, Safety version is in ADAMS under Accession Response: No. Evaluation and/or Environmental No. ML16229A113; documents related The proposed change provides defense to these amendments are listed in the against rapid reactivity insertions to potential Assessment as indicated. All of these boron dilution events in shutdown operating items can be accessed as described in Safety Evaluation enclosed with the modes and reduces the probability of boron the ‘‘Obtaining Information and amendments. dilution events. As such, it increases the Submitting Comments’’ section of this Renewed Facility Operating License margin of safety for the boron dilution event. document. Nos. NPF–35 and NPF–52: Amendments

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revised the Renewed Facility Operating Safety Evaluation dated September 26, Amendment No.: 153. A publicly- Licenses and TSs. 2016. available version is in ADAMS under Date of initial notice in Federal No significant hazards consideration Accession No. ML16253A059; Register: March 15, 2016 (81 FR comments received: No. documents related to this amendment 13839). The supplemental letter dated Duke Energy Progress, Inc., Docket Nos. are listed in the Safety Evaluation (SE) June 20, 2016, provided additional 50–325 and 50–324, Brunswick Steam enclosed with the amendment. information that clarified the Electric Plant, Units 1 and 2 (BSEP), Renewed Facility Operating License application, did not expand the scope of Brunswick County, North Carolina No. NPF–63: Amendment revised the the application as originally noticed, Facility Operating License and Duke Energy Progress, Inc., Docket No. and did not change the staff’s original Technical Specifications. proposed no significant hazards 50–261; H. B. Robinson Steam Electric consideration determination as Plant Unit No. 2 (RNP), Darlington Date of initial notice in Federal published in the Federal Register. County, South Carolina Register: January 5, 2016 (81 FR 260). The Commission’s related evaluation The supplemental letters dated February Duke Energy Progress, Inc., Docket No. 16, 2016, August 8 and 26, 2016, and of the amendments is contained in a 50–400, Shearon Harris Nuclear Power Safety Evaluation dated September 12, September 8 and 16, 2016, provided Plant, Unit 1, (HNP), Wake and additional information that clarified the 2016. Chatham Counties, North Carolina No significant hazards consideration application, did not expand the scope of Date of amendment request: February comments received: No. the application as originally noticed, 1, 2016. and did not change the staff’s original Duke Energy Carolinas, LLC, Docket Description of amendment request: proposed no significant hazards Nos. 50–369 and 50–370, McGuire The amendments revised the licensee’s consideration determination as Nuclear Station, Units 1 and 2, name from Duke Energy Progress, Inc. to published in the Federal Register. Mecklenburg County, North Carolina Duke Energy Progress, LLC. The Commission’s related evaluation Date of amendment request: February Date of issuance: September 13, 2016. of the amendment is contained in an SE Effective date: As of the date of 18, 2016, as supplemented by letter dated September 16, 2016. issuance and shall be implemented dated June 30, 2016. within 30 days of issuance. No significant hazards consideration Brief description of amendment: The Amendment Nos.: 271 and 299 comments received: No. amendments modified Technical (BSEP); 152 (HNP); 246 (RNP). A Specification (TS) 5.5.2, ‘‘Containment Exelon Generation Company, LLC, publicly-available version is in ADAMS Leakage Rate Testing Program,’’ for a Docket Nos. 50–220 and 50–410, Nine under Accession No. ML16217A118; one-time extension to the 10-year Mile Point Nuclear Station, Units 1 and documents related to these amendments frequency of the integrated leakage rate 2, Oswego County, New York are listed in the Safety Evaluation test (ILRT) or Type A test. This revision enclosed with the amendments. extends the period from 10 years to 10.5 Date of application for amendment: Renewed Facility Operating License March 18, 2016. years between successive tests, changing Nos. DPR–71, DPR–62 (BSEP), NPF–63 Brief description of amendment: The the performance of the next ILRT from (HNP), and NFP–23 (RNP): amendments revised the technical fall 2017 to spring 2019 for Unit 1 and Amendments revised the Renewed specifications (TSs) on a change to the from spring 2017 to fall 2018 for Unit Facility Operating Licenses. method of calculating core reactivity for 2. Date of initial notice in Federal the purpose of performing the Reactivity Date of issuance: September 26, 2016. Register: April 12, 2016 (81 FR 21596). Anomalies surveillance. Effective date: As of the date of The Commission’s related evaluation issuance and shall be implemented of the amendments is contained in a Date of issuance: September 15, 2016. within 60 days of issuance. Safety Evaluation dated September 13, Effective date: As of the date of Amendment Nos.: 290 (Unit 1) and 2016. issuance and shall be implemented 269 (Unit 2). A publicly available No significant hazards consideration within 60 days from the date of version is in ADAMS under Accession comments received: No. issuance. No. ML16236A053; documents related to these amendments are listed in the Duke Energy Progress, Inc., Docket No. Amendment Nos.: Unit 1–224 and Safety Evaluation enclosed with the 50–400, Shearon Harris Nuclear Power Unit 2–158. A publicly-available version amendments. Plant (HNP), Unit 1, Wake and Chatham is in ADAMS under Accession No. Renewed Facility Operating License Counties, North Carolina ML16188A029; documents related to Nos. NPF–9 and NPF–17: Amendments Date of amendment request: October these amendments are listed in the revised the Renewed Facility Operating 29, 2015, as supplemented by letters Safety Evaluation enclosed with the Licenses and TSs. dated, February 16, 2016, August 8 and amendments. Date of initial notice in Federal 26, 2016, and September 8 and 16, 2016. Renewed Facility Operating License Register: May 10, 2016 (81 FR 28894). Brief description of amendment: The No. DPR–63 and NPF–69: The The supplemental letter dated June 30, amendment revised Technical amendments revised the Renewed 2016, provided additional information Specifications to allow the ‘A’ Facility Operating Licenses and TSs. that clarified the application, did not Emergency Service Water (ESW) pump Date of initial notice in Federal expand the scope of the application as to be inoperable for 14 days to allow for Register: May 10, 2016 (81 FR 28897). originally noticed, and did not change the replacement of the ‘A’ Train ESW the staff’s original proposed no pump. The amendment is applicable on The Commission’s related evaluation significant hazards consideration a one-time basis. of the amendments is contained in a determination as published in the Date of issuance: September 16, 2016. Safety Evaluation dated September 15, Federal Register. Effective date: As of the date of 2016. The Commission’s related evaluation issuance and shall be implemented by No significant hazards consideration of the amendments is contained in a October 29, 2016. comments received: No.

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FirstEnergy Nuclear Operating approved Westinghouse PARAGON Technical Specification 3⁄4.6.5, ‘‘Ice Company, Docket No. 50–440, Perry Topical Report WCAP–16045–P–A, Condenser.’’ Nuclear Power Plant (PNPP), Unit No. 1, Revision 0, ‘‘Qualification of the Two- DATES: October 11, 2016. Lake County, Ohio Dimensional Transport Code ADDRESSES: Please refer to Docket ID Date of amendment request: October PARAGON,’’ to the Technical NRC–2014–0045 when contacting the 29, 2015, as supplemented by letter Specification list of Core Operating NRC about the availability of dated April 22, 2016. Limits Report methodologies. information regarding this document. Date of issuance: September 19, 2016. Brief description of amendment: The Effective date: As of the date of You may obtain publicly-available amendment revised the PNPP information related to this document issuance and shall be implemented emergency action level (EAL) scheme to using any of the following methods: within 90 days of issuance. • Federal Rulemaking Web site: Go to one based on the Nuclear Energy Amendment Nos.: 235 and 185. A http://www.regulations.gov and search Institute (NEI) guidance in NEI 99–01, publicly-available version is in ADAMS for Docket ID NRC–2014–0045. Address Revision 6, ‘‘Development of Emergency under Accession No. ML16183A138; questions about NRC dockets to Carol Action Levels for Non-Passive documents related to these amendments Gallagher; telephone: 301–415–3463; Reactors.’’ are listed in the Safety Evaluation (SE) email: [email protected]. For Date of issuance: September 14, 2016. enclosed with the amendments. Effective date: As of the date of Renewed Facility Operating License technical questions, contact the individual listed in the FOR FURTHER issuance and shall be implemented Nos. DPR–67 and NPF–16: Amendments INFORMATION CONTACT section of this within 180 days of issuance. revised the Renewed Facility Operating Amendment No.: 173. A publicly- document. Licenses and Technical Specifications. • NRC’s Agencywide Documents available version is in ADAMS under Date of initial notice in Federal Access and Management System Accession No. ML16158A331; Register: March 29, 2016 (81 FR (ADAMS): You may obtain publicly- documents related to this amendment 17506). The supplemental letter dated available documents online in the are listed in the Safety Evaluation May 6, 2016, provided additional ADAMS Public Documents collection at enclosed with the amendment. information that clarified the http://www.nrc.gov/reading-rm/ Facility Operating License No. NPF– application, did not expand the scope of adams.html. To begin the search, select 58: The amendment revised the Facility the application as originally noticed, ‘‘ADAMS Public Documents’’ and then Operating License to authorize revision and did not change the staff’s original select ‘‘Begin Web-based ADAMS to the PNPP emergency plan. proposed no significant hazards Search.’’ For problems with ADAMS, Date of initial notice in Federal consideration determination as please contact the NRC’s Public Register: December 22, 2015 (80 FR published in the Federal Register. 79620). The supplemental letter dated The Commission’s related evaluation Document Room (PDR) reference staff at April 22, 2016, provided additional of the amendment is contained in an SE 1–800–397–4209, 301–415–4737, or by information that clarified the dated September 19, 2016. email to [email protected]. The application, did not expand the scope of No significant hazards consideration ADAMS accession number for each the application as originally noticed, comments received: No. document referenced (if that document is available in ADAMS) is provided the and did not change the staff’s original Dated at Rockville, Maryland, this 28th day proposed no significant hazards first time that a document is referenced. of September 2016. • NRC’s PDR: You may examine and consideration determination as For the Nuclear Regulatory Commission. published in the Federal Register. purchase copies of public documents at Anne T. Boland, The Commission’s related evaluation the NRC’s PDR, Room O1–F21, One of the amendment is contained in a Director, Division of Operating Reactor White Flint North, 11555 Rockville Licensing, Office of Nuclear Reactor Pike, Rockville, Maryland 20852. Safety Evaluation dated September 14, Regulation. 2016. FOR FURTHER INFORMATION CONTACT: No significant hazards consideration [FR Doc. 2016–24321 Filed 10–7–16; 8:45 am] Andrew Hon, Office of Nuclear Reactor comments received: No. BILLING CODE 7590–01–P Regulation, U.S. Nuclear Regulatory Commission, Washington DC 20555– Florida Power & Light Company, et al., 0001; telephone: 301–415–8480, email: Docket Nos. 50–335 and 50–389, St. NUCLEAR REGULATORY [email protected]. Lucie Plant Unit Nos. 1 and 2, St. Lucie COMMISSION SUPPLEMENTARY INFORMATION: The NRC County, Florida [Docket Nos. 50–327 and 50–328; NRC– has granted the request of Tennessee Date of amendment request: January 2014–0045] Valley Authority (the licensee) to 19, 2016, as supplemented by a letter withdraw its July 3, 2013, application dated May 6, 2016. Tennessee Valley Authority, Sequoyah (ADAMS Accession No. ML13199A281) Brief description of amendments: The Nuclear Plant, Units 1 and 2 for proposed amendment to Facility amendments revised the Operating AGENCY: Nuclear Regulatory Operating License Nos. DPR–77 and Licenses’ licensing basis to allow Commission. DPR–79 issued to the licensee for elimination of the end-of-cycle ACTION: License amendment application; operation of the Sequoyah Nuclear moderator temperature coefficient withdrawal by applicant. Plant, Units 1 and 2, located in (MTC) surveillance test as supported by Hamilton County, Tennessee. NRC-Approved Topical Report CE SUMMARY: The U.S. Nuclear Regulatory The licensee requested to revise NPSD–91 1–A and Amendment 1–A, Commission (NRC) has granted the Sequoyah Nuclear Plant, Units 1 and 2 ‘‘Analysis of Moderator Temperature request of Tennessee Valley Authority Technical Specification 3⁄4.6.5, ‘‘Ice Coefficients in Support of a Change in (the licensee) to withdraw its Condenser,’’ to increase the total ice the Technical Specification End of application dated July 3, 2013, for a weight from 2,225,880 pounds to Cycle Negative MTC Limit,’’ and St. proposed amendment to DPR–77 and 2,540,808 pounds. This proposed Lucie specific supporting information. DPR–79. The proposed amendment amendment request was noticed in the The amendments also add NRC- would have revised Units 1 and 2 Federal Register (79 FR 12246) dated

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March 4, 2014, and supplemented by Week of October 31, 2016—Tentative ACTION: Notice of a revised system of letters dated February 13, 2014 records. Friday, November 4, 2016 (ML14045A290) and April 10, 2015 (ML15117A566). 10:00 a.m. Briefing on Security Issues SUMMARY: The Office of Personnel (Closed Ex. 1) Management (OPM) is revising a system Dated at Rockville, Maryland, this 3rd day of records in its inventory of record of October 2016. Week of November 7, 2016—Tentative systems subject to the Privacy Act of For the Nuclear Regulatory Commission. There are no meetings scheduled for 1974 (5 U.S.C. 552a), as amended. Jeanne A. Dion, the week of November 7, 2016. DATES: The revisions will be effective Acting Chief, Plant Licensing Branch II–2, without further notice forty (40) Week of November 14, 2016—Tentative Division of Operating Reactor Licensing, calendar days from the date of this Office of Nuclear Reactor Regulation. There are no meetings scheduled for publication, unless we receive [FR Doc. 2016–24456 Filed 10–7–16; 8:45 am] the week of November 14, 2016. comments that result in a contrary BILLING CODE 7590–01–P * * * * * determination. The schedule for Commission ADDRESSES: Send written comments to NUCLEAR REGULATORY meetings is subject to change on short the Program Manager for the Freedom of COMMISSION notice. For more information or to verify Information and Privacy Act office, the status of meetings, contact Denise National Background Investigations McGovern at 301–415–0681 or via email Bureau, 1137 Branchton Road, PO Box [NRC–2016–0001] at [email protected]. 618, Boyers, Pennsylvania 16018. Sunshine Act Meeting Notice * * * * * FOR FURTHER INFORMATION CONTACT: The NRC Commission Meeting Program Manager, Freedom of DATES: October 10, 17, 24, 31, November Schedule can be found on the Internet Information and Privacy Act office, 7, 14, 2016. at: http://www.nrc.gov/public-involve/ [email protected]. public-meetings/schedule.html. PLACE: Commissioners’ Conference SUPPLEMENTARY INFORMATION: In Room, 11555 Rockville Pike, Rockville, * * * * * accordance with the Privacy Act of Maryland. The NRC provides reasonable 1974, 5 U.S.C. 552a, as amended, OPM, accommodation to individuals with National Background Investigations STATUS: Public and Closed. disabilities where appropriate. If you Bureau is revising the Personnel Week of October 10, 2016 need a reasonable accommodation to Investigations Records (OPM/Central-9) participate in these public meetings, or system of records. The records in this There are no meetings scheduled for need this meeting notice or the system may be used to provide the week of October 10, 2016. transcript or other information from the investigatory information for Week of October 17, 2016—Tentative public meetings in another format (e.g. determinations concerning whether an braille, large print), please notify individual is or continues to be suitable Tuesday, October 18, 2016 Kimberly Meyer, NRC Disability or fit for Government employment or 9:30 a.m. Strategic Programmatic Program Manager, at 301–287–0739, by military service; eligible for logical and Overview of the Decommissioning videophone at 240–428–3217, or by physical access to federally controlled and Low-Level Waste and Spent email at Kimberly.Meyer-Chambers@ facilities and information systems; Fuel Storage and Transportation nrc.gov. Determinations on requests for eligible to hold a sensitive position Business Lines (Public Meeting) reasonable accommodation will be (including but not limited to eligibility (Contact: Janelle Jessie: 301–415– made on a case-by-case basis. for access to classified information); fit 6775) * * * * * to perform work for or on behalf of the Members of the public may request to Government as an employee of a This meeting will be webcast live at contractor; qualified for Government the Web address—http://www.nrc.gov/. receive this information electronically. If you would like to be added to the service; qualified to perform contractual Thursday, October 20, 2016 distribution, please contact the Nuclear services for the Government; and loyal Regulatory Commission, Office of the to the United States. The system is also 9:30 a.m. Strategic Programmatic Secretary, Washington, DC 20555 (301– used to document such determinations. Overview of the New Reactors 415–1969), or email OPM is revising OPM/Central-9, Business Line (Public Meeting) [email protected] or Personnel Investigations Records, by (Contact: Donna Williams: 301– [email protected]. adding two categories of individuals, 415–1322) namely, individuals who are applicants Dated: October 5, 2016. This meeting will be webcast live at or employees of the District of Columbia the Web address—http://www.nrc.gov/. Denise L. McGovern, Public Schools, and individuals about Policy Coordinator, Office of the Secretary. whom OPM has provided an Week of October 24, 2016—Tentative [FR Doc. 2016–24563 Filed 10–6–16; 11:15 am] adjudication advisory opinion at the Thursday, October 27, 2016 BILLING CODE 7590–01–P request of another Federal agency’s adjudication or security office. 10:00 a.m. Program Review of Part 37 of OPM is updating and adding Title 10 of the Code of Federal categories of records to ensure Regulations (10 CFR part 37) for the OFFICE OF PERSONNEL consistency with the Federal Protection of Risk-Significant MANAGEMENT Investigative Standards. Specifically, Quantities of Radioactive Material OPM is amending record category ‘‘a’’ to (Public Meeting) (Contact: George Privacy Act of 1974: Revised System of Records acknowledge that under the Federal Smith: 301–415–7201) Investigative Standards, OPM/Central-9 This meeting will be webcast live at AGENCY: U.S. Office of Personnel may include civil and criminal the Web address—http://www.nrc.gov/. Management (OPM). fingerprint histories, bureau of vital

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statistics records, publicly-available adjudications, employment, and them which will assist OPM in its electronic information, and prior contracting (formerly routine uses a, b, responsibilities as an authorized security clearance and investigative c, and g) into three routine uses (a, e, Investigation Service Provider to information related to spouses and and aa), while making clarifying evaluate and improve the effectiveness cohabitants. OPM is amending record changes to their text. and efficiency of background • category ‘‘e’’ to clarify that records OPM has incorporated, as routine investigation methodologies. include ‘‘credentialing’’ records, uses l through q, the text of six routine • formerly referred to as ‘‘HSPD–12’’ uses from the OPM Prefatory Statement OPM has eliminated, as obsolete, records. OPM is adding record category of Routine Uses for Internal and Central application to this system of records of ‘‘f’’ to acknowledge that records include Systems of Records, which we one prefatory routine use (routine use 6) electronic submissions in OPM’s previously incorporated only by related to statistical studies. Electronic Questionnaires for reference. We revised one of these • OPM has eliminated, as obsolete, Investigative Processing (e-QIP) system. routine uses—related to disclosure of former routine use i, for furnishing OPM is revising the language in the information for equal employment information to the Office of already existing purposes and adding opportunity (EEO) activities—to Management and Budget in connection new purposes for which the records are eliminate obsolete text related to certain with the coordination and clearance of used. The revisions to existing purposes compliance matters, and to add text private relief legislation. and new purposes are consistent with related to matters for which the records • the purpose for which the records were may be used (in processing Federal- Former routine uses e, f, j, k, and l originally collected, as described above. sector EEO complaints). have been renumbered as routine uses c, The revised language clarifies that • OPM has revised the language of an d, g, h, and i. background investigations include existing routine use (now routine use b) OPM notes that individuals seeking investigations related to military to permit release of records to any records of investigations performed by service; that the authority for OPM to element of the U.S. intelligence other investigative agencies, which have use the data for personnel research is 5 community for use in intelligence their own systems of records, should U.S.C. 1103(a)(8); and that initiatives to activities for the purpose of protecting contact those agencies instead of the make background investigations more United States national security interests. Office of Personnel Management. effective and efficient may be • OPM has added a new routine use undertaken either by OPM or by the x for release of records to insider threat, What is the authority for maintaining Office of the Director of National counterintelligence, and the OPM/Central-9, Personnel Intelligence. The new purposes are for counterterrorism officials, consistent Investigations Records? supporting legally-authorized homeland with E.O. 13587 of October 7, 2011. security, law enforcement, intelligence, • OPM has revised an existing routine Depending on the purpose of the and insider threat detection and use and added an additional routine use investigation, the Executive Orders prevention activities. (now routine uses j and k) for release of (E.O.s) 9397, 10450, 10577, 10865, OPM is updating the system’s records in connection with data breach 12333, 12968, and 13467, as amended; authority citation; adding an detection, prevention, and remediation, E.O.s 13488 and 13549; 5 U.S.C. 1103, explanation of procedures for agencies based on new Office of Management and 1302, 1303, 1304, 3301, 7301, 9101, and holding decentralized segments of Budget guidance. 11001; 22 U.S.C. 272b, 290a, and 2519; OPM/Central-9; adding new routine • OPM has added routine uses r and 31 U.S.C. 1537; 42 U.S.C. 1874(b)(3), uses and revising the language in the s for release of records to an agency 2165, 2201, and 20132; 50 U.S.C. 3341; already existing routine uses; updating Office of Inspector General for Public Law 108–136; 5 CFR parts 2, 5, the safeguards for records in the system; investigations of misconduct or fraud 731, 732, 736, and 1400; and Homeland defining new requirements for and the performance of audit authorities Security Presidential Directive 12 notification, access, and amendment under the Inspector General Act of 1978. (HSPD 12). procedures; revising the record source • OPM has added routine use t for categories; revising language in the release of records related to What is the probable or potential section on exempted records; and, unemployment claims. individual privacy effect on amending adding language reserving the right to • OPM has added routine use u for and updating the OPM/Central 9, assert exemptions for records received the release of records to appropriately- Personnel Investigations Records? from another agency that could be cleared individuals to determine properly claimed by that agency in whether information is or should be The probable or potential effect on responding to a request and to refuse classified. individual privacy is limited. access to information compiled in • OPM has added two routine uses (v Additional routine uses of the reasonable anticipation of a civil action and w) for release of records to the information have been added which are or proceeding. Additionally, OPM is Director of National Intelligence still consistent with the purpose for noting two edits in the Security consistent with section 3001 of the which we collect the information. Classification and Amendment Intelligence Reform and Terrorism Records in OPM/Central-9 continue to Procedures sections to correct verbiage Prevention Act of 2004, and E.O. 13467 be restricted to individuals who have that is misquoted online in the Federal of June 30, 2008. undergone the appropriate background • OPM has added routine use y for Register SORN Compilations. investigation and have a need to know Specifically regarding the addition of the release of records to Federal, State, in order to perform their official duties new routine uses and revision of local, tribal, foreign, or other public or to recipients as is consistent with the existing routine uses, OPM is making authority in the event of a natural or the following revisions: manmade disaster. conditions of disclosures under the • To eliminate unnecessary • OPM has added routine use z for Privacy Act to include the routine uses duplication, OPM combined four the release of records to Federal, State, published in the System of Records existing routine uses related to and local government agencies, if Notice. background investigations, necessary, to obtain information from

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U.S. Office of Personnel Management. forces, or hiring determinations on an amendment determination under the Beth F. Cobert, individual. The use, custody, retention, Privacy Act. Acting Director. and release of decentralized segments is • FOIA, Routine Use Releases, and described in greater detail as follows: Releases based upon a Privacy Act Office of Personnel Management • Use and custody: Reports of Condition of Disclosure: Section 9(c) of OPM/CENTRAL–9 investigation were removed from OPM’s Executive Order 10450 states that copies Governmentwide systems of records and of reports of investigation held by SYSTEM NAME: placed in OPM’s Central systems of agencies ‘‘remain the property of’’ OPM Personnel Investigations Records records in 1979 because they are and restricts agencies from redisclosing physically maintained by OPM in a reports without OPM permission. In SECURITY CLASSIFICATION: central repository, consist of records of addition, the reports may include other None for the system. However, both OPM and other agencies’ government agency data that was records within the system may have employees, and are not maintained by disclosed to OPM with redisclosure national security/foreign policy other agencies under OPM direction. 44 limitations. For these reasons an agency classifications up through Top Secret. FR 30836 (May 29, 1979). An agency’s that seeks to internally redisclose an SYSTEM LOCATION(S): ‘‘internal security records’’ may include OPM report of investigation for a ‘‘the informational copy of the purpose not described in this Notice, or a. National Background Investigations Commission’s (OPM’s) report of to externally redisclose an OPM report Bureau (NBIB), P.O. Box 618, 1137 investigation (provided to agencies on a of investigation for any purpose, should Branchton Road, Boyers, PA 16018– temporary basis) . . . along with first contact the OPM NBIB Freedom of 0618. agency-created security data’’ so long as b. Records may be maintained in Information and Privacy Act (FOI/PA) the subject of the report remains of various NBIB field offices, including the office. OPM NBIB’s FOI/PA office will interest to the agency for an authorized Personnel Investigations Center, 601 make a release determination by purpose. 44 FR at 30836–37; see this applying the routine uses described in 10th Street, Fort Meade, MD, for limited Notice’s Purpose statement. Internal periods of time. These records would this Notice or other uses prescribed in agency review of the record, for the 5 U.S.C. 552a(b); or, in the case of a include investigative and administrative purpose it was given to the recipient records, including files and duplicate FOIA referral, by applying the FOIA. agency or another purpose described in Alternatively if the record will be used records or records which extract this notice, is permissible. However, the information from the main files. This is in a legal proceeding that has decentralized copy remains a part of the commenced, the agency should contact necessary to assist field offices in their OPM/Central-9 system of records even day to day operations. Investigative OPM’s Office of General Counsel under while the copy is in the recipient 5 CFR part 295. Because the disclosure activities conducted by field offices are agency’s custody; under 5 CFR reported to NBIB headquarters at one or is made from OPM/Central–9, even if 297.104(b), all records in Central made by the agency under OPM’s more stages of the background systems of records are established and investigation process. Upon completion direction, OPM will record all required maintained by OPM (in contrast, disclosure accountings for routine use of activities to include fieldwork, Governmentwide systems are quality review, and/or adjudicative releases. It is therefore unnecessary for maintained both by OPM and by the the agency to make a separate decision action, documents are returned to NBIB agencies with custody over them under headquarters or destroyed in accordance of whether to disclose the report from 5 CFR 297.104(c)). its internal systems of records. with the published retention schedule. • Retention: Decentralized copies c. Decentralized segments: When should be retained consistent with the CATEGORIES OF INDIVIDUALS COVERED BY THE OPM discloses a record maintained as guidance defined in applicable NARA SYSTEM: part of the Central-9 system of records, General Records Schedules. Under a. Civilian and military applicants the disclosed record shall be considered NARA General Records Schedule 18, and Federal employees or employees of a ‘‘decentralized copy’’. A recipient Part 22 (b), investigative reports and government contractors, experts, agency that maintains a decentralized related documents furnished to an instructors, and consultants to Federal copy of a Central-9 record maintains agency by OPM should be destroyed in programs who undergo a personnel what is referred to as a ‘‘decentralized accordance with OPM’s instructions. background investigation for the segment’’ of the Central-9 system of OPM instructs that the records may be purpose of determining suitability for records. Decentralized segments may be maintained only so long as the subject government employment, fitness for maintained as part of a recipient of the report remains of interest to the appointment to an excepted service agency’s system of records, however, agency for a purpose defined in this position, fitness to perform work under they remain subject to the policies and Notice. Upon separation or when the a Government contract, eligibility to practice described below. Recipient subject is no longer of interest to the serve in a national security sensitive agencies shall only maintain a agency, the agency must dispose of any/ position, acceptance or retention in the decentralized copy of a record for an all background investigation records. armed forces, eligibility for access to authorized purpose and for as long as • Privacy Act requests for reports of classified information, and/or eligibility the subject of the decentralized copy investigation: Under 5 CFR 297.105(c), for logical or physical access to a remains of interest to the recipient only OPM responds to initial Privacy federally controlled facility or agency. These copies may be located in Act requests for records in an OPM information technology system. the personnel security office or other Central system of records. If an agency b. Individuals who are current or designated offices responsible for receives, from the subject of a report, a former employees or applicants for making suitability, fitness, security request for access or amendment, the employment with International clearance, access, HSPD 12 agency should contact the OPM NBIB Organizations. credentialing decisions, decisions about Freedom of Information and Privacy Act c. Individuals considered for eligibility for assignment to or retention (FOI/PA) office and refer that request to assignment as representatives of the in sensitive national security positions OPM accordingly. OPM NBIB’s FOI/PA Federal Government in volunteer or acceptance or retention in the armed office will make an access or programs.

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d. Individuals who are neither the background investigation process, The records may be used by OPM and applicants nor employees of the Federal and other information developed from the Office of the Director of National Government, but who are or were above. Intelligence to streamline and make involved in Federal programs under a b. Summaries of personal and third more effective and efficient the co-operative assignment or under a party interviews conducted during the investigations and adjudications similar agreement. course of the background investigation. processes generally. e. Individuals who are neither c. Correspondence relating to The records may be used in support applicants nor employees of the Federal adjudication matters and results of of legally authorized U.S. homeland Government, but who are or were suitability decisions in cases security, law enforcement, intelligence involved in matters related to the adjudicated by the OPM in accordance and/or insider threat program functions administration of the merit system. with 5 CFR part 731. to identify whether an individual poses f. State, Local, Tribal and Private d. Records of personnel background a terrorism, foreign intelligence, and/or Sector partners identified by Federal investigations conducted by other insider threat to the United States. sponsors for eligibility to access Federal agencies. The records may be used in support classified information in support of e. Records of adjudicative and of Executive Order 13549 and related homeland defense initiatives. credentialing decisions by other Federal implementing directives supporting g. Individuals who are applicants or agencies, including clearance homeland security matters. employees of the District of Columbia determinations and/or indicators that The records may be used to assist in Public Schools. polygraph(s) were administered. h. Individuals about whom OPM has legally authorized intelligence activities, f. Records of electronic investigative provided an adjudication advisory including threat analyses and damage forms completed by the subject and/or opinion at the request of another assessments. submitted to other Federal Agencies that Federal agency’s adjudication or utilize the Electronic Questionnaires for ROUTINE USES OF RECORDS MAINTAINED IN THE security office. Investigations Processing (e-QIP) SYSTEM, INCLUDING CATEGORIES OF USERS AND CATEGORIES OF RECORDS IN THE SYSTEM: system. THE PURPOSES OF SUCH USES: a. Records containing the following Note: This system does not include agency In addition to those disclosures information about the individual records of a personnel investigative nature generally permitted under 5 U.S.C. investigated may be maintained: Name, that do not come to OPM 552a(b) of the Privacy Act, all or a former names, and aliases; date and portion of the records of information place of birth; Social Security Number; AUTHORITY FOR MAINTENANCE OF THE SYSTEM: contained in this system may be height; weight; hair and eye color; Depending on the purpose of the disclosed outside OPM as a routine use gender; mother’s maiden name; current investigation, Executive Orders (E.O.s) pursuant to 5 U.S.C. 552a(b)(3). OPM and former home addresses, phone 9397, 10450, 10577, 10865, 12333, provides a report of investigation to an numbers, and email addresses; 12968, and 13467, as amended; E.O.s agency only for a specified purpose, as employment history; military record 13488 and 13549; 5 U.S.C. 1103, 1302, described in this Notice. Internal agency information; selective service 1303, 1304, 3301, 7301, 9101, and review of the record, for the purpose it registration record; residential history; 11001; 22 U.S.C. 272b, 290a, 2519; 31 was given to the recipient agency or education and degrees earned; names of U.S.C. 1537; 42 U.S.C. 1874(b)(3), 2165, another purpose described in this associates and references with their 2201, and 20132; 50 U.S.C. 3341; Public Notice, is permissible. Any other contact information; citizenship; Law 108–136; 5 CFR parts 2, 5, 731, 732, disclosure requires OPM’s consent as passport information; criminal history 736, and 1400; and Homeland Security described in the System Location record information; criminal or civil Presidential Directive 12 (HSPD 12). section of this Notice. The routine uses fingerprint history information; civil listed below are specific to this system court actions; bureau of vital statistics PURPOSE(S): of records only: records; publicly available electronic The records in this system may be a. To designated officers and information; prior and current security used to provide investigatory employees of agencies, offices, and clearance and investigative information, information for determinations other establishments in the executive, including information from the U.S. concerning whether an individual is or legislative, and judicial branches of the Intelligence Community; mental health continues to be suitable or fit for Federal Government or the Government history; records related to drug and/or Government employment or military of the District of Columbia having a alcohol use; financial record service; eligible for logical and physical need to investigate, evaluate, or make a information; information from the access to federally controlled facilities determination regarding loyalty to the Internal Revenue Service pertaining to and information systems; eligible to United States; qualifications, suitability, income tax returns; credit reports; the hold a sensitive position (including but or fitness for Government employment name, date and place of birth, Social not limited to eligibility for access to or military service; eligibility for logical Security Number, citizenship classified information); fit to perform or physical access to federally- information, criminal history, and prior work for or on behalf of the Government controlled facilities or information security clearance and investigative as an employee of a contractor; qualified systems; eligibility for access to information for spouse or cohabitant; for Government service; qualified to classified information or to hold a the name and marriage information for perform contractual services for the sensitive position; qualifications or current and former spouse(s); the Government; and loyal to the United fitness to perform work for or on behalf citizenship, name, date and place of States. The system is also used to of the Government under contract, birth, and address for relatives; document such determinations. grant, or other agreement; or access to information on foreign contacts and To otherwise comply with mandates restricted areas. activities; association records; and Executive Orders. b. To an element of the U.S. information on loyalty to the United The records may be used to locate Intelligence Community as identified in States; and other agency reports individuals for personnel research E.O. 12333, as amended, for use in furnished to OPM in connection with conducted under 5 U.S.C. 1103(a)(8). intelligence activities for the purpose of

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protecting United States national programs and operations), the Federal service and other merit systems, review security interests. Government, or national security; and of OPM rules and regulations, c. To any source from which (3) the disclosure made to such investigations of alleged or possible information is requested in the course of agencies, entities, and persons is prohibited personnel practices, and an investigation, to the extent necessary reasonably necessary to assist in such other functions, e.g., as to identify the individual, inform the connection with OPM’s efforts to promulgated in 5 U.S.C. 1205 and 1206, source of the nature and purpose of the respond to the suspected or confirmed or as may be authorized by law. investigation, and to identify the type of breach or to prevent, minimize, or p. To disclose information to an information requested. remedy such harm. agency Equal Employment Opportunity d. To the appropriate Federal, state, k. To another Federal agency or (EEO) office or to the Equal Employment local, tribal, foreign, or other public Federal entity, when OPM determines Opportunity Commission when authority responsible for investigating, that information from this system of requested in connection with prosecuting, enforcing, or implementing records is reasonably necessary to assist investigations into alleged or possible a statute, rule, regulation, or order the recipient agency or entity in (1) discrimination practices in the Federal where OPM becomes aware of an responding to a suspected or confirmed sector, or in the processing of a Federal- indication of a violation or potential breach or (2) preventing, minimizing, or sector EEO complaint. violation of civil or criminal law or remedying the risk of harm to q. To disclose information to the regulation. individuals, the agency (including its Federal Labor Relations Authority or its e. To an agency, office, or other information systems, programs and establishment in the executive, General Counsel when requested in operations), the Federal Government, or connection with investigations of legislative, or judicial branches of the national security, resulting from a Federal Government in response to its allegations of unfair labor practices or suspected or confirmed breach. matters before the Federal Service request, in connection with its current l. To disclose information to another employee’s, contractor employee’s, or Impasses Panel. Federal agency, to a court, or a party in r. To another Federal agency’s Office military member’s retention; loyalty; litigation before a court or in an qualifications, suitability, or fitness for of Inspector General when OPM administrative proceeding being becomes aware of an indication of employment; eligibility for logical or conducted by a Federal agency, when physical access to federally-controlled misconduct or fraud during the the Government is a party to the judicial applicant’s submission of the standard facilities or information systems; or administrative proceeding. In those eligibility for access to classified forms. cases where the Government is not a s. To another Federal agency’s Office information or to hold a sensitive party to the proceeding, records may be position; qualifications or fitness to of Inspector General in connection with disclosed if a subpoena has been signed its inspection or audit activity of the perform work for or on behalf of the by a judge. Government under contract, grant, or investigative or adjudicative processes m. To disclose information to the and procedures of its agency as other agreement; or access to restricted National Archives and Records areas. authorized by the Inspector General Act Administration for use in records of 1978, as amended, exclusive of f. To provide information to a management inspections. congressional office from the record of requests for civil or criminal law n. To disclose information to the enforcement activities. an individual in response to an inquiry Department of Justice, or in a from the congressional office made at t. To a Federal agency or state proceeding before a court, adjudicative unemployment compensation office the request of that individual. However, body, or other administrative body the investigative file, or parts thereof, upon its request in order to adjudicate before which OPM is authorized to a claim for unemployment will only be released to a congressional appear, when: office if OPM receives a notarized compensation benefits when the claim authorization or signed statement under (1) OPM, or any component thereof; for benefits is made as the result of a 28 U.S.C. 1746 from the subject of the or qualifications, suitability, fitness, (2) Any employee of OPM in his or investigation. security, identity credential, or access g. To disclose information to her official capacity; or determination. contractors, grantees, or volunteers (3) Any employee of OPM in his or u. To appropriately cleared performing or working on a contract, her individual capacity where the individuals in Federal agencies, to service, grant, cooperative agreement, or Department of Justice or OPM has determine whether information job for the Federal Government. agreed to represent the employee; or obtained in the course of processing the h. For agencies that use adjudicative (4) The United States, when OPM background investigation is or should be support services of another agency, at determines that litigation is likely to classified. the request of the original agency, the affect OPM or any of its components; v. To the Office of the Director of results will be furnished to the agency is a party to litigation or has an interest National Intelligence for inclusion in its providing the adjudicative support. in such litigation, and the use of such Scattered Castles system in order to i. To provide criminal history record records by the Department of Justice or facilitate reciprocity of background information to the FBI, to help ensure OPM is deemed by OPM to be relevant investigations and security clearances the accuracy and completeness of FBI and necessary to the litigation, within the intelligence community or and OPM records. provided, however, that the disclosure assist agencies in obtaining information j. To appropriate agencies, entities, is compatible with the purpose for required by the Federal Investigative and persons when (1) OPM suspects or which records were collected. Standards. has confirmed that there has been a o. For the Merit Systems Protection w. To the Director of National breach of the system of records; (2) OPM Board—To disclose information to Intelligence, or assignee, such has determined that as a result of the officials of the Merit Systems Protection information as may be requested and suspected or confirmed breach there is Board or the Office of the Special relevant to implement the a risk of harm to individuals, the agency Counsel, when requested in connection responsibilities of the Security (including its information systems, with appeals, special studies of the civil Executive Agent for personnel security,

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and pertinent personnel security maintained on secure servers in a Office of Personnel Management, research and oversight, consistent with limited access room with a keyless National Background Investigations law or executive order. cipher lock and/or smart card reader. Bureau, P.O. Box 618, 1137 Branchton x. To Executive Branch Agency All employees who have a need to Road, Boyers, PA 16018–0618, in insider threat, counterintelligence, and access the information are required to writing. Written requests must contain counterterrorism officials to fulfill their have the appropriate investigation the following information: responsibilities under applicable consistent with the risk and sensitivity a. Full name. Federal law and policy, including but designation of that position, and the b. Date and place of birth. not limited to E.O. 12333, 13587 and the investigation must be favorably c. Full Social Security Number. National Insider Threat Policy and adjudicated or an interim access be d. Any available information Minimum Standards. granted before they are allowed access regarding the type of record involved. y. To the appropriate Federal, State, to the records. e. The address to which the record local, tribal, foreign, or other public The U.S. Postal Service and other information should be sent. authority in the event of a natural or postal providers are used to transmit f. Two forms of acceptable identity manmade disaster. The record will be hard copy records sent to and from field source documents. used to provide leads to assist in offices. Information that is transmitted g. An original notarized statement or locating missing subjects or assist in electronically from field offices is an unsworn declaration in accordance determining the health and safety of the encrypted. with 28 U.S.C. 1746, in the following subject. The record will also be used to format: I declare (or certify, verify, or assist in identifying victims and locating RETENTION AND DISPOSAL: state) under penalty of perjury that the any surviving next of kin. Investigative files and the foregoing is true and correct. Executed z. To Federal, State, and local computerized data bases which show on (date). (Signature). government agencies, if necessary, to the scheduling or completion of an An attorney or other persons acting on obtain information from them which investigation are retained for 16 years behalf of an individual must provide will assist OPM in its responsibilities as from the date of closing or the date of written authorization from that the authorized Investigation Service the most recent investigative activity, individual for the representative to act Provider in conducting studies and whichever is later, except for on the individual’s behalf. The written analyses in support of evaluating and investigations involving potentially authorization must also include an improving the effectiveness and actionable issue(s), which will be original notarized statement or an efficiency of the background maintained for 25 years from the date of unsworn declaration in accordance with investigation methodologies. closing or the date of the most recent 28 U.S.C. 1746, in the following format: aa. To an agency, office, or other investigative activity. I declare (or certify, verify, or state) establishment in the executive, The digital capture of a fingerprint under penalty of perjury that the legislative, or judicial branches of the card set is forwarded to the Federal foregoing is true and correct. Executed Federal Government in response to its Bureau of Investigation, and the card is on (date). (Signature). request, in connection with the destroyed when it is verified that the Individuals requesting access must classifying of jobs, the letting of a digital copy was accurately captured also comply with OPM’s Privacy Act contract, or the issuance of a license, and transferred. regulations regarding verification of grant, or other benefit by the requesting Hard copy records are destroyed by identity and access to records (5 CFR agency, to the extent that the shredding and recycling, and part 297). information is relevant and necessary to computerized records are destroyed by A detailed list of acceptable identity the requesting agency’s decision on the electronic erasure. source documents can be found on the matter. OPM Web site at https://www.opm.gov/ SYSTEM MANAGER(S) AND ADDRESS: investigations/freedom-of-information- POLICIES AND PRACTICE FOR STORING, Director, National Background and-privacy-act-requests/. RETRIEVING, ACCESSING, RETAINING AND Investigations Bureau, U.S. Office of AMENDMENT PROCEDURES: DISPOSING OF RECORDS IN THE SYSTEM: Personnel Management, P.O. Box 618, STORAGE: 1137 Branchton Road, Boyers, PA Specific materials in this system have been exempted from Privacy Act Records are maintained in paper 16018. provisions at 5 U.S.C. 552a(c)(3), (d), format in file folders, on microfilm, as NOTIFICATION AND RECORD ACCESS and (e)(1), regarding providing an digital images, on computer tapes, and PROCEDURES: accounting of disclosures to the data in electronic databases such as the Specific materials in this system have subject, access to and amendment of Personnel Investigations Processing been exempted from Privacy Act records, and maintaining in its records System, the Central Verification System, provisions at 5 U.S.C. 552a(c)(3), (d), only such information that is relevant and the e-QIP system. and (e)(1), regarding providing an and necessary. The section of this notice RETRIEVABILITY: accounting of disclosures to the data titled Systems Exempted from Certain Records are retrieved by the name, subject, access to and amendment of Provisions of the Act indicates the kinds Social Security Number, unique case records, and maintaining in its records of material exempted and the reasons serial number and/or other unique only such information that is relevant for exempting them from amendment. identifier of the individual on whom and necessary. The section of this notice Individuals wishing to request they are maintained. titled Systems Exempted from Certain amendment to their non-exempt records Provisions of the Act indicates the kinds should contact the Federal SAFEGUARDS: of material exempted and the reasons Investigations Processing Center in Paper files are stored in a locked filing for exempting them from access. writing. Requests should be directed cabinet or a secure facility with an Individuals wishing to learn whether only to the OPM National Background intrusion alarm system. Microfilm is this system contains information about Investigations Bureau, whether the secured in a facility with an intrusion them or wishing to request access to record sought is in the primary system system. Electronic records are their record should contact: FOI/PA, or in an agency’s decentralized segment.

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Individuals must furnish the following institutions, references, neighbors, military service, Federal contracts, or information for their records to be associates, police departments, courts, access to classified information . . . .’’ located and identified: credit bureaus, medical records, 5 U.S.C. 552a(k)(5). Materials may be a. Full name. probation officials, prison officials, and exempted only to the extent that release b. Date and place of birth. other sources, including publically of the material to the individual whom c. Full Social Security Number. available information such as the information is about ‘‘would reveal d. The precise identification of the newspapers, magazines, periodicals, the identity of a source who furnished records to be amended. and public posts on social media. information to the Government under an e. The identification of the specific material to be deleted, added, or SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS express promise that the identity of the changed. OF THE ACT: source would be held in confidence or, f. A statement of the reasons for the OPM has claimed that all information prior to [September 27, 1975, furnished request, including all available material in these records that meets the criteria information to the Government] under substantiating the request. stated in 5 U.S.C. 552a(k) (1), (2), (3), an implied promise that the identity of g. The address to which (4), (5), (6), or (7) is exempt from the the source would be held in correspondence should be sent. requirements of the Privacy Act that confidence.’’ Id. h. Two forms of acceptable identity relate to providing an accounting of 6. Testing and examination materials, source documents. disclosures to the data subject, access to compiled during the course of a i. An original notarized statement or and amendment of records, and personnel investigation, that are ‘‘used an unsworn declaration in accordance maintaining in its records only such solely to determine individual with 28 U.S.C. 1746, in the following information that is relevant and qualifications for appointment or format: I declare (or certify, verify, or necessary. (5 U.S.C. 552a(c)(3), (d), and promotion in the Federal service,’’ when state) under penalty of perjury that the (e)(1)). foregoing is true and correct. Executed This system may contain the disclosure of the material ‘‘would on (date). (Signature). following types of exempt information: compromise the objectivity or fairness An attorney or other person acting on 1. Properly classified information of the testing or examination process.’’ behalf of an individual must provide subject to the provisions of section 5 U.S.C. 552a(k)(6). written authorization from that 552(b)(1), which references matters that 7. Evaluation materials, compiled individual for the representative to act are ‘‘(A) specifically authorized under during the course of a personnel on the individual’s behalf. The written criteria established by an Executive investigation, that are used to determine authorization must also include an order to be kept secret in the interest of potential for promotion in the armed original notarized statement or an national defense or foreign policy and services can be exempted to the extent unsworn declaration in accordance with (B) are in fact properly classified that the disclosure of the data ‘‘would 28 U.S.C. 1746, in the following format: pursuant to such Executive order.’’ 5 reveal the identity of a source who I declare (or certify, verify, or state) U.S.C. 552a(k)(1). furnished information to the 2. ‘‘[I]nvestigatory material compiled under penalty of perjury that the Government under an express promise for law enforcement purposes, other foregoing is true and correct. Executed that the identity of the source would be on (date). (Signature). than material within the scope of held in confidence or, prior to Individuals requesting amendment subsection (j)(2) of [5 U.S.C. 552a]: must also comply with OPM’s Privacy Provided, however, [t]hat if any [September 27, 1975,] under an implied Act regulations regarding verification of individual is denied any right, privilege, promise that the identity of the source identity and amendment of records (5 or benefit that he would otherwise be would be held in confidence.’’ 5 U.S.C. CFR part 297). entitled by Federal law, or for which he 552a(k)(7). A detailed list of acceptable identity would otherwise be eligible, as a result These exemptions are codified by source documents can be found on the of the maintenance of such material, regulation in 5 CFR 297.501(b)(5). In OPM Web site at https://www.opm.gov/ such material shall be provided to such addition, under 5 CFR 297.501(c), OPM investigations/freedom-of-information- individual, except to the extent that the reserves the right to assert exemptions and-privacy-act-requests/. disclosure of such material would reveal for records received from another Note: Where an agency retains the the identity of a source who furnished agency that could be properly claimed decentralized copy of the investigative report information to the Government under an by that agency in responding to a provided by OPM, requests for access to or express promise that the identity of the request; and to refuse access to amendment of such reports will be forwarded source would be held in confidence, or, information compiled in reasonable to the OPM National Background prior to the effective date of this section, anticipation of a civil action or Investigations Bureau for processing. under an implied promise that the proceeding. Under this regulation OPM identity of the source would be held in may assert exemption (j)(1) on behalf of RECORD SOURCE CATEGORIES: confidence[.]’’ 5 U.S.C. 552a(k)(2). Information contained in this system 3. Information ‘‘maintained in an agency authorized to assert it. of records is obtained from: connection with providing protective [FR Doc. 2016–24507 Filed 10–7–16; 8:45 am] a. Electronic and paper applications, services to the President of the United BILLING CODE 6325–53–P personnel and security forms or other States or other individuals pursuant to information completed or supplied by section 3056 of title 18 [of the U.S. the individual, and the results of Code].’’ 5 U.S.C. 552a(k)(3). personal contacts with the individual. 4. Material that is ‘‘required by statute b. Investigative and other record to be maintained and used solely as a material furnished by Federal agencies, statistical record.’’ 5 U.S.C. 552a(k)(4). including notices of personnel actions. 5. ‘‘[I]nvestigatory material compiled c. By personal investigation, written solely for the purpose of determining inquiry, or computer linkage from suitability, eligibility, or qualifications sources such as employers, educational for Federal civilian employment,

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SECURITIES AND EXCHANGE the most significant parts of such two-sided quotes under Rule 22.6(d).3 COMMISSION statements. Removing Exchange Rule 22.3(c) would simply remove the non-discretionary [Release No. 34–79041; File No. SR– A. Self-Regulatory Organization’s BatsEDGX–2016–53] requirement that the Exchange must Statement of the Purpose of, and the deregister an Options Market Maker’s Statutory Basis for, the Proposed Rule Self-Regulatory Organizations; Bats registration in a series if it does not Change EDGX Exchange, Inc.; Notice of Filing enter quotations in the series within five and Immediate Effectiveness of a 1. Purpose business days of registration. Proposed Rule Change to Rule 22.3, The Exchange currently conducts Continuing Options Market Maker The Exchange proposes to amend surveillance to monitor and enforce Registration, of Bats EDGX Exchange, Exchange Rule 22.3 to remove compliance with the ‘‘active markets’’ Inc. subparagraph (c), which currently provision of Exchange Rule 22.5(a)(6) requires the Exchange to terminate a for all Options Market Makers. A October 4, 2016. firm’s Options Market Maker registered Options Market Maker is Pursuant to Section 19(b)(1) of the registration if it does not enter subject to the Exchange Rule 22.5(a)(6) Securities Exchange Act of 1934 quotations in an option series in which surveillance for the entire time the (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 it is registered within five business days Options Market Maker is registered, notice is hereby given that on after the Options Market Maker’s including the first five days covered by September 28, 2016, Bats EDGX registration in the series becomes Exchange Rule 22.3(c). If a registered Exchange, Inc. (‘‘EDGX’’ or the effective. Currently, the Exchange Options Market Maker is found by ‘‘Exchange’’) filed with the Securities surveils whether a newly registered surveillance not to be maintaining and Exchange Commission Options Market Maker enters quotations active markets in the option series in (‘‘Commission’’) the proposed rule in the series within five business days which it is registered, the Exchange will change as described in Items I, II, and of registration. If an Options Market determine the appropriate course of III below, which Items have been Maker does not, the Exchange is action against such Options Market prepared by the Exchange. The required by Exchange Rule 22.3(c) to Maker. The Exchange may take actions Commission is publishing this notice to automatically deregister the Options of escalating severity against the solicit comments on the proposed rule Market Maker in that series. The offending Options Market Maker from an informal warning up to deregistering change from interested persons. Exchange views Exchange Rule 22.3(c) the Options Market Maker in the as largely duplicative of other Exchange I. Self-Regulatory Organization’s options in which it fails to maintain Rules and excessively rigid in view of Statement of the Terms of Substance of active markets or bringing formal other Exchange Rules that allow the the Proposed Rule Change action.4 The Exchange has found that Exchange discretion and flexibility in The Exchange is proposing to make a this discretion has allowed for effective determining an appropriate remedy. modification to Exchange Rule 22.3, enforcement of Options Market Maker Continuing Options Market Maker Exchange Rule 22.5(a)(6) provides obligations while allowing the Exchange Registration, to remove the provision of that Options Market Makers are to consider the facts and circumstances the rule that requires termination of a expected to ‘‘maintain active markets’’ of each case in determining the Member’s Options Market Maker in all series in which they are registered. appropriate remedy. registration in an option series if the Both Rule 22.3(c) and Rule 22.5(a)(6) On the other hand, current Exchange Options Market Maker fails to enter impose an obligation upon registered Rule 22.3(c) is non-discretionary and its quotations in the series within five Options Market Maker to maintain enforcement can lead to potentially business days after the Options Market active markets. The main difference is arbitrary results, as it does not permit Maker’s registration in the series that Exchange Rule 22.3(c) applies only the Exchange to consider the facts and becomes effective. to the first five days that an Options circumstances of each case in enforcing The text of the proposed rule change Market Maker is registered, whereas the rule. While as a general matter an is available at the Exchange’s Web site Exchange Rule 22.5(a)(6) applies during Options Market Maker should enter at www.batstrading.com, at the the first five days and continues for as quotations in a series in which it is principal office of the Exchange, and at long as the Options Market Maker is registered as soon as practicable, the Commission’s Public Reference registered in a series. The Exchange experience has shown that many factors Room. believes that there is no benefit to can affect when a newly registered imposing stricter quoting obligations on Options Market Maker will be in a II. Self-Regulatory Organization’s position to begin entering quotations. Statement of the Purpose of, and a newly registered Options Market Maker than those imposed on existing Further, as discussed above [sic], Statutory Basis for, the Proposed Rule Exchange Rule 22.6(d) contemplates Change registered Options Market Makers. Instead, in the Exchange’s view, the certain acceptable periods of inactivity. In its filing with the Commission, the requirement to maintain active markets Just as the Exchange is provided Exchange included statements should be the same from when an discretion to enforce all Options Market concerning the purpose of and basis for Options Market Maker first registers as Maker obligations under Exchange Rule the proposed rule change and discussed any time after registration. 22.2(b), the Exchange believes that it any comments it received on the should be afforded the same discretion proposed rule change. The text of these The Exchange notes that it will to evaluate the facts and circumstances statements may be examined at the continue to be permitted to deregister a of each case in which an Options places specified in Item IV below. The registered Options Market Maker under Exchange has prepared summaries, set Exchange Rule 22.2(b) if it is found that 3 See Exchange Rule 22.2(b) (‘‘The registration of forth in Sections A, B, and C below, of the Options Market Maker has failed in any Member as a Market Maker may be suspended its obligation to maintain active markets or terminated by the Exchange upon a determination that such Member has failed to 1 15 U.S.C. 78s(b)(1). under Exchange Rule 22.5(a)(6) or fails properly perform as a Market Maker.’’). 2 17 CFR 240.19b–4. its obligation to provide continuous 4 See Exchange Rules 22.2(b) and 22.5(c).

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Market Maker is not active in a series members and persons associated with burden on competition; and (C) by its within the first five days of registration its exchange members, with the terms, become operative for 30 days and determine the appropriate remedy. provisions of the Exchange Act, the from the date on which it was filed or Finally, other national options rules and regulations thereunder, and such shorter time as the Commission exchanges do not require automatic the rules of the Exchange. The proposal may designate it has become effective deregistration of a registered Options allows the Exchange the discretion so pursuant to Section 19(b)(3)(A) of the Market Maker from an options series that it may appropriately and equitably Act 9 and paragraph (f)(6) of Rule 19b– when the Options Market Maker fails to enforce compliance by its members with 4 thereunder,10 the Exchange has submit a quote within the first five days the rules of the Exchange—in particular, designated this rule filing as non- of registration. Other exchanges allow the Exchange’s Options Market Maker controversial. The Exchange has given considerably more discretion in obligations. the Commission written notice of its determining the appropriate remedy for Additionally, the proposal is intent to file the proposed rule change, a registered Options Market Maker that consistent with Section 6(b)(5) of the along with a brief description and text fails its quoting obligations. For Act 8 because it is designed to prevent of the proposed rule change at least five example, neither the Chicago Board fraudulent and manipulative acts and business days prior to the date of filing Options Exchange (‘‘CBOE’’), nor the practices, to promote just and equitable of the proposed rule change, or such Miami International Securities principles of trade, to foster cooperation shorter time as designated by the Exchange (‘‘MIAX’’), nor NYSE Arca, and coordination with persons engaged Commission. Inc. Options (‘‘NYSE Arca’’), has a in facilitating transactions in securities, At any time within 60 days of the requirement to automatically deregister to remove impediments to, and perfect filing of the proposed rule change, the an options market maker if it fails in its the mechanism of, a free and open Commission summarily may quoting or other obligations within five market and a national market system temporarily suspend such rule change if days of registration. Instead, each of the and, in general, to protect investors and it appears to the Commission that such above exchanges appears to rely on a the public interest. The proposed action is: (1) Necessary or appropriate in rule substantively identical to Exchange amendment to remove Exchange Rule the public interest; (2) for the protection Rule 22.2(b) that gives the respective 22.3(c) will permit the Exchange to of investors; or (3) otherwise in exchange discretion as to the consider all facts and circumstances in furtherance of the purposes of the Act. appropriate remedy for Options Market instances where it appears that a If the Commission takes such action, the Makers that do not meet their registered Options Market Maker does Commission shall institute proceedings obligations.5 not meet its obligations and to exercise to determine whether the proposed rule The Exchange, therefore, proposes to discretion in applying the appropriate should be approved or disapproved. amend Exchange Rule 22.3 to remove remedy for such failure. subparagraph (c) and to enforce its IV. Solicitation of Comments Options Market Maker ‘‘active market’’ B. Self-Regulatory Organization’s Interested persons are invited to obligations with the remedies permitted Statement on Burden on Competition submit written data, views, and in Exchange Rule 22.2(b) and Exchange The Exchange does not believe that arguments concerning the foregoing, Rule 22.5(c). the proposed rule change will impose including whether the proposed rule any burden on competition that is not change is consistent with the Act. 2. Statutory Basis necessary or appropriate in furtherance Comments may be submitted by any of The Exchange believes that its of the purposes of the Act. The the following methods: proposal is consistent with the proposed rule change does not Electronic Comments requirements of the Act and the rules introduce any burden on competition, and regulations thereunder that are but rather, removes the automatic • Use the Commission’s Internet applicable to a national securities deregistration requirement of Exchange comment form (http://www.sec.gov/ exchange, and, in particular, with the Rule 22.3(c) to allow the Exchange to rules/sro.shtml); or requirements of Section 6(b) of the Act.6 apply the obligation to maintain active • Send an email to rule-comments@ In particular, the proposal is markets to all registered Options Market sec.gov. Please include File Number SR– consistent with Section 6(b)(1) 7 in that Makers equally. BatsEDGX–2016–53 on the subject line. it enables the Exchange to be so Paper Comments organized as to have the capacity to be C. Self-Regulatory Organization’s able to carry out the purposes of the Statement on Comments on the • Send paper comments in triplicate Exchange Act and to comply, and to Proposed Rule Change Received From to Brent J. Fields, Secretary, Securities enforce compliance by its exchange Members, Participants, or Others and Exchange Commission, 100 F Street The Exchange has not solicited, and NE., Washington, DC 20549–1090. 5 See CBOE Rule 8.2(b) (‘‘The registration of a does not intend to solicit, comments on All submissions should refer to File Market-Maker may be suspended or terminated by this proposed rule change. The Number SR–BatsEDGX–2016–53. This the Exchange upon a determination that the Market- file number should be included on the Maker has failed to properly perform as a Market- Exchange has not received any written Maker.’’); MIAX Rule 600(c) (‘‘The registration of comments from members or other subject line if email is used. To help the any Member as a Lead Market Maker, Primary Lead interested parties. Commission process and review your Market Maker, or as a Registered Market Maker may comments more efficiently, please use be suspended or terminated by the Exchange upon III. Date of Effectiveness of the only one method. The Commission will a determination that such Member has failed to Proposed Rule Change and Timing for post all comments on the Commission’s properly perform as a Market Maker’’); NYSE Arca Commission Action Options Rule 6.33 (‘‘The registration of any person Internet Web site (http://www.sec.gov/ as a Market Maker may be suspended or terminated Because the foregoing proposed rule rules/sro.shtml). Copies of the by the Exchange upon a determination of any change does not: (A) Significantly affect submission, all subsequent substantial or continued failure by such Market Maker to engage in dealings in accordance with the protection of investors or the public amendments, all written statements [Market Maker Obligations].’’). interest; (B) impose any significant 6 15 U.S.C. 78f(b). 9 15 U.S.C. 78s(b)(3)(A). 7 15 U.S.C. 78f(b)(1). 8 15 U.S.C. 78f(b)(5). 10 17 CFR 240.19b–4.

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with respect to the proposed rule Commission is publishing this notice to Provisional Net Credit (‘‘LPNC’’) risk change that are filed with the solicit comments on the proposed rule management control; (iii) provide that Commission, and all written change from interested persons. the IPA must acknowledge its funding communications relating to the obligations for Presentments and that I. Clearing Agency’s Statement of the proposed rule change between the Receivers of Issuances must approve Terms of Substance of the Proposed Commission and any person, other than their receipt of those Issuances in DTC’s Rule Change those that may be withheld from the Receiver Authorized Delivery (‘‘RAD’’) public in accordance with the The proposed rule change would system before DTC would process MMI provisions of 5 U.S.C. 552, will be establish a change in the processing of Presentments; (iv) implement an available for Web site viewing and transactions in money market enhanced process to test risk printing in the Commission’s Public instruments (‘‘MMI’’) that are processed management controls under certain Reference Room, 100 F Street NE., in DTC’s MMI Program (‘‘MMI conditions with respect to an Acronym Washington, DC 20549 on official Securities’’) by modifying (i) the DTC (to be referred to as MMI Optimization, business days between the hours of Rules, By-laws and Organization as defined below); (v) make updates and 10:00 a.m. and 3:00 p.m. Copies of such Certificate (‘‘Rules’’),4 (ii) the DTC revisions to the Settlement Processing filing also will be available for Settlement Service Guide (‘‘Settlement Schedule in the Settlement Guide inspection and copying at the principal Guide’’),5 and (iii) the DTC Distributions (‘‘Processing Schedule’’), as described office of the Exchange. All comments Service Guide (‘‘Distributions Guide’’),6 below, (vi) eliminate the ‘‘receive versus received will be posted without change; as described below.7 The proposed rule payment NA’’ control (‘‘RVPNA’’), as the Commission does not edit personal change would affect DTC’s processing of described below, and (vii) make other identifying information from issuances of MMI Securities technical and clarifying changes to the submissions. You should submit only (‘‘Issuances’’) by issuers of MMI text, as more fully described below. In information that you wish to make Securities (‘‘Issuers’’) as well as addition, the proposed rule change available publicly. All submissions Maturity Presentments, Income would amend the Distributions Guide to should refer to File Number SR– Presentments, Principal Presentments, make changes to text relating to the BatsEDGX–2016–53, and should be and Reorganization Presentments processing of Income Presentments so submitted on or before November 1, (collectively, ‘‘Presentments’’) that it is consistent with the changes 2016. (Issuances and Presentments, proposed in the Settlement Guide in collectively ‘‘MMI Obligations’’). The For the Commission, by the Division of that regard, as more fully described proposed rule change would amend the 9 Trading and Markets, pursuant to delegated below. authority.11 Rules and Settlement Guide to (i) eliminate intra-day reversals of II. Clearing Agency’s Statement of the Robert W. Errett, processed but not yet settled MMI Purpose of, and Statutory Basis for, the Deputy Secretary. Obligations resulting from an Issuing Proposed Rule Change [FR Doc. 2016–24426 Filed 10–7–16; 8:45 am] and Paying Agent (‘‘IPA’’) notifying DTC In its filing with the Commission, the BILLING CODE 8011–01–P of its refusal to pay (‘‘RTP’’) for clearing agency included statements Presentments of an Issuer’s maturing concerning the purpose of and basis for MMI Securities for a designated SECURITIES AND EXCHANGE the proposed rule change and discussed Acronym; 8 (ii) eliminate the Largest COMMISSION any comments it received on the proposed rule change. The text of these [Release No. 34–79046; File No. SR–DTC– Act, 17 CFR 240.19b–4(n)(1)(i). A copy of the statements may be examined at the 2016–008] advance notice is available at http://www.dtcc.com/ places specified in Item IV below. The legal/sec-rule-filings.aspx. clearing agency has prepared Self-Regulatory Organizations; The 4 Available at http://www.dtcc.com/legal/rules- summaries, set forth in sections A, B, Depository Trust Company; Notice of and-procedures.aspx. 5 ∼ and C below, of the most significant Filing of Proposed Rule Change Available at http://www.dtcc.com/ /media/ Files/Downloads/legal/service-guides/ aspects of such statements. Relating to Processing of Transactions Settlement.pdf. in Money Market Instruments 6 Available at http://www.dtcc.com/∼/media/ (A) Clearing Agency’s Statement of the Files/Downloads/legal/service-guides/ Purpose of, and Statutory Basis for, the October 5, 2016. Distributions%20Service%20Guide%20FINAL%20 Proposed Rule Change Pursuant to Section 19(b)(1) of the November%202014.pdf. Securities Exchange Act of 1934 7 Eligibility for inclusion in the MMI Program 1. Purpose 1 2 covers MMI, which are short-term debt Securities (‘‘Act’’) and Rule 19b–4, notice is that generally mature 1 to 270 days from their The purpose of this proposed rule hereby given that on September 23, original issuance date. MMI include, but are not change is to (i) mitigate risk to DTC and 2016, The Depository Trust Company limited to, commercial paper, banker’s acceptances Participants relating to intra-day (‘‘DTC’’) filed with the Securities and and short-term bank notes and are issued by financial institutions, large corporations, or state reversals of processed MMI Obligations Exchange Commission (‘‘Commission’’) and local governments. Most MMI trade in large in the event of an IPA’s RTP with the proposed rule change as described denominations (typically, $250,000 to $50 million) respect to maturing obligations in Items I and II below, which Items and are purchased by institutional investors. (‘‘Maturing Obligations’’) 10 for an have been prepared by DTC.3 The Eligibility for inclusion in the MMI Program also 11 covers medium term notes that mature over a longer Acronym and/or income payments term. 11 17 CFR 200.30–3(a)(12). 8 Rule 1, supra note 4. MMI of an Issuer are 9 Capitalized terms not otherwise defined herein 1 15 U.S.C. 78s(b)(1). designated by DTC using unique four-character have the respective meanings set forth in the Rules, 2 17 CFR 240.19b–4. identifiers employed by DTC referred to as the Settlement Guide, and the Distributions Guide. 3 On September 23, 2016, DTC filed this proposed Acronyms. An MMI Issuer can have multiple 10 A Maturing Obligation is a payment owed in rule change as an advance notice (SR–DTC–2016– Acronyms representing its Securities. MMI settlement by the IPA to the Participant on whose 802) with the Commission pursuant to Section Transactions and other functions relating to MMI behalf DTC presents the matured MMI Securities. 806(e)(1) of the Dodd-Frank Wall Street Reform and (e.g., confirmations and RTP) instructed and/or 11 Principal and income for an Acronym are Consumer Protection Act entitled the Payment, performed by IPAs, Participants and/or DTC as distributed by an IPA according to a cycle Clearing, and Settlement Supervision Act of 2010, described herein are performed on an ‘‘Acronym- determined by the terms of the issue (e.g., monthly, 12 U.S.C. 5465(e)(1), and Rule 19b–4(n)(1)(i) of the by-Acronym’’ basis. quarterly, and semi-annually). Such distributions

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relating to Presentments for an end-of-day, payment of that amount is Currently, to mitigate the risks Acronym, and (ii) reduce blockage for due to DTC. associated with an RTP, DTC Rules and the completion of MMI Obligations by When MMI Securities mature, the the Settlement Guide provide for the eliminating the LPNC control, as more Maturity Presentment process is LPNC risk management control. DTC fully described below. initiated automatically by DTC on withholds credit intra-day from each maturity date, starting at approximately Participant that has a Presentment in the Background 6:00 a.m. Eastern Time (‘‘ET’’), for amount of the aggregate of the two When an Issuer issues MMI Securities Delivery of matured MMI Securities largest credits with respect to an Acronym. The LPNC is not included in at DTC, the IPA for that Issuer sends from the applicable DTC Participants’ the calculation of the Participant’s issuance instructions to DTC Accounts to the applicable IPA Collateral Monitor or its Net Debit electronically, which results in crediting Accounts. This automated process electronically sweeps all maturing Balance. This provides protection in the the applicable MMI Securities to the positions of MMI Securities from event that MMI Obligations are reversed DTC Account of the IPA. These MMI Participant Accounts and debits the by DTC as a result of an RTP.14 Securities are then Delivered to the Settlement Account of the applicable DTC’s Rules and Procedures relating Accounts of applicable Participants that IPA for the amount of the Maturing are purchasing the Issuance in to settlement processing for the MMI Obligations for Presentments for the 15 accordance with their purchase Program were designed to limit credit, Acronym and credits the Settlement liquidity, and operational risk for DTC amounts. These purchasing Participants Accounts of the Deliverers. In typically include broker/dealers or and Participants. In connection with accordance with the Rules, payment is ongoing efforts by DTC to evaluate the banks, acting as custodians for due from the IPA for settlement to the risk associated with the processing of institutional investors. The IPA Delivery extent, if any, that the IPA has a Net MMI Obligations, DTC has determined instructions may be free of payment or, Debit Balance in its Settlement Account that the risks presented by intra-day most often, Delivery Versus Payment. at end-of-day. reversals of processed MMI Obligations Deliveries of MMI are processed With regard to DTC net settlement, should be eliminated to prevent the pursuant to the same Rules and the MMI Issuers and IPAs commonly possibility that a reversal could override 12 applicable Procedures set forth in the consider the primary source of risk controls and heighten liquidity and Settlement Guide, as are Deliveries payments for Maturing Obligations of settlement risk. Eliminating intra-day generally, whether free or versus MMI Securities to be funded by the reversals of processed MMI Obligations payment. Delivery Versus Payment proceeds of Issuances of the same would also enhance intra-day finality transactions are subject to risk Acronym by that Issuer on the same and allow for the elimination of the management controls of the IPA and Business Day. Because Presentments are LPNC which creates intra-day blockage Receiving Participants for Net Debit Cap currently processed automatically at and affects liquidity through the and Collateral Monitor sufficiency,13 DTC, IPAs have the option to refuse to withholding of settlement credits. and payment for Delivery Versus pay for Maturing Obligations to protect Payment transactions is due from the against the possibility that an IPA may Proposal receiving Participants through DTC’s net not be able to fund settlement because The proposed rule change would settlement process. To the extent, if any, it has not received funds from the amend the Rules and the Settlement that the Participant has a Net Debit relevant Issuer. An IPA that refuses Guide to eliminate provisions for intra- Balance in its Settlement Account at payment for a Presentment (i.e., refuses day reversals of processed MMI to make payment for the Delivery of Obligations based on an IPA’s RTP or may be for interest only, principal only, or interest matured MMI Securities for which it is Issuer insolvency. In addition, the and principal. the designated IPA and/or pay interest proposed rule change would amend the 12 Pursuant to the Rules, the term ‘‘Procedures’’ or dividend income on an MMI Security Distributions Guide to make changes to means the Procedures, service guides, and for which it is the designated IPA) must regulations of the Corporation adopted pursuant to text relating to the processing of Income Rule 27, as amended from time to time. See Rule notify DTC of its RTP in the DTC Presentments so that it is consistent 1, Section 1, supra note 4, at 15. The Procedures Settlement User Interface. An IPA may with the changes proposed in the applicable to MMI settlement processing are set enter an RTP until 3:00 p.m. ET on the Settlement Guide in that regard, as more forth in the Settlement Guide. Supra note 5. date of the affected Presentment. 13 Delivery Versus Payment transfers at DTC are fully described below. structured so that the completion of Delivery of Under the current Rules, the effect of an RTP is to instruct DTC to reverse all Pursuant to the proposed rule change, Securities to a Participant in end-of-day settlement DTC would no longer automatically is contingent on the receiving Participant satisfying processed Deliveries of that Acronym, its end-of-day net settlement obligation, if any. The including Issuances, related funds process Presentments (and Issuances risk of Participant failure to settle is managed and related deliveries). Rather, except as through risk management controls, structured so credits and debits, and Presentments. This late day reversal of processed (but noted below, DTC would only process that DTC may complete settlement despite the these transactions after an failure to settle of the Participant, or Affiliated not yet settled) transactions may Family of Participants, with the largest net override DTC’s risk management acknowledgment (‘‘MMI Funding settlement obligation. The two principal controls controls (i.e., Collateral Monitor and Net Acknowledgment’’) is made by the IPA are the Net Debit Cap and Collateral Monitor. The to DTC whereby either: (i) The value of largest net settlement obligation of a Participant or Debit Cap) and force a presenting Affiliated Family of Participants cannot exceed DTC Participant into a Net Debit Balance; liquidity resources, based on the Net Debit Cap, and this situation poses systemic risk with 14 See Securities Exchange Act Release No. 71888 must be fully collateralized, based on the Collateral (April 7, 2014), 79 FR 20285 (April 11, 2014) (SR– Monitor. This structure is designed so that DTC respect to the Participant’s ability to DTC–2014–02) (clarifying the LPNC Procedures in may pledge or liquidate Collateral of the defaulting fund its settlement and, hence, DTC’s the Settlement Guide) and Securities Exchange Act Participant in order to fund settlement among non- ability to complete end-of-day net funds Release No. 68983 (February 25, 2013), 78 FR 13924 defaulting Participants. Liquidity resources, settlement. Also, the possibility of intra- (March 1, 2013) (SR–DTC–2012–10) (updating the including the Participants Fund and a committed Rules related to LPNC). line of credit with a consortium of lenders, are day reversals of processed MMI 15 The Procedures applicable to MMI settlement available to complete settlement among non- Obligations creates uncertainty for processing are set forth in the Settlement Guide. defaulting Participants. Participants. Supra note 5.

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receiver-approved 16 Issuances alone,17 Making Application (‘‘DMA’’). When an (‘‘Acronym Payment Failure’’), then or a combination of receiver-approved MMI Funding Acknowledgement has DTC would not process transactions in Issuances plus an amount the IPA(s) has occurred, it would constitute the IPA’s the Acronym.19 acknowledged has been funded by the instruction to DTC to attempt to process In the event of an Acronym Payment Issuer, exceeds the Acronym’s transactions in the Acronym. At this Failure, DTC would (i) prevent further Presentments; or (ii) the IPA point, if the IPA has acknowledged that issuance and maturity activity for the acknowledges it has been funded for the it would fully fund the Acronym, then Acronym in DTC’s system, (ii) prevent entire amount of the gross value of an the transactions would be sent to the Deliveries of MMI Securities of the Acronym, regardless of Issuances.18 processing system and attempted Acronym on failure date and halt all DTC anticipates that the proposed against position and risk management activity in that Acronym, (iii) set the rule change would generally maintain controls. If the IPA provides an MMI Collateral Value of the MMI Securities the volume of transactions processed Funding Acknowledgement for only in the Acronym to zero for purposes of today in terms of the total number and partial funding of the entire amount of calculating the Collateral Monitor of any value of transactions that have passed Presentments for an Acronym, DTC affected Participant, and (iv) notify position and risk controls throughout would test risk management controls of Participants of the Acronym Payment the processing day. However, because of Deliverers and Receivers with respect to Failure. Notification would be made the requirement for the IPA to provide that Acronym to determine whether risk through a DTC broadcast through the an MMI Funding Acknowledgement management controls would be satisfied current process. prior to processing of an Acronym, the by all Deliverers and Receivers of the Notwithstanding the occurrence of an reason why transactions do not Acronym and determine whether all Acronym Payment Failure, the IPA complete during the processing day parties maintain adequate position to would remain liable for funding would shift. It is expected that the value complete the applicable transactions, pursuant to any MMI Funding and volume of MMI transactions i.e., ‘‘MMI Optimization’’. In the case Acknowledgment previously provided recycling for risk management controls that the aggregate amount of RAD for that Business Day. during the late morning and afternoon approved Issuances of an Acronym A ‘‘Temporary Acronym Payment time periods would be reduced as a exceeds the aggregate amount of Failure’’ with respect to Income result of MMI transactions being held Presentments, and thus an affirmative Presentments would occur when an IPA outside of the processing system acknowledgment by the IPA would not notifies DTC that it temporarily refuses awaiting an MMI Funding be required, risk management controls to pay Income Presentments for the Acknowledgement decision. The non- for all Deliverers and Receivers would Acronym (typically due to an Issuer’s MMI transactions and fully funded MMI be tested using MMI Optimization as inability to fund Income Presentments transactions would also likely have a well. on that day). A Temporary Acronym reduction in blockage from risk As indicated above, if partial funding Payment Failure would only be initiated if there are no Maturity Presentments, management controls as a result of the from the IPA is necessary, then Principal Presentments and/or elimination of the LPNC control. The transactions would be routed to MMI Reorganization Presentments on that elimination of the LPNC control would Optimization. Generally, in MMI Business Day. DTC expects the Issuer no longer withhold billions of dollars of Optimization, all Deliverers and and/or IPA to resolve such a situation settlement credits until 3:05 p.m. ET as Receivers of the Acronym must satisfy by the next Business Day. In the event it does today, which would in turn risk management controls and of a Temporary Acronym Payment permit these transactions to complete delivering Participants must hold Failure, DTC would (i) temporarily earlier in the day. sufficient position, in order for the devalue to zero all of the Issuer’s MMI An IPA would make an MMI Funding transactions in that Acronym to be Securities for purposes of calculating Acknowledgment using a new Decision processed. However, as long as the Issuances that can satisfy Deliverer and the Collateral Monitor, unless and until the IPA acknowledges funding with 16 DTC subjects certain transactions to receiver Receiver risk controls for that Acronym approval in its RAD system. are equal to or greater than the Maturing respect to the Income Payments on the 17 An affirmative MMI Funding Presentments of that Acronym, the following Business Day, (ii) notify Acknowledgement by the IPA would not be applicable transactions (i.e., those that Participants of the delayed payment required in the case that the aggregate amount of pass risk controls) would be processed. through a DTC broadcast as is the RAD approved Issuances of an Acronym exceeds the aggregate amount of Presentments since these If there are multiple IPAs for an current process today, and (iii) block Issuances would provide the funding of the Acronym, DTC would determine from DTC’s systems all further Issuances maturing obligations versus an Issuer having to funding based on the satisfaction of and maturities by that Issuer for the fund the IPA. The proposed rule change would conditions for all Receivers and remainder of the Business Day on which provide that in this instance, the IPA is deemed to notification of the Temporary Payment provide a standing instruction to process Deliverers with respect to all transactions in the Acronym, subject to risk Presentments, Issuances and applicable Failure was received by DTC. management controls. Any such instruction or DOs in the Acronym and MMI Funding An IPA would not be able to avail deemed instruction by the IPA would be irrevocable Acknowledgements for all IPAs with itself of a Temporary Acronym Payment once given. Issuances and Presentments in the Failure for the same Acronym on 18 In the case where an affirmative MMI Funding consecutive Business Days. Acknowledgment by the IPA would be required for Acronym. No instruction of an IPA to Presentments to be processed, the MMI Funding DTC to process the subject MMI Also, in light of the proposed Acknowledgement would be a notification provided transactions shall be effective until MMI elimination of intra-day reversals of by an IPA to DTC with respect to an Acronym that Optimization is satisfied with respect to processed MMI Obligations, DTC would the IPA acknowledges and affirms its funding also eliminate the RVPNA control. The obligation for a maturing Acronym either (i) in the all transactions in the Acronym. entire amount of the Acronym or (ii) for an amount If there is no MMI Funding RVPNA control is provided for in the at least equal to the difference between the value Acknowledgment for the IPA for an of Issuances and the value of the Presentments. In Acronym for which Maturing 19 DTC would automatically consider an the case of (ii) above, the IPA may (later that day) Acronym Payment Failure occurring due to an increase the funding amount it acknowledges, but Obligations are due by 3:00 p.m. ET on IPA’s failure to provide timely MMI Funding in no event may the IPA reduce the amount of its that day and/or DTC is aware that the Acknowledgement (i.e., provide the obligation previously acknowledged that day. Issuer of an Acronym is insolvent acknowledgment by 3:00 p.m. ET) as an RTP.

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Settlement Guide and implements applicable conditions specified in Rule b. Delete: (A) The definition of current Section 1(c) of Rule 9(B). 9(C) described below have been RVPNA, (B) a provision that RVPNA is used to prevent a Participant satisfied. transactions for MMI Securities that are from Delivering free of value or (iv) Rule 9(C) would be amended to: deemed RVPNA would recycle pending undervalued any MMI Securities a. Add the definitions of MMI release of the LPNC control at 3:05 p.m. received versus payment on the same Funding Acknowledgment and MMI ET, and (C) a note that MMI Securities Business Day.20 This protects DTC Optimization to reflect the meaning of received versus payment are not against being unable to reverse these terms as described above; allowed to be freely moved until the transactions for Deliveries Versus b. Add text that Delivery Versus LPNC control is released; Payment of MMI Securities in the event Payment of MMI Securities would be c. Add a description of ‘‘Unknown of an RTP by the IPA.21 The elimination affected in accordance with Rules 9(A), Rate’’ to provide for a placeholder in the of reversals of processed MMI 9(B) and the Settlement Guide in Settlement Guide for references to an Obligations would eliminate the need addition to Rule 9(C); interest rate where payment of interest for the RVPNA control. c. Add text indicating that by an IPA to Receivers is scheduled but instructions by a Presenting Participant the interest rate to be paid is not known Proposed Rule Changes to the Rules, for a Presentment or Delivery of MMI at the time; Settlement Guide, and Distributions Securities would be deemed to be given d. Change the heading of the section Guide only when any applicable MMI Funding currently named ‘‘Establishing Your Net DTC would amend the text of Rule 1 Acknowledgment has been received by Debit Cap’’ to ‘‘Limitation of Participant (Definitions), Rule 9(A) (Transactions in DTC; Net Debit Caps by Settling Banks’’ to Securities and Money Payments), Rule d. Remove conditions and references reflect the context of that section more 9(B) (Transactions in Eligible relating to reversals of processed MMI specifically; Securities), Rule 9(C) (Transactions in Obligations; e. Revise the Settlement Processing MMI Securities), the Settlement Guide e. Set forth conditions for the Schedule to: and the Distributions Guide to reflect processing of Presentments, including: i. Add a cutoff time of 2:30 p.m. ET the proposed changes described above. i. The requirement for the IPA to for an IPA to replace the Unknown Rate Specifically: provide an MMI Funding with a final interest rate and state that (i) Rule 1 would be amended to: Acknowledgment, except in the case the IPA must successfully transmit the a. Delete the definition of LPNC; and where the aggregate amount of Issuances final rate to DTC before 2:30 p.m. ET; b. Add a cross-reference to indicate exceeds Presentments; ii. Add a cutoff time of 2:55 p.m. ET that the terms MMI Funding ii. Satisfaction of risk management after which Issuances and Presentments Acknowledgment and MMI controls and RAD; cannot be processed on the given Optimization would be defined in iii. That an instruction to DTC with Business Day because the conditions Section 1 of Rule 9(C). respect to an Issuance or Presentment described above for processing of MMI (ii) Rule 9(A) would be amended to shall become effective upon satisfaction Obligations have not been met; add text providing that an instruction to of the provisions described in i. and ii. iii. Remove a reference for a cutoff DTC from a Participant for Delivery immediately above; relating to reversals of MMI Obligations Versus Payment of MMI Securities iv. That DTC shall comply with an since reversals would no longer occur as pursuant to Rule 9(C) shall not be effective instruction; described above; effective unless and until applicable v. That the IPA acknowledges and iv. Define 3 p.m. ET as the cutoff time conditions specified in Rule 9(C) as set agrees that DTC would process for any required MMI Funding forth below have been satisfied. instructions with respect to Issuances Acknowledgements to be received in (iii) Rule 9(B) would be amended to: and Presentments as described above order for DTC to be able to process for a. Eliminate text referencing the and that the IPA’s obligations in this a given Acronym that day; LPNC; regard are irrevocable; and v. Add at cutoff time of 3 p.m. ET for b. Eliminate the provision precluding vi. That if the IPA notifies DTC in an IPA to notify DTC of a Temporary DTC from acting on an instruction for writing of its insolvency, or if DTC Acronym Payment Failure; Delivery of MMI Securities subject of an otherwise has notice, or if the IPA issues vi. Delete a reference to the release of Incomplete Transaction if the a Payment Refusal for the Acronym, LPNC controls as LPNC would no longer instruction involves a Free Delivery, then the IPA would not be required to exist; and Pledge or Release of Securities or a acknowledge its obligations and DTC vii. Clarify that a 3:10 p.m. ET cutoff Delivery, Pledge or Release of Securities would not be required to process any after which CNS transactions that substantially undervalued; and further instructions with respect to the cannot be completed would be dropped c. Add text providing that an applicable Acronym; from the system, also applies to valued instruction to DTC from a Participant for f. Eliminate references to MMI transactions in non-MMI Securities and Delivery Versus Payment of MMI Securities being devalued in the event fully paid for and secondary MMI Securities pursuant to Rule 9(C) shall of an RTP because in the event of any Deliveries or Maturity Presentments; not be effective unless and until the payment failure by the IPA, DTC would f. Add a section describing MMI then revert to the Acronym Payment Processing to include a description of 20 For purposes of RVPNA, MMI Securities are Failure Process described below; and MMI Funding Acknowledgments and considered undervalued if they are Delivered g. Delete a reference indicating that the MMI Optimization process as Versus Payment for less than 10 percent below DTC’s Failure to Settle Procedure described above; market value. g. Revise the section referencing 21 For example, if A Delivers MMI Securities to includes special provisions for MMI B versus payment and B Delivers the same MMI Securities. provisions for ‘‘Issuer Failure Securities to C free of payment (subject to risk (v) The Settlement Guide would be Processing’’ to instead describe management controls), under Rule 9(B), Section 1, amended to: Acronym Payment Failure Processing the Delivery to C is final when the securities are and Temporary Acronym Payment credited to C. DTC would therefore be unable to a. Delete the description of, and all reverse the Delivery to C and thus it cannot reverse references and provisions related to, Failure Process, as these processes are the Delivery from B to A. LPNC; described above, since the contingencies

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for processing a payment failure hinge proposed rule change is consistent with and prevent the possibility that a on the failure of payment on an this provision of the Act because (i) the reversal could override risk controls and Acronym by an IPA regardless of elimination of intra-day reversals of heighten liquidity and settlement risk. whether it is ultimately caused by an processed MMI Obligations would (B) Clearing Agency’s Statement on Issuer insolvency or otherwise; promote the intra-day finality of those Burden on Competition h. Remove a duplicate reference to the MMI Obligations, (ii) the deletion of the DTC contact number for Participants/ LPNC control would make available DTC does not believe that the IPAs to call in the event of an Acronym settlement credits to reduce blockage proposed rule change would have any Payment Failure; from Net Debit Caps, (iii) adverse impact, or impose any burden, i. Remove the description of the implementation of the MMI on competition. Moreover, because the ‘‘MMI IPA MP Pend’’ process which Optimization process would provide proposed rule change improves the was designed to allow IPAs to minimize increased efficiency in testing risk efficiency of intraday processing and the impact of potential reversals of controls in order to facilitate timely settlement finality at DTC, for MMI processed MMI Obligations; as such processing of transactions under the transactions and others, the proposed reversals would no longer occur; and proposal, (iv) elimination of the RVPNA rule change may have a positive effect j. Change the name of the section control would allow intraday processing on competition among DTC named ‘‘Calculating Your Net Debit of Free Deliveries of MMI Securities Participants, including IPAs. Cap’’ to ‘‘Calculation of Participant Net received for value, (v) the proposed Although the proposed rule change Debit Caps’’. updates and revisions to the Processing imposes a new requirement on IPAs, to (vi) The Distributions Guide would be Schedule would accommodate the provide an MMI Funding amended to (i) delete language reflecting processing changes required to Acknowledgment under the proposed that Income Presentments are processed implement the proposal to promote rule, any burden on the IPAs in making at the start-of-day, and (ii) add a brief intra-day finality, and (vi) the proposed these determinations and taking these description of the processing of technical changes to texts of the Rules actions is justified by the elimination of Presentments as proposed above and and Settlement Guide, as described late day reversals, improving settlement provide a cross-reference to the above, would simplify and clarify terms finality for all Participants engaged in Settlement Guide relating to MMI and concepts in the Rules and MMI transactions. Moreover, the change settlement processing. Settlement Guide text for Participants was requested by the IPA community (vii) The proposed rule change would with respect to MMI transaction and DTC believes, based upon also make technical and clarifying processing at DTC. Therefore, as discussion with its IPA Participants, changes to the texts of the Rules and applicable, by (i) promoting intra-day that there is no differential effect among Settlement Guide for consistency finality of MMI transactions, (ii) IPA Participants due to his additional throughout the texts in describing the reducing potential blockages in requirement, thus imposing no burden concepts and terms set forth above, transaction processing, (iii) facilitating on competition. make corrections to grammar and more efficient application of risk The elimination of the LPNC further spacing and edit text to provide for management controls to allow improves efficiency of intraday enhanced readability. processing of pending transactions, (iv) processing at DTC for all transactions, allowing intraday processing of Free including MMI transactions, by Implementation Deliveries of MMI Securities received eliminating liquidity blockages due to The proposed rule change would be for value, (v) updating the Processing the withholding of credits under the implemented in phases whereby Schedule in order to accommodate the LPNC control; this improved efficiency Acronyms would be migrated to be proposed changes that would promote should also foster competition. processed in accordance with the intra-day finality, and (vi) clarifying and (C) Clearing Agency’s Statement on proposed rule change over a period of updating terms and concepts in the Comments on the Proposed Rule five months beginning in November Rules and the Settlement Guide related Change Received From Members, 2016 and with all Acronyms expected to to processing of MMI transactions, the Participants, or Others be implemented by the end of March proposal would promote the prompt 2017, except for the implementation of and accurate clearance and settlement of DTC has not solicited and does not the elimination of the Rule and MMI Securities processed through DTC intend to solicit comments regarding the Settlement Guide provisions relating to consistent with the Act, in particular proposed rule change. DTC has not RVPNA which elimination would not Section 17A(b)(3)(F) cited above. received any unsolicited written occur until all other aspects of the Rule 17Ad–22(d)(12) promulgated comments from interested parties. To proposed rule change are implemented under the Act 23 requires (i) that each the extent DTC receives written with respect to all Acronyms. DTC registered clearing agency shall comments on the proposed rule change, would announce phased establish, implement, maintain and DTC will forward such comments to the implementation dates for proposed rule enforce written policies and procedures Commission. DTC has conducted change via Important Notice upon all reasonably designed to, as applicable, industry outreach with respect to the applicable regulatory approval by ensure that final settlement occurs no proposal including discussion with Commission. later than the end of the settlement day, industry associations and IPAs. and (ii) that intraday or real-time III. Date of Effectiveness of the 2. Statutory Basis finality be provided where necessary to Section 17A(b)(3)(F) of the Act 22 reduce risks. DTC believes that the Proposed Rule Change, and Timing for requires that the rules of the clearing proposed rule change is consistent with Commission Action agency be designed, inter alia, to Rule 17Ad–22(d)(12) because the Within 45 days of the date of promote the prompt and accurate elimination of intraday reversals of MMI publication of this notice in the Federal clearance and settlement of securities transactions would promote settlement Register or within such longer period transactions. DTC believes that the finality of processed MMI Obligations up to 90 days (i) as the Commission may designate if it finds such longer period 22 15 U.S.C. 78q–1(b)(3)(F). 23 17 CFR 240.1717Ad–22(d)(12) to be appropriate and publishes its

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reasons for so finding or (ii) as to which (http://dtcc.com/legal/sec-rule- The text of the proposed rule change the self-regulatory organization filings.aspx). All comments received is available at the Exchange’s Web site consents, the Commission will: will be posted without change; the at www.batstrading.com, at the (A) By order approve or disapprove Commission does not edit personal principal office of the Exchange, and at such proposed rule change, or identifying information from the Commission’s Public Reference (B) institute proceedings to determine submissions. You should submit only Room. whether the proposed rule change information that you wish to make II. Self-Regulatory Organization’s should be disapproved. available publicly. All submissions Statement of the Purpose of, and The proposal shall not take effect should refer to File Number SR–DTC– Statutory Basis for, the Proposed Rule until all regulatory actions required 2016–008 and should be submitted on Change with respect to the proposal are or before November 1, 2016. completed.24 In its filing with the Commission, the For the Commission, by the Division of Exchange included statements IV. Solicitation of Comments Trading and Markets, pursuant to delegated authority.25 concerning the purpose of and basis for Interested persons are invited to Brent J. Fields, the proposed rule change and discussed submit written data, views and any comments it received on the Secretary. arguments concerning the foregoing, proposed rule change. The text of these including whether the proposed rule [FR Doc. 2016–24499 Filed 10–7–16; 8:45 am] statements may be examined at the change is consistent with the Act. BILLING CODE 8011–01–P places specified in Item IV below. The Comments may be submitted by any of Exchange has prepared summaries, set the following methods: SECURITIES AND EXCHANGE forth in Sections A, B, and C below, of Electronic Comments COMMISSION the most significant parts of such statements. • Use the Commission’s Internet [Release No. 34–79039; File No. SR– A. Self-Regulatory Organization’s comment form BatsBZX–2016–62] (http://www.sec.gov/rules/sro.shtml); Statement of the Purpose of, and the or Self-Regulatory Organizations; Bats Statutory Basis for, the Proposed Rule • Send an email to rule-comments@ BZX Exchange, Inc.; Notice of Filing Change sec.gov. Please include File Number SR– and Immediate Effectiveness of a 1. Purpose DTC–2016–008 on the subject line. Proposed Rule Change to Rule 22.3, The Exchange proposes to amend Paper Comments Continuing Options Market Maker Registration Exchange Rule 22.3 to remove • Send paper comments in triplicate subparagraph (c), which currently to Secretary, Securities and Exchange October 4, 2016. requires the Exchange to terminate a Commission, 100 F Street NE., Pursuant to Section 19(b)(1) of the firm’s Options Market Maker Washington, DC 20549. Securities Exchange Act of 1934 registration if it does not enter All submissions should refer to File (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 quotations in an option series in which Number SR–DTC–2016–008. This file notice is hereby given that on it is registered within five business days number should be included on the September 28, 2016, Bats BZX after the Options Market Maker’s subject line if email is used. To help the Exchange, Inc. (‘‘BZX’’ or the registration in the series becomes Commission process and review your ‘‘Exchange’’) filed with the Securities effective. Currently, the Exchange comments more efficiently, please use and Exchange Commission surveils whether a newly registered only one method. The Commission will (‘‘Commission’’) the proposed rule Options Market Maker enters quotations post all comments on the Commission’s change as described in Items I, II, and in the series within five business days Internet Web site (http://www.sec.gov/ III below, which Items have been of registration. If an Options Market rules/sro.shtml). Copies of the prepared by the Exchange. The Maker does not, the Exchange is submission, all subsequent Commission is publishing this notice to required by Exchange Rule 22.3(c) to amendments, all written statements solicit comments on the proposed rule automatically deregister the Options with respect to the proposed rule change from interested persons. Market Maker in that series. The Exchange views Exchange Rule 22.3(c) change that are filed with the I. Self-Regulatory Organization’s Commission, and all written as largely duplicative of other Exchange Statement of the Terms of Substance of Rules and excessively rigid in view of communications relating to the the Proposed Rule Change proposed rule change between the other Exchange Rules that allow the Commission and any person, other than The Exchange filed a proposal to Exchange discretion and flexibility in those that may be withheld from the make a modification to Exchange Rule determining an appropriate remedy. public in accordance with the 22.3, Continuing Options Market Maker Exchange Rule 22.5(a)(6) provides provisions of 5 U.S.C. 552, will be Registration, to remove the provision of that Options Market Makers are available for Web site viewing and the rule that requires termination of a expected to ‘‘maintain active markets’’ printing in the Commission’s Public Member’s Options Market Maker in all series in which they are registered. Reference Room, 100 F Street NE., registration in an option series if the Both Rule 22.3(c) and Rule 22.5(a)(6) Washington, DC 20549 on official Options Market Maker fails to enter impose an obligation upon registered business days between the hours of quotations in the series within five Options Market Maker to maintain 10:00 a.m. and 3:00 p.m. Copies of the business days after the Options Market active markets. The main difference is filing also will be available for Maker’s registration in the series that Exchange Rule 22.3(c) applies only inspection and copying at the principal becomes effective. to the first five days that an Options office of DTC and on DTCC’s Web site Market Maker is registered, whereas 25 17 CFR 200.30–3(a)(12). Exchange Rule 22.5(a)(6) applies during 24 See supra note 3 (regarding filing of related 1 15 U.S.C. 78s(b)(1). the first five days and continues for as advance notice). 2 17 CFR 240.19b–4. long as the Options Market Maker is

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registered in a series. The Exchange circumstances of each case in enforcing in Exchange Rule 22.2(b) and Exchange believes that there is no benefit to the rule. While as a general matter an Rule 22.5(c). imposing stricter quoting obligations on Options Market Maker should enter 2. Statutory Basis a newly registered Options Market quotations in a series in which it is Maker than those imposed on existing registered as soon as practicable, The Exchange believes that its registered Options Market Makers. experience has shown that many factors proposal is consistent with the Instead, in the Exchange’s view, the can affect when a newly registered requirements of the Act and the rules requirement to maintain active markets Options Market Maker will be in a and regulations thereunder that are should be the same from when an position to begin entering quotations. applicable to a national securities Options Market Maker first registers as Further, as discussed above [sic], exchange, and, in particular, with the any time after registration. Exchange Rule 22.6(d) contemplates requirements of Section 6(b) of the Act.6 The Exchange notes that it will certain acceptable periods of inactivity. In particular, the proposal is continue to be permitted to deregister a Just as the Exchange is provided consistent with Section 6(b)(1) 7 in that registered Options Market Maker under discretion to enforce all Options Market it enables the Exchange to be so Exchange Rule 22.2(b) if it is found that Maker obligations under Exchange Rule organized as to have the capacity to be the Options Market Maker has failed in 22.2(b), the Exchange believes that it able to carry out the purposes of the its obligation to maintain active markets should be afforded the same discretion Exchange Act and to comply, and to under Exchange Rule 22.5(a)(6) or fails to evaluate the facts and circumstances enforce compliance by its exchange its obligation to provide continuous of each case in which an Options 3 members and persons associated with two-sided quotes under Rule 22.6(d). Market Maker is not active in a series its exchange members, with the Removing Exchange Rule 22.3(c) would within the first five days of registration provisions of the Exchange Act, the simply remove the non-discretionary and determine the appropriate remedy. rules and regulations thereunder, and requirement that the Exchange must Finally, other national options the rules of the Exchange. The proposal deregister an Options Market Maker’s exchanges do not require automatic allows the Exchange the discretion so registration in a series if it does not deregistration of a registered Options that it may appropriately and equitably enter quotations in the series within five Market Maker from an options series enforce compliance by its members with business days of registration. when the Options Market Maker fails to The Exchange currently conducts the rules of the Exchange—in particular, submit a quote within the first five days surveillance to monitor and enforce the Exchange’s Options Market Maker of registration. Other exchanges allow compliance with the ‘‘active markets’’ obligations. considerably more discretion in provision of Exchange Rule 22.5(a)(6) Additionally, the proposal is determining the appropriate remedy for for all Options Market Makers. A consistent with Section 6(b)(5) of the a registered Options Market Maker that 8 registered Options Market Maker is Act because it is designed to prevent fails its quoting obligations. For subject to the Exchange Rule 22.5(a)(6) fraudulent and manipulative acts and example, neither the Chicago Board surveillance for the entire time the practices, to promote just and equitable Options Exchange (‘‘CBOE’’), nor the Options Market Maker is registered, principles of trade, to foster cooperation Miami International Securities including the first five days covered by and coordination with persons engaged Exchange Rule 22.3(c). If a registered Exchange (‘‘MIAX’’), nor NYSE Arca, in facilitating transactions in securities, Options Market Maker is found by Inc. Options (‘‘NYSE Arca’’), has a to remove impediments to, and perfect surveillance not to be maintaining requirement to automatically deregister the mechanism of, a free and open active markets in the option series in an options market maker if it fails in its market and a national market system which it is registered, the Exchange will quoting or other obligations within five and, in general, to protect investors and determine the appropriate course of days of registration. Instead, each of the the public interest. The proposed action against such Options Market above exchanges appears to rely on a amendment to remove Exchange Rule Maker. The Exchange may take actions rule substantively identical to Exchange 22.3(c) will permit the Exchange to of escalating severity against the Rule 22.2(b) that gives the respective consider all facts and circumstances in offending Options Market Maker from exchange discretion as to the instances where it appears that a an informal warning up to deregistering appropriate remedy for Options Market registered Options Market Maker does the Options Market Maker in the Makers that do not meet their not meet its obligations and to exercise 5 options in which it fails to maintain obligations. discretion in applying the appropriate active markets or bringing formal The Exchange, therefore, proposes to remedy for such failure. action.4 The Exchange has found that amend Exchange Rule 22.3 to remove subparagraph (c) and to enforce its B. Self-Regulatory Organization’s this discretion has allowed for effective Statement on Burden on Competition enforcement of Options Market Maker Options Market Maker ‘‘active market’’ obligations while allowing the Exchange obligations with the remedies permitted The Exchange does not believe that to consider the facts and circumstances the proposed rule change will impose of each case in determining the 5 See CBOE Rule 8.2(b) (‘‘The registration of a any burden on competition that is not appropriate remedy. Market-Maker may be suspended or terminated by necessary or appropriate in furtherance the Exchange upon a determination that the Market- On the other hand, current Exchange Maker has failed to properly perform as a Market- of the purposes of the Act. The Rule 22.3(c) is non-discretionary and its Maker.’’); MIAX Rule 600(c) (‘‘The registration of proposed rule change does not enforcement can lead to potentially any Member as a Lead Market Maker, Primary Lead introduce any burden on competition, arbitrary results, as it does not permit Market Maker, or as a Registered Market Maker may but rather, removes the automatic the Exchange to consider the facts and be suspended or terminated by the Exchange upon a determination that such Member has failed to deregistration requirement of Exchange properly perform as a Market Maker’’); NYSE Arca Rule 22.3(c) to allow the Exchange to 3 See Exchange Rule 22.2(b) (‘‘The registration of Options Rule 6.33 (‘‘The registration of any person apply the obligation to maintain active any Member as a Market Maker may be suspended as a Market Maker may be suspended or terminated or terminated by the Exchange upon a by the Exchange upon a determination of any determination that such Member has failed to substantial or continued failure by such Market 6 15 U.S.C. 78f(b). properly perform as a Market Maker.’’). Maker to engage in dealings in accordance with 7 15 U.S.C. 78f(b)(1). 4 See Exchange Rules 22.2(b) and 22.5(c). [Market Maker Obligations].’’). 8 15 U.S.C. 78f(b)(5).

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markets to all registered Options Market • Send an email to rule-comments@ SECURITIES AND EXCHANGE Makers equally. sec.gov. Please include File Number SR– COMMISSION BatsBZX–2016–62 on the subject line. C. Self-Regulatory Organization’s [Release No. 34–79035; File No. SR– Statement on Comments on the Paper Comments NASDAQ–2016–124] Proposed Rule Change Received From Members, Participants, or Others • Send paper comments in triplicate Self-Regulatory Organizations; The to Brent J. Fields, Secretary, Securities NASDAQ Stock Market LLC; Notice of The Exchange has not solicited, and Filing and Immediate Effectiveness of does not intend to solicit, comments on and Exchange Commission, 100 F Street NE., Washington, DC 20549–1090. Proposed Rule Change To Amend this proposed rule change. The Nasdaq Rule 7046 Exchange has not received any written All submissions should refer to File comments from members or other Number SR–BatsBZX–2016–62. This file October 4, 2016. interested parties. number should be included on the Pursuant to Section 19(b)(1) of the subject line if email is used. To help the Securities Exchange Act of 1934 III. Date of Effectiveness of the (‘‘Act’’),1 and Rule 19b–4 thereunder,2 Commission process and review your Proposed Rule Change and Timing for notice is hereby given that, on comments more efficiently, please use Commission Action September 23, 2016, The NASDAQ Because the foregoing proposed rule only one method. The Commission will Stock Market LLC (‘‘Nasdaq’’ or change does not: (A) Significantly affect post all comments on the Commission’s ‘‘Exchange’’) filed with the Securities the protection of investors or the public Internet Web site (http://www.sec.gov/ and Exchange Commission (‘‘SEC’’ or interest; (B) impose any significant rules/sro.shtml). Copies of the ‘‘Commission’’) the proposed rule burden on competition; and (C) by its submission, all subsequent change as described in Items I, II, and terms, become operative for 30 days amendments, all written statements III below, which Items have been from the date on which it was filed or with respect to the proposed rule prepared by the Exchange. The such shorter time as the Commission change that are filed with the Commission is publishing this notice to may designate it has become effective Commission, and all written solicit comments on the proposed rule pursuant to Section 19(b)(3)(A) of the communications relating to the change from interested persons. 9 Act and paragraph (f)(6) of Rule 19b– proposed rule change between the I. Self-Regulatory Organization’s 10 4 thereunder, the Exchange has Commission and any person, other than Statement of the Terms of Substance of designated this rule filing as non- those that may be withheld from the the Proposed Rule Change controversial. The Exchange has given public in accordance with the the Commission written notice of its provisions of 5 U.S.C. 552, will be Nasdaq is proposing to amend proposed [sic] Nasdaq Rule 7046 intent to file the proposed rule change, available for Web site viewing and (Nasdaq Trading Insights) by adding the along with a brief description and text printing in the Commission’s Public corresponding fee for the optional of the proposed rule change at least five Reference Room, 100 F Street NE., business days prior to the date of filing Nasdaq Trading Insights product. Washington, DC 20549 on official The text of the proposed rule change of the proposed rule change, or such business days between the hours of shorter time as designated by the is available at 10:00 a.m. and 3:00 p.m. Copies of such nasdaq.cchwallstreet.com, at Nasdaq’s Commission. filing also will be available for At any time within 60 days of the principal office, and at the inspection and copying at the principal filing of the proposed rule change, the Commission’s Public Reference Room. office of the Exchange. All comments Commission summarily may II. Self-Regulatory Organization’s received will be posted without change; temporarily suspend such rule change if Statement of the Purpose of, and the Commission does not edit personal it appears to the Commission that such Statutory Basis for, the Proposed Rule action is: (1) Necessary or appropriate in identifying information from Change submissions. You should submit only the public interest; (2) for the protection In its filing with the Commission, of investors; or (3) otherwise in information that you wish to make available publicly. All submissions Nasdaq included statements concerning furtherance of the purposes of the Act. the purpose of, and basis for, the If the Commission takes such action, the should refer to File Number SR– BatsBZX–2016–62, and should be proposed rule change and discussed any Commission shall institute proceedings comments it received on the proposed submitted on or before November 1, to determine whether the proposed rule rule change. The text of those 2016. should be approved or disapproved. statements may be examined at the IV. Solicitation of Comments For the Commission, by the Division of places specified in Item IV below. The Trading and Markets, pursuant to delegated Exchange has prepared summaries, set Interested persons are invited to authority.11 submit written data, views, and forth in sections A, B, and C below, of arguments concerning the foregoing, Robert W. Errett, the most significant parts of such including whether the proposed rule Deputy Secretary. statements. change is consistent with the Act. [FR Doc. 2016–24424 Filed 10–7–16; 8:45 am] A. Self-Regulatory Organization’s Comments may be submitted by any of BILLING CODE 8011–01–P Statement of the Purpose of, and the following methods: Statutory Basis for, the Proposed Rule Change Electronic Comments • Use the Commission’s Internet 1. Purpose comment form (http://www.sec.gov/ The Exchange proposes to amend rules/sro.shtml); or Nasdaq Rule 7046 (Nasdaq Trading

9 15 U.S.C. 78s(b)(3)(A). 1 15 U.S.C. 78s(b)(1). 10 17 CFR 240.19b–4. 11 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4.

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Insights) by adding the corresponding believed that this authority would receiving access to the Nasdaq Trading fees for the optional Nasdaq Trading expand the amount of data available to Insights product for 26 ports is $3,500. Insights product.3 As discussed in the consumers, and also spur innovation The range of fee options further ensures NTI Filing, the Nasdaq Trading Insights and competition for the provision of that subscribers are not charged a fee product is a single optional market data market data. Nasdaq believes that its that is inequitably disproportionate to service comprised of four market data Nasdaq Trading Insights market data the use that they make of the product. components: (a) Missed Opportunity— product is precisely the sort of market Additionally, the 14-day trial offer Liquidity; (b) Missed Opportunity— data product that the Commission provides a potential subscriber an Latency; (c) Peer Benchmarking; and (d) envisioned when it adopted Regulation opportunity to try the product before Liquidity Dynamics Analysis. NMS. The Commission concluded that signing on to receive it for a fee. Upon request by a potential Regulation NMS—by deregulating the The proposal would not permit unfair subscribing firm, Nasdaq will provide market in proprietary data—would itself discrimination because the Nasdaq the Nasdaq Trading Insights product for further the Act’s goals of facilitating Trading Insights product will be a 14-day period at no charge. This efficiency and competition: available to all interested market participants opting to subscribe, waiver may be provided only once per [E]fficiency is promoted when broker- firm. A firm will be charged the dealers who do not need the data beyond the regardless of whether they take monthly fee rate listed in Nasdaq Rule prices, sizes, market center identifications of advantage of the 14-day trial offer, and 7046(b)(2) if it does not cancel by the the NBBO and consolidated last sale will help to protect a free and open conclusion of the trial offer and the fee information are not required to receive (and market by continuing to provide will not be pro-rated. pay for) such data. The Commission also additional non-core data (offered on an The monthly fee rates set forth in believes that efficiency is promoted when optional basis for a fee) to the Nasdaq Rule 7046(b), as well as in the broker-dealers may choose to receive (and marketplace and by providing investors pay for) additional market data based on their with greater choices.8 chart below, will apply to a firm that own internal analysis of the need for such subscribes to the Nasdaq Trading data.7 B. Self-Regulatory Organization’s Insights product. The monthly fee will Statement on Burden on Competition be based on the number of ports the firm By removing unnecessary regulatory is subscribing to within the Nasdaq restrictions on the ability of exchanges The Exchange does not believe that Trading Insights product and in no case to sell their own data, Regulation NMS the proposed rule change will impose will the Nasdaq Trading Insights fees be advanced the goals of the Act and the any burden on competition not pro-rated. The fees for the Nasdaq principles reflected in its legislative necessary or appropriate in furtherance Trading Insights product will be in history. If the free market should of the purposes of the Act. The accordance with the following table. determine whether proprietary data is proposed fee structure is designed to sold to BDs at all, it follows that the ensure a fair and reasonable use of Number of Monthly price at which such data is sold should Exchange resources by allowing the Tiers ports charges be set by the market as well. Exchange to recoup costs while Moreover, fee liable data products continuing to offer its data products at Tier 1 ...... 1–5 $1,500 such as the Nasdaq Trading Insights competitive rates to firms. Tier 2 ...... 6–15 2,000 product are a means by which The market for data products is Tier 3 ...... 16–25 2,500 exchanges compete to attract order flow, extremely competitive and firms may Tier 4 ...... 26+ 3,500 and this proposal simply adds the freely choose alternative venues and relevant fee structure into an Exchange data vendors based on the aggregate fees 2. Statutory Basis rule. To the extent that exchanges are assessed, the data offered, and the value The Exchange believes that the successful in such competition, they provided. The Nasdaq Trading Insights proposed rule change is consistent with earn trading revenues and also enhance product is part of the existing market for the provisions of Section 6 of the Act,4 the value of their data products by proprietary market data products that is in general, and with Sections 6(b)(4) and increasing the amount of data they are currently competitive and inherently (5) of the Act,5 in particular, in that it able to provide. Conversely, to the contestable because there is fierce provides for the equitable allocation of extent that exchanges are unsuccessful, competition for the inputs necessary to reasonable dues, fees, and other charges the inputs needed to add value to data the creation of proprietary data and among its members, issuers and other products are diminished. Accordingly, strict pricing discipline for the persons using its facilities, and does not the need to compete for order flow proprietary products themselves. unfairly discriminate between places substantial pressure upon Numerous exchanges compete with customers, issuers, brokers or dealers. exchanges to keep their fees for both each other for listings, trades, and In adopting Regulation NMS,6 the executions and data reasonable. market data itself, providing virtually Commission granted SROs and broker- The fee structure for the Nasdaq limitless opportunities for entrepreneurs dealers (‘‘BDs’’) increased authority and Trading Insights product, including the who wish to produce and distribute flexibility to offer new and unique 14-day trial offer, also reflects an their own market data. This proprietary market data to the public. It was equitable allocation and will not be data is produced by each individual unfairly discriminatory because it is a exchange, as well as other entities, in a 3 This filing is referenced in the recently voluntary product designed to ensure vigorously competitive market. approved Nasdaq Trading Insights filing (the ‘‘NTI that the amount of the charge is tailored Filing’’) that proposed Nasdaq Rule 7046 (Nasdaq to the specific port usage patterns of the 8 See Sec. Indus. Fin. Mkts. Ass’n (SIFMA), Initial Trading Insights) to the Exchange rule book. See Decision Release No. 1015, 2016 SEC LEXIS 2278 Securities Exchange Act Release No. 78886 (Sept. subscriber. Thus, for example, a (ALJ June 1, 2016) (finding the existence of vigorous 20, 2016) (SR–NASDAQ–2016–101) (order granting subscriber’s monthly charge for competition with respect to non-core market data). approval). receiving access to the Nasdaq Trading See also the decision of the United States Court of 4 15 U.S.C. 78f. Insights product for five ports is $1,500, Appeals for the District of Columbia Circuit in 5 15 U.S.C. 78f(b)(4) and (5). NetCoalition v. SEC, 615 F.3d 525 (D.C. Cir. 2010) 6 See Securities Exchange Act Release No. 51808 while a subscriber’s monthly charge for (‘‘NetCoalition I’’) (upholding the Commission’s (June 9, 2005), 70 FR 37496 (June 29, 2005) reliance upon competitive markets to set reasonable (‘‘Regulation NMS Adopting Release’’). 7 Id. and equitably allocated fees for market data).

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Transaction execution and proprietary to defray its platform costs of providing The proposed charges for the Nasdaq data products are complementary in that the joint products. Trading Insights product are designed to market data is both an input and a Competition among trading platforms ensure a fair and reasonable use of byproduct of the execution service. In can be expected to constrain the Exchange resources by allowing the fact, market data and trade execution are aggregate return each platform earns Exchange to recoup costs and ease a paradigmatic example of joint from the sale of its joint products, but administrative burden while continuing products with joint costs. The decision different platforms may choose from a to offer its data products at competitive whether and on which platform to post range of possible, and equally rates to firms. reasonable, pricing strategies as the an order will depend on the attributes C. Self-Regulatory Organization’s means of recovering total costs. Nasdaq of the platform where the order can be Statement on Comments on the pays rebates and credits to attract posted, including the execution fees, Proposed Rule Change Received From orders, charges relatively low prices for data quality and price, and distribution Members, Participants, or Others of its data products. Without trade market information and charges executions, exchange data products relatively high prices for accessing Written comments were neither cannot exist. Moreover, data products posted liquidity. Other platforms may solicited nor received. are valuable to many end users only choose a strategy of paying lower III. Date of Effectiveness of the insofar as they provide information that liquidity rebates to attract orders, setting Proposed Rule Change and Timing for end users expect will assist them or relatively low prices for accessing Commission Action their customers in making trading posted liquidity, and setting relatively The foregoing change has become decisions. high prices for market information. Still others may provide most data free of effective pursuant to Section The costs of producing market data 11 charge and rely exclusively on 19(b)(3)(A)(ii) of the Act. include not only the costs of the data transaction fees to recover their costs. At any time within 60 days of the distribution infrastructure, but also the Finally, some platforms may incentivize filing of the proposed rule change, the costs of designing, maintaining, and use by providing opportunities for Commission summarily may operating the exchange’s transaction equity ownership, which may allow temporarily suspend such rule change if execution platform and the cost of them to charge lower direct fees for it appears to the Commission that such regulating the exchange to ensure its fair executions and data. action is necessary or appropriate in the operation and maintain investor public interest, for the protection of In this environment, there is no confidence. The total return that a investors, or otherwise in furtherance of economic basis for regulating maximum trading platform earns reflects the the purposes of the Act. prices for one of the joint products in an revenues it receives from both products industry in which suppliers face IV. Solicitation of Comments and the joint costs it incurs. Moreover, competitive constraints with regard to the operation of the exchange is Interested persons are invited to the joint offering. Such regulation is characterized by high fixed costs and submit written data, views, and unnecessary because an ‘‘excessive’’ low marginal costs. This cost structure arguments concerning the foregoing, price for one of the joint products will is common in content and content including whether the proposed rule ultimately have to be reflected in lower change is consistent with the Act. distribution industries such as software, prices for other products sold by the where developing new software Comments may be submitted by any of firm, or otherwise the firm will the following methods: typically requires a large initial experience a loss in the volume of its investment (and continuing large sales that will be adverse to its overall Electronic Comments investments to upgrade the software), profitability. In other words, an increase • but once the software is developed, the Use the Commission’s Internet in the price of data will ultimately have comment form (http://www.sec.gov/ incremental cost of providing that to be accompanied by a decrease in the software to an additional user is rules/sro.shtml); or cost of executions, or the volume of both • Send an email to rule-comments@ typically small, or even zero (e.g., if the data and executions will fall.10 sec.gov. Please include File Number SR– software can be downloaded over the NASDAQ–2016–124 on the subject line. internet after being purchased).9 In 10 Moreover, the level of competition and Nasdaq’s case, it is costly to build and contestability in the market is evident in the Paper Comments maintain a trading platform, but the numerous alternative venues that compete for order • Send paper comments in triplicate incremental cost of trading each flow, including eleven SRO markets, as well as internalizing BDs and various forms of alternative to Brent J. Fields, Secretary, Securities additional share on an existing platform, trading systems (‘‘ATSs’’), including dark pools and and Exchange Commission, 100 F Street or distributing an additional instance of electronic communication networks (‘‘ECNs’’). Each NE., Washington, DC 20549–1090. data, is very low. Market information SRO market competes to produce transaction All submissions should refer to File and executions are each produced reports via trade executions, and two FINRA- regulated TRFs compete to attract internalized Number SR–NASDAQ–2016–124. This jointly (in the sense that the activities of transaction reports. It is common for BDs to further file number should be included on the trading and placing orders are the and exploit this competition by sending their order subject line if email is used. To help the source of the information that is flow and transaction reports to multiple markets, Commission process and review your distributed) and are each subject to rather than providing them all to a single market. Competitive markets for order flow, executions, and comments more efficiently, please use significant scale economies. In such transaction reports provide pricing discipline for only one method. The Commission will cases, marginal cost pricing is not the inputs of proprietary data products. The large post all comments on the Commission’s feasible because if all sales were priced number of SROs, TRFs, BDs, and ATSs that Internet Web site (http://www.sec.gov/ at the margin, Nasdaq would be unable currently produce proprietary data or are currently capable of producing it provides further pricing rules/sro.shtml). Copies of the discipline for proprietary data products. Each SRO, submission, all subsequent 9 See William J. Baumol and Daniel G. Swanson, TRF, ATS, and BD is currently permitted to amendments, all written statements ‘‘The New Economy and Ubiquitous Competitive produce proprietary data products, and many Price Discrimination: Identifying Defensible Criteria currently do or have announced plans to do so, with respect to the proposed rule of Market Power,’’ Antitrust Law Journal, Vol. 70, including Nasdaq, NYSE, NYSE MKT, NYSE Arca, No. 3 (2003). and BATS/Direct Edge. 11 15 U.S.C. 78s(b)(3)(A)(ii).

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change that are filed with the Secured Income Fund 3, LLC (‘‘TSIF meaning of section 2(a)(48) of the Act.2 Commission, and all written 3’’), Terra Secured Income Fund 4, LLC Terra 6 is a specialty finance company communications relating to the (‘‘TSIF 4’’), Terra Secured Income Fund formed to invest primarily in proposed rule change between the 5, LLC (‘‘TSIF 5’’), Terra Property Trust, commercial real estate loans to, and Commission and any person, other than Inc. (‘‘Terra REIT’’), Terra Secured preferred equity investments in, U.S. those that may be withheld from the Income Fund 5 International (‘‘Terra companies qualifying as ‘‘eligible public in accordance with the International’’), and Terra Income portfolio companies’’ under the Act. provisions of 5 U.S.C. 552, will be Advisors, LLC (‘‘Terra Income Terra 6 may also purchase other select available for Web site viewing and Advisors’’), on behalf of itself and its commercial real estate-related debt printing in the Commission’s Public successors.1 securities of private companies. Terra Reference Room, 100 F Street NE., FILING DATES: The application was filed 6’s Objectives and Strategies 3 are to pay Washington, DC 20549 on official on April 29, 2015 and amended on attractive and stable cash distributions business days between the hours of November 3, 2015, May 11, 2016 and and to preserve, protect and return 10:00 a.m. and 3:00 p.m. Copies of such September 14, 2016. capital contributions to stockholders. filing also will be available for HEARING OR NOTIFICATION OF HEARING: An The board of directors (‘‘Board’’) of inspection and copying at the principal order granting the requested relief will Terra 6 is comprised of five directors, office of the Exchange. All comments be issued unless the Commission orders three of whom are not ‘‘interested received will be posted without change; a hearing. Interested persons may persons,’’ within the meaning of section the Commission does not edit personal request a hearing by writing to the 2(a)(19) of the Act (the ‘‘Non-Interested identifying information from Commission’s Secretary and serving Directors’’), of Terra 6. submissions. You should submit only applicants with a copy of the request, 2. Each of TSIF, TSIF 2, TSIF 3, TSIF information that you wish to make personally or by mail. Hearing requests 4 and TSIF 5 is organized as a Delaware available publicly. All submissions should be received by the Commission limited liability company and would be should refer to File Number SR– by 5:30 p.m. on October 31, 2016, and an investment company but for section NASDAQ–2016–124, and should be should be accompanied by proof of 3(c)(5)(C) of the Act. Each of TSIF, TSIF submitted on or before November 1, service on applicants, in the form of an 2, TSIF 3, TSIF 4 and TSIF 5 was 2016. affidavit or, for lawyers, a certificate of formed to originate, fund, acquire and For the Commission, by the Division of service. Pursuant to rule 0–5 under the structure real estate-related loans, Trading and Markets, pursuant to delegated Act, hearing requests should state the including mezzanine loans, first and authority.12 nature of the writer’s interest, any facts second mortgage loans, subordinated Robert W. Errett, bearing upon the desirability of a mortgage loans, bridge loans, preferred Deputy Secretary. hearing on the matter, the reason for the equity investments and other loans related to high quality commercial real [FR Doc. 2016–24420 Filed 10–7–16; 8:45 am] request, and the issues contested. estate in the United States. TSIF, TSIF BILLING CODE 8011–01–P Persons who wish to be notified of a hearing may request notification by 2, TSIF 3 and TSIF 4 currently exist as writing to the Commission’s Secretary. wholly-owned subsidiaries of TSIF 5. 3. Terra REIT is a Maryland SECURITIES AND EXCHANGE ADDRESSES: Brent J. Fields, Secretary, COMMISSION corporation that intends to qualify to be U.S. Securities and Exchange taxed as a REIT and would be an [Release No. IC–32303; File No. 812–14452] Commission, 100 F St. NE., Washington, investment company but for section DC 20549–1090. Applicants: Bruce D. 3(c)(5)(C) of the Act. Terra REIT exists Terra Income Fund 6, Inc., et al.; Notice Batkin, 805 Third Avenue, 8th Floor, as a wholly-owned subsidiary of TSIF 5 of Application New York, NY 10022. and holds the portfolio assets of each of October 4, 2016. FOR FURTHER INFORMATION CONTACT: Kay- TSIF, TSIF 2, TSIF 3, TSIF 4 and TSIF AGENCY: Securities and Exchange Mario Vobis, Senior Counsel, at (202) 5. Commission (‘‘Commission’’). 551–6728, or Mary Kay Frech, Branch 4. Terra International is a Cayman Chief, at (202) 551–6821 (Chief ACTION: Notice of application for an Islands exempted company and would Counsel’s Office, Division of Investment order under sections 17(d) and 57(i) of be an investment company but for Management). the Investment Company Act of 1940 section 3(c)(1) of the Act. Terra (the ‘‘Act’’) and rule 17d–1 under the SUPPLEMENTARY INFORMATION: The International was formed to acquire real Act permitting certain joint transactions following is a summary of the estate-related loans, including otherwise prohibited by sections 17(d) application. The complete application mezzanine loans, first and second and 57(a)(4) of the Act and rule 17d–1 may be obtained via the Commission’s mortgage loans, subordinated mortgage under the Act. Web site by searching for the file loans, bridge loans and other loans number, or for an applicant using the SUMMARY OF APPLICATION: Applicants Company name box, at http:// 2 Section 2(a)(48) defines a BDC to be any closed- request an order to permit a business www.sec.gov/search/search.htm or by end investment company that operates for the calling (202) 551–8090. purpose of making investments in securities development company (‘‘BDC’’) and described in section 55(a)(1) through 55(a)(3) of the certain closed-end investment Applicants’ Representations Act and makes available significant managerial companies to co-invest in portfolio assistance with respect to the issuers of such companies with each other and with 1. Terra 6 is a Maryland corporation securities. affiliated investment funds. organized as a closed-end management 3 ‘‘Objectives and Strategies’’ means, with respect investment company that has elected to to a Regulated Fund (defined below), the APPLICANTS: Terra Income Fund 6, Inc. investment objectives and strategies, as described in (‘‘Terra 6’’), Terra Secured Income be regulated as a BDC within the the Regulated Fund’s registration statement on Fund, LLC (‘‘TSIF’’), Terra Secured Form N–2, other filings the Regulated Fund has 1 The term ‘‘successor’’ means an entity that made with the Commission under the Securities Income Fund 2, LLC (‘‘TSIF 2’’), Terra results from a reorganization into another Act of 1933 (the ‘‘Securities Act’’), or under the jurisdiction or change in the type of business Securities Exchange Act of 1934, and the Regulated 12 17 CFR 200.30–3(a)(12). organization. Fund’s reports to shareholders.

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related to high quality commercial real more other Regulated Funds without investment positions, capital available estate in the United States. obtaining and relying on the Order.7 for investment, and other pertinent 7. Applicants state that a Regulated 5. Terra Income Advisors, a Delaware factors applicable to that Regulated Fund may, from time to time, form one limited liability company, is registered Fund. The Regulated Funds’ Advisers or more Wholly-Owned Investment expect that any portfolio company that with the Commission as an investment Subs.8 Such a subsidiary would be is an appropriate investment for a adviser under the Investment Advisers prohibited from investing in a Co- Regulated Fund should also be an Act of 1940 (the ‘‘Advisers Act’’) and Investment Transaction with any appropriate investment for one or more serves as investment adviser to Terra 6 Affiliated Fund or Regulated Fund other Regulated Funds and/or one or and Terra International, as well as TSIF because it would be a company more Affiliated Funds, with certain 5 and its wholly-owned subsidiaries controlled by its parent Regulated Fund exceptions based on available capital or TSIF, TSIF 2, TSIF 3, TSIF 4, and Terra for purposes of section 57(a)(4) and rule diversification.9 REIT. 17d–1. Applicants request that each 9. Other than pro rata dispositions 6. Applicants seek an order (‘‘Order’’) Wholly-Owned Investment Sub be and Follow-On Investments as provided to permit one or more Regulated Funds 4 permitted to participate in Co- in conditions 7 and 8, and after making and/or one or more Affiliated Funds 5 to Investment Transactions in lieu of its the determinations required in participate in the same investment parent Regulated Fund and that the conditions 1 and 2(a), the Adviser will opportunities through a proposed co- Wholly-Owned Investment Sub’s present each Potential Co-Investment investment program (the ‘‘Co- participation in any such transaction be Transaction and the proposed allocation Investment Program’’) where such treated, for purposes of the requested to the directors of the Board eligible to participation would otherwise be Order, as though the parent Regulated vote under section 57(o) of the Act Fund were participating directly. (‘‘Eligible Directors’’), and the ‘‘required prohibited under section 57(a)(4) and Applicants represent that this treatment majority,’’ as defined in section 57(o) of rule 17d–1 by (a) co-investing with each is justified because a Wholly-Owned the Act (‘‘Required Majority’’) 10 will other in securities issued by issuers in Investment Sub would have no purpose approve each Co-Investment private placement transactions in which other than serving as a holding vehicle Transaction prior to any investment by an Adviser negotiates terms in addition for the Regulated Fund’s investments the participating Regulated Fund. 6 to price; and (b) making additional and, therefore, no conflicts of interest 10. With respect to the pro rata investments in securities of such could arise between the Regulated Fund dispositions and Follow-On Investments issuers, including through the exercise and the Wholly-Owned Investment Sub. provided in conditions 7 and 8, a of warrants, conversion privileges, and The Regulated Fund’s Board would Regulated Fund may participate in a pro other rights to purchase securities of the make all relevant determinations under rata disposition or Follow-On issuers (‘‘Follow-On Investments’’). ‘‘Co- the conditions with regard to a Wholly- Investment without obtaining prior Investment Transaction’’ means any Owned Investment Sub’s participation approval of the Required Majority if, transaction in which a Regulated Fund in a Co-Investment Transaction, and the among other things: (i) The proposed (or its Wholly-Owned Investment Sub) Regulated Fund’s Board would be participation of each Regulated Fund participated together with one or more informed of, and take into and Affiliated Fund in such disposition other Regulated Funds and/or one or consideration, any proposed use of a is proportionate to its outstanding more Affiliated Funds in reliance on the Wholly-Owned Investment Sub in the investments in the issuer immediately requested Order. ‘‘Potential Co- Regulated Fund’s place. If the Regulated preceding the disposition or Follow-On Investment Transaction’’ means any Fund proposes to participate in the Investment, as the case may be; and (ii) investment opportunity in which a same Co-Investment Transaction with the Board of the Regulated Fund has Regulated Fund (or its Wholly-Owned any of its Wholly-Owned Investment approved that Regulated Fund’s Investment Sub, as defined below) Subs, the Board will also be informed participation in pro rata dispositions could not participate together with one of, and take into consideration, the and Follow-On Investments as being in or more Affiliated Funds and/or one or relative participation of the Regulated the best interests of the Regulated Fund. Fund and the Wholly-Owned If the Board does not so approve, any 4 ‘‘Regulated Fund’’ means Terra 6 and any Investment Sub. such disposition or Follow-On Future Regulated Fund. ‘‘Future Regulated Fund’’ 8. When considering Potential Co- Investment will be submitted to the means any closed-end management investment Investment Transactions for any Regulated Fund’s Eligible Directors. The company (a) that is registered under the Act or has Regulated Fund, the applicable Adviser Board of any Regulated Fund may at any elected to be regulated as a BDC, (b) whose will consider only the Objectives and investment adviser is an Adviser, and (c) that time rescind, suspend or qualify its intends to participate in the Co-Investment Strategies, investment policies, approval of pro rata dispositions and Program. The term ‘‘Adviser’’ means Terra Income Follow-On Investments with the result Advisors and/or any future investment adviser that 7 All existing entities that currently intend to rely that all dispositions and/or Follow-On controls, is controlled by or is under common upon the requested Order have been named as Investments must be submitted to the control with Terra Income Advisors and is applicants. Any other existing or future entity that registered as an investment adviser under the subsequently relies on the Order will comply with Eligible Directors. Advisers Act. the terms and conditions of the application. 11. No Non-Interested Director of a 5 Terra International together with TSIF, TSIF 2, 8 The term ‘‘Wholly-Owned Investment Sub’’ Regulated Fund will have a financial TSIF 3, TSIF 4, TSIF 5, Terra REIT and any Future means an entity (i) that is wholly-owned by a interest in any Co-Investment Affiliated Funds are the ‘‘Affiliated Funds.’’ Regulated Fund (with the Regulated Fund at all Transaction, other than through share ‘‘Future Affiliated Fund’’ means any entity (a) times holding, beneficially and of record, 100% of whose investment adviser is an Adviser, (b) that the voting and economic interests); (ii) whose sole would be an investment company but for sections business purpose is to hold one or more 9 The Regulated Funds, however, will not be 3(c)(1), 3(c)(5)(C), or 3(c)(7) of the Act, and (c) that investments on behalf of the Regulated Fund; (iii) obligated to invest, or co-invest, when investment intends to participate in the Co-Investment with respect to which the Regulated Fund’s Board opportunities are referred to them. Program. has the sole authority to make all determinations 10 In the case of a Regulated Fund that is a 6 The term ‘‘private placement transactions’’ with respect to the entity’s participation under the registered closed-end fund, the Board members that means transactions in which the offer and sale of conditions of the application; and (iv) that would make up the Required Majority will be determined securities by the issuer are exempt from registration be an investment company but for sections 3(c)(1), as if the Regulated Fund were a BDC subject to under the Securities Act. 3(c)(5)(C), or 3(c)(7) of the Act. section 57(o).

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ownership in one of the Regulated the Commission has granted an order Eligible Directors of each participating Funds. permitting such transactions. In passing Regulated Fund with information 12. Applicants also represent that if upon applications under rule 17d–1, the concerning each participating party’s an Adviser or its principals, or any Commission considers whether the available capital to assist the Eligible person controlling, controlled by, or company’s participation in the joint Directors with their review of the under common control with an Adviser transaction is consistent with the Regulated Fund’s investments for or its principals, and the Affiliated provisions, policies, and purposes of the compliance with these allocation Funds (collectively, the ‘‘Holders’’) own Act and the extent to which such procedures. in the aggregate more than 25% of the participation is on a basis different from (c) After making the determinations outstanding voting shares of a Regulated or less advantageous than that of other required in conditions 1 and 2(a), the Fund (the ‘‘Shares’’), then the Holders participants. applicable Adviser will distribute will vote such Shares as required under 3. Applicants state that in the absence written information concerning the condition 14. Applicants believe this of the requested relief, the Regulated Potential Co-Investment Transaction condition will ensure that the Non- Funds would be, in some (including the amount proposed to be Interested Directors will act circumstances, limited in their ability to invested by each participating Regulated independently in evaluating the Co- participate in attractive and appropriate Fund and Affiliated Fund) to the Investment Program, because the ability investment opportunities. Applicants Eligible Directors of each participating of the Advisers or the Principals to believe that the proposed terms and Regulated Fund for their consideration. influence the Non-Interested Directors conditions will ensure that the Co- A Regulated Fund will co-invest with by a suggestion, explicit or implied, that Investment Transactions are consistent one or more other Regulated Funds and/ the Non-Interested Directors can be with the protection of each Regulated or one or more Affiliated Funds only if, removed will be limited significantly. Fund’s shareholders and with the prior to the Regulated Fund’s Applicants represent that the Non- purposes intended by the policies and participation in the Potential Co- Interested Directors will evaluate and provisions of the Act. Applicants state Investment Transaction, a Required approve any such independent third that the Regulated Funds’ participation Majority concludes that: party, taking into account its in the Co-Investment Transactions will (i) The terms of the Potential Co- qualifications, reputation for be consistent with the provisions, Investment Transaction, including the independence, cost to the shareholders, policies, and purposes of the Act and on consideration to be paid, are reasonable and other factors that they deem a basis that is not different from or less and fair to the Regulated Fund and its relevant. advantageous than that of other shareholders and do not involve participants. Applicants’ Legal Analysis overreaching in respect of the Regulated Applicants’ Conditions Fund or its shareholders on the part of 1. Section 57(a)(4) of the Act prohibits any person concerned; certain affiliated persons of a BDC from Applicants agree that the Order will (ii) the Potential Co-Investment participating in joint transactions with be subject to the following conditions: Transaction is consistent with: the BDC or a company controlled by a 1. Each time an Adviser considers a (A) The interests of the shareholders BDC in contravention of rules as Potential Co-Investment Transaction for of the Regulated Fund; and prescribed by the Commission. Under an Affiliated Fund or another Regulated (B) the Regulated Fund’s then-current section 57(b)(2) of the Act, any person Fund that falls within a Regulated Objectives and Strategies; who is directly or indirectly controlling, Fund’s then-current Objectives and (iii) the investment by any other controlled by, or under common control Strategies, the Regulated Fund’s Adviser Regulated Funds or Affiliated Funds with a BDC is subject to section 57(a)(4). will make an independent would not disadvantage the Regulated Applicants submit that each of the determination of the appropriateness of Fund, and participation by the Regulated Funds and Affiliated Funds the investment for such Regulated Fund Regulated Fund would not be on a basis could be deemed to be a person related in light of the Regulated Fund’s then- different from or less advantageous than to each Regulated Fund in a manner current circumstances. that of other Regulated Funds or described by section 57(b) by virtue of 2. (a) If the Adviser deems a Regulated Affiliated Funds; provided that, if any being under common control. Section Fund’s participation in any Potential other Regulated Fund or Affiliated 57(i) of the Act provides that, until the Co-Investment Transaction to be Fund, but not the Regulated Fund itself, Commission prescribes rules under appropriate for the Regulated Fund, it gains the right to nominate a director for section 57(a)(4), the Commission’s rules will then determine an appropriate level election to a portfolio company’s board under section 17(d) of the Act of investment for the Regulated Fund. of directors or the right to have a board applicable to registered closed-end (b) If the aggregate amount observer or any similar right to investment companies will be deemed recommended by the applicable Adviser participate in the governance or to apply to transactions subject to to be invested by the applicable management of the portfolio company, section 57(a)(4). Because the Regulated Fund in the Potential Co- such event shall not be interpreted to Commission has not adopted any rules Investment Transaction, together with prohibit the Required Majority from under section 57(a)(4), rule 17d–1 also the amount proposed to be invested by reaching the conclusions required by applies to joint transactions with the other participating Regulated Funds this condition (2)(c)(iii), if: Regulated Funds that are BDCs. Section and Affiliated Funds, collectively, in the (A) the Eligible Directors will have the 17(d) of the Act and rule 17d–1 under same transaction, exceeds the amount of right to ratify the selection of such the Act are applicable to Regulated the investment opportunity, the director or board observer, if any; Funds that are registered closed-end investment opportunity will be (B) the applicable Adviser agrees to, investment companies. allocated among them pro rata based on and does, provide periodic reports to 2. Section 17(d) of the Act and rule each participating party’s capital the Regulated Fund’s Board with respect 17d–1 under the Act prohibit affiliated available for investment in the asset to the actions of such director or the persons of a registered investment class being allocated, up to the amount information received by such board company from participating in joint proposed to be invested by each. The observer or obtained through the transactions with the company unless applicable Adviser will provide the exercise of any similar right to

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participate in the governance or Affiliated Fund, or any affiliated person determines that it is in the Regulated management of the portfolio company; of another Regulated Fund or Affiliated Fund’s best interests. and Fund is an existing investor. (d) Each Affiliated Fund and each (C) any fees or other compensation 6. A Regulated Fund will not Regulated Fund will bear its own that any Affiliated Fund or any participate in any Potential Co- expenses in connection with any such Regulated Fund or any affiliated person Investment Transaction unless the disposition. of any Affiliated Fund or any Regulated terms, conditions, price, class of 8. (a) If any Affiliated Fund or any Fund receives in connection with the securities to be purchased, settlement Regulated Fund desires to make a right of an Affiliated Fund or a date, and registration rights will be the Follow-On Investment in a portfolio Regulated Fund to nominate a director same for each participating Regulated company whose securities were or appoint a board observer or otherwise Fund and Affiliated Fund. The grant to acquired in a Co-Investment to participate in the governance or an Affiliated Fund or another Regulated Transaction, the applicable Advisers management of the portfolio company Fund, but not the Regulated Fund, of will: will be shared proportionately among the right to nominate a director for (i) Notify each Regulated Fund that the participating Affiliated Funds (who election to a portfolio company’s board participated in the Co-Investment each may, in turn, share its portion with of directors, the right to have an Transaction of the proposed transaction its affiliated persons) and the observer on the board of directors or at the earliest practical time; and participating Regulated Funds in similar rights to participate in the (ii) formulate a recommendation as to accordance with the amount of each governance or management of the the proposed participation, including party’s investment; and portfolio company will not be the amount of the proposed Follow-On (iv) the proposed investment by the interpreted so as to violate this Investment, by each Regulated Fund. (b) A Regulated Fund may participate Regulated Fund will not benefit the condition 6, if conditions 2(c)(iii)(A), (B) in such Follow-On Investment without Advisers, the Affiliated Funds or the and (C) are met. obtaining prior approval of the Required other Regulated Funds or any affiliated 7. (a) If any Affiliated Fund or any person of any of them (other than the Majority if: (i) The proposed Regulated Fund elects to sell, exchange participation of each Regulated Fund parties to the Co-Investment or otherwise dispose of an interest in a Transaction), except (A) to the extent and each Affiliated Fund in such security that was acquired in a Co- investment is proportionate to its permitted by condition 13, (B) to the Investment Transaction, the applicable extent permitted by sections 17(e) or outstanding investments in the issuer Advisers will: immediately preceding the Follow-On 57(k) of the Act, as applicable, (C) (i) Notify each Regulated Fund that indirectly, as a result of an interest in Investment; and (ii) the Board of the participated in the Co-Investment Regulated Fund has approved as being the securities issued by one of the Transaction of the proposed disposition parties to the Co-Investment in the best interests of the Regulated at the earliest practical time; and Fund the ability to participate in Transaction, or (D) in the case of fees or (ii) formulate a recommendation as to other compensation described in Follow-On Investments on a pro rata participation by each Regulated Fund in basis (as described in greater detail in condition 2(c)(iii)(C). the disposition. 3. Each Regulated Fund has the right the application). In all other cases, the (b) Each Regulated Fund will have the Adviser will provide its written to decline to participate in any Potential right to participate in such disposition Co-Investment Transaction or to invest recommendation as to the Regulated on a proportionate basis, at the same Fund’s participation to the Eligible less than the amount proposed. price and on the same terms and 4. The applicable Adviser will present Directors, and the Regulated Fund will conditions as those applicable to the participate in such Follow-On to the Board of each Regulated Fund, on participating Affiliated Funds and a quarterly basis, a record of all Investment solely to the extent that a Regulated Funds. Required Majority determines that it is investments in Potential Co-Investment (c) A Regulated Fund may participate Transactions made by any of the other in the Regulated Fund’s best interests. in such disposition without obtaining (c) If, with respect to any Follow-On Regulated Funds or Affiliated Funds prior approval of the Required Majority during the preceding quarter that fell Investment: if: (i) The proposed participation of each (i) The amount of the opportunity is within the Regulated Fund’s then- Regulated Fund and each Affiliated not based on the Regulated Funds’ and current Objectives and Strategies that Fund in such disposition is the Affiliated Funds’ outstanding were not made available to the proportionate to its outstanding investments immediately preceding the Regulated Fund, and an explanation of investments in the issuer immediately Follow-On Investment; and why the investment opportunities were preceding the disposition; (ii) the Board (ii) the aggregate amount not offered to the Regulated Fund. All of the Regulated Fund has approved as recommended by the applicable Adviser information presented to the Board being in the best interests of the to be invested by each Regulated Fund pursuant to this condition will be kept Regulated Fund the ability to participate in the Follow-On Investment, together for the life of the Regulated Fund and in such dispositions on a pro rata basis with the amount proposed to be at least two years thereafter, and will be (as described in greater detail in the invested by the participating Affiliated subject to examination by the application); and (iii) the Board of the Funds in the same transaction, exceeds Commission and its staff. Regulated Fund is provided on a the amount of the opportunity; then the 5. Except for Follow-On Investments quarterly basis with a list of all 11 amount invested by each such party will made in accordance with condition 8, dispositions made in accordance with be allocated among them pro rata based a Regulated Fund will not invest in this condition. In all other cases, the on each participant’s capital available reliance on the Order in any issuer in Adviser will provide its written for investment in the asset class being which another Regulated Fund, recommendation as to the Regulated allocated, up to the amount proposed to Fund’s participation to the Eligible be invested by each. 11 This exception applies only to Follow-On (d) The acquisition of Follow-On Investments by a Regulated Fund in issuers in Directors, and the Regulated Fund will which that Regulated Fund already holds participate in such disposition solely to Investments as permitted by this investments. the extent that a Required Majority condition will be considered a Co-

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Investment Transaction for all purposes may be, in such Co-Investment ‘‘Act’’),1 and Rule 19b–4 thereunder,2 and subject to the other conditions set Transaction. If any transaction fee is to notice is hereby given that on forth in the application. be held by an Adviser pending September 28, 2016, BOX Options 9. The Non-Interested Directors of consummation of the transaction, the Exchange LLC (the ‘‘Exchange’’) filed each Regulated Fund will be provided fee will be deposited into an account with the Securities and Exchange quarterly for review all information maintained by such Adviser at a bank or Commission (‘‘Commission’’) the concerning Potential Co-Investment banks having the qualifications proposed rule change as described in Transactions and Co-Investment prescribed in section 26(a)(1) of the Act, Items I, II, and III below, which Items Transactions, including investments and the account will earn a competitive have been prepared by the Exchange. made by other Regulated Funds or rate of interest that will also be divided The Exchange filed the proposed rule Affiliated Funds that the Regulated pro rata among the participating change pursuant to Section Fund considered but declined to Regulated Funds and Affiliated Funds 19(b)(3)(A)(ii) of the Act,3 and Rule participate in, so that the Non-Interested based on the amounts they invest in 19b–4(f)(2) thereunder,4 which renders Directors may determine whether all such Co-Investment Transaction. None the proposal effective upon filing with investments made during the preceding of the Affiliated Funds, the Advisers, the Commission. The Commission is quarter, including those investments the other Regulated Funds or any publishing this notice to solicit that the Regulated Fund considered but affiliated person of the Regulated Funds comments on the proposed rule change declined to participate in, comply with or Affiliated Funds will receive from interested persons. the conditions of the Order. In addition, additional compensation or I. Self-Regulatory Organization’s the Non-Interested Directors will remuneration of any kind as a result of Statement of the Terms of the Substance consider at least annually the continued or in connection with a Co-Investment of the Proposed Rule Change appropriateness for the Regulated Fund Transaction (other than (a) in the case of participating in new and existing Co- of the Regulated Funds and the The Exchange is filing with the Investment Transactions. Affiliated Funds, the pro rata Securities and Exchange Commission 10. Each Regulated Fund will transaction fees described above and (‘‘Commission’’) a proposed rule change maintain the records required by section fees or other compensation described in to amend the Fee Schedule to adopt 57(f)(3) of the Act as if each of the condition 2(c)(iii)(C); and (b) in the case Participant Fees on the BOX Market LLC Regulated Funds were a BDC and each of an Adviser, investment advisory fees (‘‘BOX’’) options facility. While changes of the investments permitted under paid in accordance with the agreement to the fee schedule pursuant to this proposal will be effective upon filing, these conditions were approved by the between the Adviser and the Regulated the changes will become operative on Required Majority under section 57(f) of Fund or Affiliated Fund). October 1, 2016. The text of the the Act. 14. If the Holders own in the aggregate proposed rule change is available from 11. No Non-Interested Director of a more than 25% of the Shares of a the principal office of the Exchange, at Regulated Fund will also be a director, Regulated Fund, then the Holders will the Commission’s Public Reference general partner, managing member or vote such Shares as directed by an Room and also on the Exchange’s principal, or otherwise an ‘‘affiliated independent third party when voting on Internet Web site at http:// person’’ (as defined in the Act) of an (1) the election of directors; (2) the boxexchange.com. Affiliated Fund. removal of one or more directors; or (3) 12. The expenses, if any, associated any other matter under either the Act or II. Self-Regulatory Organization’s with acquiring, holding or disposing of applicable State law affecting the Statement of the Purpose of, and any securities acquired in a Co- Board’s composition, size or manner of Statutory Basis for, the Proposed Rule Investment Transaction (including, election. Change without limitation, the expenses of the For the Commission, by the Division of In its filing with the Commission, the distribution of any such securities Investment Management, under delegated Exchange included statements registered for sale under the Securities authority. concerning the purpose of and basis for Act) will, to the extent not payable by Robert W. Errett, the proposed rule change and discussed the Advisers under their respective Deputy Secretary. any comments it received on the investment advisory agreements with proposed rule change. The text of these Affiliated Funds and the Regulated [FR Doc. 2016–24428 Filed 10–7–16; 8:45 am] BILLING CODE 8011–01–P statements may be examined at the Funds, be shared by the Regulated places specified in Item IV below. The Funds and the Affiliated Funds in Exchange has prepared summaries, set proportion to the relative amounts of the SECURITIES AND EXCHANGE forth in Sections A, B, and C below, of securities held or to be acquired or COMMISSION the most significant aspects of such disposed of, as the case may be. statements. 13. Any transaction fee 12 (including break-up or commitment fees but [Release No. 34–79038; File No. SR–BOX– A. Self-Regulatory Organization’s excluding broker’s fees contemplated by 2016–47] Statement of the Purpose of, and Statutory Basis for, the Proposed Rule section 17(e) or 57(k) of the Act, as Self-Regulatory Organizations; BOX Change applicable), received in connection with Options Exchange LLC; Notice of a Co-Investment Transaction will be Filing and Immediate Effectiveness of 1. Purpose distributed to the participating a Proposed Rule Change To Amend The Exchange proposes to amend the Regulated Funds and Affiliated Funds the Fee Schedule To Adopt Participant on a pro rata basis based on the amounts Fee Schedule for trading on BOX to Fees on the BOX Market LLC (‘‘BOX’’) establish two Participant Fees; a they invested or committed, as the case Options Facility

1 12 Applicants are not requesting and the staff is October 4, 2016. 15 U.S.C. 78s(b)(1). not providing any relief for transaction fees 2 17 CFR 240.19b–4. received in connection with any Co-Investment Pursuant to Section 19(b)(1) of the 3 15 U.S.C. 78s(b)(3)(A)(ii). Transaction. Securities Exchange Act of 1934 (the 4 17 CFR 240.19b–4(f)(2).

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monthly Participant Fee and a one-time The proposed fee is competitive with Accordingly, the Exchange does not Initiation Fee applicable to all BOX similar fees at other options exchanges.8 believe that the proposed changes will Participants. Lastly, the Exchange believes the impair the ability of members or First, the Exchange proposes to adopt Participant Fee of $1,500 is equitable competing order execution venues to a Participant Fee of $1,500 per month, and not unfairly discriminatory because maintain their competitive standing in applicable to all BOX Participants. the Participant Fee will be assessed the financial markets. Currently, the Exchange does not assess uniformly to each BOX Participant, C. Self-Regulatory Organization’s BOX Participants a fee to access its regardless of Participant type. Statement on Comments on the options market. The Exchange believes The Exchange also believes that its Proposed Rule Change Received From the Participant Fee is competitive with one-time Initiation Fee of $2,500 is Members, Participants, or Others fees at other option exchanges.5 reasonable, equitable and not unfairly Next, the Exchange proposes to adopt discriminatory. As described above, the No written comments were either a one-time Initiation Fee of $2,500 one-time Initiation Fee is comparable to solicited or received. other similar fees in place at other which will be assessed to all new BOX III. Date of Effectiveness of the Participants upon their initial options exchanges and is designed to cover costs associated with processing Proposed Rule Change and Timing for connection to the options market, so the Commission Action Exchange can recoup some of the costs and preparing technology in order for a associated with processing and Participant to begin trading on BOX. The foregoing rule change has become preparing technology in order for the The Exchange believes that the effective pursuant to Section 9 new BOX Participant to be able to trade Initiation Fee is equitable and not 19(b)(3)(A)(ii) of the Exchange Act and 10 on BOX. The Exchange’s proposed one- unfairly discriminatory, as it will be Rule 19b–4(f)(2) thereunder, because time Initiation Fee is similar to and assessed uniformly to each new BOX it establishes or changes a due, or fee. generally lower than one time Options Participant, regardless of At any time within 60 days of the application fees in place at other Participant type. filing of the proposed rule change, the Commission summarily may options exchanges.6 B. Self-Regulatory Organization’s temporarily suspend the rule change if Statement on Burden on Competition 2. Statutory Basis it appears to the Commission that the The Exchange believes that the The Exchange does not believe that action is necessary or appropriate in the proposal is consistent with the the proposed rule change will impose public interest, for the protection of requirements of Section 6(b) of the Act, any burden on competition not investors, or would otherwise further in general, and Section 6(b)(4) and necessary or appropriate in furtherance the purposes of the Act. If the of the purposes of the Act. In terms of 6(b)(5) of the Act,7 in particular, in that Commission takes such action, the inter-market competition, the Exchange it provides for the equitable allocation Commission shall institute proceedings notes that it operates in a highly of reasonable dues, fees, and other to determine whether the proposed rule competitive market in which market charges among BOX Participants and should be approved or disapproved. participants can readily favor competing other persons using its facilities and venues if they deem fee levels at a IV. Solicitation of Comments does not unfairly discriminate between particular venue to be excessive, or customers, issuers, brokers or dealers. Interested persons are invited to rebate opportunities available at other The Exchange’s proposal to adopt a submit written data, views, and venues to be more favorable. In such an BOX Options Participant Fee of $1,500 arguments concerning the foregoing, environment, the Exchange must per month is reasonable because the including whether the proposed rule continually adjust its fees to remain change is consistent with the Act. Exchange is seeking to recoup costs competitive with other exchanges and related to membership administration. Comments may be submitted by any of with alternative trading systems that the following methods: have been exempted from compliance 5 See The Chicago Board Options Exchange, Electronic Comments Incorporated’s Fees Schedule. Per month a Market with the statutory standards applicable Maker Trading Permit is $5,500, an SPX Tier to exchanges. Because competitors are • Use the Commission’s Internet Appointment is $3,000, a VIX Tier Appointment is free to modify their own fees in comment form (http://www.sec.gov/ $2,000, and an Electronic Access Permit is $1,600. response and because market rules/sro.shtml); or See also the International Securities Exchange • LLC’s Schedule of Fees. Per month an Electronic participants may readily adjust their Send an email to rule- Access Member is assessed $500.00 for membership order routing practices, the Exchange [email protected]. Please include File and a market maker is assessed from $2,000 to believes that the degree to which fee Number SR–BOX–2016–47 on the $4,000 per membership depending on the type of changes in this market may impose any subject line. market maker. See also C2 Options Exchange, burden on competition is extremely Incorporated’s Fees Schedule. Per month, a market- Paper Comments maker is assessed a $5,000 permit fee, an Electronic limited. Access Permit is assessed a $1,000 permit fee. See In terms of intra-market competition, • Send paper comments in triplicate also NYSE Arca, Inc.’s Fee Schedule. Per month, a the Exchange’s proposal to adopt a BOX to Secretary, Securities and Exchange Clearing Firm is assessed a $1,000 per month fee Commission, 100 F Street NE., for the first Options Trading Permit (‘‘OTP’’) and Options Participant Fee of $1,500 per $250 thereafter, and a market maker is assessed a month and a one-time Initiation Fee of Washington, DC 20549–1090. permit based on the maximum number of OTPs $2,500 does not impose an undue All submissions should refer to File held by an OTP Firm or OTP Holder during a burden on competition because the Number SR–BOX–2016–47. This file calendar month ranging from $1,000 to $6,000 a month. Exchange would uniformly assess the number should be included on the 6 The Chicago Board Options Exchange, same Participant Fees to each BOX subject line if email is used. To help the Incorporated (‘‘CBOE’’) charges $3,000 for an Options Participant. If the changes Commission process and review your individual applicant and $5,000 for an applicant proposed herein are unattractive to comments more efficiently, please use organization and at the International Securities market participants, it is likely that the Exchange, LLC (‘‘ISE’’) charges $7,500 for a Primary only one method. The Commission will Market Maker, $5,500 for a Competitive Market Exchange will lose Participants. Maker and $3,500 for an Electronic Access Member. 9 15 U.S.C. 78s(b)(3)(A)(ii). 7 15 U.S.C. 78f(b)(4) and (5). 8 See supra note 5. 10 17 CFR 240.19b–4(f)(2).

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post all comments on the Commission’s change as described in Items I and II A. Self-Regulatory Organization’s Internet Web site (http://www.sec.gov/ below, which Items have been prepared Statement of the Purpose of, and the rules/sro.shtml). Copies of the by the self-regulatory organization. The Statutory Basis for, the Proposed Rule submission, all subsequent Commission is publishing this notice to Change amendments, all written statements solicit comments on the proposed rule 1. Purpose with respect to the proposed rule change from interested persons. change that are filed with the The Exchange proposes to establish I. Self-Regulatory Organization’s Commission, and all written rules to require its members to comply Statement of the Terms of Substance of communications relating to the with the requirements of the Plan, the Proposed Rule Change proposed rule change between the which is designed to study and assess Commission and any person, other than IEX is filing with the Commission a the impact of increment conventions on those that may be withheld from the proposed rule change to adopt rules the liquidity and trading of the common public in accordance with the under IEX Rule 11.340 to implement the stocks of small capitalization provisions of 5 U.S.C. 552, will be quoting and trading provisions of the companies. The Exchange proposes available for Web site viewing and Regulation NMS Plan to Implement a changes to its rules for a two-year pilot printing in the Commission’s Public Tick Size Pilot Program submitted to the period that coincides with the Pilot Reference Room, 100 F Street NE., Commission pursuant to Rule 608 of Period for the Plan, which is currently Washington, DC 20549 on official Regulation NMS 4 under the Act (the scheduled as a two-year pilot to begin business days between the hours of ‘‘Plan’’),5 and to describe changes to IEX on October 3, 2016. system functionality necessary to 10:00 a.m. and 3:00 p.m. Copies of such Background filing also will be available for implement the Plan. The proposed rule inspection and copying at the principal change is substantially similar to On August 25, 2014, NYSE Group, office of the Exchange. All comments proposed rule changes published by the Inc., on behalf of BATS Exchange, Inc., received will be posted without change; Commission for the NASDAQ Stock BATS Y-Exchange, Inc., Chicago Stock the Commission does not edit personal Market LLC (‘‘Nasdaq’’) to adopt Exchange, Inc., EDGA Exchange, Inc., identifying information from NASDAQ Rule 4770, which also EDGX Exchange, Inc., Financial submissions. You should submit only implemented the quoting and trading Industry Regulatory Authority, Inc. information that you wish to make provisions of the Plan.6 Accordingly, (‘‘FINRA’’), NASDAQ OMX BX, Inc., available publicly. All submissions the Exchange has designated this NASDAQ OMX PHLX LLC, the Nasdaq should refer to File Number SR–BOX– proposal as a ‘‘non-controversial’’ Stock Market LLC, New York Stock 2016–47, and should be submitted on or proposed rule change pursuant to Exchange LLC (‘‘NYSE’’), NYSE MKT before November 1, 2016. Section 19(b)(3)(A) of the Act 7 and LLC, and NYSE Arca, Inc. (collectively provided the Commission with the ‘‘Participants’’), filed with the For the Commission, by the Division of notice required by Rule 19b–4(f)(6)(iii) Commission, pursuant to Section 11A of Trading and Markets, pursuant to delegated 9 authority.11 under the Act.8 the Act and Rule 608 of Regulation NMS thereunder, the Plan to Implement Robert W. Errett, The text of the proposed rule change is available at the Exchange’s Web site a Tick Size Pilot Program (‘‘Pilot’’).10 Deputy Secretary. at www.iextrading.com, at the principal The Participants filed the Plan to [FR Doc. 2016–24423 Filed 10–7–16; 8:45 am] office of the Exchange, and at the comply with an order issued by the BILLING CODE 8011–01–P Commission’s Public Reference Room. Commission on June 24, 2014 (the ‘‘June 2014 Order’’).11 The Plan 12 was II. Self-Regulatory Organization’s published for comment in the Federal SECURITIES AND EXCHANGE Statement of the Purpose of, and Register on November 7, 2014,13 and COMMISSION Statutory Basis for, the Proposed Rule approved by the Commission, as [Release No. 34–79036; File No. SR–IEX– Change modified, on May 6, 2015.14 An 2016–16] In its filing with the Commission, the amendment to the Plan adding IEX as a self-regulatory organization included Participant became effective on August Self-Regulatory Organizations; statements concerning the purpose of 5, 2016.15 Investors Exchange LLC; Notice of and basis for the proposed rule change The Plan is designed to allow the Filing and Immediate Effectiveness of and discussed any comments it received Commission, market participants, and Proposed Rule Change To Adopt Rules on the proposed rule change. The text the public to study and assess the To Implement the Quoting and Trading of these statement may be examined at impact of increment conventions on the Provisions of the Tick Size Pilot the places specified in Item IV below. Program and To Describe Related The self-regulatory organization has 9 15 U.S.C. 78k–1 Changes to IEX System Functionality prepared summaries, set forth in 10 See Letter from Brendon J. Weiss, Vice Sections A, B, and C below, of the most President, Intercontinental Exchange, Inc., to October 4, 2016. Secretary, Commission, dated August 25, 2014. Pursuant to Section 19(b)(1) 1 of the significant aspects of such statements. 11 See Securities Exchange Act Release No. 72460 Securities Exchange Act of 1934 (the (June 24, 2014), 79 FR 36840 (June 30, 2014). ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 4 17 CFR 242.608. 12 Unless otherwise specified, capitalized terms 5 See Securities and Exchange Act Release No. used in this rule filing are based on the defined notice is hereby given that, on October 74892 (May 6, 2015), 80 FR 27513 (File No. 4–657) terms of the Plan. 3, 2016, the Investors Exchange LLC (‘‘Tick Plan Approval Order’’). See also Securities 13 See Securities Exchange Act Release No. 72460 (‘‘IEX’’ or the ‘‘Exchange’’) filed with the and Exchange Act Release No. 76382 (November 6, (June 24, 2014), 79 FR 36840 (June 30, 2014). Securities and Exchange Commission 2015) (File No. 4–657), 80 FR 70284 (File No. 4– 14 See Tick Plan Approval Order, supra note 5. (the ‘‘Commission’’) the proposed rule 657) (November 13, 2015), which extended the pilot See also Securities Exchange Act Release No. 77277 period commencement date from May 6, 2015 to (March 3, 2016), 81 FR 12162 (March 8, 2016) (File October 3, 2016. No. 4–657), which amended the Plan to add 11 17 CFR 200.30–3(a)(12). 6 See Securities and Exchange Act Release No. National Stock Exchange, Inc. as a Participant. 1 15 U.S.C. 78s(b)(1). 78251 (July 7, 2016); 81 FR 45315 (July 13, 2016. 15 See Securities Exchange Act Release No. 78703 2 15 U.S.C. 78a. 7 15 U.S.C. 78s(b)(3)(a). (August 26, 2016; 81 FR 60397 (September 1, 2016) 3 17 CFR 240.19b–4. 8 17 CFR 240.19b–4(f)(6)(iii). (File No. 4–631).

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liquidity and trading of the common NMS 20 will apply to the Trade-at than or equal to the limit price of the stocks of small-capitalization requirement. limit order identified as a TA ISO companies. The Commission plans to The Plan also contains requirements Sweep Order. These additional routed use the Tick Size Pilot Program to assess for the collection and transmission of orders also must be marked as TA ISOs whether wider tick sizes enhance the data to the Commission and the public. or Intermarket Sweep Order (‘‘ISO). market quality of Pilot Securities for the A variety of data generated during the • Paragraph (a)(1)(E) would provide benefit of issuers and investors. Each Plan will be released publicly on an that all capitalized terms not otherwise Participant is required to comply, and to aggregated basis to assist in analyzing defined in this rule shall have the enforce compliance by its member the impact of wider tick sizes on smaller meanings set forth in the Plan, organizations, as applicable, with the capitalization stocks.21 The Exchange Regulation NMS under the Act, or provisions of the Plan. adopted paragraph (b) of Rule 11.340 to Exchange rules, as applicable. require Members to comply with the Proposed Paragraph (a)(2) would state Proposed paragraph (d) of Rule 11.340 data collection provisions under that the Exchange is a Participant in, describes the changes to System Appendix B and C of the Plan.22 and subject to the applicable functionality necessary to implement requirements of, the Plan; proposed the Plan. The Exchange believes that all Member Compliance; Proposed Rules Paragraph (a)(3) would require members of the proposed changes are designed to 11.340(a) and (c) to establish, maintain and enforce directly comply with the Plan and to The Plan requires the Exchange to written policies and procedures that are assist the Exchange in meeting its establish, maintain, and enforce written reasonably designed to comply with the regulatory obligations thereunder. policies and procedures that are applicable requirements of the Plan, The Plan will include stocks of reasonably designed to comply with the which would allow the Exchange to companies with $3 billion or less in applicable quoting and trading enforce compliance by its members with market capitalization, an average daily requirements specified in the Plan.23 the provisions of the Plan, as required trading volume of one million shares or Accordingly, the Exchange is proposing pursuant to Section II(B) of the Plan. less, and a volume weighted average new Rule 11.340(a) to require its In addition, Paragraph (a)(4) would price of at least $2.00 for every trading Members to comply with the quoting provide that Exchange systems would day. The Plan will consist of a control and trading provisions of the Plan. The not display, quote or trade in violation group of approximately 1,400 Pilot proposed Rules are also designed to of the applicable quoting and trading Securities and three test groups with ensure the Exchange’s compliance with requirements for a Pilot Security 400 Pilot Securities in each selected by the Plan. specified in the Plan and this proposed Proposed paragraph (a)(1) of Rule a stratified sampling.16 During the pilot, rule, unless such quotation or 11.340 would establish the following Pilot Securities in the control group will transaction is specifically exempted defined terms: under the Plan. Although not required be quoted at the current tick size • ‘‘Plan’’ means the Tick Size Pilot or prohibited by the Plan, the Exchange increment of $0.01 per share and will Plan submitted to the Commission trade at the currently permitted proposes to apply the quoting and pursuant to Rule 608(a)(3) of Regulation trading requirements during the Pre- increments. Pilot Securities in the first NMS under the Act. test group (‘‘Test Group One’’) will be • Market Hours and Post-Market Hours ‘‘Pilot Test Groups’’ means the three 24 quoted in $0.05 minimum increments trading sessions, in addition to the test groups established under the Plan, Regular Market Hours trading session.25 but will continue to trade at any price consisting of 400 Pilot Securities each, increment that is currently permitted.17 The Exchange believes that applying the which satisfy the respective criteria same processes and requirements in Pilot Securities in the second test group established by the Plan for each such (‘‘Test Group Two’’) will be quoted in Test Group Pilot Securities will simplify test group. processing of orders by the Exchange, $0.05 minimum increments and will • Trade-at Intermarket Sweep Order’’ avoiding market participant confusion trade at $0.05 minimum increments (‘‘TA ISO’’) would mean a limit order that may be caused by applying only subject to a midpoint exception, a retail for a Pilot Security that meets the some of the Plan requirements and not investor exception, and a negotiated following requirements: others during the different market trade exception.18 Pilot Securities in the (i) When routed to a Trading Center, the limit order is identified as a TA ISO; sessions. third test group (‘‘Test Group Three’’) The Exchange also proposes to add will be subject to the same terms as Test and (ii) Simultaneously with the routing Rule 11.340(a)(5) to provide for the Group Two and also will be subject to treatment of Pilot Securities that drop the ‘‘Trade-at’’ requirement to prevent of the limit order identified as a TA ISO, one or more additional limit orders, as below a $1.00 value during the Pilot price matching by a person not Period.26 The Exchange proposes that if displaying at a price of a Trading necessary, are routed to execute against the full size of any protected bid, in the Center’s ‘‘Best Protected Bid’’ or ‘‘Best 24 As used in this proposal, the term ‘‘Market Protected Offer,’’ unless an enumerated case of a limit order to sell, or the full Hours’’ means the period of time beginning at 9:30 exception applies.19 In addition to the displayed size of any protected offer, in a.m. ET and ending at 4:00 p.m. ET (or such earlier exceptions provided under Test Group the case of a limit order to buy, for the time as may be designated by IEX on a day when Pilot Security with a price that is better IEX closes early). The term ‘‘Pre- Market Hours’’ Two, an exception for Block Size orders means the period of time beginning at 8:00 a.m. ET and exceptions that closely resemble and ending immediately prior to the those under Rule 611 of Regulation 20 17 CFR 242.611. commencement of Market Hours. The term ‘‘Post- 21 See Section VII of the Plan. Market Hours’’ means the period of time beginning 22 See Securities Exchange Act Release No. 78481 immediately after the end of Market Hours and 16 See Section V of the Plan for identification of (August 4, 2016); 81 FR 52933 (August 10, 2016). ending at 5:00 p.m. ET. See Rule 1.160(z), (aa) and Pilot Securities, including criteria for selection and 23 The Exchange was also required by the Plan to (gg). grouping. develop appropriate policies and procedures that 25 Regular Trading Hours is defined by the Plan 17 See Section VI(B) of the Plan. Pilot Securities provide for data collection and reporting to the as having the same meaning as Rule 600(b)(64) of in Test Group One will be subject to a midpoint Commission of data described in Appendixes B and Regulation NMS. See Section I (cc) of the Plan. exception and a retail investor exception. C of the Plan. See Securities Exchange Act Release 26 NYSE, on behalf of the Participants, submitted 18 See Section VI(C) of the Plan. No. 77456 (March 28, 2016), 81 FR 18925 (April 1, a letter to Commission requesting exemption from 19 See Section VI(D) of the Plan. 2016) (SR–NASDAQ–2016–43). Continued

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the price of a Pilot Security drops below National Best Offer (‘‘NBBO’’) or Best Paragraph (3)(A)–(3)(C) would set $1.00 during regular trading on any Protected Bid and Best Protected Offer forth the requirements for Pilot given business day, such Pilot Security (‘‘PBBO’’) and orders entered in a Securities in Test Group Three. would continue to be subject to the Plan Participant-operated retail liquidity Members quoting or trading such Pilot and the requirements described below program 27 may be ranked and accepted Securities would be subject to all of the that necessitate members to comply in increments of less than $0.05. Pilot same quoting and trading requirements with the specific quoting and trading Securities in Test Group One may as described above for Pilot Securities in obligations for each respective Pilot Test continue to trade at any price increment Test Group Two, including the quoting Group under the Plan, and would that is currently permitted by Rule and trading exceptions applicable to continue to trade in accordance with the 11.210.28 Pilot Securities in Test Group Two. In proposed rules below as if the price of With regard to Pilot Securities in Test addition, proposed Paragraph (3)(D) the Pilot Security had not dropped Group Two, proposed Rule would provide for an additional below $1.00. However, if the Closing 11.340(c)(2)(A) would provide that such prohibition on Pilot Securities in Test Price of a Pilot Security on any given Pilot Securities would be subject to all Group Three referred to as the ‘‘Trade- business day is below $1.00, such Pilot of the same quoting requirements as at Prohibition.’’ 31 Paragraph (3)(D)(ii) Security would be moved out of its described above for Pilot Securities in would provide that, absent one of the respective Pilot Test Group into the Test Group One, along with the listed exceptions in proposed Rule control group (which consists of Pilot applicable quoting exceptions. In 11.340(c)(3)(D)(iii) enumerated below, Securities not placed into a Pilot Test addition, proposed Rule 11.340(c)(2)(B) no member may execute a sell order for Group), and may then be quoted and would provide that, absent one of the a Pilot Security in Test Group Three at traded at any price increment that is listed exceptions in proposed the price of a Protected Bid or execute currently permitted by Exchange rules 11.340(c)(2)(C) enumerated below, no a buy order for a Pilot Security in Test for the remainder of the Pilot Period. member may execute orders in any Pilot Group Three at the price of a Protected Notwithstanding anything contained Security in Test Group Two in price Offer. herein to the contrary, the Exchange increments other than $0.05. The $0.05 Proposed Rule 11.340(c)(3)(D)(iii) proposes that, at all times during the trading increment would apply to all would allow members to execute a sell Pilot Period, Pilot Securities (whether in trades, including Brokered Cross Trades. order for a Pilot Security in Test Group the control group or any Pilot Test Paragraph (2)(C) would set forth Three at the price of a Protected Bid or Group) would continue to be subject to further requirements for Pilot Securities execute a buy order for a Pilot Security the data collection rules, which are in Test Group Two. Specifically, in Test Group Three at the price of a enumerated in Rule 11.340(b). members trading Pilot Securities in Test Protected Offer if any of the following The Exchange proposes Rules Group Two would be allowed to trade circumstances exist: 11.340(c)(1)–(3), which would require in increments less than $0.05 under the a. The order is executed as agent or members to comply with the specific following circumstances: riskless principal by an independent quoting and trading obligations for each (i) Trading may occur at the midpoint trading unit, as defined under Rule Pilot Test Group under the Plan. With between the NBBO or PBBO; 200(f) of Regulation SHO,32 of a Trading regard to Pilot Securities in Test Group (ii) Retail Investor Orders may be Center within a Member that has a One, proposed Rule 11.340(c)(1) would provided with price improvement that displayed quotation as agent or riskless provide that no member may display, is at least $0.005 better than the PBBO. principal, via either a processor or an rank, or accept from any person any (iii) Negotiated Trades may trade in SRO Quotation Feed, at a price equal to displayable or non-displayable bids or increments less than $0.05; and offers, orders, or indications of interest (iv) Execution of a customer order to exception under the Plan. The Commission granted in increments other than $0.05. comply with Rule 10.160 29 following NYSE an exemption from Rule 608(c) related to this provision. See Exemption Letter, supra note 26. The However, orders priced to trade at the the execution of a proprietary trade by Exchange is seeking the same exemptions as midpoint of the National Best Bid and the Member at an increment other than requested in the Exemption Request Letters. The $0.05, where such proprietary trade was Exchange believes such an exception best facilitates certain provisions of the Plan related to quoting and permissible pursuant to an exception the ability of members to continue to protect customer orders while retaining the flexibility to trading. See letter from Elizabeth K. King, NYSE, to under the Plan.30 Brent J. Fields, Secretary, Commission, dated engage in proprietary trades that comply with an October 14, 2015 (the ‘‘October Exemption exception to the Plan. 27 Request’’). FINRA, also on behalf of the Plan The Exchange notes that it does not operate a 31 Proposed 11.340(c)(3)(D)(i) would define the Participants, submitted a separate letter to retail liquidity program, but has included references ‘‘Trade-at Prohibition’’ to mean the prohibition Commission requesting additional exemptions from to retail liquidity programs operated by other against executions by a Trading Center of a sell certain provisions of the Plan related to quoting and Participants in its rules for the sake of consistency order for a Pilot Security at the price of a Protected trading. See letter from Marcia E. Asquith, Senior with the Plan. Bid or the execution of a buy order for a Pilot Vice President and Corporate Secretary, FINRA, to 28 Rule 11.210 specifies the minimum price Security at the price of a Protected Offer during Robert W. Errett, Deputy Secretary, Commission, variant, or increment, applicable to securities regular trading hours. dated February 23, 2016 (the ‘‘February Exemption traded on the Exchange. 32 The Exchange is proposing that, for proposed Request,’’ and together with the October Exemption 29 Rule 10.160 is the Exchange’s Prohibition Rules 11.340 (c)(3)(D)(iii)a. and b., a Trading Center Request, the ‘‘Exemption Request Letters’’). The Against Trading Ahead of Customer Orders rule, operated by a broker-dealer would mean an Commission, pursuant to its authority under Rule which is substantially identical to FINRA Rule independent trading unit, as defined under Rule 608(e) of Regulation NMS, granted New York Stock 5320. 200(f) of Regulation SHO, within such broker- Exchange LLC a limited exemption from the 30 The Exchange proposes to add this exemption dealer. See 17 CFR 242.200. requirement to comply with certain provisions of to permit members to fill a customer order in a Pilot Independent trading unit aggregation is available the Plan as specified in the Exemption Request Security at a non-nickel increment to comply with if traders in an aggregation unit pursue only the Letters and noted herein. See letter from David Rule 10.160 under limited circumstances. particular trading objective(s) or strategy(s) of that Shillman, Associate Director, Division of Trading Specifically, the exception would allow the aggregation unit and do not coordinate that strategy and Markets, Commission to Sherry Sandler, execution of a customer order following a with any other aggregation unit. Therefore, a Associate General Counsel, New York Stock proprietary trade by the member at an increment Trading Center cannot rely on quotations displayed Exchange LLC, dated April 25, 2016 (the other than $0.05 in the same security, on the same by that broker dealer from a different independent ‘‘Exemption Letter’’). The Exchange is seeking the side and at the same price as (or within the trading unit. As an example, an agency desk of a same exemptions as requested in the Exemption prescribed amount of) a customer order owed a fill broker-dealer cannot rely on the quotation of a Request Letters, including without limitation, an pursuant to Rule 10.160, where the triggering proprietary desk in a separate independent trading exemption relating to proposed Rule 11.340(a)(5). proprietary trade was permissible pursuant to an unit at that same broker-dealer.

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the traded-at Protected Quotation, that e. The order is executed when the n. The order is for a fractional share was displayed before the order was Trading Center displaying the Protected of a Pilot Security in Test Group Three, received,33 but only up to the full Quotation that was traded at was provided that such fractional share displayed size of that independent experiencing a failure, material delay, or order was not the result of breaking an trading unit’s previously displayed malfunction of its systems or order for one or more whole shares of quote; 34 equipment; a Pilot Security in Test Group Three b. The order is executed by an f. The order is executed as part of a into orders for fractional shares or was independent trading unit, as defined transaction that was not a ‘‘regular way’’ not otherwise effected to evade the under Rule 200(f) of Regulation SHO, of contract; requirements of the Trade-at Prohibition a Trading Center within a Member that g. The order is executed as part of a or any other provisions of the Plan; or has a displayed quotation for the single-priced opening, reopening, or o. The order is to correct a bona fide account of that Trading Center on a closing transaction on the Exchange; error, which is recorded by the Trading principal (excluding riskless h. The order is executed when a Center in its error account.40 A bona principal) 35 basis, via either a processor Protected Bid was priced higher than a fide error is defined as: or an SRO Quotation Feed, at a price Protected Offer in the Pilot Security in equal to the traded-at Protected Test Group Three; transaction was, for a stopped buy order, equal to Quotation, that was displayed before the i. The order is identified as a TA ISO; the national best bid in the Pilot Security at the order was received, but only up to the time of execution or, for a stopped sell order, equal j. The order is executed by a Trading to the national best offer in the Pilot Security at the full displayed size of that independent Center that simultaneously routed TA time of execution’’ (see Plan, Section VI(D)(12)). 36 unit’s previously displayed quote; ISO or ISOs to execute against the full To illustrate the application of the stopped order c. The order is of Block Size 37 at the displayed size of the Protected exemption as it currently operates under Rule 611 time of origin and may not be: Quotation that was traded at: 38 of Regulation NMS and as it is currently proposed A. an aggregation of non-block orders; for Trade-at, assume the National Best Bid is $10.00 k. The order is executed as part of a and another protected quote is at $9.95. Under Rule or Negotiated Trade; 611 of Regulation NMS, a stopped order to buy can B. broken into orders smaller than l. The order is executed when the be filled at $9.95 and the firm does not have to send Block Size prior to submitting the order Trading Center displaying the Protected an ISO to access the protected quote at $10.00 since to a Trading Center for execution; Quotation that was traded at had the price of the stopped order must be lower than d. The order is a Retail Investor Order the National Best Bid. For the stopped order to also displayed, within one second prior to be executed at $9.95 and satisfy the Trade-at executed with at least $0.005 price execution of the transaction that requirements, the Trade-at exception would have to improvement; constituted the Trade-at, a Best be revised to allow an order to execute at the price Protected Bid or Best Protected Offer, as of a protected quote which, in this case, could be 33 The Exchange is proposing to adopt this $9.95. limitation to ensure that a Trading Center does not applicable, for the Pilot Security in Test Based on the fact that a stopped order would be display a quotation after the time of order receipt Group Three with a price that was treated differently under the Rule 611 of Regulation solely for the purpose of trading at the price of a inferior to the price of the Trade-at NMS exception than under the Trade-at exception protected quotation without routing to that transaction; in the Plan, the Exchange believes that it is protected quotation. m. The order is executed by a Trading appropriate to amend the Trade-at stopped order 34 This proposed exception to Trade-at would exception in the Plan to ensure that the application allow a Trading Center to execute an order at the Center which, at the time of order of this exception would produce a consistent result Protected Quotation in the same capacity in which receipt, the Trading Center had under both Regulation NMS and the Plan. it has displayed a quotation at a price equal to the guaranteed an execution at no worse Therefore, the Exchange proposes in this proposed Protected Quotation and up to the displayed size of than a specified price (a ‘‘stopped Rule 11.340(c)(3)(D)(iii)m. to allow a transaction to such displayed quotation. satisfy the Trade-at requirement if the stopped order 35 As described above, proposed Rule order’’), where: price, for a stopped buy order, is equal to or less 11.340(c)(3)(D)(iii)a. would establish the A. The stopped order was for the than the National Best Bid, and for a stopped sell circumstances in which a Trading Center displaying account of a customer; order, is equal to or greater than the National Best an order as riskless principal would be permitted B. The customer agrees to the Offer, as long as such order is priced at an to Trade-at the Protected Quotation. Accordingly, acceptable increment. The Commission granted the Exchange proposes that proposed Rule specified price on an order-by-order NYSE an exemption from Rule 608(c) related to this 11.340(c)(3)(D)(iii)b. would exclude such basis; and provision. See Exemption Letter, supra note 26. The circumstances. C. The price of the Trade-at Exchange is seeking the same exemptions as 36 The display exceptions to Trade-at set forth in transaction was, for a stopped buy requested in the Exemption Request Letters. proposed Rules 11.340 (c)(3)(D)(iii)a. and b. would 40 The exceptions to the Trade-at requirement set not permit a broker-dealer to trade on the basis of order, equal to or less than the National forth in the Plan and in the Exchange’s proposed interest it is not responsible for displaying. In Best Bid in the Pilot Security in Test Rule 11.340(c)(3)(D)(iii) are, in part, based on the particular, a broker-dealer that matches orders in Group Three at the time of execution or, exceptions to the trade-through requirement set the over-the-counter market shall be deemed to for a stopped sell order, equal to or forth in Rule 611 of Regulation NMS, including have ‘‘executed’’ such orders as a Trading Center for exceptions for an order that is executed as part of purposes of proposed Rule 11.340. Accordingly, if greater than the National Best Offer in a transaction that was not a ‘‘regular way’’ contract, a broker-dealer is not displaying a quotation at a the Pilot Security in Test Group Three and an order that is executed as part of a single- price equal to the Protected Quotation, it could not at the time of execution, as long as such priced opening, reopening, or closing transaction by submit matched trades to an alternative trading order is priced at an acceptable the Trading Center (see 17 CFR 242.611(b)(2) and center (‘‘ATS’’) that was displaying on an agency 39 (b)(3)). Following the adoption of Rule 611 of basis the quotation of another ATS subscriber. increment; Regulation NMS and its exceptions, the However, a broker-dealer that is displaying, as Commission issued exemptive relief that created principal, via either a processor or an SRO 38 In connection with the definition of a Trade- exceptions from Rule 611 of Regulation NMS for Quotation Feed, a buy order at the protected bid, at ISO proposed in Rule 11.340 (a)(1)(D), this certain error correction transactions. See Securities could internalize a customer sell order up to its exception refers to the Trading Center that routed Exchange Act Release No. 55884 (June 8, 2007), 72 displayed size. The display exceptions would not the ISO. FR 32926 (June 14, 2007); Securities Exchange Act permit a non-displayed Trading Center to submit 39 The stopped order exemption in Rule 611 of Release No. 55883 (June 8, 2007), 72 FR 32927 (June matched trades to an ATS that was displaying on Regulation NMS applies where ‘‘[t]he price of the 14, 2007). The Exchange has determined that it is an agency basis the quotation of another ATS trade-through transaction was, for a stopped buy appropriate to incorporate this additional exception subscriber and confirmed that a broker-dealer order, lower than the national best bid in the NMS to the Trade-at Prohibition, as this exception is would not be permitted to trade on the basis of stock at the time of execution or, for a stopped sell equally applicable in the Trade-at context. interest that it is not responsible for displaying. order, higher than the national best offer in the Accordingly, the Exchange is proposing to 37 ‘‘Block Size’’ is defined in the Plan as an order NMS stock at the time of execution’’ (see 17 CFR exempt certain transactions to correct bona fide (1) of at least 5,000 shares or (2) for a quantity of 242.611(b)(9)). The Trade-at stopped order errors in the execution of customer orders from the stock having a market value of at least $100,000. exception applies where ‘‘the price of the Trade-at Continued

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A. The inaccurate conveyance or The Exchange is proposing to adopt incoming order otherwise qualifies for execution of any term of an order new Rule 11.340(d)(1) to make it clear an exception to the Trade-at prohibition. including, but not limited to, price, that it will not accept an order in a Test Currently, pursuant to Rule number of shares or other unit of Group Pilot Security that is not entered 11.230(a)(4), an incoming or active order trading; identification of the security; in the Pilot’s minimum increment of to sell (buy) may trade with non- identification of the account for which $0.05, applied to all orders that require displayed orders to buy (sell) at the securities are purchased or sold; lost or a price and do not otherwise qualify for price of protected bids (offers) without otherwise misplaced order tickets; short an exemption to the $0.05 minimum routing to such protected bids (offers). sales that were instead sold long or vice price increment required by the Plan. Subparagraph (d)(5)(A) provides that an versa; or the execution of an order on The provision will also clarify that IEX incoming or active order to sell (buy) the wrong side of a market: will use the $0.05 minimum price will trade with displayed orders to buy B. The unauthorized or unintended increment when the System reprices an (sell) and route, if consistent with the purchase, sale, or allocation of order, including when it rounds a terms of the order, to protected bids securities, or the failure to follow derived price up or down. (offers) before trading with non- specific client instructions; displayed orders at the same price. After C. The incorrect entry of data into Trade-at Intermarket Sweep Orders trading or routing, or both, any relevant systems, including reliance on The Exchange proposes to adopt remaining balance of an incoming order incorrect cash positions, withdrawals, paragraph (d)(2) to Rule 11.340 to will trade with any non-displayed or securities positions reflected in an specify that it will accept TA ISOs in all orders at the same price, so long as the account; or securities, and that TA ISOs must be incoming order has satisfied all same D. A delay, outage, or failure of a designated as IOC, may not be price Protected Quotations or an communication system used to transmit Minimum Quantity Orders and do not exception applies. This provision thus market data prices or to facilitate the route. If a TA ISO is entered in a enables the Exchange to comply with delivery or execution of an order. security that is not in Test Group Three, the Trade-at restriction of the Plan by Finally, Proposed Rule 11.340 it will be treated as an ISO in providing for satisfaction of Protected (c)(3)(D)(iv) would prevent members accordance with Rule 11.190(b)(12). The Quotations before executing non- from breaking an order into smaller Exchange believes that accepting TA displayed orders at the same price. Similarly, subparagraph (d)(5)(B) of orders or otherwise effecting or ISOs in all securities will reduce Rule 11.340 specifies that an ISO to buy executing an order to evade the complexity for Members. requirements of the Trade-at Prohibition (sell) will not trade with non-displayed or any other provisions of the Plan. Order Price Collars and Restraints interest to sell (buy) that is the same price as the protected offer (bid) unless Exchange Handling of Orders During In order to facilitate compliance with the limit price of such ISO is higher the Pilot Period for the Plan the Plan, paragraph (d)(3) of Rule 11.340 (lower) than the price of the protected would provide that Order Price Collars Proposed paragraph (d) of Rule 11.340 offer (bid), or another exception applies. and Restraints, as specified in Rule would set forth the Exchange’s specific This would be permitted under the 11.190(f), that are not in the permissible procedures for handling, executing, Trade-at Prohibition because to enter an trading price increment for the security repricing and displaying certain orders ISO to buy (sell) at a price higher will be rounded down (in the case of an and modifiers applicable to Pilot (lower) than the protected offer order to buy) or up (in the case of an Securities. Unless otherwise indicated, (protected bid), the entering firm would order to sell) to the nearest price in the paragraph (d) of Rule 11.340 would have been required to simultaneously permissible trading price increment for apply to orders in all three Test Group route limit orders to execute against the that security. The Exchange believes Pilot Securities, but not to Pilot full size of the protected offer (protected that rounding, as described, will Securities included in the Control bid). facilitate its compliance with the Group. Rule 11.340(5)(C) specifies how the requirements of the Plan. Exchange will handle certain non- Trade-at Prohibition, subject to the conditions set Retail Liquidity Programs displayed orders to assure that such forth by the SEC’s order exempting these orders would not trade at the price of a transactions from Rule 611 of Regulation NMS. The As proposed, paragraph (d)(4) Protected Quotation. A non-displayed Commission granted New York Stock Exchange LLC specifies that the Exchange does not an exemption from Rule 608(c) related to this order is an order that is not displayed provision. See Exemption Letter, supra note 26. The operate a retail liquidity program, but on the Exchange, and may be a market Exchange is seeking the same exemptions as that if IEX receives an order from a order, limit order or pegged order. requested in the Exemption Request Letters. Member that is identified as a Retail Pegged orders must be non-displayed. As with the corresponding exception under Rule Investor Order or a retail liquidity Reserve Orders are orders with a 611 of Regulation NMS, the bona fide error would providing order, IEX will accept such have to be evidenced by objective facts and displayed and non-displayed portion. circumstances, the Trading Center would have to order if it is in a permissible increment, Currently, a non-displayed order is maintain documentation of such facts and but will disregard identification as a eligible to trade with a resting order on circumstances and record the transaction in its error Retail Investor Order or a retail liquidity the Order Book on entry or to post to the account. To avail itself of the exemption, the providing order. Trading Center would have to establish, maintain, Order Book and trade with an incoming and enforce written policies and procedures Test Group Three Securities order, depending on market conditions reasonably designed to address the occurrence of and the terms of each such order.41 Non- errors and, in the event of an error, the use and As proposed, subparagraph (d)(5) of displayed orders (except for terms of a transaction to correct the error in Rule 11.340 describes how the Exchange compliance with this exemption. Finally, the Discretionary Peg Orders and Primary Trading Center would have to regularly surveil to will handle certain types of orders in Peg Orders), including the non- ascertain the effectiveness of its policies and Pilot Securities in Test Group Three to displayed portion of a Reserve Order, procedures to address errors and transactions to avoid possible execution on the may post and rest on the Order Book at correct errors and take prompt action to remedy Exchange of a non-displayed order at deficiencies in such policies and procedures. See a price that locks contra-side liquidity at Securities Exchange Act Release No. 55884 (June 8, the price of a Protected Quote in a Test 2007), 72 FR 32926 (June 14, 2007). Group Three Pilot Security unless the 41 See Rule 11.230 generally.

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the Midpoint Price, and may execute will be re-priced by the System at a establish specifications and procedures against an incoming order at such price Permitted Non-Displayed Group 3 Book for the implementation and operation of if the resting order’s conditions are met. Price. To reflect increases (declines) in the Plan that are consistent with the For example, if the NBBO is locked at the lowest Protected Offer (highest provisions of the Plan. Likewise, the $10.10 and a midpoint peg buy order is Protected Bid), the System will continue Exchange believes that the proposed resting at $10.10 it will trade with an to re-price a resting non-displayed buy rule change provides interpretations of incoming sell order at $10.10. (sell) order to be equal to the higher the Plan that are consistent with the Accordingly, to prevent non- (lower) of the order’s limit price or a Act, in general, and furthers the displayed resting buy (sell) orders from Permitted Non-Displayed Group 3 Book objectives of the Act, in particular. executing at the price of a Protected Price. Furthermore, the Exchange is a Offer (Bid), subparagraph (d)(5)(C) Block Size Orders Participant under the Plan and subject, provides that, if after being posted to the itself, to the provisions of the Plan. The Order Book, the NBBO or PBBO changes Finally, the Exchange proposes to proposed rule change ensures that the so that such a non-displayed order will specify how it will implement the Block Exchange’s systems would not display Size exception to the Trade-at no longer be executable at its posted or execute trading interests outside the prohibition. Specifically, pursuant to price due to the requirements of requirements specified in such Plan. subparagraph (d)(5)(D) of Rule 11.340, Regulation NMS or the Plan, as The proposal would also help allow the Exchange will utilize the Block Size applicable, the non-displayed order will market participants to continue to trade exception under the following be repriced consistent with NMS Stocks within quoting and trading circumstances: If a non-routable order is subparagraph (d)(5)(C) and IEX Rule requirements that are in compliance of at least Block Size and the resulting 11.190(h). with the Plan, with certainty on how The provisions of subparagraphs execution upon entry against the Order certain orders and trading interests (d)(5)(C)(i) and (ii) describe the manner Book is for at least Block Size, or a would be treated. This, in turn, will in which nondisplayed orders will routable order of at least Block Size is help encourage market participants to function when the order’s booked price sent to the Order Book and the resulting continue to provide liquidity in the is locked or crossed by the PBBO. These execution upon entry is for at least marketplace. provisions change the manner in which Block Size. nondisplayed limit and midpoint peg B. Self-Regulatory Organization’s 2. Statutory Basis orders function. For Discretionary Peg Statement on Burden on Competition orders and primary peg orders, the IEX believes that the proposed rule provision modifies existing change is consistent with the provisions IEX does not believe that the functionality whereby such orders are of Section 6 of the Act,42 in general and proposed rule change will result in any subject to repricing with reference to the furthers the objectives of Sections burden on competition that is not NBBO so that in Test Group Three, such 6(b)(5) of the Act 43 in particular, in that necessary or appropriate in furtherance orders will reprice with reference to the it is designed to promote just and of the purposes of the Act. The PBBO as well. equitable principles of trade, to foster Exchange notes that the proposed rule Specifically, subparagraph (d)(5)(C)(i) cooperation and coordination with change implements the provisions of the provides that a non-displayed resting persons engaged in facilitating Plan, and is designed to assist the buy (sell) order (including the non- transactions in securities, to remove Exchange in meeting its regulatory displayed portion of a reserve order) impediments to and perfect the obligations pursuant to the Plan. The will not execute at the price of a mechanism of a free and open market proposed changes are being made to Protected Bid (Offer) on an away trading and a national market system and, in establish, maintain, and enforce written center unless the incoming order general, to protect investors and the policies and procedures that are qualifies for an exception to the Trade- public interest. The Exchange believes reasonably designed to comply with the at Prohibition. that the proposed rule change is trading and quoting requirements Subparagraph (d)(5)(c)(ii) provides consistent with the Act because it is specified in the Plan, of which other that a non-displayable order (including designed to ensure that the Exchange equities exchanges are also Participants. the non-displayed portion of a reserve and its members would be in Other competing national securities order) that, at the time of entry, could compliance with a Plan approved by the exchanges are subject to the same not be executed at its full limit price, Commission pursuant to an order issued trading and quoting requirements adjusted by applicable peg instructions, by the Commission in reliance on specified in the Plan, and must take the if any, market conditions and all Section 11A of the Act,44 and also same steps that the Exchange has to applicable rules and regulations, will be because it allows the Exchange to make conform its existing rules to the repriced and ranked by the System on changes to its handling of orders and requirements of the Plan. Therefore, the the Order Book non-displayed pursuant modifiers necessary to implement the proposed changes would not impose to the Midpoint Price Constraint at the requirements of the Plan on its System. any burden on competition, while current Midpoint Price (‘‘Permitted Such approved Plan gives the Exchange providing certainty of treatment and Non-Displayed Group 3 Book Price’’). In authority to establish, maintain, and execution of trading interests on the situations where the resulting price for enforce written policies and procedures Exchange to market participants in NMS a buy (sell) order is equal to the lowest that are reasonably designed to comply Stocks that are acting in compliance Protected Offer (highest Protected Bid), with applicable quoting and trading with the requirements specified in the the Permitted Non-Displayed Group 3 requirements specified in the Plan. The Plan. Book Price will be equal to one (1) MPV Exchange believes that the proposed C. Self-Regulatory Organization’s below (above) the lowest Protected Offer rule change is consistent with the Statement on Comments on the (highest Protected Bid). Non-displayed authority granted to it by the Plan to Proposed Rule Change Received From orders (including non-displayed Members, Participants, or Others portions of reserve orders) resting on the 42 15 U.S.C. 78f(b). Order Book whose booked price 43 15 U.S.C. 78f(b)(5). Written comments were neither becomes locked or crossed by the PBBO 44 15 U.S.C. 78k–1. solicited nor received.

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III. Date of Effectiveness of the Paper Comments SECURITIES AND EXCHANGE Proposed Rule Change and Timing for • COMMISSION Commission Action Send paper comments in triplicate to Secretary, Securities and Exchange [Release No. 34–79040; File No. SR–BOX– Because the foregoing proposed rule Commission, 100 F Street NE., 2016–49] change does not: (i) Significantly affect Washington, DC 20549–1090. the protection of investors or the public Self-Regulatory Organizations; BOX interest; (ii) impose any significant All submissions should refer to File Options Exchange LLC; Notice of burden on competition; and (iii) become Number SR–IEX–2016–16. This file Filing and Immediate Effectiveness of operative for 30 days from the date on number should be included on the a Proposed Rule Change To Amend which it was filed, or such shorter time subject line if email is used. To help the the Fee Schedule on the BOX Market as the Commission may designate, it has Commission process and review your LLC (‘‘BOX’’) Options Facility become effective pursuant to Section comments more efficiently, please use October 4, 2016. 19(b)(3)(A) of the Act 45 and Rule 19b– only one method. The Commission will Pursuant to Section 19(b)(1) of the 4(f)(6) thereunder.46 post all comments on the Commission’s Securities Exchange Act of 1934 (the At any time within 60 days of the Internet Web site (http://www.sec.gov/ ‘‘Act’’),1 and Rule 19b–4 thereunder,2 filing of the proposed rule change, the rules/sro.shtml). Copies of the notice is hereby given that on Commission summarily may submission, all subsequent September 30, 2016, BOX Options temporarily suspend such rule change if amendments, all written statements Exchange LLC (the ‘‘Exchange’’) filed it appears to the Commission that such with respect to the proposed rule with the Securities and Exchange action is necessary or appropriate in the change that are filed with the Commission (‘‘Commission’’) the public interest, for the protection of Commission, and all written proposed rule change as described in investors, or otherwise in furtherance of Items I, II, and III below, which Items the purposes of the Act. If the communications relating to the have been prepared by the Exchange. Commission takes such action, the proposed rule change between the The Exchange filed the proposed rule Commission shall institute proceedings Commission and any person, other than change pursuant to Section to determine whether the proposed rule those that may be withheld from the 19(b)(3)(A)(ii) of the Act,3 and Rule should be approved or disapproved. public in accordance with the 19b–4(f)(2) thereunder,4 which renders The Exchange has requested that the provisions of 5 U.S.C. 552, will be the proposal effective upon filing with SEC waive the 30-day operative period. available for Web site viewing and the Commission. The Commission is The Commission believes that waiving printing in the Commission’s Public publishing this notice to solicit the 30-day operative delay is consistent Reference Room, 100 F Street NE., comments on the proposed rule change with the protection of investors and the Washington, DC 20549, on official from interested persons. public interest because it will allow the business days between the hours of Exchange to implement the proposed 10:00 a.m. and 3:00 p.m. Copies of the I. Self-Regulatory Organization’s rules immediately thereby preventing filing also will be available for Statement of the Terms of the Substance delays in the implementation of the inspection and copying at the principal of the Proposed Rule Change Plan. The Commission notes that the office of the Exchange. All comments The Exchange is filing with the Plan is scheduled to start on October 3, received will be posted without change; Securities and Exchange Commission 2016. Therefore, the Commission hereby the Commission does not edit personal (‘‘Commission’’) a proposed rule change waives the 30-day operative delay and identifying information from to amend the Fee Schedule to amend designates the proposed rule change to submissions. You should submit only the Fee Schedule [sic] on the BOX be operative upon filing with the information that you wish to make Market LLC (‘‘BOX’’) options facility. 47 Commission. available publicly. All submissions While changes to the fee schedule IV. Solicitation of Comments should refer to File Number SR–IEX– pursuant to this proposal will be effective upon filing, the changes will Interested persons are invited to 2016–16, and should be submitted on or before November 1, 2016. become operative on October 1, 2016. submit written data, views, and The text of the proposed rule change is arguments concerning the foregoing, For the Commission, by the Division of available from the principal office of the including whether the proposed rule Trading and Markets, pursuant to delegated Exchange, at the Commission’s Public authority.48 change is consistent with the Act. Reference Room and also on the Comments may be submitted by any of Robert W. Errett, Exchange’s Internet Web site at http:// the following methods: Deputy Secretary. boxexchange.com. [FR Doc. 2016–24421 Filed 10–7–16; 8:45 am] Electronic Comments II. Self-Regulatory Organization’s • Use the Commission’s Internet BILLING CODE 8011–01–P Statement of the Purpose of, and comment form (http://www.sec.gov/ Statutory Basis for, the Proposed Rule rules/sro.shtml); or Change • Send an email to rule- In its filing with the Commission, the [email protected]. Please include File Exchange included statements Number SR– IEX–2016–16 on the concerning the purpose of and basis for subject line. the proposed rule change and discussed any comments it received on the 45 15 U.S.C. 78s(b)(3)(A). proposed rule change. The text of these 46 17 CFR 240.19b–4(f)(6). 47 For purposes only of waiving the operative 1 delay for this proposal, the Commission has 15 U.S.C. 78s(b)(1). considered the proposed rule’s impact on 2 17 CFR 240.19b–4. efficiency, competition, and capital formation. See 3 15 U.S.C. 78s(b)(3)(A)(ii). 15 U.S.C. 78c(f). 48 17 CFR 200.30–3(a)(12). 4 17 CFR 240.19b–4(f)(2).

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statements may be examined at the A. Self-Regulatory Organization’s Under the current BVR, the Exchange places specified in Item IV below. The Statement of the Purpose of, and offers a tiered per contract rebate for all Exchange has prepared summaries, set Statutory Basis for, the Proposed Rule Public Customer PIP Orders and COPIP forth in Sections A, B, and C below, of Change orders of 100 contracts and under that the most significant aspects of such do not trade solely with their contra 1. Purpose statements. order. Percentage thresholds are The Exchange proposes to amend the calculated on a monthly basis by totaling the Participant’s PIP and COPIP Fee Schedule for trading on BOX. volume submitted to BOX, relative to Specifically, the Exchange proposes to the total national Customer volume in revise certain qualification thresholds multiply-listed options classes. and fees in Section I.B.2 of the BOX Fee The current per contract rebate for Schedule, the BOX Volume Rebate Participants in PIP and COPIP (‘‘BVR’’). Transactions under the BVR is:

Percentage thresholds of national customer volume Per contract rebate Tier in multiply-listed options classes (all account types) (monthly) PIP COPIP

1 ...... 0.000% to 0.159% ...... ($0.00) ($0.00) 2 ...... 0.160% to 0.339% ...... (0.02) (0.02) 3 ...... 0.340% to 0.999% ...... (0.04) (0.04) 4 ...... 1.000% to 1.249% ...... (0.07) (0.06) 5 ...... 1.250% and Above ...... (0.12) (0.06)

The Exchange proposes to adjust Tier 5 to Tier 4. The quantity submitted Exchange proposes to decrease the fee certain BVR percentage thresholds and will continue to be calculated on a [sic] in the revised Tier 4 for PIP fees within the BVR. Specifically, the monthly basis by totaling the transactions to $0.11 from $0.12. Exchange proposes to eliminate Tier 4 Participant’s PIP and COPIP volume The new BVR set forth in Section and adjust the percentage thresholds in submitted to BOX, relative to the total I.B.2 of the BOX Fee Schedule will be Tier 5 to ‘‘1.000% and Above.’’ The national Customer volume in multiply- as follows: Exchange then proposes to renumber listed options classes. Additionally, the

Percentage thresholds of national customer volume Per contract rebate Tier in multiply-listed options classes (all account types) (monthly) PIP COPIP

1 ...... 0.000% to 0.159% ...... ($0.00) ($0.00) 2 ...... 0.160% to 0.339% ...... (0.02) (0.02) 3 ...... 0.340% to 0.999% ...... (0.04) (0.04) 4 ...... 1.000% and Above ...... (0.11) (0.06)

2. Statutory Basis The Exchange believes it is equitable liquidity on the Exchange. Other The Exchange believes that the and not unfairly discriminatory to exchanges employ similar incentive 6 proposal is consistent with the amend the BVR, as all Participants have programs; and the Exchange believes requirements of Section 6(b) of the Act, the ability to qualify for a rebate, and that the proposed changes to the volume in general, and Section 6(b)(4) and rebates are provided equally to thresholds and rebates are reasonable 6(b)(5)of the Act,5 in particular, in that qualifying Participants. Finally, the and competitive when compared to it provides for the equitable allocation Exchange believes it is reasonable and incentive structures at other exchanges. appropriate to continue to provide of reasonable dues, fees, and other B. Self-Regulatory Organization’s incentives for Public Customers, which charges among BOX Participants and Statement on Burden on Competition other persons using its facilities and will result in greater liquidity and does not unfairly discriminate between ultimately benefit all Participants The Exchange does not believe that customers, issuers, brokers or dealers. trading on the Exchange. the proposed rule change will impose The Exchange believes the proposed BOX believes it is reasonable, any burden on competition not amendments to the BVR in Section I.B.2 equitable and not unfairly necessary or appropriate in furtherance of the BOX Fee Schedule are reasonable, discriminatory to adjust the monthly of the purposes of the Act. The equitable and non-discriminatory. The Percentage Thresholds of National Exchange is simply proposing to revise BVR was adopted to attract Public Customer Volume in Multiply-Listed certain qualification thresholds and fees Customer order flow to the Exchange by Options Classes and their applicable in Section I.B. of the BOX Fee Schedule. offering these Participants incentives to rebates. The volume thresholds and The Exchange believes that the volume submit their PIP and COPIP Orders to rebates are meant to incentivize the Exchange and the Exchange believes Participants to direct order flow to the 6 See Section B of the PHLX Pricing Schedule entitled ‘‘Customer Rebate Program;’’ ISE Gemini’s it is appropriate to now amend the BVR. Exchange to obtain the benefit of the Qualifying Tier Thresholds (page 6 of the ISE rebate, which will in turn benefit all Gemini Fee Schedule); and CBOE’s Volume 5 15 U.S.C. 78f(b)(4) and (5). market participants by increasing Incentive Program (VIP).

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based rebates and fees increase only one method. The Commission will been prepared by the self-regulatory intermarket and intramarket post all comments on the Commission’s organization. The Commission is competition by incenting Participants to Internet Web site (http://www.sec.gov/ publishing this notice to solicit direct their order flow to the exchange, rules/sro.shtml). Copies of the comments on the proposed rule change which benefits all participants by submission, all subsequent from interested persons. providing more trading opportunities amendments, all written statements I. Self-Regulatory Organization’s and improves competition on the with respect to the proposed rule Statement of the Terms of the Substance Exchange. change that are filed with the Commission, and all written of the Proposed Rule Change C. Self-Regulatory Organization’s communications relating to the The Exchange proposes to make non- Statement on Comments on the proposed rule change between the controversial amendments to its rules. Proposed Rule Change Received From Commission and any person, other than The text of the proposed rule change is Members, Participants, or Others those that may be withheld from the available from the principal office of the No written comments were either public in accordance with the Exchange, at the Commission’s Public solicited or received. provisions of 5 U.S.C. 552, will be Reference Room and also on the available for Web site viewing and Exchange’s Internet Web site at http:// III. Date of Effectiveness of the printing in the Commission’s Public boxexchange.com. Proposed Rule Change and Timing for Reference Room, 100 F Street NE., Commission Action II. Self-Regulatory Organization’s Washington, DC 20549 on official Statement of the Purpose of, and The foregoing rule change has become business days between the hours of effective pursuant to Section 10:00 a.m. and 3:00 p.m. Copies of such Statutory Basis for, the Proposed Rule 19(b)(3)(A)(ii) of the Exchange Act 7 and filing also will be available for Change Rule 19b–4(f)(2) thereunder,8 because it inspection and copying at the principal In its filing with the Commission, the establishes or changes a due, or fee. office of the Exchange. All comments self-regulatory organization included At any time within 60 days of the received will be posted without change; statements concerning the purpose of, filing of the proposed rule change, the the Commission does not edit personal and basis for, the proposed rule change Commission summarily may identifying information from and discussed any comments it received temporarily suspend the rule change if submissions. You should submit only on the proposed rule change. The text it appears to the Commission that the information that you wish to make of these statements may be examined at action is necessary or appropriate in the available publicly. All submissions the places specified in Item IV below. public interest, for the protection of should refer to File Number SR–BOX– The self-regulatory organization has investors, or would otherwise further 2016–49, and should be submitted on or prepared summaries, set forth in the purposes of the Act. If the before November 1, 2016. Sections A, B, and C below, of the most Commission takes such action, the For the Commission, by the Division of significant aspects of such statements. Commission shall institute proceedings Trading and Markets, pursuant to delegated A. Self-Regulatory Organization’s to determine whether the proposed rule authority.9 Statement of the Purpose of, and should be approved or disapproved. Robert W. Errett, Statutory Basis for, the Proposed Rule IV. Solicitation of Comments Deputy Secretary. Change [FR Doc. 2016–24425 Filed 10–7–16; 8:45 am] Interested persons are invited to 1. Purpose submit written data, views, and BILLING CODE 8011–01–P The purpose of the proposed rule arguments concerning the foregoing, change is to amend Rule 7130(a) to including whether the proposed rule SECURITIES AND EXCHANGE clarify that the BOX HSVF is no longer change is consistent with the Act. COMMISSION provided to market participants at no Comments may be submitted by any of cost. The BOX HSVF is a proprietary the following methods: [Release No. 34–79037; File No. SR–BOX– 2016–46] product that provides: (i) Trades and Electronic Comments trade cancelation information; (ii) best- • Use the Commission’s Internet Self-Regulatory Organizations; BOX ranked price level to buy and the best- Options Exchange LLC; Notice of comment form (http://www.sec.gov/ ranked price level to sell; (iii) Filing and Immediate Effectiveness of rules/sro.shtml); or instrument summaries (including • Send an email to rule-comments@ a Proposed Rule Change To Make Non- information such as high, low, and last sec.gov. Please include File Number SR– Controversial Amendments to Its trade price and traded volume); (iv) the Rules BOX–2016–49 on the subject line. five best limit prices for each option instrument; (v) request for Quote October 4, 2016. Paper Comments messages; 3 (vi) PIP Order, Improvement Pursuant to Section 19(b)(1) of the • Order and Block Trade Order Send paper comments in triplicate Securities Exchange Act of 1934 (the to Secretary, Securities and Exchange ‘‘Act’’),1 and Rule 19b–4 thereunder,2 (Facilitation and Solicitation) Commission, 100 F Street NE., information; 4 (vii) orders exposed at notice is hereby given that on 5 Washington, DC 20549–1090. September 22, 2016, BOX Options NBBO; (viii) instrument dictionary All submissions should refer to File Exchange LLC (the ‘‘Exchange’’) filed (e.g., strike price, expiration date, Number SR–BOX–2016–49. This file with the Securities and Exchange underlying symbol, price threshold, and number should be included on the Commission (‘‘Commission’’) the minimum trading increment for subject line if email is used. To help the proposed rule change as described in Commission process and review your 3 See Exchange Rules 100(a)(57), 7070(h) and Items I and II below, which Items have 8050. comments more efficiently, please use 4 As set forth in Exchange Rules 7150 and 7270, 9 17 CFR 200.30–3(a)(12). respectively. 7 15 U.S.C. 78s(b)(3)(A)(ii). 1 15 U.S.C. 78s(b)(1). 5 As set forth in Exchange Rules 7130(b)(2) and 8 17 CFR 240.19b–4(f)(2). 2 17 CFR 240.19b–4. 8040(d)(6), respectively.

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instruments traded on BOX); (ix) C. Self-Regulatory Organization’s it appears to the Commission that such options class and instrument status Statement on Comments on the action is necessary or appropriate in the change notices (e.g., whether an Proposed Rule Change Received From public interest, for the protection of instrument or class is in pre-opening, Members, Participants, or Others investors, or otherwise in furtherance of continuous trading, closed, halted, or The Exchange has neither solicited the purposes of the Act. If the prohibited from trading); (x) options nor received comments on the proposed Commission takes such action, the class opening time; and (xi) Public rule change. Commission shall institute proceedings Customer bid/ask volume at the best to determine whether the proposed rule limit. III. Date of Effectiveness of the should be approved or disapproved. Proposed Rule Change and Timing for The Exchange recently amended its Commission Action IV. Solicitation of Comments fees to establish a $750.00 per month fee Because the foregoing proposed rule Interested persons are invited to for receiving the HSVF.6 The Exchange change does not: (i) Significantly affect submit written data, views, and proposes to amend the language in BOX the protection of investors or the public arguments concerning the foregoing, Rule 7130(a)(2) to reflect this change. interest; (ii) impose any significant including whether the proposed rule change is consistent with the Act. 2. Statutory Basis burden on competition; and (iii) become operative for 30 days from the date on Comments may be submitted by any of The Exchange believes that the which it was filed, or such shorter time the following methods: proposal is consistent with the as the Commission may designate, it has Electronic Comments requirements of Section 6(b) of the Act,7 become effective pursuant to Section • Use the Commission’s Internet in general, and Section 6(b)(5) of the 19(b)(3)(A) 10 of the Act and Rule 19b– comment form (http://www.sec.gov/ Act,8 in particular, in that it is designed 4(f)(6) thereunder.11 A proposed rule change filed rules/sro.shtml); or to promote just and equitable principles • Send an email to rule-comments@ pursuant to Rule 19b–4(f)(6) under the of trade, remove impediments to and sec.gov. Please include File Number SR– Act 12 normally does not become perfect the mechanism of a free and BOX–2016–46 on the subject line. open market and a national market operative for 30 days after the date of its system, and, in general protect investors filing. However, Rule 19b–4(f)(6)(iii) 13 Paper Comments and the public interest. The Exchange permits the Commission to designate a • Send paper comments in triplicate believes it is appropriate to make the shorter time if such action is consistent to Secretary, Securities and Exchange proposed change to its rules so that with the protection of investors and the Commission, 100 F Street NE., market participants and investors have public interest. The Exchange has asked Washington, DC 20549–1090. a clear and accurate understanding of the Commission to waive the 30-day All submissions should refer to File the meaning of the Exchange’s rules. By operative delay so that the proposal may Number SR–BOX–2016–46. This file removing obsolete rule text, the become operative immediately upon number should be included on the Exchange is eliminating any potential filing. The Exchange believes that subject line if email is used. To help the for confusion by simplifying the waiver of the 30-day operative delay is Commission process and review your Exchange Rules, ensuring that market consistent with the protection of comments more efficiently, please use participants, regulators and the public investors and the public interest only one method. The Commission will can more easily navigate the Exchange’s because it will allow the Exchange to post all comments on the Commission’s immediately reflect recent amendments Rulebook. The Exchange believes that Internet Web site (http://www.sec.gov/ to its fee schedule, which will eliminate the proposed rule change is not unfairly rules/sro.shtml). Copies of the any potential for confusion.14 The discriminatory because it treats all submission, all subsequent Commission believes that waiving the market participants equally and will not amendments, all written statements 30-day operative delay is consistent have an adverse impact on any market with respect to the proposed rule with the protection of investors and the participant. change that are filed with the public interest. Therefore, the Commission, and all written B. Self-Regulatory Organization’s Commission hereby waives the communications relating to the Statement on Burden on Competition operative delay and designates the proposed rule change between the proposed rule change operative upon Commission and any person, other than The Exchange does not believe that 15 filing. those that may be withheld from the the proposed rule change will result in At any time within 60 days of the public in accordance with the any burden on competition that is not filing of the proposed rule change, the provisions of 5 U.S.C. 552, will be necessary or appropriate in furtherance Commission summarily may available for Web site viewing and of the purposes of the Act. In particular, temporarily suspend such rule change if printing in the Commission’s Public the proposed change simply reflects the Reference Room, 100 F Street NE., recent amendments to the BOX Fee 10 15 U.S.C. 78s(b)(3)(A). Washington, DC 20549 on official Schedule.9 11 17 CFR 240.19b–4(f)(6). As required under Rule As such, the Exchange does business days between the hours of not believe that the proposed rule 19b–4(f)(6)(iii), the Exchange provided the Commission with written notice of its intent to file 10:00 a.m. and 3:00 p.m. Copies of such change will impose any burden on the proposed rule change, along with a brief filing also will be available for competition not necessary or description and the text of the proposed rule change, at least five business days prior to the date inspection and copying at the principal appropriate in furtherance of the office of the Exchange. All comments purposes of the Act. of filing of the proposed rule change, or such shorter time as designated by the Commission. received will be posted without change; 12 17 CFR 240.19b–4(f)(6). the Commission does not edit personal 6 See Securities Exchange Act Release No. 78565 13 17 CFR 240.19b–4(f)(6)(iii). identifying information from (August 12, 2016), 81 FR 55251 (August 18, 2016) 14 See supra note 6. submissions. You should submit only (SR–BOX–2016–40). 15 For purposes only of waiving the 30-day 7 15 U.S.C. 78f(b). operative delay, the Commission has considered the information that you wish to make 8 15 U.S.C. 78f(b)(5). proposed rule’s impact on efficiency, competition, available publicly. All submissions 9 See supra note 6. and capital formation. See 15 U.S.C. 78c(f). should refer to File Number SR–BOX–

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2016–46, and should be submitted on or SECURITIES AND EXCHANGE an Intermarket Sweep Order (‘‘ISO’’) 4 before November 1, 2016. COMMISSION designated Immediate-or-Cancel (‘‘IOC’’) during a Short Sale Period.5 Rule For the Commission, by the Division of 7.16P(f)(5)(F) currently provides that Trading and Markets, pursuant to delegated [Release No. 34–79034; File No. SR– authority.16 NYSEArca–2016–134] during a Short Sale Period, IOC orders will be traded to the extent possible at Robert W. Errett, Self-Regulatory Organizations; NYSE a Permitted Price 6 and higher and then Deputy Secretary. Arca, Inc.; Notice of Filing and cancelled, and the working price will [FR Doc. 2016–24422 Filed 10–7–16; 8:45 am] Immediate Effectiveness of Proposed not be adjusted.7 An IOC ISO with a BILLING CODE 8011–01–P Rule Change Amending Rule 7.16P limit price at or below the NBB, on the other hand, is treated unlike an IOC October 4, 2016. order during a Short Sale Period and SECURITIES AND EXCHANGE Pursuant to Section 19(b)(1) 1 of the similar to a Day ISO. Rule 7.16P(f)(5)(G) COMMISSION Securities Exchange Act of 1934 (the currently provides that a Day ISO will ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 be rejected if the limit price is at or Investment Company Act of 1940; notice is hereby given that, on below the NBB. The Exchange proposes Release No. 32302/October 4, 2016 September 26, 2016, NYSE Arca, Inc. to amend Rule 7.16P(f)(5)(G) to specify (the ‘‘Exchange’’ or ‘‘NYSE Arca’’) filed that an IOC ISO and a Day ISO are both In the Matter of: Advisors Series Trust, 615 with the Securities and Exchange handled in a similar manner by the East Michigan Street, Milwaukee, WI Commission (the ‘‘Commission’’) the Exchange. The Exchange proposes to 53202; Orinda Asset Management, LLC, 4 proposed rule change as described in make this change by deleting the word Orinda Way, Suite 100B, Orinda, CA Items I and II below, which Items have ‘Day’ from Rule 7.16P(f)(5)(G).8 Given 94563; (File No. 812–13889) been prepared by the self-regulatory that during a Short Sale Period, an IOC Order Under Section 38(a) of the organization. The Commission is ISO and a Day ISO are both treated in Investment Company Act of 1940 publishing this notice to solicit a similar manner, the Exchange believes Rescinding a Prior Order comments on the proposed rule change the proposed change will provide from interested persons. specificity to the Exchange’s rules that On September 8, 2016, the I. Self-Regulatory Organization’s during a Short Sale Period, all ISOs will Commission issued a notice (Investment Statement of the Terms of Substance of be rejected if the limit price is at or Company Act Release No. 32254) of its the Proposed Rule Change below the NBB. intention to rescind, at the request of 2. Statutory Basis Advisors Series Trust and Orinda Asset The Exchange proposes to amend Management, LLC, pursuant to section Rule 7.16P. The proposed rule change is The proposed rule change is 9 38(a) of the Investment Company Act of available on the Exchange’s Web site at consistent with Section 6(b) of the Act, 1940 (the ‘‘Act’’), a prior order issued to www.nyse.com, at the principal office of in general, and furthers the objectives of Section 6(b)(5),10 in particular, because Advisors Series Trust and Orinda Asset the Exchange, and at the Commission’s it is designed to prevent fraudulent and Management, LLC under section 6(c) of Public Reference Room. manipulative acts and practices, to the Act that granted an exemption from II. Self-Regulatory Organization’s promote just and equitable principles of section 15(a) of the Act and rule 18f–2 Statement of the Purpose of, and trade, to foster cooperation and under the Act, as well as from certain Statutory Basis for, the Proposed Rule coordination with persons engaged in disclosure requirements (Investment Change facilitating transactions in securities, to Company Act Release No. 30065 (May In its filing with the Commission, the remove impediments to, and perfect the 21, 2012)) (the ‘‘Prior Order’’). self-regulatory organization included mechanism of, a free and open market The notice gave interested persons an statements concerning the purpose of, and a national market system and, in opportunity to request a hearing and and basis for, the proposed rule change general, to protect investors and the stated that an order rescinding the Prior and discussed any comments it received public interest. Order would be issued unless a hearing on the proposed rule change. The text Specifically, the Exchange believes was ordered. No request for a hearing of those statements may be examined at that the proposed rule change would has been filed. the places specified in Item IV below. promote just and equitable principles of The Exchange has prepared summaries, Accordingly, 4 set forth in sections A, B, and C below, An ISO is a Limit Order that does not route and It is ordered, pursuant to section 38(a) of the most significant parts of such meets the requirements of Rule 600(b)(30) of of the Act, that the Prior Order be, and Regulation NMS. See Rule 7.31P(e)(3). statements. 5 Short Sale Period is the period of time that the hereby is, rescinded. A. Self-Regulatory Organization’s Short Sale Price Test remains in effect if the Short By the Commission. Sale Price Test is triggered by the listing market Statement of the Purpose of, and the with respect to a covered security. See Rule Robert W. Errett, Statutory Basis for, the Proposed Rule 7.16P(f)(4). Deputy Secretary. Change 6 Permitted Price is the working price and/or display price adjusted one minimum price [FR Doc. 2016–24427 Filed 10–7–16; 8:45 am] 1. Purpose increment above the current NBB for short sale BILLING CODE 8011–01–P orders during a Short Sale Period that have a The Exchange proposes to amend working price and/or display price equal to or Rule 7.16P (Short Sales). Specifically, lower than the NBB. See Rule 7.16P(f)(5)(A). the Exchange proposes to amend Rule 7 See Rule 7.16P(f)(5)(F). 7.16P(f)(5)(G) regarding the treatment of 8 The Exchange proposes a non-substantive amendment to delete the term ‘‘Order’’ in Rule 7.16P(f)(5)(G) as such term is redundant of the term 1 15 U.S.C. 78s(b)(1). ISO, which includes the term ‘‘Order.’’ 2 15 U.S.C. 78a. 9 15 U.S.C. 78f(b). 16 17 CFR 200.30–3(a)(12). 3 17 CFR 240.19b–4. 10 15 U.S.C. 78f(b)(5).

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trade, and remove impediments to and the Commission to waive the 30-day rules/sro.shtml). Copies of the perfect the mechanism of a free and operative delay so that the proposal may submission, all subsequent open market and a national market become operative immediately upon amendments, all written statements system by ensuring consistency in the filing. According to the Exchange, with respect to the proposed rule treatment of ISOs during a Short Sale during a Short Sale Period, IOC ISOs change that are filed with the Period. The Exchange believes the and Day ISOs are treated in a similar Commission, and all written proposal to amend Rule 7.16P will also manner, and the proposed rule change communications relating to the promote transparency and provide would specify that during a Short Sale proposed rule change between the specificity to the rule, which serves to Period, all ISOs will be rejected if the Commission and any person, other than remove impediments to and perfect the limit price is at or below the NBB. The those that may be withheld from the mechanism of a free and open market Commission believes the waiver of the public in accordance with the and a national market system, and, in operative delay is consistent with the provisions of 5 U.S.C. 552, will be general, to protect investors and the protection of investors and the public available for Web site viewing and public interest. interest. Therefore, the Commission printing in the Commission’s Public hereby waives the operative delay and B. Self-Regulatory Organization’s Reference Room, 100 F Street NE., designates the proposal operative upon Statement on Burden on Competition Washington, DC 20549 on official filing.15 business days between the hours of The Exchange does not believe that At any time within 60 days of the 10:00 a.m. and 3:00 p.m. Copies of the the proposed rule change will impose filing of the proposed rule change, the filing also will be available for any burden on competition that is not Commission summarily may inspection and copying at the principal necessary or appropriate in furtherance temporarily suspend such rule change if office of the Exchange. All comments of the purposes of the Act. The it appears to the Commission that such received will be posted without change; proposed change is not designed to action is necessary or appropriate in the the Commission does not edit personal address any competitive issue but rather public interest, for the protection of identifying information from to make amendments to the manner in investors, or otherwise in furtherance of submissions. You should submit only which ISOs are handled during a Short the purposes of the Act. If the information that you wish to make Sale Period. Commission takes such action, the available publicly. All submissions C. Self-Regulatory Organization’s Commission shall institute proceedings should refer to File Number SR– Statement on Comments on the to determine whether the proposed rule NYSEArca–2016–134 and should be Proposed Rule Change Received From change should be approved or submitted on or before November 1, Members, Participants, or Others disapproved. 2016. No written comments were solicited IV. Solicitation of Comments For the Commission, by the Division of or received with respect to the proposed Interested persons are invited to Trading and Markets, pursuant to delegated rule change. submit written data, views, and authority.16 Robert W. Errett, III. Date of Effectiveness of the arguments concerning the foregoing, Deputy Secretary. Proposed Rule Change and Timing for including whether the proposed rule Commission Action change is consistent with the Act. [FR Doc. 2016–24419 Filed 10–7–16; 8:45 am] Comments may be submitted by any of BILLING CODE 8011–01–P Because the proposed rule change the following methods: does not (i) significantly affect the protection of investors or the public Electronic Comments SMALL BUSINESS ADMINISTRATION interest; (ii) impose any significant • Use the Commission’s Internet burden on competition; and (iii) become comment form (http://www.sec.gov/ [Disaster Declaration #14886 and #14887] operative for 30 days from the date on rules/sro.shtml); or which it was filed, or such shorter time • Send an email to rule-comments@ Florida Disaster #FL–00118 as the Commission may designate, it has sec.gov. Please include File Number SR– AGENCY: U.S. Small Business become effective pursuant to Section NYSEArca–2016–134 on the subject Administration. 19(b)(3)(A) of the Act 11 and Rule 19b– line. ACTION: Notice. 4(f)(6) thereunder.12 Paper Comments A proposed rule change filed SUMMARY: This is a Notice of the • pursuant to Rule 19b–4(f)(6) under the Send paper comments in triplicate Presidential declaration of a major Act 13 normally does not become to Brent J. Fields, Secretary, Securities disaster for the State of FLORIDA operative for 30 days after the date of its and Exchange Commission, 100 F Street (FEMA–4280–DR), dated 09/28/2016. filing. However, Rule 19b–4(f)(6)(iii) 14 NE., Washington, DC 20549–1090. Incident: Hurricane Hermine. permits the Commission to designate a All submissions should refer to File Incident Period: 08/31/2016 through shorter time if such action is consistent Number SR–NYSEArca–2016–134. This 09/11/2016. with the protection of investors and the file number should be included on the Effective Date: 09/28/2016. public interest. The Exchange has asked subject line if email is used. To help the Physical Loan Application Deadline Commission process and review your Date: 11/28/2016. 11 15 U.S.C. 78s(b)(3)(A). comments more efficiently, please use Economic Injury (EIDL) Loan 12 17 CFR 240.19b–4(f)(6). As required under Rule only one method. The Commission will Application Deadline Date: 06/28/2017. 19b–4(f)(6)(iii), the Exchange provided the Commission with written notice of its intent to file post all comments on the Commission’s ADDRESSES: Submit completed loan the proposed rule change, along with a brief Internet Web site (http://www.sec.gov/ applications to: U.S. Small Business description and the text of the proposed rule Administration, Processing and change, at least five business days prior to the date 15 For purposes only of waiving the 30-day Disbursement Center, 14925 Kingsport of filing of the proposed rule change, or such operative delay, the Commission has also shorter time as designated by the Commission. considered the proposed rule’s impact on Road, Fort Worth, TX 76155. 13 17 CFR 240.19b–4(f)(6). efficiency, competition, and capital formation. See 14 17 CFR 240.19b–4(f)(6)(iii). 15 U.S.C. 78c(f). 16 17 CFR 200.30–3(a)(12).

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FOR FURTHER INFORMATION CONTACT: A. SMALL BUSINESS ADMINISTRATION (Catalog of Federal Domestic Assistance Escobar, Office of Disaster Assistance, Number 59008) U.S. Small Business Administration, [Disaster Declaration #14888 and #14889] James E. Rivera, 409 3rd Street SW., Suite 6050, Associate Administrator for Disaster Washington, DC 20416. Florida Disaster #FL–00119 Assistance. SUPPLEMENTARY INFORMATION: Notice is AGENCY: U.S. Small Business [FR Doc. 2016–24383 Filed 10–7–16; 8:45 am] hereby given that as a result of the Administration. BILLING CODE 8025–01–P President’s major disaster declaration on ACTION: Notice. 09/28/2016, applications for disaster SMALL BUSINESS ADMINISTRATION loans may be filed at the address listed SUMMARY: This is a Notice of the above or other locally announced Presidential declaration of a major National Small Business Development locations. disaster for Public Assistance Only for Center Advisory Board the State of FLORIDA (FEMA–4280– The following areas have been DR), dated 09/28/2016. determined to be adversely affected by AGENCY: U.S. Small Business Incident: Hurricane Hermine. Administration (SBA). the disaster: Incident Period: 08/31/2016 through ACTION: Notice of open Federal Advisory 09/11/2016. Primary Counties (Physical Damage and Committee meetings. Economic Injury Loans): Citrus, Effective Date: 09/28/2016. Dixie, Hernando, Hillsborough, Physical Loan Application Deadline SUMMARY: The SBA is issuing this notice Leon, Levy, Pasco, Pinellas. Date: 11/28/2016. to announce the location, date, time and Economic Injury (EIDL) Loan Contiguous Counties (Economic Injury agenda for the 1st quarter meetings of Application Deadline Date: 06/28/2017. Loans Only): the National Small Business ADDRESSES: Submit completed loan Development Center (SBDC) Advisory Florida: Alachua, Gadsden, Gilchrist, applications to: U.S. Small Business Board. Hardee, Jefferson, Lafayette, Liberty, Administration, Processing and Manatee, Marion, Polk, Sumter, Disbursement Center, 14925 Kingsport DATES: The meetings for the 1st quarter Taylor, Wakulla. Road, Fort Worth, TX 76155. will be held on the following dates: Georgia: Grady, Thomas. FOR FURTHER INFORMATION CONTACT: A. Tuesday, October 18, 2016 at l:00 pm The Interest Rates are: Escobar, Office of Disaster Assistance, EST Tuesday, November 15, 2016 at U.S. Small Business Administration, 1:00 pm EST Percent 409 3rd Street SW., Suite 6050, Tuesday, December 20, 2016 at 1:00 pm Washington, DC 20416. EST For Physical Damage: SUPPLEMENTARY INFORMATION: Notice is ADDRESSES: These meetings will be held Homeowners With Credit Avail- hereby given that as a result of the via conference call. able Elsewhere ...... 3.125 President’s major disaster declaration on FOR FURTHER INFORMATION CONTACT: Homeowners Without Credit 09/28/2016, Private Non-Profit The Available Elsewhere ...... 1.563 organizations that provide essential meeting is open to the public however Businesses With Credit Avail- advance notice of attendance is able Elsewhere ...... 6.250 services of governmental nature may file disaster loan applications at the address requested. Anyone wishing to be a Businesses Without Credit listening participant must contact Available Elsewhere ...... 4.000 listed above or other locally announced locations. Monika Nixon by fax or email. Her Non-Profit Organizations With contact information is Monika Nixon, Credit Available Elsewhere ... 2.625 The following areas have been determined to be adversely affected by Program Specialist, 409 Third Street Non-Profit Organizations With- SW., Washington, DC 20416, Phone out Credit Available Else- the disaster: where ...... 2.625 202–205–7310, Fax 202–481–5624, Primary Counties: Citrus, Dixie, email, [email protected]. For Economic Injury: Franklin, Jefferson, Lafayette, Leon, Additionally, if you need Businesses & Small Agricultural Levy, Liberty, Madison, Pasco, accommodations because of a disability Cooperatives Without Credit Pinellas, Suwannee, Taylor, Available Elsewhere ...... 4.000 or require additional information, please Wakulla Non-Profit Organizations With- contact Monika Nixon at the The Interest Rates are: out Credit Available Else- information above. where ...... 2.625 Percent SUPPLEMENTARY INFORMATION: Pursuant to section 10(a) of the Federal Advisory The number assigned to this disaster For Physical Damage: Committee Act (5 U.S.C. Appendix 2), for physical damage is 148868 and for Non-Profit Organizations SBA announces the meetings of the economic injury is 148870. With Credit Available Elsewhere ...... 2.625 National SBDC Advisory Board. This (Catalog of Federal Domestic Assistance Non-Profit Organizations Board provides advice and counsel to Number 59008) Without Credit Avail- the SBA Administrator and Associate able Elsewhere ...... 2.625 Administrator for Small Business James E. Rivera, For Economic Injury: Development Centers. Associate Administrator for Disaster Non-Profit Organizations The purpose of these meetings is to Assistance. Without Credit Avail- discuss following issues pertaining to [FR Doc. 2016–24384 Filed 10–7–16; 8:45 am] able Elsewhere ...... 2.625 the SBDC Advisory Board: BILLING CODE 8025–01–P The number assigned to this disaster —SBA Update for physical damage is 148888 and for —Annual Meetings economic injury is 148898. —Board Assignments

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—Member Roundtable • Form Number: DS–7781. Democratic Republic of the Congo, and • Respondents: Immigrant Visa families in similar situations. This form Miguel L. Heureux, Petitioners. collects information to determine the White House Liaison. • Estimated Number of Respondents: extra visa renewal fees these families [FR Doc. 2016–24385 Filed 10–7–16; 8:45 am] 600. have paid and refund them in BILLING CODE P • Estimated Number of Responses: accordance with the Adoptive Family 600. Relief Act. • Average Time per Response: 5 DEPARTMENT OF STATE Minutes. Methodology • Total Estimated Burden Time: 50 The collection is hosted on the [Public Notice: 9750] Hours. Department of State’s Web site and is • Frequency: On Occasion. printed and filled out by the individual, 30-Day Notice of Proposed Information • Collection: Adoptive Family Relief Act Obligation To Respond: Required to and submitted by mail or in person to Refund Application Obtain or Retain a Benefit. the Consular Section where the We are soliciting public comments to adoption case was originally processed. ACTION: Notice of request for public permit the Department to: • Evaluate whether the proposed Dated: August 26, 2016. comment and submission to OMB of Karin King, proposed collection of information. information collection is necessary for the proper functions of the Department. Acting Deputy Assistant Secretary, Bureau SUMMARY: The Department of State has • Evaluate the accuracy of our of Consular Affairs, Department of State. submitted the information collection estimate of the time and cost burden for [FR Doc. 2016–24484 Filed 10–7–16; 8:45 am] described below to the Office of this proposed collection, including the BILLING CODE 4710–06–P Management and Budget (OMB) for validity of the methodology and approval. In accordance with the assumptions used. Paperwork Reduction Act of 1995 we • Enhance the quality, utility, and DEPARTMENT OF STATE are requesting comments on this clarity of the information to be [Public Notice: 9751] collection from all interested collected. individuals and organizations. The • Minimize the reporting burden on 30-Day Notice of Proposed Information purpose of this Notice is to allow 30 those who are to respond, including the Collection: Application for A, G, or days for public comment. use of automated collection techniques NATO Visa DATES: Submit comments directly to the or other forms of information technology. ACTION: Notice of request for public Office of Management and Budget comment and submission to OMB of (OMB) up to November 10, 2016. Please note that comments submitted in response to this Notice are public proposed collection of information. ADDRESSES: Direct comments to the record. Before including any detailed SUMMARY: The Department of State has Department of State Desk Officer in the personal information, you should be submitted the information collection Office of Information and Regulatory aware that your comments as submitted, described below to the Office of Affairs at the Office of Management and including your personal information, Management and Budget (OMB) for Budget (OMB). You may submit will be available for public review. comments by the following methods: approval. In accordance with the • Email: oira_submission@ Abstract of Proposed Collection Paperwork Reduction Act of 1995 we omb.eop.gov. You must include the DS The Adoptive Family Relief Act (Pub. are requesting comments on this form number, information collection L. 114–70) amended Section 221(c) of collection from all interested title, and the OMB control number in the Immigration and Nationality Act individuals and organizations. The the subject line of your message. (INA), 8 U.S.C. 1201(c), to allow for the purpose of this Notice is to allow 30 • Fax: 202–395–5806. Attention: Desk waiver or refund of certain immigrant days for public comment. Officer for Department of State. visa fees for a lawfully adopted child, or DATES: Submit comments directly to the FOR FURTHER INFORMATION CONTACT: a child coming to the United States to Office of Management and Budget Direct requests for additional be adopted by a United States citizen, (OMB) up to November 10, 2016. information regarding the collection subject to criteria prescribed by the ADDRESSES: Direct comments to the listed in this notice, including requests Secretary of State. Over 350 American Department of State Desk Officer in the for copies of the proposed collection families have successfully adopted Office of Information and Regulatory instrument and supporting documents, children from the Democratic Republic Affairs at the Office of Management and to Andrea Lage, who may be reached at of the Congo. However, since September Budget (OMB). You may submit [email protected]. You 25, 2013, they have not been able to comments by the following methods: must include the DS form number, bring their adoptive children home to • Email: oira_submission@ information collection, and the OMB the United States because the omb.eop.gov. You must include the DS control number in correspondence. DO Democratic Republic of the Congo form number, information collection NOT submit any completed Department suspended the issuance of ‘‘exit title, and the OMB control number in of State visa forms to this email or any permits’’ for these children. As the the subject line of your message. case inquiry to this email box. permit suspension drags on, however, • Fax: 202–395–5806. Attention: Desk SUPPLEMENTARY INFORMATION: American families are repeatedly paying Officer for Department of State. • Title of Information Collection: visa renewal and related fees, while also FOR FURTHER INFORMATION CONTACT: Adoptive Family Relief Act Refund continuing to be separated from their Direct requests for additional Application. adopted children. information regarding the collection • OMB Control Number: 1405–0223. The waiver or refund provides listed in this notice, including requests • Type of Request: Extension of support and relief to American families for copies of the proposed collection Currently Approved Collection. seeking to bring their adoptive children instrument and supporting documents, • Originating Office: CA/VO/L/R. home to the United States from the to Andrea Lage, who may be reached at

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[email protected]. You displaying a bar coded record locator, • Type of Request: Extension of the must include the DS form number, which will be scanned by Department of Currently Approved Collection. information collection, and the OMB State staff at the time of processing. • Originating Office: CA/VO/L/R. • control number in correspondence. DO Dated: August 25, 2016. Form Number: DS–156E. • Respondents: E visa applicants who NOT submit any completed Department Karin King, of State visa forms to this email or any are deemed essential employees. Acting Deputy Assistant Secretary, Bureau • Estimated Number of Respondents: case inquiry to this email box. of Consular Affairs, Department of State. SUPPLEMENTARY INFORMATION: 48,600. [FR Doc. 2016–24485 Filed 10–7–16; 8:45 am] • • Title of Information Collection: Estimated Number of Responses: BILLING CODE 4710–06–P 48,600. Application for A, G, or NATO Visa. • • OMB Control Number: 1405–0100. Average Time per Response: 4 • Type of Request: Extension of a hours. DEPARTMENT OF STATE • Currently Approved Collection. Total Estimated Burden Time: • Originating Office: CA/VO/L/R. [Public Notice: 9752] 194,400. • • Form Number: DS–1648. Frequency: On Occasion. • • Respondents: Foreign Government 30-Day Notice of Proposed Information Obligation to Respond: Required to Officials Collection: Nonimmigrant Treaty Obtain Benefit. • Estimated Number of Respondents: Trader/Investor Application We are soliciting public comments to 150,000. permit the Department to: ACTION: Notice of request for public • • Estimated Number of Responses: Evaluate whether the proposed comment and submission to OMB of 150,000. information collection is necessary for • Average Time per Response: 30 proposed collection of information. the proper functions of the Department. • Evaluate the accuracy of our minutes. SUMMARY: The Department of State has • estimate of the time and cost burden for Total Estimated Burden Time: submitted the information collection this proposed collection, including the 75,000. described below to the Office of • validity of the methodology and Frequency: On Occasion. Management and Budget (OMB) for • assumptions used. Obligation to Respond: Required to approval. In accordance with the • Enhance the quality, utility, and Obtain or Retain a Benefit. Paperwork Reduction Act of 1995 we clarity of the information to be We are soliciting public comments to are requesting comments on this collected. permit the Department to: collection from all interested • • Minimize the reporting burden on Evaluate whether the proposed individuals and organizations. The those who are to respond, including the information collection is necessary for purpose of this Notice is to allow 30 use of automated collection techniques the proper functions of the Department. days for public comment. • Evaluate the accuracy of our or other forms of information estimate of the time and cost burden for DATES: Submit comments directly to the technology. this proposed collection, including the Office of Management and Budget Please note that comments submitted validity of the methodology and (OMB) up to November 10, 2016. in response to this notice are public assumptions used. ADDRESSES: Direct comments to the record. Before including any detailed • Enhance the quality, utility, and Department of State Desk Officer in the personal information, you should be clarity of the information to be Office of Information and Regulatory aware that your comments as submitted, collected. Affairs at the Office of Management and including your personal information, • Minimize the reporting burden on Budget (OMB). You may submit will be available for public review. those who are to respond, including the comments by the following methods: • _ Abstract of Proposed Collection use of automated collection techniques Email: oira submission@ or other forms of information omb.eop.gov. You must include the DS Section 101(a)(15)(E) of the technology. form number, information collection Immigration and Nationality Act (INA), Please note that comments submitted title, and the OMB control number in 8 U.S.C. 1101(a)(15)(E), provides the subject line of your message. nonimmigrant status for a national of a in response to this Notice are public • record. Before including any detailed Fax: 202–395–5806. Attention: Desk country with which the United States personal information, you should be Officer for Department of State. maintains an appropriate treaty of aware that your comments as submitted, FOR FURTHER INFORMATION CONTACT: commerce and navigation who is including your personal information, Direct requests for additional coming to the United States to: (i) Carry will be available for public review. information regarding the collection on substantial trade, including trade in listed in this notice, including requests services or technology, principally Abstract of Proposed Collection for copies of the proposed collection between the United States and the treaty The Department of State uses Form instrument and supporting documents, country; or (ii) develop and direct the DS–1648 to solicit information from to Andrea Lage, who may be reached at operations of an enterprise in which the applicants for a renewal of an A, G, or [email protected]. You national has invested, or is actively in NATO visa, excluding A–3, G–5, and must include the DS form number, the process of investing. Form DS–156E NATO–7 classifications. INA information collection, and the OMB is completed by foreign nationals 101(a)(15)(A) and (G) and 22 CFR 41.12 control number in correspondence. DO seeking nonimmigrant treaty trader/ and 41.25 describe the criteria for these NOT submit any completed Department investor visas to the United States. The nonimmigrant visa classifications. of State visa forms to this email or any Department uses the DS–156E to elicit case inquiry to this email box. information necessary to determine a Methodology SUPPLEMENTARY INFORMATION: foreign national’s visa eligibility. The DS–1648 is submitted • Title of Information Collection: Methodology electronically to the Department via the Nonimmigrant Treaty Trader/Investor Internet. The applicant will be Application. After completing Form DS–160, instructed to print a confirmation page • OMB Control Number: 1405–0101. Online Nonimmigrant Visa Applicant,

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certain applicants for treaty trader/ that each citizen of the United States is with, and serving the judicial branches investor status will fill out the DS–156E provided ready access to a fair and of state governments (42 U.S.C. online, download it, and submit it in effective system of justice; 10705(b)(1)(B)). person or via mail to the consular post • Foster coordination and C. National nonprofit organizations processing his/her nonimmigrant visa cooperation with the federal judiciary; for the education and training of judges application. • Promote recognition of the and support personnel of the judicial branch of state governments (42 U.S.C. Dated August 1, 2016. importance of the separation of powers doctrine to an independent judiciary; 10705(b)(1)(C)). An applicant is Meredith McEvoy, and considered a national education and Acting Deputy Assistant Secretary, Bureau • Encourage education for judges and training applicant under section of Consular of Affairs, Department of State. support personnel of state court systems 10705(b)(1)(C) if: [FR Doc. 2016–24483 Filed 10–7–16; 8:45 am] through national and state 1. The principal purpose or activity of BILLING CODE 4710–06–P organizations. the applicant is to provide education To accomplish these broad objectives, and training to state and local judges SJI is authorized to provide funding to and court personnel; and STATE JUSTICE INSTITUTE state courts, national organizations 2. The applicant demonstrates a which support and are supported by record of substantial experience in the Grant Guideline, Notice state courts, national judicial education field of judicial education and training. D. Other eligible grant recipients (42 AGENCY: State Justice Institute. organizations, and other organizations that can assist in improving the quality U.S.C. 10705 (b)(2)(A)–(D)). ACTION: Grant Guideline for FY 2017. of justice in the state courts. SJI is 1. Provided that the objectives of the project can be served better, the Institute SUMMARY: This Guideline sets forth the supervised by a Board of Directors appointed by the President, with the is also authorized to make awards to: administrative, programmatic, and a. Nonprofit organizations with advice and consent of the Senate. The financial requirements attendant to expertise in judicial administration; Board is statutorily composed of six Fiscal Year 2017 State Justice Institute b. Institutions of higher education; grants. judges; a state court administrator; and c. Individuals, partnerships, firms, DATES: October 11, 2016. four members of the public, no more corporations (for-profit organizations than two of the same political party. must waive their fees); and FOR FURTHER INFORMATION CONTACT: Through the award of grants, Jonathan Mattiello, Executive Director, d. Private agencies with expertise in contracts, and cooperative agreements, judicial administration. State Justice Institute, 11951 Freedom SJI is authorized to perform the Drive, Suite 1020, Reston, VA 20190, 2. SJI may also make awards to state following activities: or local agencies and institutions other 571–313–8843, jonathan.mattiello@ A. Support technical assistance, sji.gov. than courts for services that cannot be demonstrations, special projects, adequately provided through SUPPLEMENTARY INFORMATION: Pursuant research and training to improve the nongovernmental arrangements (42 to the State Justice Institute Act of 1984 administration of justice in the state U.S.C. 10705(b)(3)). (42 U.S.C. 10701, et seq.), SJI is courts; E. Inter-agency Agreements. SJI may authorized to award grants, cooperative B. Provide for the preparation, enter into inter-agency agreements with agreements, and contracts to state and publication, and dissemination of federal agencies (42 U.S.C. 10705(b)(4)) local courts, nonprofit organizations, information regarding state judicial and private funders to support projects and others for the purpose of improving systems; consistent with the purposes of the State the quality of justice in the state courts C. Participate in joint projects with Justice Institute Act. of the United States. federal agencies and other private SJI is prohibited from awarding grants The following Grant Guideline is grantors; to federal, tribal, and international adopted by the State Justice Institute for D. Evaluate or provide for the courts. FY 2017. evaluation of programs and projects to determine their impact upon the quality III. Scope of the Program Table of Contents of criminal, civil, and juvenile justice SJI is offering six types of grants in FY I. The Mission of the State Justice Institute and the extent to which they have 2017: Project Grants, Technical II. Eligibility for Award contributed to improving the quality of Assistance (TA) Grants, Curriculum III. Scope of the Program justice in the state courts; Adaptation and Training (CAT) Grants, IV. Grant Applications E. Encourage and assist in furthering Partner Grants, Strategic Initiatives V. Grant Application Review Procedures judicial education; and, Grants (SIG) Program, and the Education VI. Compliance Requirements F. Encourage, assist, and serve in a Support Program (ESP). VII. Financial Requirements consulting capacity to state and local The SJI Board of Directors has VIII. Grant Adjustments courts in the development, established Priority Investment Areas for grant funding. SJI will allocate I. The Mission of the State Justice maintenance, and coordination of significant financial resources through Institute criminal, civil, and juvenile justice programs and services. grant-making for these Priority SJI was established by State Justice Investment Areas (in no ranking order): Institute Authorization Act of 1984 (42 II. Eligibility for Award • Language Access and the State U.S.C. 10701 et seq.) to improve the SJI is authorized by Congress to award Courts—improving language access in administration of justice in the state grants, cooperative agreements, and the state courts through remote courts of the United States. Incorporated contracts to the following entities and interpretation (outside the courtroom), in the State of Virginia as a private, types of organizations: interpreter certification, and courtroom nonprofit corporation, SJI is charged, by A. State and local courts and their services (plain language forms, Web statute, with the responsibility to: agencies (42 U.S.C. 10705(b)(1)(A)). sites, etc.). • Direct a national program of B. National nonprofit organizations • Self-Represented Litigation— financial assistance designed to assure controlled by, operating in conjunction promoting court-based self-help centers,

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online services, and increasing the use ordinarily not exceed $300,000. associations to modify and adapt model of court-based volunteer attorney Examples of expenses not covered by curricula, course modules, or programs. Project Grants include the salaries, conference programs to meet states’ or • Reengineering to Improve Court benefits, or travel of full-or part-time local jurisdictions’ educational needs; Services and Performance—Assisting court employees. Grant periods for train instructors to present portions or courts with the process of reengineering, Project Grants ordinarily may not all of the curricula; and pilot-test them regionalization or centralization of exceed 36 months. to determine their appropriateness, services, structural changes, improving Applicants for Project Grants will be quality, and effectiveness, or (2) conduct performance, and reducing cost to required to contribute a cash match of judicial branch education and training taxpayers while providing access to not less than 50 percent of the total cost programs, led by either expert or in- justice. of the proposed project. In other words, house personnel, designed to prepare • Remote Technology—supporting grant awards by SJI must be matched at judges and court personnel for the innovative use of technology to least dollar for dollar by grant innovations, reforms, and/or new improve the business operations of applicants. Applicants may contribute technologies recently adopted by courts and enhance services outside the the required cash match directly or in grantee courts. CAT Grants may not courtroom. This includes cooperation with third parties. exceed $30,000. Examples of expenses videoconferencing, online access, Prospective applicants should carefully not covered by CAT Grants include the educational services, and remote court review Section VI.8. (matching salaries, benefits, or travel of full-or proceedings. requirements) and Section VI.16.a. (non- part-time court employees. Grant • Human Trafficking and the State supplantation) of the Guideline prior to periods for CAT Grants ordinarily may Courts—Through the Human Trafficking beginning the application process. not exceed 12 months. and the State Courts Collaborative, Funding from other federal departments Applicants for CAT Grants will be addressing the impact of federal and or agencies may not be used for cash required to contribute a match of not state human trafficking laws on the state match. If questions arise, applicants are less than 50 percent of the grant amount courts, and the challenges faced by state strongly encouraged to consult SJI. requested, of which 20 percent must be courts in dealing with cases involving As set forth in Section I., SJI is cash. In other words, an applicant trafficking victims and their families. authorized to fund projects addressing a seeking a $30,000 CAT grant must • Guardianship, Conservatorship, and broad range of program areas. Funding provide a $15,000 match, of which up Elder Issues—assisting courts in will not be made available for the to $12,000 can be in-kind and not less improving and increasing use of court- ordinary, routine operations of court than $3,000 must be cash. Funding from based volunteer attorney programs. systems. other federal departments and agencies • Juvenile Justice—innovative B. Technical Assistance (TA) Grants may not be used for cash match. CAT projects that have no other existing or Grant application procedures can be potential funding sources (federal, state, TA Grants are intended to provide found in section IV.C. or private) that will advance best state or local courts, or regional court practices in handling dependency and associations, with sufficient support to D. Partner Grants delinquency cases; promote effective obtain expert assistance to diagnose a Partner Grants are intended to allow court oversight of juveniles in the problem, develop a response to that SJI and federal, state, or local agencies justice system; address the impact of problem, and implement any needed or foundations, trusts, or other private trauma on juvenile behavior; assist the changes. TA Grants may not exceed entities to combine financial resources courts in identification of appropriate $50,000. Examples of expenses not in pursuit of common interests. SJI and provision of services for juveniles; and covered by TA Grants include the its financial partners may set any level address juvenile re-entry. salaries, benefits, or travel of full-or for Partner Grants, subject to the entire • Fines, Fees, and Bail Practices— part-time court employees. Grant amount of the grant being available at Assisting courts in taking a leadership periods for TA Grants ordinarily may the time of the award. Grant periods for role in reviewing fines, fees, and bail not exceed 12 months. In calculating Partner Grants ordinarily may not practices to ensure processes are fair project duration, applicants are exceed 36 months. and access to justice is assured; cautioned to fully consider the time Partner Grants are subject to the same implementing alternative forms of required to issue a request for proposals, cash match requirement as Project sanction; developing processes for negotiate a contract with the selected Grants. In other words, grant awards by indigency review; and transparency, provider, and execute the project. SJI must be matched at least dollar-for- governance, and structural reforms that Applicants for TA Grants will be dollar. Partner Grants are initiated and promote access to justice, required to contribute a total match of coordinated by SJI and its financial accountability, and oversight. Projects not less than 50 percent of the grant partner. More information on Partner that address this Priority Investment amount requested, of which 20 percent Grants can be found in section IV.D. Area will inform the work of the must be cash. In other words, an E. Strategic Initiatives Grants Conference of Chief Justices/Conference applicant seeking a $50,000 TA grant of State Court Administrators (CCJ/ must provide a $25,000 match, of which The Strategic Initiatives Grants (SIG) COSCA) National Task Force on Fines, up to $20,000 can be in-kind and not program provides SJI with the flexibility Fees, and Bail Practices. less than $5,000 must be cash. Funding to address national court issues as they from other federal departments and occur, and develop solutions to those A. Project Grants agencies may not be used for cash problems. This is an innovative Project Grants are intended to support match. TA Grant application procedures approach where SJI uses its expertise innovative education and training, can be found in section IV.B. and the expertise and knowledge of its research and evaluation, demonstration, grantees to address key issues facing and technical assistance projects that C. Curriculum Adaptation and Training state courts across the United States. can improve the administration of (CAT) Grants The funding is used for grants or justice in state courts locally or CAT Grants are intended to: (1) contractual services, and is handled at nationwide. Project Grants may Enable courts or national court the discretion of the SJI Board of

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Directors and staff outside the normal c. Budget Form (Form C) Priority Investment Areas. If the project grant application process (i.e., SJI will Applicants must submit a Form C. In does not address one or more Priority initiate the project). addition, applicants must provide a Investment Areas, the applicant must provide an explanation why not. F. Education Support Program (ESP) for detailed budget narrative providing an Judges and Court Managers explanation of the basis for the b. Need for the Project estimates in each budget category (see The Education Support Program (ESP) If the project is to be conducted in any subsection A.4. below). specific location(s), the applicant is intended to enhance the skills, If funds from other sources are should discuss the particular needs of knowledge, and abilities of state court required to conduct the project, either as the project site(s) to be addressed by the judges and court managers by enabling match or to support other aspects of the project and why those needs are not them to attend out-of-state, or to enroll project, the source, current status of the being met through the use of existing in online, educational and training request, and anticipated decision date programs, procedures, services, or other programs sponsored by national and must be provided. state providers that they could not resources. If the project is not site-specific, the otherwise attend or take online because d. Assurances (Form D) applicant should discuss the problems of limited state, local, and personal This form lists the statutory, that the proposed project would budgets. An ESP award only covers the regulatory, and policy requirements address, and why existing programs, cost of tuition up to a maximum of with which recipients of Institute funds procedures, services, or other resources $1,000 per award. ESP application must comply. cannot adequately resolve those procedures can be found in section IV.E. e. Disclosure of Lobbying Activities problems. In addition, the applicant IV. Grant Applications (Form E) should describe how, if applicable, the project will be sustained in the future A. Project Grants Applicants other than units of state or local government are required to through existing resources. An application for a Project Grant disclose whether they, or another entity The discussion should include must include an application form; that is part of the same organization as specific references to the relevant budget forms (with appropriate the applicant, have advocated a position literature and to the experience in the documentation); a project abstract and before Congress on any issue, and to field. SJI continues to make all grant program narrative; a disclosure of identify the specific subjects of their reports and most grant products lobbying form, when applicable; and lobbying efforts (see section VI.A.7.). available online through the National certain certifications and assurances Center for State Courts (NCSC) Library (see below). See www.sji.gov/forms for 2. Project Abstract and Digital Archive. Applicants are Project Grant application forms. The abstract should highlight the required to conduct a search of the purposes, goals, methods, and NCSC Library and Digital Archive on 1. Forms anticipated benefits of the proposed the topic areas they are addressing. This a. Application Form (Form A) project. It should not exceed 1 single- search should include SJI-funded grants, spaced page. and previous projects not supported by The application form requests basic SJI. Searches for SJI grant reports and information regarding the proposed 3. Program Narrative other state court resources begin with project, the applicant, and the total The program narrative for an the NCSC Library section. Applicants amount of funding requested from SJI. It application may not exceed 25 double- must discuss the results of their also requires the signature of an spaced pages. The pages should be research; how they plan to incorporate individual authorized to certify on numbered. This page limit does not the previous work into their proposed behalf of the applicant that the include the forms, the abstract, the project; and if the project will information contained in the budget narrative, and any appendices differentiate from prior work. application is true and complete; that containing resumes and letters of c. Tasks, Methods and Evaluations submission of the application has been cooperation or endorsement. Additional authorized by the applicant; and that if background material should be attached (1) Tasks and Methods. The applicant funding for the proposed project is only if it is essential to impart a clear should delineate the tasks to be approved, the applicant will comply understanding of the proposed project. performed in achieving the project with the requirements and conditions of Numerous and lengthy appendices are objectives and the methods to be used the award, including the assurances set strongly discouraged. for accomplishing each task. For forth in Form D. The program narrative should address example: b. Certificate of State Approval (Form B) the following topics: (a) For research and evaluation projects, the applicant should include An application from a state or local a. Project Objectives the data sources, data collection court must include a copy of Form B The applicant should include a clear, strategies, variables to be examined, and signed by the state’s chief justice or state concise statement of what the proposed analytic procedures to be used for court administrator. The signature project is intended to accomplish. In conducting the research or evaluation denotes that the proposed project has stating the objectives of the project, and ensuring the validity and general been approved by the state’s highest applicants should focus on the overall applicability of the results. For projects court or the agency or council it has programmatic objective (e.g., to enhance involving human subjects, the designated. It denotes further that, if understanding and skills regarding a discussion of methods should address applicable, a cash match reduction has specific subject, or to determine how a the procedures for obtaining been requested, and that if SJI approves certain procedure affects the court and respondents’ informed consent, funding for the project, the court or the litigants) rather than on operational ensuring the respondents’ privacy and specified designee will receive, objectives. freedom from risk or harm, and administer, and be accountable for the The applicant must describe how the protecting others who are not the awarded funds. proposed project addresses one or more subjects of research but would be

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affected by the research. If the potential project activities, including publication written report with a reference to the exists for risk or harm to human or reproduction of project products and Web site). subjects, a discussion should be their initial dissemination, would occur Three (3) copies of all project included that explains the value of the within the proposed project period. The products should be submitted to SJI, proposed research and the methods to management plan must also provide for along with an electronic version in be used to minimize or eliminate such the submission of Quarterly Progress HTML or PDF format. Discussions of risk. and Financial Reports within 30 days final product dissemination should be (b) For education and training after the close of each calendar quarter conducted with SJI prior to the end of projects, the applicant should include (i.e., no later than January 30, April 30, the grant period. the adult education techniques to be July 30, and October 30), per section (2) Types of Products. The type of used in designing and presenting the VI.A.13. product to be prepared depends on the program, including the teaching/ Applicants should be aware that SJI is nature of the project. For example, in learning objectives of the educational unlikely to approve a limited extension most instances, the products of a design, the teaching methods to be used, of the grant period without strong research, evaluation, or demonstration and the opportunities for structured justification. Therefore, the management project should include an article interaction among the participants; how plan should be as realistic as possible summarizing the project findings that is faculty would be recruited, selected, and fully reflect the time commitments publishable in a journal serving the and trained; the proposed number and of the proposed project staff and courts community nationally, an length of the conferences, courses, consultants. executive summary that would be seminars, or workshops to be conducted disseminated to the project’s primary e. Products and the estimated number of persons audience, or both. Applicants proposing who would attend them; the materials to The program narrative in the to conduct empirical research or be provided and how they would be application should contain a description evaluation projects with national import developed; and the cost to participants. of the product(s) to be developed (e.g., should describe how they would make (c) For demonstration projects, the training curricula and materials, Web their data available for secondary applicant should include the sites or other electronic multimedia, analysis after the grant period (see demonstration sites and the reasons articles, guidelines, manuals, reports, section VI.A.14.a.). they were selected, or if the sites have handbooks, benchbooks, or books), The curricula and other products not been chosen, how they would be including when they would be developed through education and identified and their cooperation submitted to SJI. The budget should training projects should be designed for obtained; and how the program or include the cost of producing and use by others and again by the original procedures would be implemented and disseminating the product to the state participants in the course of their monitored. chief justice, state court administrator, duties. (d) For technical assistance projects, and other appropriate judges or court (3) SJI Review. Applicants must the applicant should explain the types personnel. If final products involve submit a final draft of all written grant of assistance that would be provided; electronic formats, the applicant should products to SJI for review and approval the particular issues and problems for indicate how the product would be at least 30 days before the products are which assistance would be provided; made available to other courts. submitted for publication or the type of assistance determined; how Discussion of this dissemination process reproduction. For products in Web site suitable providers would be selected should occur between the grantee and or multimedia format, applicants must and briefed; and how reports would be SJI prior to the final selection of the provide for SJI review of the product at reviewed. dissemination process to be used. the treatment, script, rough-cut, and (2) Evaluation. Projects should (1) Dissemination Plan. The final stages of development, or their include an evaluation plan to determine application must explain how and to equivalents. No grant funds may be whether the project met its objectives. whom the products would be obligated for publication or The evaluation should be designed to disseminated; describe how they would reproduction of a final grant product provide an objective and independent benefit the state courts, including how without the written approval of SJI (see assessment of the effectiveness or they could be used by judges and court section VI.A.11.f.). usefulness of the training or services personnel; identify development, (4) Acknowledgment, Disclaimer, and provided; the impact of the procedures, production, and dissemination costs Logo. Applicants must also include in technology, or services tested; or the covered by the project budget; and all project products a prominent validity and applicability of the research present the basis on which products and acknowledgment that support was conducted. The evaluation plan should services developed or provided under received from SJI and a disclaimer be appropriate to the type of project the grant would be offered to the court paragraph based on the example proposed. community and the public at large (i.e., provided in section VI.A.11.a.2. in the whether products would be distributed Grant Guideline. The ‘‘SJI’’ logo must d. Project Management at no cost to recipients, or if costs are appear on the front cover of a written The applicant should present a involved, the reason for charging product, or in the opening frames of a detailed management plan, including recipients and the estimated price of the Web site or other multimedia product, the starting and completion date for product). Ordinarily, applicants should unless SJI approves another placement. each task; the time commitments to the schedule all product preparation and The SJI logo can be downloaded from project of key staff and their distribution activities within the project SJI’s Web site: www.sji.gov. responsibilities regarding each project period. task; and the procedures that would Applicants proposing to develop web- f. Applicant Status ensure that all tasks are performed on based products should provide for An applicant that is not a state or time, within budget, and at the highest sending a notice and description of the local court and has not received a grant level of quality. In preparing the project document to the appropriate audiences from SJI within the past three years time line, Gantt Chart, or schedule, to alert them to the availability of the should indicate whether it is either a applicants should make certain that all Web site or electronic product (i.e., a national non-profit organization

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controlled by, operating in conjunction both, if specifically requested to do so state or local funds in violation of 42 with, and serving the judicial branches by the Institute. U.S.C. 10706(d)(1); this includes new of state governments, or a national non- employees hired specifically for the i. Statement of Lobbying Activities profit organization for the education and project. The salary and any related costs training of state court judges and Non-governmental applicants must for a current or new employee of a court support personnel (see section II). If the submit SJI’s Disclosure of Lobbying or other unit of government may only be applicant is a non-judicial unit of Activities Form E, which documents accepted as in-kind match. federal, state, or local government, it whether they, or another entity that is b. Fringe Benefit Computation must explain whether the proposed a part of the same organization as the services could be adequately provided applicant, have advocated a position For non-governmental entities, the by non-governmental entities. before Congress on any issue, and applicant should provide a description identifies the specific subjects of their of the fringe benefits provided to g. Staff Capability lobbying efforts. employees. If percentages are used, the authority for such use should be The applicant should include a j. Letters of Cooperation or Support summary of the training and experience presented, as well as a description of the of the key staff members and If the cooperation of courts, elements included in the determination consultants that qualify them for organizations, agencies, or individuals of the percentage rate. conducting and managing the proposed other than the applicant is required to conduct the project, the applicant c. Consultant/Contractual Services and project. Resumes of identified staff Honoraria should be attached to the application. If should attach written assurances of one or more key staff members and cooperation and availability to the The applicant should describe the consultants are not known at the time of application, or send them under tasks each consultant would perform, the application, a description of the separate cover. Letters of general the estimated total amount to be paid to criteria that would be used to select support for a project are also each consultant, the basis for persons for these positions should be encouraged. compensation rates (e.g., the number of days multiplied by the daily consultant included. The applicant also should 4. Budget Narrative identify the person who would be rates), and the method for selection. In addition to Project Grant responsible for managing and reporting Rates for consultant services must be set applications, the following section also on the financial aspects of the proposed in accordance with section VII.I.2.c. applies to Technical Assistance and project. Prior written SJI approval is required for Curriculum Adaptation and Training any consultant rate in excess of $800 per h. Organizational Capacity grant applications. day; SJI funds may not be used to pay The budget narrative should provide Applicants that have not received a a consultant more than $1,100 per day. the basis for the computation of all grant from SJI within the past three Honorarium payments must be justified project-related costs. When the years should include a statement in the same manner as consultant proposed project would be partially describing their capacity to administer payments. supported by grants from other funding grant funds, including the financial sources, applicants should make clear d. Travel systems used to monitor project what costs would be covered by those Transportation costs and per diem expenditures (and income, if any), and other grants. Additional background rates must comply with the policies of a summary of their past experience in information or schedules may be the applicant organization. If the administering grants, as well as any attached if they are essential to applicant does not have an established resources or capabilities that they have obtaining a clear understanding of the travel policy, then travel rates must be that would particularly assist in the proposed budget. Numerous and consistent with those established by the successful completion of the project. lengthy appendices are strongly federal government. The budget Unless requested otherwise, an discouraged. narrative should include an explanation applicant that has received a grant from The budget narrative should cover the of the rate used, including the SJI within the past three years should costs of all components of the project components of the per diem rate and the describe only the changes in its and clearly identify costs attributable to basis for the estimated transportation organizational capacity, tax status, or the project evaluation. expenses. The purpose of the travel financial capability that may affect its should also be included in the narrative. capacity to administer a grant. a. Justification of Personnel If the applicant is a non-profit Compensation e. Equipment organization (other than a university), it The applicant should set forth the Grant funds may be used to purchase must also provide documentation of its percentages of time to be devoted by the only the equipment necessary to 501(c) tax-exempt status as determined individuals who would staff the demonstrate a new technological by the Internal Revenue Service and a proposed project, the annual salary of application in a court or that is copy of a current certified audit report. each of those persons, and the number otherwise essential to accomplishing the For purposes of this requirement, of work days per year used for objectives of the project. In other words, ‘‘current’’ means no earlier than two calculating the percentages of time or grant funds cannot be used strictly for years prior to the present calendar year. daily rates of those individuals. The the purpose of purchasing equipment. If a current audit report is not applicant should explain any deviations Equipment purchases to support basic available, SJI will require the from current rates or established written court operations will not be approved. organization to complete a financial organizational policies. No grant funds The applicant should describe the capability questionnaire, which must be or cash match may be used to pay the equipment to be purchased or leased signed by a certified public accountant. salary and related costs for a current or and explain why the acquisition of that Other applicants may be required to new employee of a court or other unit equipment is essential to accomplish provide a current audit report, a of government because such funds the project’s goals and objectives. The financial capability questionnaire, or would constitute a supplantation of narrative should clearly identify which

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equipment is to be leased and which is government; Form C; the Application research; how they plan to incorporate to be purchased. The method of Abstract; the Program Narrative; the the previous work into their proposed procurement should also be described. Budget Narrative; and any necessary project; and if the project will appendices. differentiate from prior work. f. Supplies Letters of application may be b. Project Description. The applicant The applicant should provide a submitted at any time. However, must describe how the proposed project general description of the supplies applicants are encouraged to review the addressed one or more Priority necessary to accomplish the goals and grant deadlines available on the SJI Web Investment Areas. If the project does not objectives of the grant. In addition, the site. Receipt of each application will be address one or more Priority Investment applicant should provide the basis for acknowledged by letter or email. Areas, the applicant must provide an the amount requested for this b. Applicants submitting more than explanation why not. expenditure category. one application may include material The applicant must describe the tasks the consultant will perform, and how g. Construction that would be identical in each application in a cover letter. This would they be accomplished. In Construction expenses are prohibited. material will be incorporated by addition, the applicant must identify which organization or individual will be h. Postage reference into each application and counted against the 25-page limit for the hired to provide the assistance, and how Anticipated postage costs for project- program narrative. A copy of the cover the consultant was selected. If a related mailings, including distribution letter should be attached to each copy consultant has not yet been identified, of the final product(s), should be of the application. what procedures and criteria would be described in the budget narrative. The used to select the consultant (applicants cost of special mailings, such as for a B. Technical Assistance (TA) Grants are expected to follow their survey or for announcing a workshop, 1. Application Procedures jurisdictions’ normal procedures for should be distinguished from routine procuring consultant services)? What mailing costs. The bases for all postage Applicants for TA Grants may submit specific tasks would the consultant(s) estimates should be included in the an original and one copy, by mail, of a and court staff undertake? What is the budget narrative. detailed letter describing the proposed schedule for completion of each project, as well as a Form A—State required task and the entire project? i. Printing/Photocopying Justice Institute Application; Form B— How would the applicant oversee the Anticipated costs for printing or Certificate of State Approval from the project and provide guidance to the photocopying project documents, State Supreme Court, or its designated consultant, and who at the court or reports, and publications should be agency; and Form C—Project Budget in regional court association would be included in the budget narrative, along Tabular Format (see www.sji.gov/forms). responsible for coordinating all project with the bases used to calculate these 2. Application Format tasks and submitting quarterly progress estimates. and financial status reports? Although there is no prescribed form If the consultant has been identified, j. Indirect Costs for the letter, or a minimum or the applicant should provide a letter Indirect costs are only applicable to maximum page limit, letters of from that individual or organization organizations that are not state courts or application should include the documenting interest in and availability government agencies. Recoverable following information: for the project, as well as the indirect costs are limited to no more a. Need for Funding. The applicant consultant’s ability to complete the than 75 percent of a grantee’s direct must explain the critical need facing the assignment within the proposed time personnel costs, i.e. salaries plus fringe applicant, and the proposed technical frame and for the proposed cost. The benefits (see section VII.H.3.). assistance that will enable the applicant consultant must agree to submit a Applicants should describe the meet this critical need. The applicant detailed written report to the court and indirect cost rates applicable to the must also explain why state or local SJI upon completion of the technical grant in detail. If costs often included resources are not sufficient to fully assistance. within an indirect cost rate are charged support the costs of the project. In c. Likelihood of Implementation. directly (e.g., a percentage of the time of addition, the applicant should describe What steps have been or would be taken senior managers to supervise project how, if applicable, the project will be to facilitate implementation of the activities), the applicant should specify sustained in the future through existing consultant’s recommendations upon that these costs are not included within resources. completion of the technical assistance? its approved indirect cost rate. These The discussion should include For example, if the support or rates must be established in accordance specific references to the relevant cooperation of specific court officials or with section VII.H.3. If the applicant has literature and to the experience in the committees, other agencies, funding an indirect cost rate or allocation plan field. SJI continues to make all grant bodies, organizations, or a court other approved by any federal granting reports and most grant products than the applicant would be needed to agency, a copy of the approved rate available online through the National adopt the changes recommended by the agreement must be attached to the Center for State Courts (NCSC) Library consultant and approved by the court, application. and Digital Archive. Applicants are how would they be involved in the required to conduct a search of the 5. Submission Requirements review of the recommendations and NCSC Library and Digital Archive on development of the implementation a. Every applicant must submit an the topic areas they are addressing. This plan? original and one copy, by mail, of the search should include SJI-funded grants, application package consisting of Form and previous projects not supported by 3. Budget and Matching State A; Form B, if the application is from a SJI. Searches for SJI grant reports and Contribution state or local court, or a Disclosure of other state court resources begin with Applicants must follow the same Lobbying Form (Form E), if the the NCSC Library section. Applicants guidelines provided under Section IV.A. applicant is not a unit of state or local must discuss the results of their A completed Form C—Project Budget,

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Tabular Format and budget narrative The applicant must provide the title Ordinarily, an independent evaluation must be included with the letter of the curriculum that will be adapted, of a curriculum adaptation project is not requesting technical assistance. and identify the entity that originally required; however, the results of any The budget narrative should provide developed the curriculum. The evaluation should be included in the the basis for all project-related costs, applicant must also address the final report. including the basis for determining the following questions: Why is this (4) Expressions of Interest by Judges estimated consultant costs, if education program needed at the and/or Court Personnel. Does the compensation of the consultant is present time? What are the project’s proposed program have the support of required (e.g., the number of days per goals? What are the learning objectives the court system or association task times the requested daily of the adapted curriculum? What leadership, and of judges, court consultant rate). Applicants should be program components would be managers, and judicial branch education aware that consultant rates above $800 implemented, and what types of personnel who are expected to attend? per day must be approved in advance by modifications, if any, are anticipated in Applicants may demonstrate this by SJI, and that no consultant will be paid length, format, learning objectives, attaching letters of support. more than $1,100 per day from SJI teaching methods, or content? Who b. For training assistance: funds. In addition, the budget should would be responsible for adapting the (1) Need for Funding. The applicant provide for submission of two copies of model curriculum? Who would the must describe how the proposed project the consultant’s final report to the SJI. participants be, how many would there addresses one or more Priority Recipients of TA Grants must be, how would they be recruited, and Investment Areas. If the project does not maintain appropriate documentation to from where would they come (e.g., from address one or more Priority Investment Areas, the applicant must provide an support expenditures. a single local jurisdiction, from across the state, from a multi-state region, from explanation why not. 4. Submission Requirements across the nation)? The discussion should include specific references to the relevant Letters of application should be (2) Need for Funding. The discussion literature and to the experience in the submitted according to the grant should include specific references to the field. SJI continues to make all grant deadlines provided on the SJI Web site. relevant literature and to the experience reports and most grant products If the support or cooperation of in the field. SJI continues to make all available online through the National agencies, funding bodies, organizations, grant reports and most grant products Center for State Courts (NCSC) Library or courts other than the applicant would available online through the National and Digital Archive. Applicants are be needed in order for the consultant to Center for State Courts (NCSC) Library required to conduct a search of the perform the required tasks, written and Digital Archive. Applicants are required to conduct a search of the NCSC Library and Digital Archive on assurances of such support or the topic areas they are addressing. This cooperation should accompany the NCSC Library and Digital Archive on the topic areas they are addressing. This search should include SJI-funded grants, application letter. Letters of general and previous projects not supported by support for the project are also search should include SJI-funded grants, and previous projects not supported by SJI. Searches for SJI grant reports and encouraged. Support letters may be other state court resources begin with submitted under separate cover; SJI. Searches for SJI grant reports and other state court resources begin with the NCSC Library section. Applicants however, they should be received by the must discuss the results of their same date as the application. the NCSC Library section. Applicants must discuss the results of their research; how they plan to incorporate C. Curriculum Adaptation and Training research; how they plan to incorporate the previous work into their proposed (CAT) Grants the previous work into their proposed project; and if the project will differentiate from prior work. 1. Application Procedures project; and if the project will differentiate from prior work. The applicant should describe the Applicants must submit an original The applicant should explain why court reform or initiative prompting the and one copy, by mail, of a detailed state or local resources are unable to need for training. The applicant should letter as well as a Form A—State Justice fully support the modification and also discuss how the proposed training Institute Application; Form B— presentation of the model curriculum. will help the applicant implement Certificate of State Approval; and Form The applicant should also describe the planned changes at the court, and why C—Project Budget, Tabular Format (see potential for replicating or integrating state or local resources are not sufficient www.sji.gov/forms). the adapted curriculum in the future to fully support the costs of the required training. In addition, the applicant 2. Application Format using state or local funds, once it has been successfully adapted and tested. In should describe how, if applicable, the Although there is no prescribed addition, the applicant should describe project will be sustained in the future format for the letter, or a minimum or how, if applicable, the project will be through existing resources. maximum page limit, letters of sustained in the future through existing (2) Project Description. The applicant application should include the resources. must identify the tasks the trainer(s) following information. (3) Likelihood of Implementation. The will be expected to perform, which a. For adaptation of a curriculum: applicant should provide the proposed organization or individual will be hired, (1) Project Description. The applicant timeline, including the project start and and, if in-house personnel are not the must describe how the proposed project end dates, the date(s) the judicial branch trainers, how the trainer will be addresses one or more Priority education program will be presented, selected. If a trainer has not yet been Investment Areas. If the project does not and the process that will be used to identified, the applicant must describe address one or more Priority Investment modify and present the program. The the procedures and criteria that will be Areas, the applicant must provide an applicant should also identify who will used to select the trainer. In addition, explanation why not. Due to the high serve as faculty, and how they were the applicant should address the costs of travel to attend training events, selected, in addition to the measures following questions: What specific tasks the innovative use of distance learning taken to facilitate subsequent would the trainer and court staff or is highly encouraged. presentations of the program. regional court association members

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undertake? What presentation methods will apply to the proposed Partner resides or works, or (2) an online course. will be used? What is the schedule for Grant. The course must be designed to enhance completion of each required task and the skills of new or experienced judges E. Education Support Program (ESP) the entire project? How will the and court managers; or be offered by a applicant oversee the project and 1. Limitations recognized graduate program for judges provide guidance to the trainer, and Applicants may not receive more than or court managers. who at the court or affiliated with the one ESP award in a two-year fiscal year SJI does not submit the names of ESP regional court association would be period unless the course specifically award recipients to educational responsible for coordinating all project assumes multi-year participation, such organizations, nor provide the funds to tasks and submitting quarterly progress as a certification program or a graduate the educational organization. SJI also and financial status reports? degree program in judicial studies in does not provide the funding directly to If the trainer has been identified, the which the applicant is currently the applicant’s court. ESP funds are applicant should provide a letter from enrolled (neither exception should be provided as reimbursements directly to that individual or organization taken as a commitment on the part of the recipient. documenting interest in and availability the SJI Board of Directors to approve 3. Forms for the project, as well as the trainer’s serial ESP awards). If the course ability to complete the assignment assumes multi-year participation, a. Education Support Program within the proposed time frame and for awards will be limited to one per fiscal Application—Form ESP–1 (see the proposed cost. year. Attendance at annual or mid-year www.sji.gov/forms). The application (3) Likelihood of Implementation. The meetings or conferences of a state or requests basic information about the applicant should explain what steps national organization does not qualify as applicant and the educational program have been or will be taken to coordinate an out-of-state educational program for the applicant would like to attend. It the implementation of the training. For the ESP, even though it may include also addresses the applicant’s example, if the support or cooperation workshops or other training sessions. commitment to share the skills and of specific court or regional court The ESP only covers the cost of knowledge gained with state and local association officials or committees, tuition up to a maximum of $1,000 per court colleagues. The application must other agencies, funding bodies, award, per course. Awards will be made bear the original signature of the organizations, or a court other than the for the exact amount requested for applicant. Faxed or photocopied applicant will be needed to adopt the tuition. Funds to pay tuition in excess signatures will not be accepted. SJI will reform and initiate the training of $1,000, and other cost of attending not supplant state funds with these proposed, how will the applicant secure the program such as travel, lodging, awards. their involvement in the development meals, materials, transportation to and and implementation of the training? from airports (including rental cars) b. Education Support Program must be obtained from other sources or Concurrence—Form ESP–2 Judges and 3. Budget and Matching State court managers applying for the Contribution borne by the ESP award recipient. Applicants are encouraged to check program must submit the original Applicants must also follow the same other sources of financial assistance and written concurrence of the chief justice guidelines provided under Section IV.A. to combine aid from various sources of the state’s supreme court (or the chief Applicants should attach a copy of whenever possible. An ESP award is not justice’s designee) on Form ESP–2. The budget Form C and a budget narrative transferable to another individual. It signature of the presiding judge of the that describes the basis for the may be used only for the course applicant’s court may not be substituted computation of all project-related costs specified in the application unless the for that of the state’s chief justice or the and the source of the match offered. applicant’s request to attend a different chief justice’s designee. The chief justice or state court administrator must 4. Submission Requirements course that meets the eligibility requirements is approved in writing by notify SJI of the designees within the For curriculum adaptation requests, SJI. state for ESP purposes. applicants should allow at least 90 days 4. Submission Requirements between the Board meeting and the date 2. Eligibility Requirements of the proposed program to allow a. Recipients. Because of the limited Applications may be submitted at any sufficient time for needed planning. amount of funding available, only full- time but will be reviewed on a quarterly Letters of support for the project are also time judges of state or local trial and basis. This means ESP awards will be on encouraged. Applicants are encouraged appellate courts; full-time professional, a ‘‘first-come, first-considered’’ basis. to call SJI to discuss concerns about state, or local court personnel with The dates for applications to be received timing of submissions. management and supervisory by SJI for consideration in FY 2015 are responsibilities; and supervisory and November 1, February 1, May 1, and D. Partner Grants management probation personnel in August 1. These are not mailing SJI and its funding partners may judicial branch probation offices are deadlines. The applications must be meld, pick and choose, or waive their eligible for the program. Senior judges, received by SJI on or before each of application procedures, grant cycles, or part-time judges, quasi-judicial hearing these dates. No exceptions or extensions grant requirements to expedite the officers including referees and will be granted. All the required items award of jointly-funded grants targeted commissioners, administrative law must be received for an application to at emerging or high priority problems judges, staff attorneys, law clerks, line be considered. If the Concurrence form confronting state and local courts. SJI staff, law enforcement officers, and or letter of support is sent separately may solicit brief proposals from other executive branch personnel are from the application, the postmark date potential grantees to fellow financial not eligible. of the last item sent will be used in partners as a first step. Should SJI be b. Courses. An ESP award is only for: determining the review date. All chosen as the lead grant manager, (1) a course presented in a state other applications should be sent by mail or Project Grant application procedures than the one in which the applicant courier (not fax or email).

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V. Application review procedures criteria that will be used to select the most acceptable as pilots, laboratories, consultant(s); consultants, or the like. A. Preliminary Inquiries d. The commitment of the court or 5. Education Support Program (ESP) SJI staff will answer inquiries association to act on the consultant’s concerning application procedures. recommendations; and, ESP awards are only for programs that B. Selection Criteria e. The reasonableness of the proposed either: (1) Enhance the skills of judges budget. and court managers; or (2) are part of a 1. Project Grant Applications SJI also will consider factors such as graduate degree program for judges or a. Project Grant applications will be the level and nature of the match that court personnel. Awards are provided rated on the basis of the criteria set forth would be provided, diversity of subject on the basis of: below. SJI will accord the greatest matter, geographic diversity, the level of a. The date on which the application weight to the following criteria: appropriations available to SJI in the and concurrence (and support letter, if (1) The soundness of the current year, and the amount expected required) were sent (‘‘first-come, first- methodology; to be available in succeeding fiscal considered’’); (2) The demonstration of need for the years. b. The unavailability of state or local funds, or funding from another source to project; 3. Curriculum Adaptation and Training cover the costs of attending the program, (3) The appropriateness of the (CAT) Grant Applications proposed evaluation design; or participating online; (4) If applicable, the key findings and CAT Grant applications will be rated c. The absence of educational recommendations of the most recent on the basis of the following criteria: programs in the applicant’s state evaluation and the proposed responses a. For curriculum adaptation projects: addressing the topic(s) covered by the to those findings and recommendations; (1) The goals and objectives of the educational program for which the (5) The applicant’s management plan proposed project; award is being sought; and organizational capabilities; (2) The need for outside funding to d. Geographic balance among the (6) The qualifications of the project’s support the program; recipients; staff; (3) The appropriateness of the e. The balance of ESP awards among (7) The products and benefits approach in achieving the project’s educational providers and programs; resulting from the project, including the educational objectives; f. The balance of ESP awards among extent to which the project will have (4) The likelihood of effective the types of courts and court personnel long-term benefits for state courts across implementation and integration of the (trial judge, appellate judge, trial court the nation; modified curriculum into ongoing administrator) represented; and (8) The degree to which the findings, educational programming; and, g. The level of appropriations procedures, training, technology, or (5) Expressions of interest by the available to SJI in the current year and other results of the project can be judges and/or court personnel who the amount expected to be available in transferred to other jurisdictions; would be directly involved in or succeeding fiscal years. (9) The reasonableness of the affected by the project. The postmark or courier receipt will b. For training assistance: proposed budget; and, be used to determine the date on which (1) Whether the training would (10) The demonstration of cooperation the application form and other required address a critical need of the court or and support of other agencies that may items were sent. be affected by the project. association; b. In determining which projects to (2) The soundness of the training C. Review and Approval Process support, SJI will also consider whether approach to the problem; 1. Project Grant Applications the applicant is a state court, a national (3) The qualifications of the trainer(s) court support or education organization, to be hired or the specific criteria that SJI’s Board of Directors will review a non-court unit of government, or other will be used to select the trainer(s); the applications competitively. The type of entity eligible to receive grants (4) The commitment of the court or Board will review all applications and under SJI’s enabling legislation (see association to the training program; and decide which projects to fund. The section II.); the availability of financial (5) The reasonableness of the decision to fund a project is solely that assistance from other sources for the proposed budget. of the Board of Directors. The Chairman project; the amount of the applicant’s SJI will also consider factors such as of the Board will sign approved awards match; the extent to which the proposed the reasonableness of the amount on behalf of SJI. requested; compliance with match project would also benefit the federal 2. Technical Assistance (TA) and courts or help state courts enforce requirements; diversity of subject matter, geographic diversity; the level of Curriculum Adaptation and Training federal constitutional and legislative (CAT) Grant Applications requirements; and the level of appropriations available to SJI in the appropriations available to SJI in the current year; and the amount expected The Board will review the current year and the amount expected to to be available in succeeding fiscal applications competitively. The Board be available in succeeding fiscal years. years. will review all applications and decide which projects to fund. The decision to 4. Partner Grants 2. Technical Assistance (TA) Grant fund a project is solely that of the Board Applications The selection criteria for Partner of Directors. The Chairman of the Board TA Grant applications will be rated Grants will be driven by the collective will sign approved awards on behalf of on the basis of the following criteria: priorities of SJI and other organizations SJI. a. Whether the assistance would and their collective assessments 3. Education Support Program (ESP) address a critical need of the applicant; regarding the needs and capabilities of b. The soundness of the technical court and court-related organizations. A committee of the Board of Directors assistance approach to the problem; Having settled on priorities, SJI and its will review ESP applications quarterly. c. The qualifications of the financial partners will likely contact the The committee will review the consultant(s) to be hired or the specific courts or court-related organizations applications competitively. The

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Chairman of the Board will sign programs for the purpose of advocating or organization shall avoid any action approved awards on behalf of SJI. particular non-judicial public policies which might result in or create the or encouraging non-judicial political appearance of: 4. Partner Grants activities (42 U.S.C. 10706(b)). (1) Using an official position for SJI’s internal process for the review private gain; or and approval of Partner Grants will 2. Approval of Key Staff (2) Affecting adversely the confidence depend on negotiations with fellow If the qualifications of an employee or of the public in the integrity of the financiers. SJI may use its procedures, a consultant assigned to a key project staff Institute program. partner’s procedures, a mix of both, or position are not described in the c. Requests for proposals or entirely unique procedures. All Partner application or if there is a change of a invitations for bids issued by a recipient Grants will be approved by the Board of person assigned to such a position, the of Institute funds or a subgrantee or Directors. recipient must submit a description of subcontractor will provide notice to D. Return Policy the qualifications of the newly assigned prospective bidders that the contractors person to SJI. Prior written approval of who develop or draft specifications, Unless a specific request is made, the qualifications of the new person requirements, statements of work, and/ unsuccessful applications will not be assigned to a key staff position must be or requests for proposals for a proposed returned. received from the Institute before the procurement will be excluded from E. Notification of Board Decision salary or consulting fee of that person bidding on or submitting a proposal to and associated costs may be paid or compete for the award of such SJI will send written notice to reimbursed from grant funds. procurement. applicants concerning all Board decisions to approve, defer, or deny 3. Audit 6. Inventions and Patents their respective applications. For all Recipients of SJI grants must provide If any patentable items, patent rights, applications (except ESP applications), for an annual fiscal audit which processes, or inventions are produced in if requested, SJI will convey the key includes an opinion on whether the the course of SJI-sponsored work, such issues and questions that arose during financial statements of the grantee fact shall be promptly and fully reported the review process. A decision by the present fairly its financial position and to SJI. Unless there is a prior agreement Board to deny an application may not be its financial operations are in between the grantee and SJI on appealed, but it does not prohibit accordance with generally accepted disposition of such items, SJI shall resubmission of a proposal in a accounting principles (see section VII.I. determine whether protection of the subsequent funding cycle. for the requirements of such audits). invention or discovery shall be sought. F. Response to Notification of Approval 4. Budget Revisions 7. Lobbying With the exception of those approved Budget revisions among direct cost a. Funds awarded to recipients by SJI for ESP awards, applicants have 30 days categories that: (a) Transfer grant funds shall not be used, indirectly or directly, from the date of the letter notifying to an unbudgeted cost category, or (b) to influence Executive Orders or similar them that the Board has approved their individually or cumulatively exceed promulgations by federal, state or local application to respond to any revisions five percent of the approved original agencies, or to influence the passage or requested by the Board. If the requested budget or the most recently approved defeat of any legislation by federal, state revisions (or a reasonable schedule for revised budget require prior SJI or local legislative bodies (42 U.S.C. submitting such revisions) have not approval (see section VIII.A.1.). 10706(a)). been submitted to SJI within 30 days b. It is the policy of the Board of after notification, the approval may be 5. Conflict of Interest Directors to award funds only to support rescinded and the application presented Personnel and other officials applications submitted by organizations to the Board for reconsideration. In the connected with SJI-funded programs that would carry out the objectives of event an issue will only be resolved must adhere to the following their applications in an unbiased after award, such as the selection of a requirements: manner. Consistent with this policy and consultant, the final award document a. No official or employee of a the provisions of 42 U.S.C. 10706, SJI will include a Special Condition that recipient court or organization shall will not knowingly award a grant to an will require additional grantee reporting participate personally through decision, applicant that has, directly or through and SJI review and approval. Special approval, disapproval, recommendation, an entity that is part of the same Conditions, in the form of incentives or the rendering of advice, investigation, or organization as the applicant, advocated sanctions, may also be used in other otherwise in any proceeding, a position before Congress on the situations. application, request for a ruling or other specific subject matter of the VI. Compliance Requirements determination, contract, grant, application. cooperative agreement, claim, The State Justice Institute Act controversy, or other particular matter 8. Matching Requirements contains limitations and conditions on in which SJI funds are used, where, to All grantees other than ESP award grants, contracts, and cooperative his or her knowledge, he or she or his recipients are required to provide a agreements awarded by SJI. The Board or her immediate family, partners, match. A match is the portion of project of Directors has approved additional organization other than a public agency costs not borne by the Institute. Match policies governing the use of SJI grant in which he or she is serving as officer, includes both cash and in-kind funds. These statutory and policy director, trustee, partner, or employee or contributions. Cash match is the direct requirements are set forth below. any person or organization with whom outlay of funds by the grantee or a third A. Recipients of Project Grants he or she is negotiating or has any party to support the project. In-kind arrangement concerning prospective match consists of contributions of time 1. Advocacy employment, has a financial interest. and/or services of current staff No funds made available by SJI may b. In the use of SJI project funds, an members, new employees, space, be used to support or conduct training official or employee of a recipient court supplies, etc., made to the project by the

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grantee or others (e.g., advisory board identify SJI or recipients with any This includes open-source software and members) working directly on the partisan or nonpartisan political activity interfaces. Costs for development, project or that portion of the grantee’s associated with a political party or production, and dissemination are federally-approved indirect cost rate association, or the campaign of any allowable as direct costs to SJI. that exceeds the Guideline’s limit of candidate for public or party office (42 (2) Applicants should disclose their permitted charges (75 percent of salaries U.S.C. 10706(a)). intent to sell grant-related products in and benefits). the application. Grantees must obtain Under normal circumstances, 11. Products SJI’s prior written approval of their allowable match may be incurred only a. Acknowledgment, Logo, and plans to recover project costs through during the project period. When Disclaimer the sale of grant products. Written appropriate, and with the prior written (1) Recipients of SJI funds must requests to recover costs ordinarily permission of SJI, match may be acknowledge prominently on all should be received during the grant incurred from the date of the Board of products developed with grant funds period and should specify the nature Directors’ approval of an award. The that support was received from the SJI. and extent of the costs to be recouped, amount and nature of required match The ‘‘SJI’’ logo must appear on the front the reason that such costs were not depends on the type of grant (see cover of a written product, or in the budgeted (if the rationale was not section III.). opening frames of a multimedia disclosed in the approved application), The grantee is responsible for product, unless another placement is the number of copies to be sold, the ensuring that the total amount of match approved in writing by SJI. This intended audience for the products to be proposed is actually contributed. If a includes final products printed or sold, and the proposed sale price. If the proposed contribution is not fully met, otherwise reproduced during the grant product is to be sold for more than $25, SJI may reduce the award amount period, as well as re-printings or the written request also should include accordingly, in order to maintain the reproductions of those materials a detailed itemization of costs that will ratio originally provided for in the following the end of the grant period. A be recovered and a certification that the award agreement (see section VII.D.1.). camera-ready logo sheet is available on costs were not supported by either SJI Match should be expended at the same SJI’s Web site: www.sji.gov/forms. grant funds or grantee matching rate as SJI funding. (2) Recipients also must display the contributions. The Board of Directors looks favorably (3) In the event that the sale of grant following disclaimer on all grant upon any unrequired match contributed products results in revenues that exceed products: ‘‘This [document, film, by applicants when making grant the costs to develop, produce, and videotape, etc.] was developed under decisions. The match requirement may disseminate the product, the revenue [grant/cooperative agreement] number be waived in exceptionally rare must continue to be used for the SJI-[insert number] from the State circumstances upon the request of the authorized purposes of SJI-funded Justice Institute. The points of view chief justice of the highest court in the project or other purposes consistent expressed are those of the [author(s), state or the highest ranking official in with the State Justice Institute Act that filmmaker(s), etc.] and do not the requesting organization and have been approved by SJI (see section necessarily represent the official approval by the Board of Directors (42 VII.F.). U.S.C. 10705(d)). The Board of Directors position or policies of the State Justice encourages all applicants to provide the Institute.’’ c. Copyrights maximum amount of cash and in-kind (3) In addition to other required grant Except as otherwise provided in the match possible, even if a waiver is products and reports, recipients must terms and conditions of a SJI award, a approved. The amount and nature of provide a one page executive summary recipient is free to copyright any books, match are criteria in the grant selection of the project. The summary should publications, or other copyrightable process (see section V.B.1.b.). include a background on the project, the materials developed in the course of a Other federal department and agency tasks undertaken, and the outcome. In SJI-supported project, but SJI shall funding may not be used for cash match. addition, the summary should provide reserve a royalty-free, nonexclusive and the performance metrics that were used 9. Nondiscrimination irrevocable right to reproduce, publish, during the project, and how or otherwise use, and to authorize No person may, on the basis of race, performance will be measured in the others to use, the materials for purposes sex, national origin, disability, color, or future. consistent with the State Justice creed be excluded from participation in, b. Charges for Grant-Related Products/ Institute Act. denied the benefits of, or otherwise Recovery of Costs subjected to discrimination under any d. Due Date program or activity supported by SJI (1) SJI’s mission is to support All products and, for TA and CAT funds. Recipients of SJI funds must improvements in the quality of justice grants, consultant and/or trainer reports immediately take any measures and foster innovative, efficient solutions (see section VI.B.1 & 2) are to be necessary to effectuate this provision. to common issues faced by all courts. completed and distributed (see below) SJI has recognized and established 10. Political Activities not later than the end of the award procedures for supporting research and period, not the 90-day close out period. No recipient may contribute or make development of grant products (e.g. a The latter is only intended for grantee available SJI funds, program personnel, report, curriculum, video, software, final reporting and to liquidate or equipment to any political party or database, or Web site) through obligations (see section VII.J.). association, or the campaign of any competitive grant awards based on merit candidate for public or party office. review of proposed projects. To ensure e. Distribution Recipients are also prohibited from that all grants benefit the entire court In addition to the distribution using funds in advocating or opposing community, projects SJI considers specified in the grant application, any ballot measure, initiative, or worthy of support (in whole or in part), grantees shall send: referendum. Officers and employees of are required to be disseminated widely (1) Three (3) copies of each final recipients shall not intentionally and available for public consumption. product developed with grant funds to

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SJI, unless the product was developed b. The quarterly Financial Status eliminate risk or harm to those subjects under either a Technical Assistance or Report must be submitted in accordance due to their participation. a Curriculum Adaptation and Training with section VII.G.2. of this Guideline. 15. State and Local Court Applications Grant, in which case submission of 2 A final project Progress Report and copies is required; and Financial Status Report shall be Each application for funding from a (2) An electronic version of the submitted within 90 days after the end state or local court must be approved, product in HTML or PDF format to SJI. of the grant period in accordance with consistent with state law, by the state section VII.J.1. of this Guideline. supreme court, or its designated agency f. SJI Approval or council. The supreme court or its 14. Research No grant funds may be obligated for designee shall receive, administer, and publication or reproduction of a final a. Availability of Research Data for be accountable for all funds awarded on product developed with grant funds Secondary Analysis the basis of such an application (42 without the written approval of SJI. Upon request, grantees must make U.S.C. 10705(b)(4)). See section VII.B.2. Grantees shall submit a final draft of available for secondary analysis backup 16. Supplantation and Construction each written product to SJI for review files containing research and evaluation and approval. The draft must be data collected under an SJI grant and the To ensure that SJI funds are used to submitted at least 30 days before the accompanying code manual. Grantees supplement and improve the operation product is scheduled to be sent for may recover the actual cost of of state courts, rather than to support publication or reproduction to permit duplicating and mailing or otherwise basic court services, SJI funds shall not SJI review and incorporation of any transmitting the data set and manual be used for the following purposes: appropriate changes required by SJI. from the person or organization a. To supplant state or local funds Grantees must provide for timely requesting the data. Grantees may supporting a program or activity (such reviews by the SJI of Web site or other provide the requested data set in the as paying the salary of court employees multimedia products at the treatment, format in which it was created and who would be performing their normal script, rough cut, and final stages of analyzed. duties as part of the project, or paying development or their equivalents. rent for space which is part of the b. Confidentiality of Information court’s normal operations); g. Original Material Except as provided by federal law b. To construct court facilities or All products prepared as the result of other than the State Justice Institute Act, structures. SJI-supported projects must be no recipient of financial assistance from c. Solely to purchase equipment. originally-developed material unless SJI may use or reveal any research or 17. Suspension or Termination of otherwise specified in the award statistical information furnished under Funding documents. Material not originally the Act by any person and identifiable developed that is included in such to any specific private person for any After providing a recipient reasonable products must be properly identified, purpose other than the purpose for notice and opportunity to submit whether the material is in a verbatim or which the information was obtained. written documentation demonstrating extensive paraphrase format. Such information and copies thereof why fund termination or suspension 12. Prohibition Against Litigation shall be immune from legal process, and should not occur, SJI may terminate or Support shall not, without the consent of the suspend funding of a project that fails person furnishing such information, be to comply substantially with the Act, No funds made available by SJI may admitted as evidence or used for any the Guideline, or the terms and be used directly or indirectly to support purpose in any action, suit, or other conditions of the award (42 U.S.C. legal assistance to parties in litigation, judicial, legislative, or administrative 10708(a)). including cases involving capital proceedings. punishment. 18. Title to Property c. Human Subject Protection At the conclusion of the project, title 13. Reporting Requirements Human subjects are defined as to all expendable and nonexpendable a. Recipients of SJI funds other than individuals who are participants in an personal property purchased with SJI ESP awards must submit Quarterly experimental procedure or who are funds shall vest in the recipient court, Progress and Financial Status Reports asked to provide information about organization, or individual that within 30 days of the close of each themselves, their attitudes, feelings, purchased the property if certification is calendar quarter (that is, no later than opinions, and/or experiences through an made to and approved by SJI that the January 30, April 30, July 30, and interview, questionnaire, or other data property will continue to be used for the October 30). The Quarterly Progress collection technique. All research authorized purposes of the SJI-funded Reports shall include a narrative involving human subjects shall be project or other purposes consistent description of project activities during conducted with the informed consent of with the State Justice Institute Act. If the calendar quarter, the relationship those subjects and in a manner that will such certification is not made or SJI between those activities and the task ensure their privacy and freedom from disapproves such certification, title to schedule and objectives set forth in the risk or harm and the protection of all such property with an aggregate or approved application or an approved persons who are not subjects of the individual value of $1,000 or more shall adjustment thereto, any significant research but would be affected by it, vest in SJI, which will direct the problem areas that have developed and unless such procedures and safeguards disposition of the property. how they will be resolved, and the would make the research impractical. In B. Recipients of Technical Assistance activities scheduled during the next such instances, SJI must approve (TA) and Curriculum Adaptation and reporting period. Failure to comply with procedures designed by the grantee to Training (CAT) Grants the requirements of this provision could provide human subjects with relevant result in the termination of a grantee’s information about the research after Recipients of TA and CAT Grants award. their involvement and to minimize or must comply with the requirements

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listed in section VI.A. and the reporting D. Partner Grants (2) Recording Financial Activities. requirements below: The compliance requirements for The sub-grantee’s grant award or Partner Grant recipients will depend contract obligation, as well as cash 1. Technical Assistance (TA) Grant advances and other financial activities, Reporting Requirements upon the agreements struck between the grant financiers and between lead should be recorded in the financial Recipients of TA Grants must submit financiers and grantees. Should SJI be records of the state supreme court or its to SJI one copy of a final report that the lead, the compliance requirements designee in summary form. Sub-grantee explains how it intends to act on the for Project Grants will apply, unless expenditures should be recorded on the consultant’s recommendations, as well specific arrangements are determined by books of the state supreme court or as two copies of the consultant’s written the Partners. evidenced by report forms duly filed by report. the sub-grantee. Matching contributions VII. Financial Requirements provided by sub-grantees should 2. Curriculum Adaptation and Training A. Purpose likewise be recorded, as should any (CAT) Grant Reporting Requirements project income resulting from program The purpose of this section is to operations. Recipients of CAT Grants must submit establish accounting system (3) Budgeting and Budget Review. The one copy of the agenda or schedule, requirements and offer guidance on state supreme court or its designee outline of presentations and/or relevant procedures to assist all grantees, sub- should ensure that each sub-grantee instructor’s notes, copies of overhead grantees, contractors, and other prepares an adequate budget as the basis transparencies, power point organizations in: for its award commitment. The state presentations, or other visual aids, 1. Complying with the statutory supreme court should maintain the exercises, case studies and other requirements for the award, details of each project budget on file. background materials, hypotheticals, disbursement, and accounting of funds; (4) Accounting for Match. The state quizzes, and other materials involving 2. Complying with regulatory supreme court or its designee will the participants, manuals, handbooks, requirements of SJI for the financial ensure that sub-grantees comply with conference packets, evaluation forms, management and disposition of funds; the match requirements specified in this and suggestions for replicating the 3. Generating financial data to be used Grant Guideline (see section VI.A.8.). program, including possible faculty or in planning, managing, and controlling (5) Audit Requirement. The state the preferred qualifications or projects; and supreme court or its designee is experience of those selected as faculty, 4. Facilitating an effective audit of required to ensure that sub-grantees developed under the grant at the funded programs and projects. meet the necessary audit requirements conclusion of the grant period, along set forth by SJI (see sections I. and with a final report that includes any B. Supervision and Monitoring VI.A.3. below). evaluation results and explains how the Responsibilities (6) Reporting Irregularities. The state grantee intends to present the 1. Grantee Responsibilities supreme court, its designees, and its educational program in the future, as sub-grantees are responsible for well as two copies of the consultant’s or All grantees receiving awards from promptly reporting to SJI the nature and trainer’s report. SJI are responsible for the management circumstances surrounding any and fiscal control of all funds. financial irregularities discovered. C. Education Support Program (ESP) Responsibilities include accounting for Recipients receipts and expenditures, maintaining C. Accounting System adequate financial records, and 1. ESP award recipients are The grantee is responsible for refunding expenditures disallowed by establishing and maintaining an responsible for disseminating the audits. information received from the course to adequate system of accounting and their court colleagues locally and, if 2. Responsibilities of the State Supreme internal controls and for ensuring that possible, throughout the state Court an adequate system exists for each of its sub-grantees and contractors. An Recipients also must submit to SJI a a. Each application for funding from acceptable and adequate accounting certificate of attendance from the a state or local court must be approved, system: program and a copy of the notice of any consistent with state law, by the state 1. Properly accounts for receipt of funding received from other sources. A supreme court, or its designated agency funds under each grant awarded and the state or local jurisdiction may impose or council. expenditure of funds for each grant by additional requirements on ESP award b. The state supreme court or its category of expenditure (including recipients. designee shall receive all SJI funds matching contributions and project 2. To receive the funds authorized by awarded to such courts; be responsible income); an ESP award, recipients must submit for assuring proper administration of SJI 2. Assures that expended funds are an ESP Payment Request (Form ESP–3) funds; and be responsible for all aspects applied to the appropriate budget together with a paid tuition statement of the project, including proper category included within the approved from the program sponsor. accounting and financial record-keeping grant; by the subgrantee. These responsibilities 3. Presents and classifies historical ESP Payment Requests must be include: costs of the grant as required for submitted within 90 days after the end (1) Reviewing Financial Operations. budgetary and evaluation purposes; of the course, which the recipient The state supreme court or its designee 4. Provides cost and property controls attended. should be familiar with, and to assure optimal use of grant funds; 3. ESP recipients are encouraged to periodically monitor, its sub-grantee’s 5. Is integrated with a system of check with their tax advisors to financial operations, records system, internal controls adequate to safeguard determine whether an award constitutes and procedures. Particular attention the funds and assets covered, check the taxable income under federal and state should be directed to the maintenance accuracy and reliability of the law. of current financial data. accounting data, promote operational

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efficiency, and assure conformance with courts may impose record retention and to sub-grantees through a state, the sub- any general or special conditions of the maintenance requirements in addition grantees are not held accountable for grant; to those prescribed in this section. interest earned on advances of project 6. Meets the prescribed requirements funds. Local units of government and 1. Coverage for periodic financial reporting of nonprofit organizations that are grantees operations; and The retention requirement extends to must refund any interest earned. 7. Provides financial data for books of original entry, source Grantees shall ensure minimum planning, control, measurement, and documents supporting accounting balances in their respective grant cash evaluation of direct and indirect costs. transactions, the general ledger, accounts. subsidiary ledgers, personnel and D. Total Cost Budgeting and Accounting 2. Royalties payroll records, canceled checks, and Accounting for all funds awarded by related documents and records. Source The grantee/sub-grantee may retain all SJI must be structured and executed on documents include copies of all grant royalties received from copyrights or a ‘‘Total Project Cost’’ basis. That is, and sub-grant awards, applications, and other works developed under projects or total project costs, including SJI funds, required grantee/sub-grantee financial from patents and inventions, unless the state and local matching shares, and any and narrative reports. Personnel and terms and conditions of the grant other fund sources included in the payroll records shall include the time provide otherwise. approved project budget serve as the and attendance reports for all 3. Registration and Tuition Fees foundation for fiscal administration and individuals reimbursed under a grant, accounting. Grant applications and sub-grant or contract, whether they are Registration and tuition fees may be financial reports require budget and cost employed full-time or part-time. Time considered as cash match with prior estimates on the basis of total costs. and effort reports are required for written approval from SJI. Estimates of consultants. registration and tuition fees, and any 1. Timing of Matching Contributions expenses to be offset by the fees, should Matching contributions should be 2. Retention Period be included in the application budget applied at the same time as the The three-year retention period starts forms and narrative. obligation of SJI funds. Ordinarily, the from the date of the submission of the 4. Income From the Sale of Grant full matching share must be obligated final expenditure report. Products during the award period; however, with the written permission of SJI, 3. Maintenance If the sale of products occurs during contributions made following approval Grantees and sub-grantees are the project period, the income may be of the grant by the Board of Directors, expected to see that records of different treated as cash match with the prior but before the beginning of the grant, fiscal years are separately identified and written approval of SJI. The costs and may be counted as match. If a proposed maintained so that requested income generated by the sales must be cash or in-kind match is not fully met, information can be readily located. reported on the Quarterly Financial SJI may reduce the award amount Grantees and sub-grantees are also Status Reports (Form F) and accordingly to maintain the ratio of obligated to protect records adequately documented in an auditable manner. grant funds to matching funds stated in against fire or other damage. When Whenever possible, the intent to sell a the award agreement. records are stored away from the product should be disclosed in the application or reported to SJI in writing 2. Records for Match grantee’s/sub-grantee’s principal office, a written index of the location of stored once a decision to sell products has All grantees must maintain records records should be on hand, and ready been made. The grantee must request that clearly show the source, amount, access should be assured. approval to recover its product and timing of all matching development, reproduction, and contributions. In addition, if a project 4. Access dissemination costs as specified in has included, within its approved Grantees and sub-grantees must give section VI.A.11.b. budget, contributions which exceed the any authorized representative of SJI 5. Other required matching portion, the grantee access to and the right to examine all must maintain records of those records, books, papers, and documents Other project income shall be treated contributions in the same manner as it related to an SJI grant. in accordance with disposition does SJI funds and required matching instructions set forth in the grant’s terms shares. For all grants made to state and F. Project-Related Income and conditions. local courts, the state supreme court has Records of the receipt and disposition G. Payments and Financial Reporting primary responsibility for grantee/sub- of project-related income must be Requirements grantee compliance with the maintained by the grantee in the same requirements of this section (see manner as required for the project funds 1. Payment of Grant Funds subsection B.2. above). that gave rise to the income and must be The procedures and regulations set reported to SJI (see subsection G.2. forth below are applicable to all SJI E. Maintenance and Retention of below). The policies governing the grant funds and grantees. Records disposition of the various types of Request for Reimbursement of Funds All financial records, including project-related income are listed below. Grantees will receive funds on a supporting documents, statistical reimbursable, U.S. Treasury ‘‘check- records, and all other information 1. Interest issued’’ or electronic funds transfer pertinent to grants, sub-grants, A state and any agency or (EFT) basis. Upon receipt, review, and cooperative agreements, or contracts instrumentality of a state, including approval of a Request for under grants, must be retained by each institutions of higher education and Reimbursement (Form R) by SJI, organization participating in a project hospitals, shall not be held accountable payment will be issued directly to the for at least three years for purposes of for interest earned on advances of grantee or its designated fiscal agent. examination and audit. State supreme project funds. When funds are awarded The Form R, along with the instructions

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for its preparation, and the SF 3881 cumulatively exceed five percent (5%) conducted using generally accepted Automated Clearing House (ACH/ of the approved original budget or the auditing standards in the United States Miscellaneous Payment Enrollment most recently approved revised budget will satisfy the requirement for an Form for EFT) are available on the require prior SJI approval (see section annual fiscal audit. The audit must be Institute’s Web site: www.sji.gov/forms. VIII.A.1.). conducted by an independent Certified Public Accountant, or a state or local 2. Financial Reporting 2. Travel Costs agency authorized to audit government a. General Requirements. To obtain Transportation and per diem rates agencies. financial information concerning the must comply with the policies of the use of funds, the Institute requires that grantee. If the grantee does not have an 2. Resolution and Clearance of Audit grantees/sub-grantees submit timely established written travel policy, then Reports reports for review. travel rates must be consistent with Timely action on recommendations b. Due Dates and Contents. A those established by the federal by responsible management officials is Financial Status Report is required from government. SJI funds may not be used an integral part of the effectiveness of an all grantees, other than ESP award to cover the transportation or per diem audit. Each grantee must have policies recipients, for each active quarter on a costs of a member of a national and procedures for acting on audit calendar-quarter basis. This report is organization to attend an annual or recommendations by designating due within 30 days after the close of the other regular meeting, or conference of officials responsible for: (1) Follow-up, calendar quarter. It is designed to that organization. (2) maintaining a record of the actions provide financial information relating to 3. Indirect Costs taken on recommendations and time SJI funds, state and local matching schedules, (3) responding to and acting Indirect costs are only applicable to shares, project income, and any other on audit recommendations, and (4) organizations that are not state courts or sources of funds for the project, as well submitting periodic reports to SJI on government agencies. These are costs of as information on obligations and recommendations and actions taken. an organization that are not readily outlays. A copy of the Financial Status assignable to a particular project but are 3. Consequences of Non-Resolution of Report (Form F), along with necessary to the operation of the Audit Issues instructions, are provided at organization and the performance of the www.sji.gov/forms. If a grantee requests Ordinarily, SJI will not make a project. The cost of operating and substantial payments for a project prior subsequent grant award to an applicant maintaining facilities, depreciation, and to the completion of a given quarter, SJI that has an unresolved audit report administrative salaries are examples of may request a brief summary of the involving SJI awards. Failure of the the types of costs that are usually grantee to resolve audit questions may amount requested, by object class, to treated as indirect costs. Although SJI’s also result in the suspension or support the Request for Reimbursement. policy requires all costs to be budgeted termination of payments for active SJI directly, it will accept indirect costs if 3. Consequences of Non-Compliance grants to that organization. With Submission Requirement a grantee has an indirect cost rate approved by a federal agency. However, J. Close-Out of Grants Failure of the grantee to submit recoverable indirect costs are limited to required financial and progress reports 1. Grantee Close-Out Requirements no more than 75 percent of a grantee’s may result in suspension or termination direct personnel costs (salaries plus Within 90 days after the end date of of grant payments. fringe benefits). the grant or any approved extension thereof (see subsection J.2. below), the H. Allowability of Costs a. Approved Plan Available following documents must be submitted 1. Costs Requiring Prior Approval (1) A copy of an indirect cost rate to SJI by grantees (other than ESP award a. Pre-agreement Costs. The written agreement or allocation plan approved recipients): prior approval of SJI is required for costs for a grantee during the preceding two a. Financial Status Report. The final considered necessary but which occur years by any federal granting agency on report of expenditures must have no prior to the start date of the project the basis of allocation methods unliquidated obligations and must period. substantially in accord with those set indicate the exact balance of b. Equipment. Grant funds may be forth in the applicable cost circulars unobligated funds. Any unobligated/ used to purchase or lease only that must be submitted to SJI. unexpended funds will be deobligated equipment essential to accomplishing (2) Where flat rates are accepted in from the award by SJI. Final payment the goals and objectives of the project. lieu of actual indirect costs, grantees requests for obligations incurred during The written prior approval of SJI is may not also charge expenses normally the award period must be submitted to required when the amount of automated included in overhead pools, e.g., the Institute prior to the end of the 90- data processing (ADP) equipment to be accounting services, legal services, day close-out period. Grantees who have purchased or leased exceeds $10,000 or building occupancy and maintenance, drawn down funds in excess of their software to be purchased exceeds etc., as direct costs. obligations/expenditures, must return $3,000. I. Audit Requirements any unused funds as soon as it is c. Consultants. The written prior determined that the funds are not approval of SJI is required when the rate 1. Implementation required. In no instance should any of compensation to be paid a consultant Each recipient of a Project Grant must unused funds remain with the grantee exceeds $800 a day. SJI funds may not provide for an annual fiscal audit. This beyond the submission date of the final be used to pay a consultant more than requirement also applies to a state or Financial Status Report. $1,100 per day. local court receiving a sub-grant from b. Final Progress Report. This report d. Budget Revisions. Budget revisions the state supreme court. The audit may should describe the project activities among direct cost categories that (i) be of the entire grantee or sub-grantee during the final calendar quarter of the transfer grant funds to an unbudgeted organization or of the specific project project and the close-out period, cost category or (ii) individually or funded by the Institute. Audits including to whom project products

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have been disseminated; provide a 6. A change in or temporary absence will be needed. A request to change or summary of activities during the entire of the project director (see subsections extend the deadline for the final project; specify whether all the F. and G. below). financial report or final progress report objectives set forth in the approved 7. The assignment of an employee or must be made at least 14 days in application or an approved adjustment consultant to a key staff position whose advance of the report deadline (see have been met and, if any of the qualifications were not described in the section VII.J.2.). objectives have not been met, explain application, or a change of a person F. Temporary Absence of the Project why not; and discuss what, if anything, assigned to a key project staff position Director could have been done differently that (see section VI.A.2.). might have enhanced the impact of the 8. A change in or temporary absence Whenever an absence of the project project or improved its operation. These of the person responsible for managing director is expected to exceed a reporting requirements apply at the and reporting on the grant’s finances. continuous period of one month, the conclusion of every grant other than an 9. A change in the name of the grantee plans for the conduct of the project ESP award. organization. director’s duties during such absence 10. A transfer or contracting out of 2. Extension of Close-Out Period must be approved in advance by the grant-supported activities (see Institute. This information must be Upon the written request of the subsection H. below). provided in a letter signed by an grantee, SJI may extend the close-out 11. A transfer of the grant to another authorized representative of the grantee/ period to assure completion of the recipient. sub-grantee at least 30 days before the grantee’s close-out requirements. 12. Pre-agreement costs (see section departure of the project director, or as Requests for an extension must be VII.I.2.a.). soon as it is known that the project submitted at least 14 days before the 13. The purchase of automated data director will be absent. The grant may end of the close-out period and must processing equipment and software (see be terminated if arrangements are not explain why the extension is necessary section VII.H.1.b.). approved in advance by SJI. and what steps will be taken to assure 14. Consultant rates (see section that all the grantee’s responsibilities VII.I.2.c.). G. Withdrawal of/Change in Project will be met by the end of the extension 15. A change in the nature or number Director period. of the products to be prepared or the If the project director relinquishes or manner in which a product would be VIII. Grant Adjustments expects to relinquish active direction of distributed. the project, SJI must be notified All requests for programmatic or immediately. In such cases, if the budgetary adjustments requiring B. Requests for Grant Adjustments grantee/sub-grantee wishes to terminate Institute approval must be submitted by All grantees must promptly notify SJI, the project, SJI will forward procedural the project director in a timely manner in writing, of events or proposed instructions upon notification of such (ordinarily 30 days prior to the changes that may require adjustments to intent. If the grantee wishes to continue implementation of the adjustment being the approved project design. In the project under the direction of requested). All requests for changes requesting an adjustment, the grantee another individual, a statement of the from the approved application will be must set forth the reasons and basis for candidate’s qualifications should be carefully reviewed for both consistency the proposed adjustment and any other sent to SJI for review and approval. The with this Grant Guideline and the information the program manager grant may be terminated if the enhancement of grant goals and determines would help SJI’s review. qualifications of the proposed objectives. Failure to submit C. Notification of Approval/Disapproval individual are not approved in advance adjustments in a timely manner may by SJI. result in the termination of a grantee’s If the request is approved, the grantee award. will be sent a Grant Adjustment signed H. Transferring or Contracting Out of by the SJI Executive Director. If the Grant-Supported Activities A. Grant Adjustments Requiring Prior request is denied, the grantee will be Written Approval sent a written explanation of the reasons No principal activity of a grant- The following grant adjustments for the denial. supported project may be transferred or require the prior written approval of SJI: contracted out to another organization D. Changes in the Scope of the Grant 1. Budget revisions among direct cost without specific prior approval by SJI. categories that (a) transfer grant funds to Major changes in scope, duration, All such arrangements must be an unbudgeted cost category or (b) training methodology, or other formalized in a contract or other written individually or cumulatively exceed significant areas must be approved in agreement between the parties involved. five percent (5%) of the approved advance by SJI. A grantee may make Copies of the proposed contract or original budget or the most recently minor changes in methodology, agreement must be submitted for prior approved revised budget (see section approach, or other aspects of the grant approval of SJI at the earliest possible VII.H.1.d.). to expedite achievement of the grant’s time. The contract or agreement must 2. A change in the scope of work to objectives with subsequent notification state, at a minimum, the activities to be be performed or the objectives of the to SJI. performed, the time schedule, the policies and procedures to be followed, project (see subsection D. below). E. Date Changes 3. A change in the project site. the dollar limitation of the agreement, 4. A change in the project period, A request to change or extend the and the cost principles to be followed in such as an extension of the grant period grant period must be made at least 30 determining what costs, both direct and and/or extension of the final financial or days in advance of the end date of the indirect, will be allowed. The contract progress report deadline (see subsection grant. A revised task plan should or other written agreement must not E. below). accompany a request for an extension of affect the grantee’s overall responsibility 5. Satisfaction of special conditions, if the grant period, along with a revised for the direction of the project and required. budget if shifts among budget categories accountability to SJI.

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State Justice Institute Board of Avenue to the I–605/Interstate 10 (I–10) flow lane on southbound and Directors Interchange, and improvements on SR– northbound I–605 and widening all Chase T. Rogers (Chair), Chief Justice, 60 are proposed from Santa Anita lanes to 12 feet, for a total of five, 12- Supreme Court of Connecticut, Avenue to east of Turnbull Canyon foot-wide mixed flow lanes. The 2-foot- Hartford, CT Road. A Project Study Report-Project wide median shoulders would be Daniel J. Becker (Vice Chair), State Development Study (PSR–PDS) for the widened to 10 feet, and the 1-foot-wide Court Administrator, Utah Project was approved in December 2015 HOV buffer would be widened to four Administrative Office of the Courts, (not attached). feet. One 12-foot-wide mixed flow lane Salt Lake City, UT FOR FURTHER INFORMATION CONTACT: would also be added on westbound SR– Gayle A. Nachtigal (Secretary), Senior Ronald Kosinski, Deputy District 60. Right-of-Way (ROW) acquisitions Circuit Court Judge, Washington Director, Division of Environmental would be required to accommodate the proposed improvements and to meet County Circuit Court, Hillsboro, OR Planning, District 7, 100 South Main Hernan D. Vera (Treasurer), Principal, Street, Suite 100, Los Angeles, CA Caltrans’ Highway Design Manual Bird Marella P.C., Los Angeles, CA 90012, (213) 897–0703. standards. Jonathan Lippman, Chief Judge of the SUPPLEMENTARY INFORMATION: Effective Alternative 3: Reduced Standard State of New York (ret.); Of Counsel, July 1, 2007, the FHWA assigned, and Alternative (Lane/Shoulder Widths) Latham & Watkins, LLP, New York, Caltrans assumed, environmental Alternative 3 includes many of the NY responsibilities for this Project pursuant design elements identified in David V. Brewer, Justice, Supreme Court to 23 United States Code (U.S.C.) 327. Alternative 2; however, this alternative of Oregon, Salem, OR Caltrans will prepare an includes features that do not meet Wilfredo Martinez, County Judge, 9th Environmental Impact Statement (EIS) Caltrans’ Highway Design Manual Judicial Circuit of Florida, Orlando, for the proposed Project. The purpose of standards to reduce ROW acquisitions. FL the Project is to reduce congestion, On I–605, only two of the five mixed Marsha J. Rabiteau, Executive Director, improve freeway operations, improve flow lanes would be 12-feet wide, as the Legal Policy Strategies Group, and enhance safety, and improve local remaining three lanes would be 11-feet Bloomfield, CT and system interchange operations. The wide. The 2-foot-wide median shoulders John B. Nalbandian, Partner, Taft Project proposes widening along would be widened to 10 feet, and the 1- Stettinius & Hollister LLP, Cincinnati, southbound and northbound I–605 and foot-wide HOV buffer would be OH the addition of one mixed flow lane (a widened to two feet. Isabel Framer, President, Language standard freeway lane where vehicles Access Consultants LLC, Copley, OH with any number of occupants can drive Alternative 4: Hybrid Alternative Jonathan D. Mattiello, Executive anytime) along westbound SR–60 Alternative 4 includes many of the Director (ex officio) within the Project limits. The Project same design elements identified in Jonathan D. Mattiello, will also include the addition of Alternative 2; however, this alternative Executive Director. auxiliary lanes, where necessary (lanes includes features that do not meet used to separate entering, exiting, or Caltrans’ Highway Design Manual [FR Doc. 2016–24382 Filed 10–7–16; 8:45 am] weaving traffic from through traffic). standards to reduce ROW acquisitions. BILLING CODE P Improvements to local streets and Like Alternative 2, this alternative interchanges would be required as part includes five mixed flow lanes on I–605, of the Project. Interchanges that would but only one mixed flow lane would be DEPARTMENT OF TRANSPORTATION be affected include the I–605/Slauson 12-feet wide, which is added to the Avenue Interchange, I–605/Washington Federal Highway Administration outside travel lane. The remaining Boulevard Interchange, I–605/Whittier portion of the highway, consisting of the Notice of Intent To Prepare an Boulevard Interchange, I–605/Beverly four 11-foot-wide mixed flow lanes, the Environmental Impact Statement for a Boulevard Interchange, I–605/Rose Hills 2-foot-wide median shoulders, and 1- Proposed Highway Project in Los Road Interchange, I–605/Peck Road foot-wide HOV buffer, would not be Angeles County, California Interchange, I–605/SR 60 Interchange, I– improved as part of this alternative. 605/Valley Boulevard Interchange, and AGENCY: Federal Highway SR 60/Peck Road Interchange. Alternative 5: Transportation Systems Administration (FHWA), DOT. The following five Project alternatives Management/Transportation Demand Management (TSM/TDM) ACTION: Notice of intent. are under consideration. The TSM/TDM Alternative would add SUMMARY: The FHWA, on behalf of the Alternative 1: No Build Alternative transportation system and demand California Department of Transportation In this alternative, there would be no management techniques to existing (Caltrans), is issuing this notice to reconstruction or improvements to I– features within the Project limits. advise the public that a Draft 605 or SR–60. I–605 within the Project Improvements that may be included as Environmental Impact Statement (EIS) limits would continue to have four part of this alternative are additional will be prepared for proposed highway mixed flow lanes that are 11-feet wide, ramp metering, improved signal timing, improvements on Interstate 605 (I–605) with 2-foot-wide median shoulders, increased transit service, improved and State Route 60 (SR–60). The limits plus one high-occupancy vehicle (HOV) signage, development of rideshare/ of the Interstate 605 (I–605) and State lane and a 1-foot-wide HOV buffer. carpool programs, and installation of Route 60 (SR–60) Improvement Project intelligent transportation systems. (Project) will traverse the cities of Alternative 2: Standard Alternative Build Alternatives 2 through 4 may Baldwin Park, El Monte, City of (Lane/Shoulder Widths) include may include additional design Industry, Pico Rivera, South El Monte, Alternative 2 would meet Caltrans’ variations, which provide optional lane Whittier, and unincorporated Los Highway Design Manual standards for use (general purpose, HOV), optional on Angeles County. Improvements on I– travel lanes and shoulders. This and off ramp modifications, and other 605 are proposed from south of Slauson alternative includes adding one mixed operational improvements. Build

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alternatives proposed may be refined or • Section 1602 Agreement (California • Section 7 Consultation with U.S. Fish be removed from further consideration, Department of Fish and Wildlife) and Wildlife Service in the event that as engineering and environmental • National Pollutant Discharge Federally-listed species are affected analysis is conducted for the Project. Elimination System (NPDES) Permit • Union Pacific Railroad (UPRR) Analysis supporting the • Caltrans Statewide Permit and Memorandum of Agreement Environmental Impact Statement (EIS) Construction General Permit • Various City Encroachment Permits will determine the improvements • CWA Section 401 Water Quality Caltrans will be holding public necessary to meet the existing and Certification and/or Waste Discharge scoping meetings to provide an future transportation needs in the Requirement (WDR) (Regional Water overview of the Project, summarize the corridor. Quality Control Board) environmental process, and receive The following permits/approvals may • South Coast Air Quality Management input regarding the environmental be required to construct the Project: District (SCAQMD) Rules 403, 1403, issues and the suggested scope and • 33 U.S.C. 408 Section 408 Permit and 1166 content of the EIS. These meetings will (United States (U.S.) Army Corps of • Clean Air Act, Transportation include separate agency and public Engineers) Conformity Determination (FHWA; scoping. One round of three meetings • Clean Water Act (CWA) Section 404 Caltrans) will be held on November 1st through Permit (U.S. Army Corps of • Section 106 Compliance with November 3rd. Please refer to the table Engineers) National Historic Preservation Act below for meeting details:

City Date Time Location

City of Industry ...... Tuesday, Nov. 1, 2016 ...... 6:30 p.m.–8:30 p.m ... Public Scoping Meeting, Industry Hills Expo Center, 16200 Temple Avenue, City of Industry, CA 91744. South El Monte ...... Wednesday, Nov. 2, 2016 ... 6:30 p.m.–8:30 p.m ... Public Scoping Meeting, South El Monte Senior Center, 1556 Central Ave., South El Monte, CA 91733. Whittier ...... Thursday, Nov. 3, 2016 ...... 6:30 p.m.–8:30 p.m ... Public Scoping Meeting, Palm Park, Palm A–B Room, 5703 Palm Ave., Whittier, CA 90601. Whittier ...... Thursday, Nov. 3, 2016 ...... 3:00 p.m.–4:30 p.m ... Agency Scoping Meeting, Palm Park, Palm A–B Room, 5703 Palm Ave., Whittier, CA 90601.

Letters describing the proposed action Issued on: October 3, 2016. DATES: Comments must be received on and soliciting comments will be sent to Josue M. Yambo, or before November 10, 2016. All appropriate Federal, State, and Senior Transportation Engineer, Project comments will be investigated by Participating Agencies; tribal Delivery Division, Federal Highway FMCSA. The exemptions will be issued governments and local agencies and Administration, Sacramento, California. the day after the comment period closes. private organizations and citizens who [FR Doc. 2016–24480 Filed 10–7–16; 8:45 am] ADDRESSES: You may submit comments have previously expressed or are known BILLING CODE 4910–22–P bearing the Federal Docket Management to have interest in this proposal. The System (FDMS) Docket No. FMCSA– Draft EIS is anticipated to be available 2016–0207 using any of the following for public and agency review and DEPARTMENT OF TRANSPORTATION methods: comment in mid-2019. Public meetings • Federal eRulemaking Portal: Go to will be held in study area communities Federal Motor Carrier Safety http://www.regulations.gov. Follow the during the public and agency review Administration on-line instructions for submitting and comment period. In addition, [Docket No. FMCSA–2016–0207] comments. public hearings will be held for the • Mail: Docket Management Facility; Project. Public notice will be given for Qualification of Drivers; Exemption U.S. Department of Transportation, 1200 the time and place of the public Applications; Vision New Jersey Avenue SE., West Building meetings and hearings. The Draft EIS Ground Floor, Room W12–140, will be available for public and agency AGENCY: Federal Motor Carrier Safety Washington, DC 20590–0001. review and comment prior to the public Administration (FMCSA), DOT. • Hand Delivery: West Building hearings. ACTION: Notice of applications for Ground Floor, Room W12–140, 1200 To ensure that the full range of issues exemptions; request for comments. New Jersey Avenue SE., Washington, related to this proposed action is DC, between 9 a.m. and 5 p.m., Monday addressed and all significant concerns SUMMARY: FMCSA announces receipt of through Friday, except Federal are identified, comments and applications from 18 individuals for Holidays. suggestions are invited from all exemption from the vision requirement • Fax: 1–202–493–2251. interested parties. Comments or in the Federal Motor Carrier Safety Instructions: Each submission must questions about this proposed action Regulations. They are unable to meet include the Agency name and the and the EIS should be directed to the vision requirement in one eye for docket numbers for this notice. Note Caltrans at the address provided above. various reasons. The exemptions will that all comments received will be (Catalog of Federal Domestic Assistance enable these individuals to operate posted without change to http:// Program Number 20.205, Highway commercial motor vehicles (CMVs) in www.regulations.gov, including any Planning and Construction. The interstate commerce without meeting personal information provided. Please regulations implementing Executive the prescribed vision requirement in see the Privacy Act heading below for Order 12372 regarding one eye. If granted, the exemptions further information. intergovernmental consultation on would enable these individuals to Docket: For access to the docket to Federal programs and activities apply to qualify as drivers of commercial motor read background documents or this program.) vehicles (CMVs) in interstate commerce. comments, go to http://

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www.regulations.gov at any time or medical opinion, Joshua Akshar has Alvin J. Dannenmann Room W12–140 on the ground level of sufficient visual acuity and field of Mr. Dannenmann, 50, has had the West Building, 1200 New Jersey vision to perform the driving tasks to amblyopia in his left eye since Avenue SE., Washington, DC, between 9 operate a commercial vehicle.’’ Mr. childhood. The visual acuity in his right a.m. and 5 p.m., Monday through Akshar reported that he has driven eye is 20/25, and in his left eye, 20/60. Friday, except Federal holidays. The straight trucks for 3 years, accumulating Following an examination in 2016, his FDMS is available 24 hours each day, 10,200 miles. He holds a Class B CDL optometrist stated, ‘‘In my professional 365 days each year. If you want from New York. His driving record for opinion Mr [sic] Dannenmann has acknowledgment that we received your the last 3 years shows no crashes and no sufficient to [sic] vision to perform the comments, please include a self- convictions for moving violations in a driving tasks required to operate a addressed, stamped envelope or CMV. commercial vehicle.’’ Mr. Dannenmann postcard or print the acknowledgement reported that he has driven straight Elijah A. Allen, Jr. page that appears after submitting trucks for 30 years, accumulating 2.34 comments on-line. Mr. Allen, 52, has had amblyopia in million miles, and tractor-trailer Privacy Act: In accordance with 5 his left eye since childhood. The visual combinations for 30 years, accumulating U.S.C. 553(c), DOT solicits comments acuity in his right eye is 20/20, and in 450,000 miles. He holds an operator’s from the public to better inform its his left eye, 20/200. Following an license from Delaware. His driving rulemaking process. DOT posts these record for the last 3 years shows no comments, without edit, including any examination in 2016, his optometrist stated, ‘‘It is my medical opinion that he crashes and no convictions for moving personal information the commenter violations in a CMV. provides, to www.regulations.gov, as has sufficient vision to perform the described in the system of records driving tasks required to operate a Wayne L. Dorbert commercial vehicle.’’ Mr. Allen notice (DOT/ALL–14 FDMS), which can Mr. Dorbert, 58, has had exotropia in be reviewed at www.dot.gov/privacy. reported that he has driven straight his right eye due to amblyopia since trucks for 8 years, accumulating 320,000 FOR FURTHER INFORMATION CONTACT: Ms. childhood. The visual acuity in his right miles, tractor-trailer combinations for 25 Christine A. Hydock, Chief, Medical eye is 20/40, and in his left eye, 20/20. years, accumulating 2 million miles, Programs Division, (202) 366–4001, Following an examination in 2016, his and buses for 1 year, accumulating [email protected], FMCSA, optometrist stated, ‘‘Visual ability and 2,600 miles. He holds a Class A CDL Department of Transportation, 1200 acuity are stable and sufficient to from Arkansas. His driving record for New Jersey Avenue SE., Room W64– operate a commercial vehicle.’’ Mr. 113, Washington, DC 20590–0001. the last 3 years shows no crashes and Dorbert reported that he has driven Office hours are 8:30 a.m. to 5 p.m., e.t., one conviction for a moving violation in buses for 6 years, accumulating 61,500 Monday through Friday, except Federal a CMV; he exceeded the speed limit by miles. He holds a Class B CDL from holidays. If you have questions 10 miles per hour (mph). Pennsylvania. His driving record for the regarding viewing or submitting Tanner H. Brooks last 3 years shows no crashes and no material to the docket, contact Docket convictions for moving violations in a Services, telephone (202) 366–9826. Mr. Brooks, 21, has had amblyopia in CMV. SUPPLEMENTARY INFORMATION: his right eye since birth. The visual Roger D. Ellsworth Jr. acuity in his right eye is 20/100, and in I. Background his left eye, 20/20. Following an Mr. Ellsworth, 44, has hypoexotropia Under 49 U.S.C. 31136(e) and 31315, examination in 2016, his optometrist in his left eye since birth. The visual FMCSA may grant an exemption from stated, ‘‘It is my opinion that his vision acuity in his right eye is 20/20, and in the Federal Motor Carrier Safety will enable him to safely operate a his left eye, 20/40. Following an Regulations for a 2-year period if it finds commercial vehicle.’’ Mr. Brooks examination in 2016, his optometrist ‘‘such exemption would likely achieve a reported that he has driven tractor- stated, ‘‘In my opinion, Mr. Ellsworth level of safety that is equivalent to or trailer combinations for 3 years, has sufficient vision to perform the greater than the level that would be accumulating 24,000 miles. He holds an driving tasks required to operate a achieved absent such exemption.’’ operator’s license from Mississippi. His commercial vehicle, with his optical FMCSA can renew exemptions at the driving record for the last 3 years shows correction.’’ Mr. Ellsworth reported that end of each 2-year period. The 18 no crashes and no convictions for he has driven straight trucks for 14 individuals listed in this notice have moving violations in a CMV. years, accumulating 364,000 miles. He each requested such an exemption from holds an operator’s license from North Carolina. His driving record for the last the vision requirement in 49 CFR Brian E. Broux 3 years shows no crashes and no 391.41(b)(10), which applies to drivers Mr. Broux, 49, has had amblyopia in convictions for moving violations in a of CMVs in interstate commerce. his left eye since childhood. The visual CMV. Accordingly, the Agency will evaluate acuity in his right eye is 20/25, and in the qualifications of each applicant to his left eye, 20/50. Following an Gregory L. Frisch determine whether granting an examination in 2016, his optometrist Mr. Frisch, 48, has had complete loss exemption will achieve the required stated, ‘‘In my opinion, Mr. Broux’s of vision in his left eye since childhood. level of safety mandated by statute. vision is sufficient to operate a The visual acuity in his right eye is 20/ II. Qualifications of Applicants commercial motor vehicle.’’ Mr. Broux 20, and in his left eye, no light reported that he has driven straight perception. Following an examination Joshua A. Akshar trucks for 11 years, accumulating in 2016, his optometrist stated, ‘‘I Mr. Akshar, 22, has had amblyopia in 143,000 miles. He holds a Class BM1 believe he has sufficient vision to his left eye since birth. The visual acuity CDL from California. His driving record perform the driving tasks that require in his right eye is 20/20, and in his left for the last 3 years shows no crashes and operating a commercial or passenger eye, 20/200. Following an examination no convictions for moving violations in vehicle.’’ Mr. Frisch reported that he has in 2016, his optometrist stated, ‘‘In my a CMV. driven straight trucks for 15 years,

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accumulating 90,000 miles, tractor- acuity in his right eye is 20/20, and in driving tasks required to operate a trailer combinations for 15 years, his left eye, 20/200. Following an commercial vehicle.’’ Mr. Paloskey accumulating 60,000 miles, and buses examination in 2016, his reported that he has driven straight for 10 years, accumulating 50,000 miles. ophthalmologist stated, ‘‘In short, the trucks for 30 years, accumulating 4.2 He holds a Class A CDL from California. history and examination was consistent million miles. He holds a Class AM CDL His driving record for the last 3 years with a history of very early cataract from Pennsylvania. His driving record shows no crashes and no convictions for formation along with a macular scar for the last 3 years shows no crashes and moving violations in a CMV. rendering decreased central visual no convictions for moving violations in acuity with no changes in the peripheral a CMV. Josh Gallant Jr. vision in both eyes . . . In regards to his Mr. Gallant, 68, has had a retinal exam, again everything has been Jesse R. Parker detachment in his right eye since 1992. unchanged and he should be strongly The visual acuity in his right eye is 20/ considered for a waiver for this CDL as Mr. Parker, 44, has had amblyopia in 200, and in his left eye, 20/20. nothing has been altered here in the last his right eye since childhood. The Following an examination in 2016, his many years.’’ Mr. Kadolph reported that visual acuity in his right eye is 20/50, optometrist stated, ‘‘It is my opinion he has driven straight trucks for 45 and in his left eye, 20/20. Following an that his vision and ocular health should years, accumulating 45,000 miles, examination in 2016, his optometrist not [sic] prevent him from being able to tractor-trailer combinations for 24 years, stated, ‘‘In my medical opinion, Mr. operate a commercial vehicle.’’ Mr. accumulating 120,000 miles. He holds a Parker has sufficient vision to perform Gallant reported that he has driven Class A CDL from Iowa. His driving the driving tasks assigned to him to straight trucks for 22 years, record for the last 3 years shows no operate a commercial vehicle.’’ Mr. accumulating 2.34 million miles. He crashes and no convictions for moving Parker reported that he has driven holds a Class B CDL from South violations in a CMV. tractor-trailer combinations for 16 years, Carolina. His driving record for the last Jay D. May accumulating 80,000 miles. He holds an 3 years shows no crashes and no operator’s license from Louisiana. His Mr. May, 36, has had amblyopia in his convictions for moving violations in a driving record for the last 3 years shows CMV. left eye since childhood. The visual acuity in his right eye is 20/20, and in no crashes and no convictions for John P. Grum his left eye, 20/200. Following an moving violations in a CMV. Mr. Grum, 45, has amblyopia in his examination in 2016, his optometrist Christopher A. Stewart right eye since childhood. The visual stated, ‘‘Jay’s vision is sufficient to drive acuity in his right eye is 20/100, and in a commercial vehicle.’’ Mr. May Mr. Stewart, 57, has had amblyopia in his left eye, 20/20. Following an reported that he has driven straight his right eye since childhood. The examination in 2016, his optometrist trucks for 11 years, accumulating 5,500 visual acuity in his right eye is 20/60, stated, ‘‘In my medical opinion I feel miles, tractor-trailer combinations for 11 and in his left eye, 20/20. Following an John has more than sufficient vision to years, accumulating 495,000 miles. He examination in 2016, his optometrist continue to operate a commercial holds a Class A CDL from Colorado. His stated that Mr. Stewart does have vehicle.’’ Mr. Grum reported that he has driving record for the last 3 years shows sufficient vision to perform the driving driven straight trucks for 20 years, no crashes and no convictions for tasks required to operate a commercial accumulating 600,000 miles, and moving violations in a CMV. motor vehicle. Mr. Stewart reported that tractor-trailer combinations for 20 years, Tracy L. Neal he has driven tractor-trailer accumulating 1 million miles. He holds combinations for 32 years, accumulating Mr. Neal, 49, has had optic atrophy in a Class AM CDL from Pennsylvania. His 3.58 million miles. He holds a Class A driving record for the last 3 years shows his right eye due to a traumatic incident in childhood. The visual acuity in his CDL from Georgia. His driving record no crashes and no convictions for for the last 3 years shows no crashes and moving violations in a CMV. right eye is 20/100, and in his left eye, 20/20. Following an examination in no convictions for moving violations in Dillon L. Hendren 2016, his optometrist stated, ‘‘It is my a CMV. Mr. Hendren, 28, has had amblyopia medical opinion that Mr. Neal has Emejildo Vargas in his left eye since birth. The visual sufficient vision to perform safe driving acuity in his right eye is 20/20, and in tasks required to operate a commercial Mr. Vargas, 28, has had amblyopia in his left eye, 20/200. Following an vehicle.’’ Mr. Neal reported that he has his left eye since childhood. The visual examination in 2016, his optometrist driven tractor-trailer combinations for acuity in his right eye is 20/15, and in stated, ‘‘Since Mr. Hendren’s visual 26 years, accumulating 2.6 million his left eye, 20/200. Following an fields are much greater than the miles. He holds an operator’s license examination in 2016, his optometrist required field in each eye, he should be from Michigan. His driving record for stated, ‘‘Mr. Vargas does meet the visual considered visually competent to the last 3 years shows no crashes and no standards to drive legally and there is operate a commercial vehicle.’’ Mr. convictions for moving violations in a sufficient vision to perform the driving Hendren reported that he has driven CMV. tasks required to operate a commercial straight trucks for 9 years, accumulating Edward P. Paloskey Jr. vehicle.’’ Mr. Vargas reported that he 142,659 miles. He holds an operator’s has driven straight trucks for 4 years, license from South Carolina. His driving Mr. Paloskey, 56, has retinal scar in accumulating 74,080 miles, and tractor- record for the last 3 years shows one his left eye due to an electromagnetic trailer combinations for 2 years, crash; he was cited for spillage of load/ foreign body in 1984. The visual acuity accumulating 14,580 miles. He holds a improper load secure. in his right eye is 20/20, and in his left eye, 20/80. Following an examination in Class A CDL from Massachusetts. His Roger E. Kadolph 2016, his optometrist stated, ‘‘In my driving record for the last 3 years shows Mr. Kadolph, 63, has a macular scar medical opinion, Edward P. Paloskey Jr no crashes and no convictions for in his left eye since 1952. The visual [sic] has sufficient vision to perform the moving violations in a CMV.

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III. Public Participation and Request for Issued on: September 29, 2016. personal information provided. Please Comments Larry W. Minor, see the Privacy Act heading below for Associate Administrator for Policy. further information. FMCSA encourages you to participate [FR Doc. 2016–24465 Filed 10–7–16; 8:45 am] by submitting comments and related Docket: For access to the docket to BILLING CODE 4910–EX–P read background documents or materials. comments, go to http:// Submitting Comments www.regulations.gov at any time or DEPARTMENT OF TRANSPORTATION Room W12–140 on the ground level of If you submit a comment, please the West Building, 1200 New Jersey Federal Motor Carrier Safety include the docket number for this Avenue SE., Washington, DC, between 9 Administration notice, indicate the specific section of a.m. and 5 p.m., Monday through this document to which each comment [Docket No. FMCSA–2016–0209] Friday, except Federal holidays. The applies, and provide a reason for each FDMS is available 24 hours each day, suggestion or recommendation. You Qualification of Drivers; Exemption 365 days each year. If you want may submit your comments and Applications; Vision acknowledgment that we received your material online or by fax, mail, or hand comments, please include a self- AGENCY: Federal Motor Carrier Safety delivery, but please use only one of Administration (FMCSA), DOT. addressed, stamped envelope or these means. FMCSA recommends that postcard or print the acknowledgement ACTION: you include your name and a mailing Notice of applications for page that appears after submitting address, an email address, or a phone exemptions; request for comments. comments on-line. number in the body of your document SUMMARY: FMCSA announces receipt of Privacy Act: In accordance with 5 so the Agency can contact you if it has applications from 12 individuals for U.S.C. 553(c), DOT solicits comments questions regarding your submission. exemption from the vision requirement from the public to better inform its To submit your comment online, go to in the Federal Motor Carrier Safety rulemaking process. DOT posts these http://www.regulations.gov and put the Regulations. They are unable to meet comments, without edit, including any docket number FMCSA–2016–0207 in the vision requirement in one eye for personal information the commenter the ‘‘Keyword’’ box, and click ‘‘Search. various reasons. The exemptions will provides, to www.regulations.gov, as When the new screen appears, click on enable these individuals to operate described in the system of records ‘‘Comment Now!’’ button and type your commercial motor vehicles (CMVs) in notice (DOT/ALL–14 FDMS), which can comment into the text box in the interstate commerce without meeting be reviewed at www.dot.gov/privacy. following screen. Choose whether you the prescribed vision requirement in FOR FURTHER INFORMATION CONTACT: Ms. are submitting your comment as an one eye. If granted, the exemptions would enable these individuals to Christine A. Hydock, Chief, Medical individual or on behalf of a third party Programs Division, (202) 366–4001, and then submit. If you submit your qualify as drivers of commercial motor vehicles (CMVs) in interstate commerce. [email protected], FMCSA, comments by mail or hand delivery, Department of Transportation, 1200 submit them in an unbound format, no DATES: Comments must be received on New Jersey Avenue SE., Room W64– 1 larger than 8 ⁄2 by 11 inches, suitable for or before November 10, 2016. All 113, Washington, DC 20590–0001. copying and electronic filing. If you comments will be investigated by Office hours are 8:30 a.m. to 5 p.m., e.t., submit comments by mail and would FMCSA. The exemptions will be issued Monday through Friday, except Federal like to know that they reached the the day after the comment period closes. holidays. If you have questions facility, please enclose a stamped, self- ADDRESSES: You may submit comments regarding viewing or submitting addressed postcard or envelope. bearing the Federal Docket Management material to the docket, contact Docket FMCSA will consider all comments System (FDMS) Docket No. FMCSA– Services, telephone (202) 366–9826. and material received during the 2016–0209 using any of the following methods: SUPPLEMENTARY INFORMATION: comment period. FMCSA may issue a • final determination at any time after the Federal eRulemaking Portal: Go to I. Background close of the comment period. http://www.regulations.gov. Follow the on-line instructions for submitting Under 49 U.S.C. 31136(e) and 31315, Viewing Comments and Documents comments. FMCSA may grant an exemption from • Mail: Docket Management Facility; the Federal Motor Carrier Safety To view comments, as well as U.S. Department of Transportation, 1200 Regulations for a 2-year period if it finds documents mentioned in this preamble New Jersey Avenue SE., West Building ‘‘such exemption would likely achieve a as being available in the docket, go to Ground Floor, Room W12–140, level of safety that is equivalent to or http://www.regulations.gov and insert Washington, DC 20590–0001. greater than the level that would be the docket number FMCSA–2016–0207 • Hand Delivery: West Building achieved absent such exemption.’’ in the ‘‘Keyword’’ box and click Ground Floor, Room W12–140, 1200 FMCSA can renew exemptions at the ‘‘Search.’’ Next, click ‘‘Open Docket New Jersey Avenue SE., Washington, end of each 2-year period. The 12 Folder’’ button and choose the DC, between 9 a.m. and 5 p.m., Monday individuals listed in this notice have document listed to review. If you do not through Friday, except Federal each requested such an exemption from have access to the Internet, you may Holidays. the vision requirement in 49 CFR view the docket online by visiting the • Fax: 1–202–493–2251. 391.41(b)(10), which applies to drivers Docket Management Facility in Room Instructions: Each submission must of CMVs in interstate commerce. W12–140 on the ground floor of the include the Agency name and the Accordingly, the Agency will evaluate DOT West Building, 1200 New Jersey docket numbers for this notice. Note the qualifications of each applicant to Avenue SE., Washington, DC 20590, that all comments received will be determine whether granting an between 9 a.m. and 5 p.m., e.t., Monday posted without change to http:// exemption will achieve the required through Friday, except Federal holidays. www.regulations.gov, including any level of safety mandated by statute.

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II. Qualifications of Applicants eye is 20/15, and in his left eye, count Jason R. Raml fingers. Following an examination in Robert A. Andersen Mr. Raml, 37, has had amblyopia in 2016, his ophthalmologist stated, ‘‘I his left eye since childhood. The visual Mr. Andersen, 81, has a prosthetic left believe Mr. Fischer is capable to return acuity in his right eye is 20/20, and in eye due to a traumatic incident in 2011. to work as a commercial driver despite his left eye, 20/400. Following an The visual acuity in his right eye is 20/ the vision impairment of the left eye.’’ examination in 2016, his optometrist 25, and in his left eye, no light Mr. Fischer reported that he has driven stated, ‘‘I feel that Jason has sufficient perception. Following an examination straight trucks for 33 years, vision to safely operate a commercial in 2016, his ophthalmologist stated, accumulating 495,000 miles. He holds a vehicle.’’ Mr. Raml reported that he has ‘‘Mr. Andersen functions well with Class A CDL from Missouri. His driving driven straight trucks for 25 years, activities of daily living including but record for the last 3 years shows no accumulating 75,000 miles, and tractor- not limited to sufficient vision to crashes and no convictions for moving trailer combinations for 12 years, perform the driving tasks required to violations in a CMV. accumulating 85,000 miles. He holds a operate a commercial vehicle.’’ Mr. Nylo K. Helberg Class A CDL from South Dakota. His Andersen reported that he has driven driving record for the last 3 years shows straight trucks for 64 years, Mr. Helberg, 26, has had amblyopia in no crashes and no convictions for accumulating 30 million miles, and his left eye since childhood. The visual moving violations in a CMV. tractor-trailer combinations for 58 years, acuity in his right eye is 20/20, and in accumulating 5.6 million miles. He his left eye, 20/100. Following an Alfred L. Robinson holds a Class A CDL from California. examination in 2016, his optometrist Mr. Robinson, 59, has had a prosthetic His driving record for the last 3 years stated, ‘‘In my opinion, his condition left eye since childhood. The visual shows no crashes and no convictions for will not affect his ability to safely acuity in his right eye is 20/20, and in moving violations in a CMV. operate a commercial vehicle.’’ Mr. his left eye, no light perception. Daniel L. Bawden Helberg reported that he has driven Following an examination in 2016, his straight trucks for 4 years, accumulating optometrist stated, ‘‘If correctable to 20/ Mr. Bawden, 71, has had amblyopia 240,000 miles. He holds an operator’s 20 in the right eye and 150 degree field in his left eye since birth. The visual license from North Dakota. His driving of vision satisfies your requirements to acuity in his right eye is 20/20, and in record for the last 3 years shows no be able to operate a commercial vehicle, his left eye, 20/300. Following an crashes and no convictions for moving then Alfred L. Robinson meets those examination in 2016, his optometrist violations in a CMV. requirements.’’ Mr. Robinson reported stated, ‘‘In my professional opinion, the that he has driven straight trucks for 15 scotoma in his left eye is so small that J. Willard Keener years, accumulating 135,000 miles, and he can safely operate a commercial Mr. Keener, 58, has had strabismus in tractor-trailer combinations for 15 years, vehicle.’’ Mr. Bawden reported that he his right eye since childhood. The accumulating 180,000 miles. He holds a has driven straight trucks for 7 years, visual acuity in his right eye is hand Class A CDL from Arkansas. His driving accumulating 21,000 miles, and tractor- motion, and in his left eye, 20/20. record for the last 3 years shows no trailer combinations for 43 years, Following an examination in 2016, his crashes and no convictions for moving accumulating 3.2 million miles. He optometrist stated, ‘‘In my opinion, Mr. violations in a CMV. holds a Class A CDL from Illinois. His Keener has sufficient vision to perform driving record for the last 3 years shows Jerry L. Smith the driving tasks required to operate a no crashes and no convictions for Mr. Smith, 52, has had a prosthetic commercial vehicle.’’ Mr. Keener moving violations in a CMV. right eye since childhood. The visual reported that he has driven straight acuity in his right eye is no light Kelly L. Ewing trucks for 30 years, accumulating perception, and in his left eye, 20/20. Mr. Ewing, 47, has had complete loss 360,000 miles. He holds an operator’s Following an examination in 2016, his of vision in his left eye due to a license from Pennsylvania. His driving optometrist stated, ‘‘I certify that in Dr. traumatic incident in 1999. The visual record for the last 3 years shows no Timothy Wilson’s medical opinion, acuity in his right eye is 20/20, and in crashes and no convictions for moving Jerry L. Smith has sufficient vision to his left eye, no light perception. violations in a CMV. perform the driving tasks required to Following an examination in 2016, his Billy R. McLaurin operate a commercial vehicle.’’ Mr. optometrist stated, ‘‘In my medical Smith reported that he has driven opinion, I do believe that Mr. [sic] Mr. McLaurin, 69, has had a retinal straight trucks for 15 years, Ewing has sufficient vision to perform scar in his right eye since childhood. accumulating 450,000 miles, and the driving tasks required of him to The visual acuity in his right eye is 20/ tractor-trailer combinations for 15 years, operate a commercial vehicle.’’ Mr. 400, and in his left eye, 20/30. accumulating 450,000 miles. He holds a Ewing reported that he has driven Following an examination in 2016, his Class A M2 CDL from Virginia. His straight trucks for 30 years, ophthalmologist stated, ‘‘In conclusion, driving record for the last 3 years shows accumulating 150,000 miles, and it is my opinion that the ophthalmic no crashes and no convictions for tractor-trailer combinations for 23 years, findings in the above gentleman’s right moving violations in a CMV. accumulating 548,550 miles. He holds eye are chronic and stable and do not Danny R. Tate an operator’s license from Pennsylvania. seem to significantly impact his His driving record for the last 3 years capacity to operate a commercial Mr. Tate, 39, has a prosthetic left eye shows no crashes and no convictions for vehicle.’’ Mr. McLaurin reported that he due to a traumatic incident in 2007. The moving violations in a CMV. has driven buses for 19 years, visual acuity in his right eye is 20/20, accumulating 141,246 miles. He holds a and in his left eye, no light perception. Joseph G. Fischer Class CB CDL from Delaware. His Following an examination in 2016, his Mr. Fischer, 52, has a corneal scar in driving record for the last 3 years shows optometrist stated, ‘‘It is my opinion his left eye due to a traumatic incident no crashes and no convictions for that he has sufficient vision to safely in 2013. The visual acuity in his right moving violations in a CMV. perform the driving tasks required to

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operate a commercial vehicle without facility, please enclose a stamped, self- ADDRESSES: You may submit comments restriction.’’ Mr. Tate reported that he addressed postcard or envelope. bearing the Federal Docket Management has driven straight trucks for 15 years, FMCSA will consider all comments System (FDMS) Docket No. FMCSA– accumulating 165,000 miles. He holds and material received during the 2016–0208 using any of the following an operator’s license from Virginia. His comment period. FMCSA may issue a methods: driving record for the last 3 years shows final determination at any time after the • Federal eRulemaking Portal: Go to no crashes and no convictions for close of the comment period. http://www.regulations.gov. Follow the moving violations in a CMV. on-line instructions for submitting Viewing Comments and Documents comments. Larry K. Zielinski To view comments, as well as • Mail: Docket Management Facility; Mr. Zielinski, 69, has age related documents mentioned in this preamble U.S. Department of Transportation, 1200 macular degeneration in his right eye as being available in the docket, go to New Jersey Avenue, SE., West Building since 2006. The visual acuity in his http://www.regulations.gov and insert Ground Floor, Room W12–140, right eye is counting fingers, and in his the docket number FMCSA–2016–0209 Washington, DC 20590–0001. left eye, 20/20. Following an in the ‘‘Keyword’’ box and click • Hand Delivery: West Building examination in 2016, his ‘‘Search.’’ Next, click ‘‘Open Docket Ground Floor, Room W12–140, 1200 ophthalmologist stated, ‘‘In my medical Folder’’ button and choose the New Jersey Avenue SE., Washington, opinion, Larry Zielinski has sufficient document listed to review. If you do not DC, between 9 a.m. and 5 p.m., Monday vision to perform the driving tasks have access to the Internet, you may through Friday, except Federal required to operate a commercial view the docket online by visiting the Holidays. vehicle.’’ Mr. Zielinski reported that he Docket Management Facility in Room • Fax: 1–202–493–2251. has driven tractor-trailer combinations W12–140 on the ground floor of the Instructions: Each submission must for 45 years, accumulating 1.8 million DOT West Building, 1200 New Jersey include the Agency name and the miles. He holds a Class A CDL from Avenue SE., Washington, DC 20590, docket numbers for this notice. Note Oregon. His driving record for the last between 9 a.m. and 5 p.m., e.t., Monday that all comments received will be 3 years shows no crashes and no through Friday, except Federal holidays. posted without change to http:// convictions for moving violations in a Issued on: September 29, 2016. www.regulations.gov, including any CMV. Larry W. Minor, personal information provided. Please see the Privacy Act heading below for III. Public Participation and Request for Associate Administrator for Policy. further information. Comments [FR Doc. 2016–24452 Filed 10–7–16; 8:45 am] Docket: For access to the docket to FMCSA encourages you to participate BILLING CODE 4910–EX–P read background documents or by submitting comments and related comments, go to http:// www.regulations.gov at any time or materials. DEPARTMENT OF TRANSPORTATION Room W12–140 on the ground level of Submitting Comments Federal Motor Carrier Safety the West Building, 1200 New Jersey If you submit a comment, please Administration Avenue SE., Washington, DC, between 9 include the docket number for this a.m. and 5 p.m., Monday through notice, indicate the specific section of Friday, except Federal holidays. The [Docket No. FMCSA–2016–0208] this document to which each comment FDMS is available 24 hours each day, applies, and provide a reason for each Qualification of Drivers; Exemption 365 days each year. If you want suggestion or recommendation. You Applications; Vision acknowledgment that we received your may submit your comments and comments, please include a self- material online or by fax, mail, or hand AGENCY: Federal Motor Carrier Safety addressed, stamped envelope or delivery, but please use only one of Administration (FMCSA), DOT. postcard or print the acknowledgement these means. FMCSA recommends that ACTION: Notice of applications for page that appears after submitting you include your name and a mailing exemptions; request for comments. comments on-line. address, an email address, or a phone Privacy Act: In accordance with 5 number in the body of your document SUMMARY: FMCSA announces receipt of U.S.C. 553(c), DOT solicits comments so the Agency can contact you if it has applications from 20 individuals for from the public to better inform its questions regarding your submission. exemption from the vision requirement rulemaking process. DOT posts these To submit your comment online, go to in the Federal Motor Carrier Safety comments, without edit, including any http://www.regulations.gov and put the Regulations. They are unable to meet personal information the commenter docket number FMCSA–2016–0209 in the vision requirement in one eye for provides, to www.regulations.gov, as the ‘‘Keyword’’ box, and click ‘‘Search. various reasons. The exemptions will described in the system of records When the new screen appears, click on enable these individuals to operate notice (DOT/ALL–14 FDMS), which can ‘‘Comment Now!’’ button and type your commercial motor vehicles (CMVs) in be reviewed at www.dot.gov/privacy. comment into the text box in the interstate commerce without meeting FOR FURTHER INFORMATION CONTACT: Ms. following screen. Choose whether you the prescribed vision requirement in Christine A. Hydock, Chief, Medical are submitting your comment as an one eye. If granted, the exemptions Programs Division, (202) 366–4001, individual or on behalf of a third party would enable these individuals to [email protected], FMCSA, and then submit. If you submit your qualify as drivers of commercial motor Department of Transportation, 1200 comments by mail or hand delivery, vehicles (CMVs) in interstate commerce. New Jersey Avenue SE., Room W64– submit them in an unbound format, no DATES: Comments must be received on 113, Washington, DC 20590–0001. larger than 81⁄2 by 11 inches, suitable for or before November 10, 2016. All Office hours are 8:30 a.m. to 5 p.m., e.t., copying and electronic filing. If you comments will be investigated by Monday through Friday, except Federal submit comments by mail and would FMCSA. The exemptions will be issued holidays. If you have questions like to know that they reached the the day after the comment period closes. regarding viewing or submitting

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material to the docket, contact Docket Keith D. Blackwell driving tasks required to drive a Services, telephone (202) 366–9826. Mr. Blackwell, 59, has had glaucoma commercial vehicle.’’ Mr. Cullen reported that he has driven straight SUPPLEMENTARY INFORMATION: in his right eye due to a retinal detachment since 2009. The visual trucks for 50 years, accumulating 15,000 I. Background acuity in his right eye is no light miles, buses for 10 years, accumulating perception, and in his left eye, 20/20. 15,000 miles. He holds a Class A CDL Under 49 U.S.C. 31136(e) and 31315, Following an examination in 2016, his from New Jersey. His driving record for FMCSA may grant an exemption from optometrist stated, ‘‘I certify that in my the last 3 years shows no crashes and no the Federal Motor Carrier Safety medical opinion, Mr [sic] Blackwell has convictions for moving violations in a Regulations for a 2-year period if it finds sufficient vision to perform the driving CMV. ‘‘such exemption would likely achieve a tasks required to operate a commercial Edwin P. Davis level of safety that is equivalent to or vehicle.’’ Mr. Blackwell reported that he Mr. Davis, 49, has corneal scarring in greater than the level that would be has driven straight trucks for 2 years, his right eye due to a traumatic incident achieved absent such exemption.’’ accumulating 20,000 miles and tractor- in childhood. The visual acuity in his FMCSA can renew exemptions at the trailer combinations for 28 years, right eye is hand motion, and in his left end of each 2-year period. The 20 accumulating 3.36 million miles. He eye, 20/20. Following an examination in individuals listed in this notice have holds a Class A CDL from Texas. His 2016, his optometrist stated, ‘‘Based on each requested such an exemption from driving record for the last 3 years shows these test results, it is my opinion that the vision requirement in 49 CFR no crashes and no convictions for Mr. Davis possesses sufficient vision to 391.41(b)(10), which applies to drivers moving violations in a CMV. of CMVs in interstate commerce. perform the driving tasks required to Accordingly, the Agency will evaluate Gerald D. Bowser operate a commercial vehicle.’’ Mr. the qualifications of each applicant to Mr. Bowser, 62, has had a macular Davis reported that he has driven determine whether granting an scar in his right eye due to a traumatic straight trucks for 33 years, exemption will achieve the required incident in 1966. The visual acuity in accumulating 429,000 miles, and level of safety mandated by statute. his right eye is 20/400, and in his left tractor-trailer combinations for 33 years, eye, 20/20. Following an examination in accumulating 660,000 miles. He holds a II. Qualifications of Applicants 2016, his optometrist stated, ‘‘I feel Class A CDL from Oregon. His driving record for the last 3 years shows one Randal D. Aukes Gerald is more than capable to drive a commercial vehicle efficiently crash, to which he did not contribute Mr. Aukes, 57, has had amblyopia in concerning his visual capability.’’ Mr. and for which he was not cited, and no his left eye since birth. The visual acuity Bowser reported that he has driven convictions for moving violations in a in his right eye is 20/20, and in his left straight trucks for 43 years, CMV. eye, 20/400. Following an examination accumulating 645,000 miles, and Timothy J. Dougherty in 2016, his optometrist stated, ‘‘In my tractor-trailer combinations for 10 years, Mr. Dougherty, 55, has had amblyopia professional medical opinion I believe accumulating 250,000 miles. He holds in his left eye since childhood. The Randal Aukes has sufficient vision to an operator’s license from Pennsylvania. visual acuity in his right eye is 20/20, perform the driving tasks required to His driving record for the last 3 years and in his left eye, 20/50. Following an operate a commercial vehicle.’’ Mr. shows no crashes and no convictions for examination in 2016, his optometrist Aukes reported that he has driven moving violations in a CMV. stated, ‘‘Based on this it is my straight trucks for 35 years, Kathy J. Brown professional opinion that Mr. Dougherty accumulating 35,000 miles, and tractor- has adequate activities to visually trailer combinations for 35 years, Ms. Brown, 55, has had amblyopia in perform the driving tasks to operate a accumulating 3.85 million miles. He her right eye since childhood. The commercial vehicle.’’ Mr. Dougherty holds a Class A CDL from Minnesota. visual acuity in her right eye is 20/300, reported that he has driven straight His driving record for the last 3 years and in her left eye, 20/20. Following an trucks for 4 years, accumulating 40,000 shows no crashes and no convictions for examination in 2016, her optometrist miles, and tractor-trailer combinations moving violations in a CMV. stated, ‘‘Visually evaluated I feel that this patient is able to perform the tasks for 2 years, accumulating 52,000 miles. Joseph A. Baker required to operate a commercial motor He holds a Class A CDL from vehicle due to the full visual field in Minnesota. His driving record for the Mr. Baker, 37, has a prosthetic left eye each eye and ability to achieve 20/20– last 3 years shows no crashes and no due to a traumatic incident in 1 in the left eye’’ Ms. Brown reported convictions for moving violations in a childhood. The visual acuity in his right that she has driven straight trucks for 4 CMV. eye is 20/20, and in his left eye, no light years, accumulating 50,000 miles. She Stephen R. Ehlenburg perception. Following an examination holds an operator’s license from Ohio. in 2016, his optometrist stated, ‘‘It is my Her driving record for the last 3 years Mr. Ehlenburg, 54, has complete loss opinion that Mr. Baker has sufficient shows no crashes and no convictions for of vision in his left eye since birth. The vision to perform the driving tasks moving violations in a CMV. visual acuity in his right eye is 20/20, required to operate a commercial and in his left eye, light perception. vehicle.’’ Mr. Baker reported that he has Louis J. Cullen, Jr. Following an examination in 2016, his driven straight trucks for 13 years, Mr. Cullen, 71, has complete loss of ophthalmologist stated, ‘‘He has accumulating 650 miles, and tractor- vision in his left eye due to a traumatic sufficient vision to operate a trailer combinations for 13 years, incident in 1968. The visual acuity in commercial vehicle.’’ Mr. Ehlenburg accumulating 1.95 million miles. He his right eye is 20/25, and in his left eye, reported that he has driven straight holds a Class A CDL from Kansas. His no light perception. Following an trucks for 5 years, accumulating 300,000 driving record for the last 3 years shows examination in 2016, his optometrist miles, and tractor-trailer combinations no crashes and no convictions for stated, ‘‘I believe Mr. Cullen has for 15 years, accumulating 1.05 million moving violations in a CMV. sufficient vision to perform his job and miles. He holds a Class A CDL from

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Illinois. His driving record for the last vision that is unchanged over the past since 2008. The visual acuity in his 3 years shows no crashes and no 11 years to operate a commercial right eye is 20/60, and in his left eye, convictions for moving violations in a vehicle.’’ Mr. Hayden reported that he 20/25. Following an examination in CMV. has driven straight trucks for 22 years, 2016, his ophthalmologist stated, ‘‘In accumulating 220,000 miles. He holds a my medical opinion his visual acuity Stanley W. Goble, Jr. Class B CDL from Iowa. His driving and field of vision qualifies him to drive Mr. Goble, 50, has had amblyopia in record for the last 3 years shows no a commercial vehicle.’’ Mr. Mosely his left eye since childhood. The visual crashes and no convictions for moving reported that he has driven straight acuity in his right eye is 20/20, and in violations in a CMV. trucks for 10 years, accumulating his left eye, 20/60. Following an 110,000 miles, buses for 19 years, examination in 2016, his optometrist John T. Mabry accumulating 320,000 miles. He holds stated, ‘‘I certify that it is my medical Mr. Mabry, 45, has had chronic an operator’s license from New Jersey. opinion that Mr. Goble has sufficient microcystic edema and aphakia in his His driving record for the last 3 years vision to perform the driving tasks left eye since childhood. The visual shows no crashes and no convictions for required to operate a commercial acuity in his right eye is 20/20, and in moving violations in a CMV. vehicle.’’ Mr. Goble reported that he has his left eye, count fingers. Following an Joe W. Restine driven tractor-trailer combinations for examination in 2016, his 22 years, accumulating 1.43 million ophthalmologist stated, ‘‘Mr. Mabry Mr. Restine, 53, has complete loss of miles. He holds a Class A CDL from meets the visual requirements for vision in his left eye due to a traumatic Iowa. His driving record for the last 3 operation of a commercial vehicle.’’ Mr. incident in 1945. The visual acuity in years shows no crashes and no Mabry reported that he has driven buses his right eye is 20/20, and in his left eye, convictions for moving violations in a for 3 years, accumulating 312,000 miles. no light perception. Following an CMV. He holds an operator’s license from examination in 2016, his optometrist Florida. His driving record for the last stated, ‘‘I, Ed Jones O.D., certify that in William R. Guida 3 years shows no crashes and no my medical opinion, Joe Restine, has Mr. Guida, 60, has had amblyopia in convictions for moving violations in a sufficient vision to perform the driving his right eye since birth. The visual CMV. tasks required to operate a commercial acuity in his right eye is 20/200, and in vehicle.’’ Mr. Restine reported that he his left eye, 20/15. Following an Peter E. McDonnell has driven straight trucks for 34 years, examination in 2016, his optometrist Mr. McDonnell, 52, has complete loss accumulating 850,000 miles, tractor- stated, ‘‘I believe that William has of vision in his left eye due to a trailer combinations for 32 years, sufficient vision to perform any driving traumatic incident in 2000. The visual accumulating 160,000 miles. He holds task required to operate a commercial acuity in his right eye is 20/20, and in an operator’s license from Oklahoma. vehicle.’’ Mr. Guida reported that he has his left eye, no light perception. His driving record for the last 3 years driven straight trucks for 15 years, Following an examination in 2016, his shows no crashes and 1 conviction for accumulating 7,500 miles. He holds an optometrist stated, ‘‘This letter certifies a moving violation in a CMV; he failed operator’s license from Pennsylvania. that Peter meets or exceeds the visual to yield to a traffic control device. His driving record for the last 3 years requirements needed to operate a Greg D. Schneckloth shows no crashes and no convictions for commercial vehicle.’’ Mr. McDonnell moving violations in a CMV. reported that he has driven straight Mr. Schneckloth, 24, has complete trucks for 20 years, accumulating loss of vision in his right eye since 2000. Thomas H. Gysbers 480,000 miles. He holds an operator’s The visual acuity in his right eye is no Mr. Gysbers, 63, has had central license from Massachusetts. His driving light perception, and in his left eye, 20/ vision loss in his left eye due to record for the last 3 years shows no 15. Following an examination in 2016, glaucoma in childhood. The visual crashes and no convictions for moving his optometrist stated, ‘‘In my opinion, acuity in his right eye is 20/20, and in violations in a CMV. Mr. Scneckloth has sufficient vision to his left eye, 20/50. Following an perform the driving tasks required to examination in 2016, his optometrist George P. Mendiola operate a motorized vehicle, including stated, ‘‘I believe he is well adapted to Mr. Mendiola, 49, has had amblyopia commercial vehicles, as long as the his vision condition and has sufficient in his left eye since childhood. The current laws state that he may do so vision to safely operate a commercial visual acuity in his right eye is 20/15, considering the loss of vision in his vehicle.’’ Mr. Gysbers reported that he and in his left eye, 20/70. Following an right eye (if the vision loss does not has driven straight trucks for 40 years, examination in 2016, his optometrist cause any exclusion of operating accumulating 600,000 miles and tractor- stated, ‘‘In my medical opinion, George rights).’’ Mr. Schneckloth reported that trailer combinations for 40 years, has sufficient vision to perform driving he has driven straight trucks for 3 years, accumulating 80,000 miles. He holds a tasks needed to operate a commercial accumulating 31,500 miles. He holds a Class ABCDM CDL from Wisconsin. His vehicle.’’ Mr. Mendiola reported that he Class A CDL from Iowa. His driving driving record for the last 3 years shows has driven straight trucks for 9 years, record for the last 3 years shows no no crashes and no convictions for accumulating 270,000 miles, and crashes and no convictions for moving moving violations in a CMV. tractor-trailer combinations for 8 years, violations in a CMV. accumulating 80,000 miles. He holds a Jerry L. Hayden, Jr. Allen J. Stolz Class A CDL from California. His Mr. Hayden, Jr., 46, had optic neuritis driving record for the last 3 years shows Mr. Stolz, 48, has had amblyopia in in his left eye due to a traumatic no crashes and no convictions for his right eye since childhood. The incident in childhood. The visual acuity moving violations in a CMV. visual acuity in his right eye is 20/50, in his right eye is 20/20, and in his left and in his left eye, 20/20. Following an eye, 20/400. Following an examination Norman D. Mosely examination in 2016, his optometrist in 2016, his optometrist stated, ‘‘In my Mr. Mosely, 57, has had a central stated, ‘‘His main problem is amblyopia opinion Jerry has stable and sufficient retinal vein occlusion in his right eye in the right eye. . .In my opinion, Mr.

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Stolz should be able to get his FMCSA will consider all comments SUMMARY: FRA hereby gives notice it is commercial license.’’ Mr. Stolz reported and material received during the submitting the following Information that he has driven straight trucks for 1 comment period. FMCSA may issue a Collection request (ICR) to the Office of year, accumulating 1,000 miles, and final determination at any time after the Management and Budget (OMB) for tractor-trailer combinations for 18 years, close of the comment period. Emergency processing under the accumulating 216,000 miles. He holds a Viewing Comments and Documents Paperwork Reduction Act of 1995 (PRA) Class ABCDM CDL from Wisconsin. His and its implementing regulations. FRA driving record for the last 3 years shows To view comments, as well as requests that OMB authorize the no crashes and no convictions for documents mentioned in this preamble proposed collection of information moving violations in a CMV. as being available in the docket, go to identified below on October 18, 2016, http://www.regulations.gov and insert for a period of 180 days. III. Public Participation and Request for the docket number FMCSA–2016–0208 Comments in the ‘‘Keyword’’ box and click FOR FURTHER INFORMATION CONTACT: A FMCSA encourages you to participate ‘‘Search.’’ Next, click ‘‘Open Docket copy of this individual ICR, with by submitting comments and related Folder’’ button and choose the applicable supporting documentation, materials. document listed to review. If you do not may be obtained by calling FRA’s have access to the Internet, you may Clearance Officers: Robert Brogan (tel. Submitting Comments view the docket online by visiting the (202) 493–6292) or Kimberly Toone (tel. If you submit a comment, please Docket Management Facility in Room (202) 493–6132) (these numbers are not include the docket number for this W12–140 on the ground floor of the toll-free), or by contacting Mr. Brogan notice, indicate the specific section of DOT West Building, 1200 New Jersey via facsimile at (202) 493–6216 or Ms. this document to which each comment Avenue SE., Washington, DC 20590, Toone via facsimile at (202) 493–6497, applies, and provide a reason for each between 9 a.m. and 5 p.m., e.t., Monday or via email by contacting Mr. Brogan at suggestion or recommendation. You through Friday, except Federal holidays. [email protected]; or by contacting may submit your comments and Issued on: September 29, 2016. Ms. Toone at [email protected]. material online or by fax, mail, or hand Larry W. Minor, Comments regarding these information delivery, but please use only one of Associate Administrator for Policy. collection requirements should include these means. FMCSA recommends that [FR Doc. 2016–24447 Filed 10–7–16; 8:45 am] the title and OMB control number listed below and should be sent directly to the you include your name and a mailing BILLING CODE 4910–EX–P address, an email address, or a phone Office of Information and Regulatory number in the body of your document Affairs, Office of Management and so the Agency can contact you if it has DEPARTMENT OF TRANSPORTATION Budget, 725 Seventeenth Street NW., questions regarding your submission. Washington, DC, 20503, Attention: FRA To submit your comment online, go to Federal Railroad Administration Desk Officer. Comments may also be _ http://www.regulations.gov and put the [Docket No. FRA–2016–0002–N–19] sent via email to OMB at oira docket number FMCSA–2016–0208 in [email protected]. the ‘‘Keyword’’ box, and click ‘‘Search. Agency Request for Emergency Title: Railworthiness Directive for When the new screen appears, click on Processing of Collection of Certain Railroad Tank Cars Equipped ‘‘Comment Now!’’ button and type your Information by the Office of with Bottom Outlet Valve Assembly and comment into the text box in the Management and Budget; Constructed by American Railcar following screen. Choose whether you Railworthiness Directive for Certain Industries and ACF Industries Railroad Tank Cars Equipped With are submitting your comment as an OMB Control Number: 2130–NEW. individual or on behalf of a third party Bottom Outlet Valve Assembly and and then submit. If you submit your Constructed by American Railcar Form Number(s): N/A. comments by mail or hand delivery, Industries and ACF Industries Affected Public: Businesses (Tank Car submit them in an unbound format, no AGENCY: Federal Railroad Owners). 1 larger than 8 ⁄2 by 11 inches, suitable for Administration (FRA), Department of Frequency of Submission: One-time; copying and electronic filing. If you Transportation (DOT). on occasion. submit comments by mail and would ACTION: Notice of Agency request for like to know that they reached the Respondent Universe: 100 Tank Car OMB emergency information collection facility, please enclose a stamped, self- Owners. processing and request for comments. addressed postcard or envelope. Reporting Burden:

Total annual Average time per Total annual burden Section Respondent universe responses response hours

Identify tank cars covered by the Directive 20 Tank Car Owners 20 ID Reports ...... 4 hours ...... 80 for Certain Railroad Tank Cars Equipped (100 Lessees/Sub- with Bottom Outlet Valve Assembly and Lessees). Constructed by American Railcar Indus- tries and ACF Industries (14,800 cars). Visual Inspection of Sump Weld Area of All 100 Shippers ...... 14,000 inspections/ 10 min ...... 2,333 Tank Cars Identified under this Directive. records. Inspect and Test Sump and BOV Skid 20 Tank Car Owners 14,000 records ...... 2 hours ...... 28,000 Groove as Stipulated in Directive and (100 Lessees/Sub- Maintain Record Results. Lessees). Train and Qualify Non-Destructive Test 10 Tank Car Facility 33 trained and tested 2 hours ...... 66 Technicians on NDT Procedures and Operators. mechanics. Record Qualification (1⁄3 of the 100 tank car mechanics).

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Total annual Average time per Total annual burden Section Respondent universe responses response hours

Tank Car Owner Notification to All Parties 20 Tank Car Owners 100 notices ...... 2 hours ...... 200 under Contract to Car Owner, including (100 Lessees/Sub- Lessees and/or sub-Lessees, using tank Lessees). cars subject to the Terms of this Directive. Report of Inspection , Test, and Repair Infor- 20 Tank Car Owners 14,000 reports ...... 20 min. per car/report. 4,667 mation stipulated in paragraph 2(g) of Di- (100 Lessees/Sub- rective to FRA. Lessees). Repairs: 15% of Relevant Tank Fleet of 10 Tank Car Facility 2,100 car reports/ 16 hours ...... 33,600 14,000 cars— Record and Report of Re- Operators. records. pairs to Tank Car Owners. Tank Car Facility Request to Tank Car 10 Tank Car Facility 20 requests + 20 writ- 10 min. + 10 min ...... 7 Owner for Written Permission and Ap- Operators. ten permissions. proval of Qualification and Maintenance Program It Will Use Consistent with Ap- pendices D, R, and W of the Tank Car Manual and 49 CFR 180.513 Prior to Initi- ating Any Repairs. Tank Car Facility Report of All Work Per- 10 Tank Car Facility Burden Included Di- N/A ...... N/A formed to Tank Car Owner. Operators. rectly Above.

Total Estimated Responses: 44,293. reasonably likely to disrupt the DEPARTMENT OF TRANSPORTATION Total Estimated Annual Burden: collection of information. Further, in 68,953 hours. light of recent tank car accidents/ Federal Railroad Administration Status: Emergency Review. incidents carrying crude oil, FRA Programmatic Environmental Impact Description: believes safety is an overriding issue. Statement for the Coachella Valley— On September 30, 2016, FRA issued a The Directive took effect upon issuance. San Gorgonio Pass Rail Corridor Railworthiness Directive (Directive) to FRA cannot wait the normal 90 days of all owners of DOT specification 111 Service: Riverside, San Bernardino, public comment. Under the Directive, Orange, and Los Angeles Counties, CA general purpose tank cars, which can be tank car owners must take immediate found on FRA’s Web site at http:// action to identify tank cars in their fleet AGENCY: Federal Railroad www.fra.dot.gov/eLib/details/L18383. subject to the Directive. Therefore, FRA Administration (FRA), U.S. Department FRA issued the Directive based on its is requesting OMB approval of this of Transportation (DOT). finding that as a result of non- collection of information 7 days after conforming welding practices, DOT–111 ACTION: Notice of Intent (NOI) to prepare publication of this Notice in the Federal tank cars built by American Railcar a Programmatic Environmental Impact Industries, Inc. (ARI) and ACF Register. Upon OMB approval of its Statement (EIS). Industries, LLC (ACF) between 2009 and Emergency clearance request, FRA will 2015 to the ARI and ACF 300 stub sill follow the normal clearance procedures SUMMARY: Through this NOI, FRA design and equipped with a two-piece for the information collection associated announces it will prepare a cast sump and bottom outlet valve with this Directive. Programmatic EIS and Environmental (BOV) skid may be in an unsafe Under 44 U.S.C. 3507(a) and 5 CFR Impact Report (EIR) jointly with the operating condition and could result in 1320.5(b), 1320.8(b)(3)(vi), FRA informs Riverside County Transportation Commission (RCTC) and the California the release of hazardous materials. As a all interested parties it may not conduct Department of Transportation (Caltrans) result of the non-conforming welding or sponsor, and a respondent is not for the Coachella Valley—San Gorgonio practices, these cars may have required to respond to, a collection of substantial weld defects at the sump Pass Rail Corridor Service (Project). information unless it displays a FRA, RCTC, and Caltrans will develop and BOV skid groove attachment welds, currently valid OMB control number. potentially affecting each tank’s ability the Programmatic EIS/EIR in to retain its contents during Authority: 44 U.S.C. 3501–3520. compliance with the National transportation. The Directive requires Issued in Washington, DC, on October 4, Environmental Policy Act of 1969 owners to: (1) Identify tank cars in their 2016. (NEPA), and the California fleet covered by this Directive; and (2) Environmental Quality Act (CEQA). Amitabha Bose, FRA invites the public and Federal, ensure appropriate inspection and Chief Counsel. testing of each tank car’s sump and BOV state, and local agencies to provide skid groove attachment welds to ensure [FR Doc. 2016–24429 Filed 10–7–16; 8:45 am] input into the scope of the EIS/EIR and no flaw exists which could result in the BILLING CODE 4910–06–P will consider all information from loss of tank integrity. outreach activities when preparing the As provided under 5 CFR 1320.13, EIS/EIR. The Project will study options Emergency Processing, DOT is for providing intercity passenger rail requesting emergency processing for service between the cities of Los this new collection of information as Angeles and Indio, California also specified in the PRA and its known as the Coachella Valley—San implementing regulations. DOT cannot Gorgonio Pass Corridor (the Corridor). reasonably comply with normal DATES: Persons interested in providing clearance procedures because the use of written comments on the scope of the normal clearance procedures is Coachella Valley—San Gorgonio Pass

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Rail Corridor Service Project must do so Programmatic EIS/EIR consistent with completed additional feasibility studies by November 10, 2016. NEPA, the Council on Environmental on the Coachella Valley—San Gorgonio Three public scoping meetings are Quality regulations implementing NEPA Pass Rail Corridor Service. In July 2016, scheduled for Wednesday, October 12, (40 CFR parts 1500–1508), and FRA’s RCTC, in coordination with Caltrans 2016; Thursday, October 13, 2016; and Procedures for Considering and FRA, prepared and completed the Monday, October 17, 2016. Environmental Impacts (64 FR 28545, Coachella Valley—San Gorgonio Pass ADDRESSES: Interested persons should May 26, 1999; 78 FR 2713, Jan. 14, 2013) Rail Corridor Service Study Alternatives send written comments to FRA’s Office (Environmental Procedures). FRA, Analysis Final Report that evaluated a of Program Delivery, 1200 New Jersey RCTC, and Caltrans will prepare the EIS reasonable range of alternatives for a Avenue SE. (Mail Stop 20), Washington, consistent with 23 U.S.C. 139 (titled new intercity rail service between Los DC 20590, or Riverside County ‘‘Efficient environmental reviews for Angeles and Indio. The purpose of the Transportation Commission (RCTC), project decision making’’). RCTC and Alternatives Analysis was to identify an 4080 Lemon Street, 3rd Floor, Riverside, Caltrans will ensure the EIR is alternative(s) for more detailed California 92501, or via email to Robert consistent with CEQA. After release and evaluation in a subsequent Service Yates, Multimodal Services Director, circulation of a Draft Programmatic EIS/ Development Plan and Programmatic CoachellaValleyRail@ EIR for public comment, FRA will issue EIS/EIR. a single document consisting of the ArellanoAssociates.com. Comments Project Need should include ‘‘Coachella Valley—San Final Programmatic EIS and a Record of Gorgonio Pass Rail Corridor Service— Decision under the Fixing America’s The Corridor currently faces NOI Scoping Comments’’ in the subject Surface Transportation Act (Pub. L. significant mobility challenges that are line. 114–94, section 1304(n)(2)) unless it likely to continue as growth in Interested persons may also provide determines that statutory criteria or population, employment, and tourism comments orally or in writing at the practicability considerations prelude activity is expected to increase travel following scoping meetings: issuing a combined document. demand. An effective rail system will • Springbrook Club House at Reid The EIS will also document FRA’s help meet the future mobility needs of Park: 1101 N. Orange Street Riverside, compliance with other applicable residents, businesses, and visitors. The CA 92501, between 5:00 p.m. and 7:00 Federal, state, and local laws including, Corridor faces continuing transportation p.m.; Section 106 of the National Historic challenges as evidenced by the • Indio Senior Center: 45–700 Preservation Act, Section 4(f) of the U.S. following: Aladdin Street, Indio, CA 92201, Department of Transportation Act of Constrained Travel Options—While a between 5:00 p.m. and 7:00 p.m.; and 1966, the conformity requirements of transportation system that includes air, • Metro Headquarters, Plaza Level: the Clean Air Act, and Executive Order highway, and rail modes, serves the One Gateway Plaza, Los Angeles, 12898 and U.S. DOT Order 5610.2(a) on Corridor, access and capacity are California 90012, between 5:00 p.m. and Environmental Justice. FRA, RCTC, and presently constrained along certain 7:00 p.m. Caltrans will use a tiered NEPA process segments and may be unable to meet All scoping meeting locations are (e.g. Programmatic EIS/EIR) to complete future travel demand. Air access is Americans with Disabilities Act of 1990 the environmental review of the Project, limited for many residents due to (ADA) accessible. Spanish language under 40 CFR 1508.28 (titled ‘‘Tiering’’) distance from major airports, frequency, translators will be present. You may call and FRA’s Environmental Procedures. and high cost of flights between the (909) 627–2974 at least 72 hours in ‘‘Tiering’’ is a staged environmental Coachella Valley region and Los advance of the meeting to request other review process often applied to Angeles. Interstate 10 is the only major accommodations or translation services. environmental review for complex highway that serves the eastern portion FOR FURTHER INFORMATION CONTACT: Ms. transportation projects. When used, the of the Corridor. Amtrak offers limited Stephanie Perez, Environmental initial phase of a tiered process long distance passenger train service Protection Specialist, Office of Program addresses broad questions and likely three times a week with a stop in Palm Delivery, Federal Railroad environmental effects for the Corridor Springs late at night. Administration, 1200 New Jersey including, but not limited to, the type of Significant Highway Congestion— Avenue SE. (Mail Stop 20), Washington, service(s) being proposed, major While travel by car is expected to meet DC 20590; Telephone: (202) 493–0388, infrastructure components, and the majority of future travel demand, email: [email protected], or identification of major facility capacity increased use will result in additional Robert Yates, Multimodal Services constraints. Based on the decisions congestion. Congestion along certain Director, at CoachellaValleyRail@ made in the Programmatic EIS/EIR, highway segments of the Corridor is ArellanoAssociates.com. future site-specific proposals would be likely to worsen, making travel times Scoping materials and information analyzed at a greater level of detail and unreliable. Interstate 10 follows the concerning the scoping meeting is addressed in subsequent phases or entirety of the Corridor and experiences available through RCTC’s Web site: tiered (e.g. Project-level NEPA and regular congestion and travel delays. In http://rctc.org/projects/rail-projects/ CEQA) environmental documents. addition, geographic constraints limit coachella-valley-san-gorgonio-pass- the potential expansion of the existing corridor-rail-service. Project Description and Background highway system. SUPPLEMENTARY INFORMATION: FRA is an The Project would extend from an Constrained Rail System Capacity— operating administration of DOT and is eastern terminus in Indio, California to Existing corridor rail service could responsible for overseeing the safety of the western terminus at Los Angeles accommodate an increasing portion of railroad operations, including the safety Union Station (LAUS), and is projected travel demand growth by of any proposed rail transportation approximately 141 miles long. In 1991, providing an alternative mode to car system. FRA also provides financial RCTC completed the first in a series of travel. However, rail service is currently assistance for intercity passenger rail studies evaluating the feasibility of constrained and existing infrastructure capital investments. operating one or two daily intercity rail would need to be upgraded to provide FRA is the lead agency under NEPA round trips between Los Angeles and adequate main track capacity for for the Project. FRA will prepare the Indio. From 1991 to 2013, RCTC additional passenger trains.

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Increase Travel Capacity Without establish the basis for SCAG and RCTC Floodplains, Hydrology, and Water Impacting Air Quality and Natural to accommodate regional growth Quality; Geology, Soils, and Seismicity; Resources – Highway capacity through increased and more frequent Hazardous Waste and Materials; Land improvements can have negative access to alternative modes of transit for Use, Planning, and Communities; Noise impacts on regional and local air quality local communities. and Vibration; Parklands, Community as well as the efficient use of natural Services, and Other Public Facilities; Proposed Project Alternatives resources. Rail system improvements Safety and Security; Section 4(f) and 6(f) offer the opportunity to achieve air In the Programmatic EIS/EIR FRA, Resources; Transportation; and Visual quality benefits with fewer potential RCTC, and Caltrans will evaluate and Quality and Aesthetics. impacts on natural resources. analyze a No Build Alternative and at least one Build Alternative consisting of Scoping and Comments Project Purpose and Objectives multiple improvements between Indio FRA encourages broad participation The overall purpose of the Project is and Los Angeles. in the EIS process during scoping and to provide a safe, reliable, and No Build Alternative—The No Build review of the resulting environmental convenient intercity passenger rail Alternative provides a baseline for documents. FRA invites all interested service that would meet the future comparison to the Build Alternative. agencies, Native American Tribes, and mobility needs of residents, businesses, This alternative represents the existing the public at large to participate in the and visitors within the Corridor. The California transportation system scoping process to ensure the Project would achieve the following (highway, air, and rail) as it would exist Programmatic EIS/EIR addresses the full objectives: after completion of programs or projects range of issues related to the proposed • Provide travelers between the currently funded or being implemented. action, reasonable alternatives are Coachella Valley and the Los Angeles The No Build Alternative would draw addressed, and all significant issues are Basin with a public transportation upon the following sources of identified. FRA requests any public service that offers more convenient and information: agency having jurisdiction over an competitive trip times, better station • State Transportation Improvement aspect of the Project identify the access, and more frequency, than Program (2016); agency’s permit or environmental currently-available public transportation • Regional Transportation Plans for review requirements and the scope and services; all modes of travel; content of the environmental • Provide travelers between the • Airport plans; and information germane to the agency’s Coachella Valley and the Los Angeles • Passenger rail plans. jurisdiction over the Project. FRA Basin with an alternative to driving that Build Alternative—The Build requests public agencies advise FRA if offers reliable travel schedules; Alternative would include the necessary they anticipate taking a major action in • Provide travelers between the infrastructure improvements to meet the connection with the proposed project Coachella Valley and the Los Angeles Project’s purpose and need. The Build and if they wish to cooperate in the Basin with a transportation service that Alternative is made up of two preparation of the Programmatic EIS/ is affordable; components, a route alignment and EIR. • Serve a range of trip purposes station alternatives. FRA will coordinate with traveling between the Coachella Valley FRA, RCTC, and Caltrans will participating agencies during and the Los Angeles Basin, particularly consider the July 2016 Alternatives development of the Draft Programmatic including business, social, medical, Analysis Final Report when identifying EIS under 23 U.S.C. 139. FRA will leisure, and recreational trips; the Build Alternative(s) for detailed invite all Federal and non-Federal • Improve regional travel analysis in the Programmatic EIS/EIS. agencies and Native American Tribes opportunities between the Coachella However, additional reasonable build that may have an interest in the Project Valley and the Los Angeles Basin for alternatives meeting the proposed to become participating agencies for the transit dependent people; purpose and need but not considered in EIS. If an agency or Tribe is not invited • Serve the expected population the July 2016 Alternatives Analysis and would like to participate, please growth in the Coachella Valley and the Final Report may be developed during contact FRA at the contact information Los Angeles Basin; and the scoping process. This may also listed above. FRA will develop a • Not preclude, by choice of involve refining the Build Alternative as Coordination Plan summarizing how it alignment or technology, a possible more information comes available based will engage the public, agencies, and future Corridor expansion between the on the environmental analysis and Tribes in the process. The Coordination Coachella Valley and Phoenix. coordination with stakeholders and the Plan will be posted to the Project Web The Project would provide enhanced public. Additionally, the proposed site http://rctc.org/projects/rail-projects/ passenger rail service and is consistent purpose and need may be updated and/ coachella-valley-san-gorgonio-pass- with State and regional efforts to reduce or refined based on coordination with corridor-rail-service and to FRA’s Web mobile source emissions associated with stakeholders and the public. site fra.dot.gov. At various milestones highway and truck traffic on parallel during the development of the highways from Los Angeles to Indio. Probable Effects Programmatic EIS/EIR, FRA, RCTC, and These efforts are anticipated to help the The Programmatic EIS/EIR will Caltrans will provide additional Southern California Association of consider the potential environmental opportunities for public and interested Governments (SCAG) and RCTC meet effects of the Project Alternatives. FRA, party input. the air pollution and greenhouse gas RCTC, and Caltrans will analyze the FRA, RCTC, and Caltrans have emission reduction targets mandated by following environmental issue areas in scheduled three public scoping California Assembly Bill 32, known as the Programmatic EIS/EIR: Agricultural meetings as an important component of the Global Warming Solutions Act of Lands; Air Quality and Global Climate the scoping process for both the state 2006, as amended, and California Senate Change; Biological and Wetland and Federal environmental review. The Bill 375, known as the California’s Resources; Cultural and Historic scoping meetings described in the Sustainable Communities and Climate Resources; Economic and Fiscal ADDRESSES section will also be Protection Act of 2008. These two laws Impacts; Energy; Environmental Justice; advertised locally and included in

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additional public notification. The FOR FURTHER INFORMATION CONTACT: Ms. 1977 when NTD reporting began. While format of the meeting will consist of a Amanda Murphy, Environmental the NTD has undergone numerous and presentation describing the proposed Protection Specialist, Office of Railroad substantial changes in the past 38 years, Coachella Valley—San Gorgonio Pass Policy and Development, Federal the USOA was last updated for minor Corridor Service Project, objectives, and Railroad Administration, 1200 New changes in 1995. The notice described existing conditions. Following the Jersey Avenue SE., (Mail Stop–20), various proposed changes to the USOA presentation, scoping meeting attendees Washington, DC 20590; telephone: (202) to better align with today’s NTD and will be able to participate in an open 493–0624. accounting practices and to address house format that encourages questions SUPPLEMENTARY INFORMATION: More FTA data needs and common questions and comments on the Project from the information about the Long Bridge among NTD reporters. In the initial public. Project is available at http:// notice, FTA proposed the following Felicia Young, longbridgeproject.com/. changes: Acting Director, Office of Program Delivery. Issued in Washington, DC, on October 5, A. Separation of ‘‘Passenger-Paid Fares’’ and ‘‘Organization-Paid Fares’’ [FR Doc. 2016–24597 Filed 10–6–16; 4:15 pm] 2016. B. Separation of ‘‘Paid Absences’’ from BILLING CODE 4910–06–P Felicia B. Young, Acting Director, Office of Program Delivery. ‘‘Fringe Benefits’’ C. Consolidation of ‘‘Casualty and [FR Doc. 2016–24522 Filed 10–7–16; 8:45 am] DEPARTMENT OF TRANSPORTATION Liability Costs’’ under General BILLING CODE 4910–06–P Administration Function Federal Railroad Administration D. Expansion of Assets and Liabilities Object Classes (F–60) DEPARTMENT OF TRANSPORTATION Environmental Impact Statement for E. Addition of ‘‘Voluntary Non- the Long Bridge Project in Federal Transit Administration Exchange Transactions’’ Washington, DC F. Addition of ‘‘Sales and Disposals of [Docket No. FTA–2016–009] Assets’’ AGENCY: Federal Railroad G. Simplification of State Fund Administration (FRA), U.S. Department Final Notice on Updates to the Uniform Reporting of Transportation (DOT). System of Accounts (USOA) and H. Reorganization of B–30 Contractual ACTION: Extension of agency and public Changes to the National Transit Relationship scoping comment period, Long Bridge Database (NTD) Reporting project. Requirements Additionally, the initial notice proposed changes to the NTD reporting SUMMARY: On August 26, 2016, FRA AGENCY: Federal Transit Administration, requirements that are not directly published a Notice of Intent (NOI) to DOT. addressed in the updated USOA, which prepare an Environmental Impact ACTION: Notice, response to comments. are as follows: Statement (EIS) for the Long Bridge I. Separation of Operators’ and Non- SUMMARY: Project jointly with the District of This Notice finalizes updates Operators’ Work Hours and Counts Columbia Department of Transportation to the USOA and changes to NTD J. Enhanced Auditor’s Review (DDOT) (81 FR 59036). The Proposed Automatic Passenger Counter K. Revised Automatic Passenger Action consists of potential Certification requirements. Counter (APC) Certification Process improvements to Long Bridge and DATES: Full implementation required in In the initial notice, FTA proposed related railroad infrastructure located report year 2018. that it would begin implementing the between the Virginia Railway Express FOR FURTHER INFORMATION CONTACT: proposed reporting requirements (VRE) Crystal City Station in Arlington, Maggie Schilling, National Transit beginning with the FY 2017 NTD Virginia and Control Point (CP) Virginia Database Deputy Program Manager, FTA reporting cycle. in Washington, DC. In announcing its Office of Budget and Policy, (202) 366– intent, FRA and DDOT established a 30- 2054 or [email protected]. B. Response to Comments on Proposed day public comment period that was SUPPLEMENTARY INFORMATION: Updates to the USOA and Changes to scheduled to end on September 26, NTD Reporting Requirements Table of Contents 2016. In consideration of requests for The comment period for the initial additional time to comment, FRA and A. Background notice closed on April 4, 2016. The DDOT are extending the scoping B. Response to Comments on Proposed following is a summary of the comments comment period to October 14, 2016. Updates to the USOA and Changes to from the initial notice related to the The extension provides agencies and the NTD Reporting Requirements updates to the USOA and NTD reporting public with 30 days to submit C. Response to Comments on the Revised requirements. APC Certification Process comments following public and Comment: Three commenters raised a interagency scoping meetings held on D. Overview of Final Updates to the USOA, NTD Reporting Requirements and APC concern over the separation of September 14, 2016. Certification ‘‘Passenger-Paid Fares’’ and DATES: The scoping comment period for ‘‘Organization-Paid Fares.’’ Commenters the Long Bridge Project is extended to A. Background opposed the separation of ‘‘Passenger- October 14, 2016. On February 3, 2016, FTA published Paid Fares’’ and ‘‘Organization-Paid ADDRESSES: Scoping comments can be a Federal Register notice (initial notice) Fares’’ stating that the additional mailed to the address identified under (Docket No. FTA–2016–009) for information will add little, if any, value the FOR FURTHER INFORMATION CONTACT comment on proposed updates to the to the NTD report. Commenters noted caption below. Internet and email USOA and changes to NTD reporting that adding these additional reporting correspondence may be submitted requirements. The USOA is the basic requirements will only increase the cost through the Long Bridge Project Web reference document that describes how of compliance for reporting agencies. site http://longbridgeproject.com/ or at transit agencies are to report to the NTD. One commenter specifically raised a [email protected]. The USOA was originally published in concern stating that the proposed

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change would be especially burdensome additional resources, these distinctions agency can reach out to its NTD analyst for small rural reporters and suggested will ultimately improve data quality and for clarification on object class that FTA rescind the proposed change analysis by data analysts. definitions and can contact its FTA for ‘‘5311 providers in areas less than Comment: Two commenters regional office to determine grant 50,000 population.’’ expressed concern over the proposed reimbursement procedures. Response: FTA is sensitive to the change to consolidate the ‘‘Casualty and Comment: Eight commenters raised a concern that the proposed change may Liability Costs’’ under the General concern over implementing the require additional efforts by the Administration function. Commenters proposed changes to the USOA and the reporting agencies. However, FTA expressed concern that if ‘‘Casualty and NTD reporting requirements for the FY believes that the separation of Liability Costs’’ are to be categorized 2017 NTD reporting cycle. Commenters ‘‘Passenger-Paid Fares’’ and and reported under General explained that the proposed ‘‘Organization-Paid Fares’’ will address Administration function as outlined in implementation of FY 2017 does not a common source of confusion among the proposal, their transit agencies allow for adequate time for transit transit agencies. There are several would lose Federal funds since this agencies to prepare for the change. different types of revenue that count as change would shift the costs from a Response: FTA understands that some fares, and the distinction between capital eligible operating expense of the proposed changes may require ‘‘Passenger-Paid Fares’’ and requiring a 20 percent non-federal adjustments to current data collection ‘‘Organization-Paid Fares’’ attempts to match to an operating cost requiring a practices. FTA concurs with clarify the sources of funds that should 50 percent non-federal share. commenters that the proposed start date be reported as fares. Additionally, this Additionally, one commenter made a of FY 2017 may not provide adequate change will help NTD analysts in suggestion for FTA to consider other time for some agencies to make identifying and understanding special non-litigious settlements to be adjustments to their NTD reporting. circumstances such as university towns considered in this category. For FTA will delay the implementation of where the farebox return is relatively example, an agency may have to provide the proposed USOA changes to FY high because the agency has negotiated a retroactive payment to its labor union 2018. employees due to a contract negotiation. such contracts. In developing these Comment: Three commenters raised The commenter explained that this proposed changes, FTA conducted concern over reporting pension and lump sum outlay will greatly increase industry outreach which indicated that Other Postemployment Benefits (OPEB) the perceived expenses in a single fiscal most agencies already collect this in light of the recently released year. information by these categories and Governmental Accounting Standards reporting these fares separately would Response: The proposed change to Board (GASB) statements. not be an excessive burden. consolidate ‘‘Casualty and Liability Comment: Five commenters raised a Costs’’ under General Administration Response: After taking into concern over separating ‘‘Paid- function aims to align costs with their consideration the recent GASB Absences’’ from ‘‘Fringe Benefits.’’ appropriate categories and simplify statements related to pension and OPEB Commenters opposed the separation of NTD reporting requirements for reporting and the delayed ‘‘Paid-Absences’’ from ‘‘Fringe Benefits’’ reporters. FTA’s prior decision to allow implementation date of the USOA stating that the additional information recipients to use Section 5307 funds for changes, FTA proposes to add line items will add little, if any, value to the NTD preventative maintenance did not to account for ‘‘Deferred Outflows of report. Commenters noted that adding originally anticipate this type of cost Resources’’ and ‘‘Deferred Inflows of these additional reporting requirements (i.e., casualty and liability costs) as an Resources’’ on the F–60 form, as well as will only increase the cost of eligible preventative maintenance cost. to rescind the original proposed changes compliance for reporting agencies. This change corrects the unintended to add ‘‘Pension Funds’’ and ‘‘OPEB While one commenter did not consequence of including these costs in Adjustment’’ USOA object classes. specifically oppose this change, the the Vehicle Maintenance function as Comment: One commenter raised a commenter explained that the preventative maintenance activities by question on how to report sale of an organization does have this information moving ‘‘Casualty and Liability Costs’’ asset at a loss. available but that method of reporting to its appropriate place. FTA maintains Response: If assets are sold at a loss, for NTD will result in additional that ‘‘Casualty and Liability Costs’’ are the amount received from the sale of the manpower during the initial reporting most sensibly placed in General asset should be reported as Sales and period as all current calculations will Administration function. Disposals of Assets. Per the NTD Policy need to be modified to capture this Per current reporting rules, retroactive Manual, transit agencies should not additional requirement. payments made to employees for prior report an accounting loss from a sale Response: FTA conducted industry reporting years as the result of a contract because no money was received for the outreach which indicated that the negotiation should be reported as a portion that is treated as an accounting proposed change to separate ‘‘Paid reconciling item on F–40 form. loss. Absences’’ from ‘‘Fringe Benefits’’ better Reconciling items are reported as a sum Comment: Four commenters and more closely align with many amount and not by individual functions. expressed opposition to the enhanced transit agencies’ current accounting and Retroactive payments made to auditor’s review noting that the added reporting practices. FTA believes that employees for the current reporting year cost detail and auditor certifications collecting these items separately will should be reported on the F–30 form. will increase the costs to reporters who improve future analysis of this dataset It is important to note that NTD are already strapped for cash due to by providing additional clarity on costs reporting does not affect the eligibility reduced or frozen levels of Federal that are under a transit agency’s control of these costs for grant reimbursement. funding. (e.g., paid absences) versus costs that are The eligibility of expenses for grant One commenter asked FTA to provide external and outside the transit agency’s reimbursement depends on the nature guidelines for the enhanced review to control (e.g., fringe benefits such as or definition of the expenses. If an aid auditors in effectively and health care). FTA realizes that although agency has a settlement that it does not efficiently reviewing agency the change may initially require consider as casualty and liability, the information.

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Response: The auditor’s review is to agencies to change their chart of cases no longer reflects current be performed only once every ten years accounts structure to the new accounting practices and transit and, due to its limited scope, should not numbering structure. This would be a business operations. FTA’s goal with the take more than a day of an auditor’s monumental effort and would be very changes to the USOA is to address time. While FTA understands that this difficult and costly. Also, it would make inconsistencies in the USOA due to requirement will create some additional any comparative analysis difficult since changes in technology and transit burden, FTA believes that the improved historical transactions would be organization structure and to revise data quality and oversight justifies this reflected under the old account accounting principles and object classes requirement. In some cases, reporters structure. The commenter suggests that in the USOA to align with current have not had their NTD reporting FTA allow for mapping an agency’s accounting and industry leading certified by an auditor since the existing chart of accounts to the NTD practices and standards. FTA identified requirement for Independent Auditor’s reporting instead of requiring that the at the list of changes by conducting Statement—Financial Data was first existing chart of accounts be interviews with NTD reporters, NTD implemented over 30 years ago. FTA renumbered. data analysts, and subject matter conducted outreach while developing Response: FTA’s intention in specialists in areas that needed these updates which indicated that renumbering USOA object classes was improvement. FTA also followed up agencies believe that business to provide a clearer numbering structure with several transit agencies to gather operations can change considerably in within the USOA and the NTD reporting preliminary feedback on the changes ten years and it would be appropriate to system. FTA is proposing updates to the which revealed that agencies already require agencies to complete this review USOA in an effort to simplify and have the proposed information readily every ten years. Additionally, the clarify reporting requirements which available. FTA recognizes that the enhanced auditor’s review does not includes restructuring the USOA object changes may initially require some apply to rural reporters. Rural reporters classes by merging, dividing, adding, or changes to data collection and reporting. should continue to comply with existing deleting USOA object classes. FTA did However, all proposed changes are rural reporting compliance not anticipate requiring transit agencies intended to simplify or clarify reporting requirements. to restructure their core accounting requirements or to address issues that FTA publishes guidelines for the structure. Although it was not intended are not addressed in the current USOA. auditor’s review in the NTD Policy or expected that transit agencies Rural and urban reporters receiving a Manual which is updated and published restructure their chart of accounts to small systems waiver will see limited every year. match the proposed changes, FTA changes to their reporting requirements. Comment: One commenter expressed understands that the proposed USOA C. APC Certification Process Changes concern over changes to maintenance numbering scheme may cause confusion categories for reporting on the F–30 and and therefore rescinds the originally FTA received 15 comments on the F–40 forms, as Vehicle Maintenance and proposed USOA numbering scheme. proposed APC certification process. Non-Vehicle Maintenance functions are Instead, FTA will develop a new USOA Following is a summary of the sufficient. numbering scheme that is more comments related to APC. Response: FTA is not proposing to consistent with the general logic of Comment: Two commenters requested expand or change the expenses reported sequencing followed in the current clarification on the rule allowing in these two maintenance categories. USOA. The NTD asks that an agencies with data on greater than 98 The term Non-vehicle Maintenance is independent auditor review a reporter’s percent of trips to scale up the data. being replaced by the term Facilities chart of accounts to determine that they Response: FTA believes that its Maintenance. Under this current either: (1) Match the USOA chart of original statement of the rule was proposal, transit agencies will report accounts; or (2) can map to the USOA unclear. Agencies reporting to the NTD expenses under the following four accounts. This is a self-certification have two options when reporting functions in the NTD: Vehicle process. Transit agencies are not passenger miles and unlinked passenger Operations, Vehicle Maintenance, required to restructure their chart of trips. One option is a 100% count and Facility Maintenance, and General accounts/core accounting systems. Any the other option is a sample. Agencies Administration. proposed changes to the numbering must report a 100% count if it is Comment: One commenter pointed conventions would still allow transit available. FTA recognizes that a true out that the USOA refers to OMB agencies to map their current chart of 100% count is very difficult to achieve; Circular No. A–87 and explained that accounts to the USOA object classes. during the course of a year there may be for Federal funds awarded after This mapping is considered sufficient equipment failures or other problems December 26, 2014, the new ‘‘Uniform for self-certification. that lead to missing data on some trips. Guidance’’ applies instead of OMB Comment: Five commenters opposed Thus, FTA permits agencies to report Circular No. A–87. the overall expansion of the NTD that they have a 100% count of Response: FTA will update the USOA reporting requirements. Commenters passenger miles or unlinked passenger to reflect the latest guidance. The expressed concern that proposed change trip data if they have data for 98% or guidance provided with a reference to will be costly and time-consuming, more of vehicle trips, or if a statistician A–87 is not changed by the ‘‘Uniform without providing additional benefits. approves their method for factoring up Guidance.’’ One commenter specifically expresses existing data to fill in missing data. This Comment: Seven commenters raised concern for expanding the NTD is a longstanding policy and FTA is not concern over the new USOA numbering reporting requirements for small system proposing to change it. Agencies that scheme as they believe they would need reporters. collect data on less than 98% of trips, to make significant changes to their Response: FTA is committed to and do not have a statistician to approve systems to match the new USOA implementing reasonable NTD reporting a factoring-up method, must instead numbers. While one commenter did not requirements to better align with today’s report using a sampling method. specifically oppose the proposed accounting practices and to address Comment: One commenter noted that change, the commenter raised concern FTA data needs. The current USOA has if an agency uses the proposed 5% about whether the expectation is for the been in place for 38 years and in some criterion for APC approval, and then

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uses an NTD-approved sampling plan collected by manual methods, and the first stop, and passengers still on board for NTD passenger miles reporting, it total unlinked passenger trips on those at the end of the trip as alightings at the may not meet FTA’s long-held ‘‘10% vehicle trips collected by APCs. last stop. accuracy at 95% confidence’’ standard. Agencies subtract these two totals and Response: FTA concurs that this is a Response: This comment assumes that take the absolute value of the difference. best practice and a common source of the manual count against which the They then divide this difference by the error, and will include guidance to this APC is compared is in fact the true total unlinked passenger trips in the effect in the policy. value; however, manual counts are sample collected manually to get the Comment: Two commenters suggested subject to error. Once the APC system difference as a percentage of the total. setting a maximum allowable has been approved, FTA considers it to The difference as a percentage of the percentage of trips discarded due to be the true value, and thus any NTD- total should be less than 5% to meet the suspected poor data quality. approved sampling plan would give certification standard. The same Response: FTA concurs that a large data within 10% of the true value, at the calculation is performed for passenger proportion of trips with invalid data are 95% confidence level. FTA further miles. likely to indicate a deeper problem with notes that many agencies with APC Comment: One commenter noted that the APC system. The final policy will systems will sample well in excess of APCs need to be checked continually, stipulate that at most 50% of vehicle the required sample size, and thus the not just annually. trips may be rejected by data cleaning sampling error can be expected to Response: FTA concurs that continual algorithms. decrease. monitoring of APCs is a best practice; Comment: One commenter noted that Comment: Two commenters however, the purpose of the new APC having a checker for each door is only recommended that agencies be certification policy is not to be an necessary on heavy-ridership trips; one permitted to certify their APCs using a exhaustive list of all procedures checker per bus is sufficient otherwise. method different from the one necessary to collect good APC data. Response: This is consistent with the prescribed by FTA, provided it meets Agencies are only required to submit guidance in FTA’s original proposed some statistical standard. results to FTA as described in the policy: ‘‘we recommend using a data Response: FTA believes in the policy; beyond this, FTA encourages collector at each door on heavily-loaded importance of allowing flexibility to agencies to follow best practices. trips.’’ agencies and encouraging them to adopt Comment: One commenter raised the Comment: Three commenters had practices that best meet their individual concern that data could be improperly observations related to the APC needs. Thus FTA agrees with this manipulated before being analyzed in penetration rate, the proportion of APC- suggestion. The final policy will allow the certification procedure, and equipped vehicles in the fleet. Two an agency to certify its APCs using suggested that agencies be required to commenters suggested that agencies be either the method prescribed by FTA, or use procedures that secure the data from required to distribute APC-equipped any method certified by a qualified such manipulation. vehicles throughout the system in such statistician to show that the absolute Response: FTA encourages agencies to a way that high-ridership routes are not value of the difference between manual follow data security best practices; overrepresented. One commenter and APC data for unlinked passenger however, this certification will not carry suggested that FTA provide more trips and passenger miles is less than additional administrative requirements precise rules pertaining to the 7.5% of the total of the manual data, at to verify that numbers were not requirement, ‘‘The trips must be a 95% confidence level. tampered with intentionally. As with distributed over as much of the agency’s Comment: One commenter proposed other data collected by the NTD, FTA fleet of APC-equipped vehicles as that agencies be required to submit a will require the agency CEO to attest to possible.’’ description of the results and the accuracy of the data in the APC Response: While distribution of APC- methodologies in the acceptance testing certification report. equipped vehicles is a possible source process, as well as an administrative Comment: Five commenters offered of error in the annual service consumed control procedure outlining opinions on the 5% error standard. One totals reported to the NTD, it is not responsibility within the agency for commenter suggested that larger relevant to APC certification. Existing maintenance of the APC system over agencies with higher ridership should guidance on sampling already stipulates time. be held to tighter error standards. Two that agencies must avoid sampling bias. Response: The proposed policy commenters suggested that a looser FTA believes that agencies can interpret already requires agencies to submit a standard (8% or 10%) would be the requirement to distribute sampled description of the APC system used and reasonable. Two commenters suggested trips widely without the need for an benchmarking procedure. While FTA that standard error be taken into explicit rule. encourages agencies to put thorough account; one suggested setting a Comment: One commenter suggested administrative procedures in place, FTA maximum allowable standard error, that the certification process use raw believes it would be an unnecessary while another suggested requiring the data rather than processed APC data. burden to require agencies to submit 5% error standard to be valid at the 95% Response: FTA believes, based on these procedures for approval. In confidence level. industry input, that raw APC data general, FTA does not prescribe Response: In setting the proposed 5% should not be considered reliable or particular management procedures to standard, FTA balanced the capabilities useful. Agencies will report processed agencies. of the technology, data needs of NTD data to the NTD, so it is reasonable that Comment: Two commenters requested data users, statistical validity, and ease they should certify the accuracy of the clarification of the calculations to be of calculation. FTA continues to believe processed data. performed. that the proposed standard best fits Comment: One commenter asked Response: To determine whether their these competing needs. whether agencies would be allowed to APC data meets the certification Comment: Two commenters suggested report unlinked passenger trips standard, agencies should take the total that agencies be required to count collected using one method (e.g., unlinked passenger trips on the vehicle passengers already on board at the start registering farebox) and passenger miles trips in the comparison sample of a sampled trip as boardings at the using APC.

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Response: FTA concurs that in Comment: Two commenters requirements can be found on the NTD general this is allowed. However, if the commented on the proposed sample Web site: www.transit.dot.gov/ntd. agency intends to use the average size. One commenter recommended a Carolyn Flowers, passenger trip length from a sample to minimum of 40 and a maximum of 70 estimate passenger miles in subsequent vehicle trips. The other commenter Acting Administrator. years, the agency must calculate the trip recommended that a minimum number [FR Doc. 2016–24414 Filed 10–7–16; 8:45 am] length using the unlinked passenger of boardings (e.g., 1,000) be mandated in BILLING CODE P trips collected by the method that will addition to vehicle trips. be used to report unlinked passenger Response: In devising the proposed DEPARTMENT OF TRANSPORTATION trips to the NTD. number of trips (15 to 50) FTA balanced Comment: One commenter asked the need for good data with agency whether agencies should use all valid National Highway Traffic Safety burden. FTA notes that the proposed APC data, or should select a sample of Administration requirements are only a minimum; vehicle trips from the available valid [U.S. DOT Docket Number NHTSA–2016– agencies are free to use a larger sample APC data. 0085 ] Response: FTA encourages agencies to if they believe it will provide better use all valid data. However, agencies data. Reports, Forms, and Recordkeeping need to account for the stratified nature Comment: One commenter requested Requirements of the sample in this case. The set of all that FTA provide a template that AGENCY: National Highway Traffic valid data may be biased toward certain performs the calculations. Safety Administration (NHTSA), U.S. routes, vehicles, or trips, and thus Response: FTA designed the error Department of Transportation. cannot be considered a random sample criteria to be simple enough that an of the whole service. Instead agencies ACTION: Request for public comment on agency should be able to calculate them an extension of a currently approved must determine average unlinked without the need for a template. passenger trips and passenger miles at a collection of information. granular level (the vehicle trip level, for Comment: Eight commenters had comments about unbalanced error. One SUMMARY: Before a Federal agency can example) and factor up each group (e.g., collect certain information from the vehicle trip) individually. Alternatively, commenter noted that the unbalanced error criterion would be harder for small public, it must receive approval from agencies are permitted to use any NTD- the Office of Management and Budget approved sampling plan in conjunction agencies to satisfy than large ones, and that unbalanced error does not detect (OMB). Under procedures established with APCs. Any such plan would by the Paperwork Reduction Act of include statistically valid procedures for systemic bias. Three commenters 1995, before seeking OMB approval, replacing selected trips on which data believe the unbalanced error criterion Federal agencies must solicit public are not collected. would be too difficult to meet. Three Comment: One commenter expressed commenters noted that unbalanced error comment on proposed collections of concern that an agency may be is redundant since unlinked passenger information, including extensions and penalized by reduced formula funding if trips are already being tested. Two reinstatement of previously approved they perform their APC maintenance commenters requested clarification of collections. This document describes a collection check mid-year and find that the data no the definition of unbalanced error. of information for which NHTSA longer meet the requirements. Response: FTA concurs with the intends to seek OMB approval. Response: FTA reduced the required concerns that commenters have raised DATES: timeframe for the maintenance check and will withdraw the unbalanced error Comments must be received on from one year to any convenient period. criterion from the final policy. or before December 12, 2016. FTA expects that it will typically take ADDRESSES: You may submit comments less than a month. An agency that D. Overview of Final Updates to the using any of the following methods. All performs the check and finds that the USOA and NTD Reporting comments must have the applicable error is over 5% should reexamine its Requirements DOT docket number (e.g., NHTSA– APC data collection procedures, make 2016–0085) noted conspicuously on After considering the comments any needed adjustments, perform any them. submitted on the proposed updates to needed maintenance on the system, and • Federal eRulemaking Portal: Go to the USOA and changes to NTD retest. The shortened timeframe should http://www.regulations.gov. Follow the reporting requirements, FTA will delay allow agencies to retest before the end online instructions for submitting the implementation of the original of the year, thus ensuring that an agency comments. proposed USOA changes to FY 2018. that encounters problems in its • Mail: Docket Management Facility, Additionally, FTA will add line items to maintenance check can nonetheless M–30: U.S. Department of account for ‘‘Deferred Outflows of provide an uninterrupted set of data to Transportation, 1200 New Jersey Resources’’ and ‘‘Deferred Inflows of the NTD. FTA will clarify this point in Avenue SE., West Building Ground Resources’’ on the F–60 form, as well as its final policy. Floor, Room W12–140, Washington, DC Comment: One commenter suggested rescind the original proposed changes to 20590–0001. that FTA provide guidelines to agencies add ‘‘Pension Funds’’ and ‘‘OPEB • Hand Delivery or Courier: West for accuracy standards and testing that Adjustment’’ USOA object classes. FTA Building Ground Floor, Room W12–140, the agencies can write into their RFPs will also publish a new USOA 1200 New Jersey Avenue SE., between when they procure APC systems. numbering scheme that is more 9 a.m. and 5 p.m. ET, Monday through Response: While FTA certainly consistent with a standard chart of Friday, except Federal holidays. encourages agencies to follow best accounts. These changes will be Telephone: 1–800–647–5527. practices when procuring APC systems, reflected in the final Uniform System of • Fax: 202–493–2251 FTA believes ample guidance is Accounts. Instructions: All submissions must available through other industry The revised APC certification process include the agency name and docket resources. is effective immediately. The final number for this proposed collection of

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information. Note that all comments (i) Whether the proposed collection of Communications about Potential received will be posted without change information is necessary for the proper Defects. to http://www.regulations.gov, including performance of the functions of the These Early Warning Reporting (EWR) any personal information provided. agency, including whether the requirements specify that manufacturers Please see the Privacy Act heading information will have practical utility; of motor vehicles and motor vehicle below. (ii) the accuracy of the agency’s equipment submit information, Privacy Act: Anyone is able to search estimate of the burden of the proposed periodically or upon NHTSA’s request, the electronic form of all comments collection of information, including the that includes claims for deaths and received into any of our dockets by the validity of the methodology and serious injuries, property damage data, name of the individual submitting the assumptions used; communications from customers and comment (or signing the comment, if (iii) how to enhance the quality, others, information on incidents submitted on behalf of an association, utility, and clarity of the information to resulting in fatalities or serious injuries be collected; and business, labor union, etc.). You may from possible defects in vehicles or (iv) how to minimize the burden of review DOT’s complete Privacy Act equipment in the United States or in the collection of information on those identical or substantially similar Statement in the Federal Register who are to respond, including the use published on April 11, 2000 (65 FR vehicles or equipment in a foreign of appropriate automated, electronic, country, and other information that 19477–78) or you may visit http:// mechanical, or other technological DocketInfo.dot.gov. assist NHTSA in identifying potential collection techniques or other forms of safety-related defects. The intent of this Docket: For access to the docket to information technology, e.g. permitting read background documents or information collection is to provide electronic submission of responses. early warning of such potential safety- comments received, go to http:// In compliance with these related defects. www.regulations.gov or the street requirements, NHTSA asks for public Estimated Burden Hours: This address listed above. Follow the online comments on the following collection of approved information collection was instructions for accessing the dockets. information: last renewed in August 2013, when FOR FURTHER INFORMATION CONTACT: Leo Title: Reporting of Information and Documents about Potential Defects. additional component type codes were Yon, Trends Analysis Division (NEF– added to manufacturer EWR 170), Room W45–215, NHTSA, 1200 Type of Request: Revision of a currently approved information submissions. See 78 FR 51412. Due to New Jersey Ave., Washington, DC one-time investments and other 20590. Telephone: (202) 366–7028. collection. OMB Control Number: 2127–0616. associated costs, the collection was SUPPLEMENTARY INFORMATION: Under the Affected Public: Businesses or approved for 85,193 burden hours and Paperwork Reduction Act of 1995, individuals. $10.3 million dollars in the first year. before an agency submits a proposed Abstract: This notice requests We estimated subsequent years would collection of information to OMB for comment on NHTSA’s proposed require 45,897 burden hours and $5.75 approval, it must first publish a extension to approved collection of million dollars. Today we update these document in the Federal Register information OMB No. 2127–0616. The estimates by removing the first-year providing a 60-day comment period and Transportation Recall Enhancement, costs associated with the 2013 otherwise consult with members of the Accountability, and Documentation rulemaking, as well as revising public and affected agencies concerning (TREAD) Act (Pub. L. 106–414) was estimates to better align with current each proposed collection of information. enacted on November 1, 2000. These EWR volume. The OMB has promulgated regulations TREAD requirements of the Act are First, the below estimates are adjusted describing what must be included in found in 49 U.S.C. 30166 and many of to better reflect current EWR submission such a document. Under OMB’s these requirements are implemented volume. Table 1 provides an average regulation, see 5 CFR 1320.8(d), an through, and addressed with more annual submission count for each claim agency must ask for public comment on specificity in, 49 CFR part 579 category submitted per the requirements the following: Reporting of Information and of 49 CFR 579: TABLE 1—ANNUAL AVERAGE OF SUBMISSIONS BY MANUFACTURERS (2013–2015)

Light Heavy, med Emergency Child Equipment Category of claims vehicles vehicles Trailers Motorcycles vehicles Buses Tires restraints mfr. Totals

Injury Fatality ...... 9,082 97 13 135 3 12 74 378 8 9,804 Property Damage * ...... 8,554 572 21 16 2 55 2,261 N/A N/A 11,481

Warranty Claims ...... Aggregate Data

Consumer Complaints ...... Aggregate Data

Mfr. Field Reports ...... 66,064 7,221 13 1,276 3 461 N/A 4,259 N/A 79,297

Dealer Field Reports ...... Aggregate Data

Foreign Death Claims ...... 59 1 1 2 0 0 2 35 0 101

Totals ...... 83,759 7,891 48 1,429 8 528 2,337 4,672 8 100,683 * Property damage claims are aggregate data but are counted differently because they require more time to manually review.

The above updated submission totals collection. Submission totals for each (previously 6,041 claims), 11,481 represent a 17% increase from the category have risen with an average of property damage claims (previously currently approved information 9,804 injury and fatality claims 11,402 claims), 79,297 manufacturer

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field reports (previously 68,574 field The agency estimates that an average to process. Multiplying this average reports), 101 foreign death claims of 5 minutes is required for a number of minutes by the number of (previously 41 claims), totaling 100,683 manufacturer to process each report, submissions NHTSA receives in each submissions on average (previously with the exception of foreign death reporting category yields the burden estimated at 86,058 submissions). claims. We estimate foreign death hour estimates found below in Table 2: claims require an average of 15 minutes TABLE 2—ESTIMATED ANNUAL BURDEN HOURS

Light Heavy, med Emergency Child Equipment Category of claims vehicles vehicles Trailers Motorcycles vehicles Buses Tires restraints mfr. Totals

Injury Fatality...... 757 8 1 11 0 1 6 32 1 817 Property Damage* ...... 713 48 2 1 0 5 188 N/A N/A 957

Warranty Claims ...... Aggregate Data

Consumer Complaints ...... Aggregate Data

Mfr. Field Reports ...... 5,505 602 1 106 0 38 N/A 355 N/A 6,608

Dealer Field Reports ...... Aggregate Data

Foreign Death Claims ...... 15 0 0 1 0 0 1 9 0 25

Totals ...... 6,990 658 4 119 1 44 195 395 1 8,407 * Property damage claims are aggregate data but are counted differently because they require more time to manually review.

Our previous estimates totaled 7,178 and dealer field reports are included in calculated by multiplying hours used to burden hours associated with these reporting and computer maintenance report for a given category by the Early Warning submissions. We now hours. The burden hours for computer number of manufacturers for the update that total to 8,407 burden hours, maintenance are calculated by category. Using these methods and the a 17% increase, associated with the multiplying the hours of computer use average number of manufacturers who above noted claim categories. (for a given category) by the number of report annually, we estimate the burden The burden hours associated with manufacturers reporting in a category. hours for reporting cost and computer aggregate data submissions for Similarly, reporting burden hours are maintenance below in Table 3: consumer complaints, warranty claims,

TABLE 3—ESTIMATED ANNUAL BURDEN HOURS FOR REPORTING AND COMPUTER MAINTENANCE

Quarterly Hours for com- Annual burden Avg. Number hours to Annual burden puter mainte- hours for Vehicle/equipment category of manufactur- report per hours for nance per computer ers manufacturer reporting manufacturer maintenance

Light Vehicles ...... 39 8 1,248 347 13,533 Medium-Heavy Vehicles ...... 39 5 780 86.5 3,374 Trailers ...... 80 1 320 86.5 6,920 Motorcycles ...... 15 2 120 86.5 1,298 Emergency Vehicles ...... 7 5 140 86.5 606 Buses ...... 38 5 760 86.5 3,287 Tires ...... 34 5 680 86.5 2,941 Child Restraints ...... 34 1 136 86.5 2,941 Vehicle Equipment ...... 6 1 24 - ......

Totals ...... 4,208 ...... 34,899

Thus, the total burden hours for EWR a determination or notice has been made results in 133 hours for preparation and death and injury data, aggregate data in a language other than English, submission of the reports (133 defect and non-dealer field reports is 8,407 translate the determination or notice reports × 1 hour clerical = 133 hours) (Table 2) + 4,208 (Table 3) + 34,899 into English before transmitting it to the and 266 hours for technical time (133 (Table 3) = 47,514 burden hours. agency. NHTSA estimates that preparing foreign recall reports × 2 hours technical In order to provide the information and submitting each foreign defect = 266 hours. required for foreign safety campaigns, report (foreign recall campaign) requires With respect to the burden of manufacturers must (1) determine 1 hour of clerical staff and that determining identical or substantially whether vehicles or equipment that are translation of determinations into similar vehicles or equipment to those covered by a foreign safety recall or English requires 2 hours of technical sold in the United States, manufacturers other safety campaign are identical or staff (note: this assumes that all foreign of motor vehicles are required to submit substantially similar to vehicles or campaign reports require translation, not later than November 1 of each year, equipment sold in the United States, (2) which is unlikely). Between 2013 and a document that identifies foreign prepare and submit reports of these 2015, NHTSA received a yearly average products and their domestic campaigns to the agency, and (3) where of 133 foreign recall reports which counterparts. NHTSA continues to

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estimate that the annual list could be lists from 83 manufacturers, on average, attorney support = 664 hours) + (83 developed with 8 attorney hours and 1 resulting in 747 burden hours (83 vehicle manufacturers × 1 hour for IT hour for IT work. NHTSA receives these vehicle manufacturers ×x 8 hours for support = 83 hours).

TABLE 4—HOURLY BURDEN FOR FOREIGN REPORTING

Burden hours Task Qty Occupation Per unit Total

Annual List ...... 83 Attorney ...... 8 664 Annual list—Electronic ...... 83 IT ...... 1 83 Foreign Defect Report ...... 133 Clerical ...... 1 133 Foreign Defect report ...... 133 Technical ...... 2 266

Total ...... 1,146

Therefore, the total annual hour estimate that it takes about 5 minutes to adjusted wages and salaries, for private burden on manufacturers for reporting collect, index, and send each notice to industry workers, were referenced to foreign safety campaigns and NHTSA. Therefore, we continue to calculate the following updated 2016 substantially similar vehicles/ estimate that it takes 7,000 documents × wage rates: equipment is 1,146 hours (774 hours 5 minutes = 35,000 minutes or 583 professional time + 133 hours clerical hours for manufacturers to submit TABLE 6—HOURLY WAGE RATES BY time + 266 hours technical time). This notices as required under Part 579.5. OCCUPATION is an increase of 154 burden hours from our previous estimate (1,146 hours for TABLE 5—TOTAL BURDEN HOURS FOR Wage rate current estimate—992 hours for THIS COLLECTION Occupation previous estimate). 2011 2016 Section 579.5 also requires Annual burden manufacturers to submit notices, Reporting type hours Attorney ...... $130.39 $144.47 bulletins, customer satisfaction Engineer ...... 130.39 144.47 campaigns, consumer advisories and EWR Reporting (Table 3) ..... 47,514 IT ...... 145.59 161.31 other communications that are sent to Foreign Reporting (Table 4) 1,146 Technical ...... 94.09 104.25 more than one dealer or owner. Part 579.5 ...... 583 Clerical ...... 30.69 34.00 Manufacturers are required to submit Total ...... 49,243 2016 wage data from U.S. Department of this information monthly. Section 579.5 Labor. does not require manufacturer to create these documents; rather, only copies of Estimated Cost Burdens—We now We have also constructed various these documents must be submitted to estimate the calculated cost burdens breakdowns of the average five minutes NHTSA. Therefore, the burden hours that this collection imposes on industry. of labor among the various occupations are only those associated with collecting The hourly wage rates shown below depending on the type of document that the documents and submitting copies to have been utilized in previous renewals was reviewed. For example, to combine NHTSA. Manufacturers must index of this collection and are now updated three minutes of technical labor and two these communications and email them through June 2016. These current rate minutes of clerical labor produces a to NHTSA within 5 working days after adjustments are derived from the combined wage rate of $76.15 per hour, the end of the month in which they Employment Cost Index Historical using the adjusted 2016 wage rates in were issued. Listing (Volume III) provided by the Table 6. Table 7 shows the time NHTSA continues to estimate that we U.S. Bureau of Labor Statistics to adjust allocations and weighted hourly rate by receive about 7,000 notices a year. We for inflation. The non-seasonally report:

TABLE 7—TIME ALLOCATION AND WEIGHTED HOURLY RATE BY REPORT

Weighted Claim type Attorney Engineer IT Technical Clerical Total time hourly rate

Claims of Injury/Death ...... 3 0 0 0 2 5 $100.29 Property Damage ...... 0 0 0 3 2 5 76.15 Mfr. Field Reports ...... 0 0 0 3 2 5 76.15 Foreign Deaths ...... 3 10 0 0 2 15 129.74

The total cost for 2016 Claims W = Wage rate based on U.S. Department of NHTSA estimates the reporting costs documents were obtained using the Labor and skill mix as a function of following formula: • For example, the estimated cost to The number of manufacturers × × reporting; K T W = Costs for claim type report light vehicle death and injury • Where: claims is $75,899 (9,082 death and The frequency of required reports; • injury claims reported × 5/60 hours × The number of hours required per K = Documents submitted by industry report; and T = Average time spent on a document $100.29 wage rate). • The cost of personnel to report.

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The number of manufacturers The reporting costs are calculated as M × Tc × IT = cost of computer reporting is estimated from EWR follows: maintenance × × × submission. The frequency of reports is M Tp 4 $69.13 = cost of reporting Where: fixed at 4 times per year. The number Where: of hours for reporting ranges from 1 M = Manufacturers reporting data in the hour for trailer manufacturer to 8 hours M = Manufacturers reporting data in the category category for light vehicle manufacturers (See Tc = Annual computer maintenance time per T = Reporting time for the category Table 3). In addition, we assume that 50 p manufacturer for the category 4 = Quarterly reports per year I = IT wage rate percent of the total burden hours are $69.13 = Reporting cost wage rate (rounded) T utilized by technical personnel while The computer maintenance costs for clerical staff consumes the remaining 50 Thus, the estimated reporting cost for light vehicles are $2,183,059 (39 percent. In other words, the hourly wage light vehicles is $86,272 (39 manufacturers × 347 hours × $161.31 rate for each quarterly report is split manufacturers × 8 hours × 4 quarters × evenly between technical and clerical $69.13 wage rate). wage rate). personnel and a weighted average of the The costs for computer maintenance Table 8 shows the annual cost of wage hour is developed from this including software, hardware, data reporting EWR information to NHTSA assumption. For 2016 the wage rate is storage, etc. were calculated using the using the information outlined in tables $69.13 ([$104.25 × 0.5] + [$34.00 × 0.5]). following formula: 1, 2, 3, 6, and 7: TABLE 8—ESTIMATE EWR COSTS BY SUBMISSION TYPE

Light Heavy, med Emergency Child Equipment Category vehicles vehicles Trailers Motorcycles vehicles Buses Tires restraints mfr. Totals

(Injury/Fatality) ...... $75,899 $811 $109 $1,128 $25 $100 $618 $3,159 $67 $81,916 Property Damage * ...... 54,284 3,630 133 102 13 349 14,348 0 0 72,859

Warranty Claims ...... Aggregate Data

Consumer Complaints ...... Aggregate Data

Mfr. Field Reports ...... 419,247 45,825 82 8,098 19 2,926 0 27,028 0 503,224

Dealer Field Reports ...... Aggregate Data

Foreign Death Claims ...... 1,914 32 32 65 0 0 65 1,135 0 3,244 Reporting Cost...... 86,272 53,920 22,121 8,295 9,678 52,537 47,007 9,401 1,659 290,891 Computer Maintenance ...... 2,183,059 544,192 1,116,291 209,305 97,675 530,238 474,424 474,424 0 5,629,607

Totals: ...... 2,820,674 648,410 1,138,769 226,992 107,410 586,150 536,463 515,147 1,726 6,581,741 Note: Totals may not be exact due to rounding.

Table 9 details the total annual costs similar vehicles and foreign safety for reproting annual list of substatially campaigns:

TABLE 9—ESTIMATED ANNUAL COSTS FOR SUBSTANTIALLY SIMILAR VEHICLES AND FOREIGN SAFETY CAMPAIGNS

2016 Wage Burden hours Task Qty Occupation rate (from Cost Table 6) Per unit Total

Annual list ...... 83 Attorney ...... $144.47 8 664 $95,929 Annual list—Electronic ...... 83 IT ...... 161.31 1 83 13,389 Defect report ...... 133 Clerical ...... 34.00 1 133 4,523 Defect report ...... 133 Technical ...... 104.25 2 266 27,731

Foreign Campaign Totals ...... 1,146 141,572

The cost associated for manufacturers are done the higher paid staff. Thus, we TABLE 10—TOTAL DOLLAR ESTIMATES to submit Part 579.5 notices, bulletins, estimated the cost to collect and submit FOR MANUFACTURERS TO COMPLY × customer satisfaction campaigns, Part 579.5 documents at 583 hours WITH EWR REPORTING, FOREIGN consumer advisories and other $104.25 for Technical staff = $60,779 for REPORTING, AND PART 579.5 RE- communications that are sent to more manufacturers to submit notices as PORTING than one dealer or owner can be required under Part 579.5. estimated from the number of hours and Table 10 shows the estimated cost for Reporting Type Annual Cost wage of personal submitting the manufacturers to report EWR data, ($) documents. We understand that some foreign campaigns, and Part 579.5 manufacturers have clerical staff collect EWR Reporting (Table 8) ..... $6,581,741 documents through this collection: and submit the documents and other Foreign Reporting (Table 9) 141,572 have technical staff. Because we do not Part 579.5 Submissions ...... 60,779 know how many documents are sent by Total ...... 6,784,092 a particular staff we will assume they

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Removed Burdens— Our previous DEPARTMENT OF TRANSPORTATION (iv) how to minimize the burden of renewal of this collection included one- the collection of information on those time cost estimates associated with National Highway Traffic Safety who are to respond, including the use adding a new vehicle type, fuel and/or Administration of appropriate automated, electronic, propulsion system type, and four new [U.S. DOT Docket Number NHTSA–2016– mechanical, or other technological components (stability control, forward 0065] collection techniques or other forms of collision avoidance, lane departure information technology, e.g. permitting prevention, and backover prevention) to Reports, Forms, and Record Keeping electronic submission of responses. In compliance with these vehicle EWR reporting. These one-time Requirements requirements, NHTSA asks for public costs were estimated for manufacturers AGENCY: National Highway Traffic comments on the following collection of to amend their reporting templates and Safety Administration (NHTSA), U.S. information: revise their software system to support Department of Transportation. Title: Defect and Noncompliance the new reporting requirements. See 78 ACTION: Notice. Reporting and Notification. FR 51415. Manufacturers were required Type of Request: Extension of a to make these changes to their vehicle SUMMARY: In compliance with the currently approved information EWR reporting by January 1, 2015. See Paperwork Reduction Act of 1995, this collection. 79 FR 47591. As these one-time costs notice announces that the Information OMB Control Number: 2127–0004. have already been incurred and Collection Request (ICR) abstracted Affected Public: Businesses or manufacturers have already made the below has been forwarded to the Office individuals. necessary modifications to their of Management and Budget (OMB) for Abstract: The 60-day notice for this systems, a total of 39,296 burden hours review and comment. The ICR describes information collection received one (1) comment submitted by Nissan North and $4.57 million dollars will be the nature of the information collections America, Inc. (Nissan). Nissan agreed removed from this collection. and their expected burden. The Federal Register Notice with a 60-day comment with many of the estimates presented in Summary of Burden Estimate—Based period was published on June 27, 2016 the 60-day notice but did offer on the foregoing, we estimate the (81 FR 41644). substantive comments on six different burden hours for industry to comply DATES: Comments must be submitted to estimates related to safety recall with the current EWR requirements, OMB on or before November 10, 2016. reporting and owner notification foreign campaign requirements and Part obligations. A summary of Nissan’s ADDRESSES: Send comments to the 579.5 requirements total 49,243 burden comments are found below in the Office of Information and Regulatory corresponding burden estimate along hours (47,514 for EWR requirements + Affairs, OMB, 725 17th Street NW., 1,146 hours for foreign campaign with the Agency’s response. Washington, DC 20503, Attention: Desk This collection covers the information requirements + 583 hours for Part Officer. 579.5). This is a decrease of 35,950 collection requirements found within FOR FURTHER INFORMATION CONTACT: Alex hours from the currently approved various statutory sections in the Motor Ansley, Recall Management Division Vehicle Safety Act of 1966 (Act), 49 collection, mostly due to the one-time (NVS–215), Room W48–301, NHTSA, costs we previously estimated and have U.S.C. 30101, et seq., that address and 1200 New Jersey Ave., Washington, DC require manufacturer notifications to now removed from this collection. We 20590. Telephone: (202) 493–0481. NHTSA of safety-related defects and now estimate the cost burden for current SUPPLEMENTARY INFORMATION: Under the failures to comply with Federal Motor EWR requirements, foreign campaign Paperwork Reduction Act of 1995, Vehicle Safety Standards (FMVSS) in requirements, and Part 579.5 before an agency submits a proposed motor vehicles and motor vehicle requirements to total $6,784,092 collection of information to OMB for equipment, as well as the provision of annually. approval, it must first publish a particular information related to the Estimated Number of Respondents— document in the Federal Register ensuing owner and dealers notifications NHTSA receives EWR submissions, providing a 60-day comment period and and free remedy campaigns that follow foreign campaigns, and Part 579.5 otherwise consult with members of the those notifications. submissions from roughly 292 public and affected agencies concerning Pursuant to the Act, motor vehicle manufacturers per year. each proposed collection of information. and motor vehicle equipment The OMB has promulgated regulations manufacturers are obligated to notify, In summary, we estimate that there describing what must be included in and then provide various information will be a total of 292 respondents per such a document. Under OMB’s and documents, to NHTSA in the event year associated with OMB No. 2127– regulation, see 5 CFR 1320.8(d), an a safety defect or noncompliance with 0616. agency must ask for public comment on Federal Motor Vehicle Safety Standards Issued on: October 4, 2016. the following: (FMVSS) is identified in products they Michael L. Brown, (i) Whether the proposed collection of manufactured. See 49 U.S.C. 30118(b) Acting Director, Office of Defects information is necessary for the proper and 49 CFR 573.6 (requiring Investigation. performance of the functions of the manufacturers to notify NHTSA, and agency, including whether the provide certain information, when they [FR Doc. 2016–24526 Filed 10–7–16; 8:45 am] information will have practical utility; learn of a safety defect or BILLING CODE 4910–59–P (ii) the accuracy of the agency’s noncompliance). Manufacturers are estimate of the burden of the proposed further required to notify owners, collection of information, including the purchasers, dealers and distributors validity of the methodology and about the safety defect or assumptions used; noncompliance. See 49 U.S.C. 30118(b), (iii) how to enhance the quality, 30120(a), and 49 CFR 577.7, 577.13. utility, and clarity of the information to They are required to provide to NHTSA be collected; and copies of communications pertaining to

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recall campaigns that they issue to Our prior estimates of the number of child seats, etc.), affected an average of owners, purchasers, dealers, and manufacturers each year that would be 32,000 products per recall. Between distributors. See 49 U.S.C. 30166(f) and required to provide information under 2013 and 2015 the major, passenger 49 CFR 573.6(c)(10). 49 CFR part 573, the number of recalls vehicle manufacturers conducted an Manufacturers are also required to file for which 49 CFR part 573 information average of 45 recalls annually. with NHTSA a plan explaining how collection requirements would need to We estimate the annual burden hours they intend to reimburse owners and be met, and the number of burden hours related to the reporting to NHTSA of a purchasers who paid to have their associated with the requirements safety defect or noncompliance for the products remedied before being notified currently covered by this information seventeen major, passenger vehicle of the safety defect or noncompliance, collection require adjustment as manufacturers to be 900 hours annually × and explain that plan in the explained below. (45 notices 20 hours/report). We notifications they issue to owners and Based on current information, we now estimate all other manufacturers to purchasers about the safety defect or estimate 275 distinct manufacturers require a total of 3,236 hours annually × noncompliance. See 49 U.S.C. 30120(d) filing an average of 854 Part 573 Safety to file their notices (809 notices 4 and 49 CFR 573.13. They are further Recall Reports each year. This is a hours/report). Accordingly, the required to keep lists of the respective change from our previous estimate of estimated annual burden hours related owners, purchasers, dealers, 680 Part 573 Safety Recall Reports filed to the reporting to NHTSA of a safety distributors, lessors, and lessees of the by 280 manufacturers each year. defect or noncompliance is 6,336 hours products determined to be defective or We originally estimated that it takes a (900 hours + 3,236 hours) + (275 MFRs × noncompliant and involved in a recall manufacturer an average of 4 hours to 8 hours to maintain purchaser lists). campaign, and are required to provide complete each notification report to We also estimated an additional 2 NHTSA with a minimum of six NHTSA and that maintenance of the hours would be needed to add to a quarterly reports reporting on the required owner, purchaser, dealer, and manufacturer’s Part 573 Safety Recall progress of their recall campaigns. See distributors lists requires 8 hours a year Report details relating to the intended 49 CFR 573.8 and 573.7, respectively. per manufacturer. Nissan commented schedule for notifying its dealers and that, in its experience, it spends ‘‘. . . distributors, and tailoring its The Act and Part 573 also contain two (2) to (3) days (16–24 hours) to notifications to dealers and distributors numerous information collection complete each Defect Information in accordance with the requirements of requirements specific to tire recall and Report (DIR), based on an eight (8) hour 49 CFR 577.13. Nissan commented that, remedy campaigns. These requirements day. This varies based on the size and in its experience and depending on the relate to the proper disposal of recalled complexity of the recall.’’ We thank complexity of the recall, it ‘‘typically tires, including a requirement that the Nissan for its comment and do not works up to five (5) business days/forty manufacturer conducting the tire recall disagree with its estimated burden for (40) hours to craft the Dealer submit a plan and provide specific filing a Part 573 Recall Report (or ‘‘DIR’’ announcement with the appropriate instructions to certain persons (such as as referenced in Nissan’s comment). repair protocol and other essential dealers and distributors) addressing that However, most manufacturers who information to provide to dealers. The disposal, and a requirement that those conduct safety recalls are not major, announcement creation includes persons report back to the manufacturer passenger vehicle manufacturers. And, coordinating with multiple departments certain deviations from the plan. See 49 generally, most other manufacturers in order to notify and instruct the U.S.C. 30120(d) and 49 CFR 573.6(c)(9). include very few products in the dealers/retailers on how to execute the They also require the reporting to average safety recall. We presume that, remedy.’’ Similar to the burden hour NHTSA of intentional and knowing like Nissan, other major, passenger estimate for readying the Part 573 Recall sales or leases of defective or vehicle manufacturers require similar Report, we believe Nissan’s estimate is noncompliant tires. time and burden to prepare and file realistic and should apply to the burden 49 U.S.C. 30166(n), and its their reports due to the size and hour calculation for the major, implementing regulation found at 49 complexity of passenger vehicle recalls. passenger vehicle manufacturers. We CFR 573.10, mandates that anyone who As such, we estimate that major, believe, however, that most other knowingly and willfully sells or leases passenger vehicle manufacturers will manufacturers would require up to two for use on a motor vehicle a defective require 20 burden hours, the average of hours readying this notification. This tire or a tire that is not compliant with Nissan’s estimate, to prepare and file burden is now estimated at 3,418 hours FMVSS, and with actual knowledge that their Part 573 Recall Reports. annually (809 notices × 2 hours/ the tire manufacturer has notified its By utilizing the metric associated notification + 45 notices × 40 hours/ dealers of the defect or noncompliance with NHTSA’s VIN Look-up Tool notification). as required under the Act, is required to regulation (See 49 CFR 573.15), we will 49 U.S.C. 30166(f) requires vehicle report that sale or lease to NHTSA no associate a higher burden hour estimate manufacturers to provide to the Agency more than five working days after the for the major, passenger vehicle copies of all communications regarding person to whom the tire was sold or manufacturers who produce more than defects and noncompliances sent to leased takes possession of it. 25,000 vehicles annually. The seventeen owners, purchasers, and dealerships. Estimated Burden: The approved (17) manufacturers that fit this annual Manufactures must index these information collection associated with production criterion recall many more communications by the year, make, and 49 CFR part 573 and portions of 49 CFR products, on average, than other model of the vehicle as well as provide part 577 presently holds an estimated manufacturers. Between 2013 and 2015, a concise summary of the subject of the annual burden of 46,138 hours the recalls for these major, passenger communication. We estimate this associated with an estimated 280 vehicle manufacturers (including burden requires 30 minutes for each respondents per year. For information Nissan) affected an average of 153,000 vehicle recall. This would total to an concerning how we calculated these vehicles per recall. However, the recalls estimated 380 hours annually (760 estimates please see the Federal for all other manufacturers (including vehicle recalls × .5 hours). Nissan Register Notices 78 FR 51381 (August manufacturers for other vehicles and commented that they agreed with the 20, 2013). motor vehicle equipment such as tires, Agency’s estimate for this burden.

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In the event a manufacturer supplied to Consumer Affairs staff . . .’’ Nissan’s two hours of effort beyond the subtotal the defect or noncompliant product to Field Quality Assurance and Technical above associated with non-tire recall independent dealers through Compliance departments also spend a campaigns. This additional effort independent distributors, that combined four and a half (4.5) hours, consists of one hour for the NHTSA manufacturer is required to include in per recall, creating the reimbursement notification and one hour for the dealer its notifications to those distributors an plan and adding specific language to the notification for a total of 24 burden instruction that the distributors are to owner notification letter. hours (12 tire recalls a year × 2 hours then provide copies of the We thank Nissan for its detailed per recall). manufacturer’s notification of the defect burden estimate for this requirement. Manufacturer owned or controlled or noncompliance to all known Regarding the Web site that Nissan dealers are required to notify the distributors or retail outlets further operates for managing reimbursement manufacturer and provide certain down the distribution chain within five submissions, this is not a current information should they deviate from working days. See 49 CFR burden imposed by the regulation in 49 the manufacturer’s disposal plan. 577.7(c)(2)(iv). As a practical matter, CFR 577.11. Manufacturers must Consistent with our previous analysis, this requirement would only apply to disseminate reimbursement information we continue to ascribe zero burden equipment manufacturers since vehicle to owners through the owner hours to this requirement since to date manufacturers generally sell and lease notification letter and provide owners a no such reports have been provided and vehicles through a dealer network, and physical mailing address to submit any our original expectation that dealers not through independent distributors. claims in writing. Manufacturers are not would comply with manufacturers’ We believe our previous estimate of required to create or maintain a Web site plans has proven true. roughly 80 equipment recalls per year for facilitating this pre-notification Accordingly, we estimate 24 burden needs to be adjusted to 95 equipment remedy requirement. As such, we will hours a year will be spent complying recalls per year to better reflect recent not include the $24,000 annual with the tire recall campaign recall figures. Although the distributors maintenance costs related to Nissan’s requirements found in 49 CFR are not technically under any regulatory Web site or the four (4) hours spent on 573.6(c)(9). requirement to follow that instruction, updating the Web site. Additionally, because the agency has we expect that they will, and have However, we do agree with Nissan yet to receive a single report of a estimated the burden associated with regarding the four and a half (4.5) hours defective or noncompliant tire being these notifications (identifying retail required to create the reimbursement intentionally sold or leased, our outlets, making copies of the plan and tailor the plan to each specific previous estimate of zero burden hours manufacturer’s notice, and mailing) to recall. We previously estimated a remains unchanged with this notice. We be 5 hours per recall campaign. combined total of 10 hours for these received no comments regarding the Assuming an average of 3 distributors items but we will use Nissan’s estimate burden estimates for tire disposal per equipment item, (which is a liberal going forward. Also, we will add an requirements or tire recall campaign estimate given that many equipment additional 12 hours annually, as Nissan requirements. manufacturers do not use independent estimates, for each manufacturer to The previous clearance for this distributors) the total number of burden disseminate pre-notification information collection allowed for start- hours associated with this third party reimbursement to their company staff. up costs for the Agency’s VIN Look-up notification burden is approximately In sum, these required activities total system and a new regulation that 1,425 hours per year (95 recalls × 3 4,827 annual burden hours ((275 MFRs required manufacturers to create a VIN distributors × 5 hours). We received no × 4 hours to prepare plan) + (854 recalls Look-up service on their respective Web comments on this particular burden × .5 hours tailoring plan for each recall) sites. As these systems were launched estimate. + (275 MFRs × 12 hours to disseminate successfully in August 2014, the start- As for the burden linked with a plan information)). up estimates for costs and burden will manufacturer’s preparation of and The Safety Act and 49 CFR part 573 now be removed. The estimated costs to notification concerning its also contain numerous information industry for one-time infrastructure reimbursement for pre-notification collection requirements specific to tire expenses to create a VIN-based recalls remedies, we estimated that the recall and remedy campaigns, as well as lookup service consisting of 108 hours, preparation of a reimbursement plan a statutory and regulatory reporting and costing a total of $45,000, will now takes approximately 8 hours annually, requirement that anyone who be removed from this information and that an additional 2 hours per year knowingly and intentionally sells or collection. is spent tailoring the plan to particular leases a defective or noncompliant tire Each manufacturer was also required defect and noncompliance notifications notify NHTSA of that activity. to establish requirements, analysis, and to NHTSA and adding tailored language Manufacturers are required to include designs for their new recalls look-up about the plan to a particular safety specific information related to tire tools. These additional burdens recall’s owner notification letters. disposal in the notifications they stemmed from: The creation of the VIN Nissan commented that this provide NHTSA concerning search interface; database setup to host requirement actually requires additional identification of a safety defect or the recall information; data refresh burden hours from various departments noncompliance with FMVSS in their procedures to populate recall within the company. Nissan estimates tires, as well as in the notifications they information; server side VIN code that its Consumer Affairs department issue to their dealers or other tire outlets lookup and recall status retrieval; must maintain and update a participating in the recall campaign. See integration with existing manufacturer reimbursement Web site which requires 49 CFR 573.6(c)(9). We now estimate Web site; and application testing. We $24,000 annually. Further, updates to that the Agency administers 12 tire estimated these burdens to total 1,332 this Web site take approximately four recalls each year, on average, revised hours and $130,005 and these costs will (4) hours to complete, presumably per down from our previous estimate of 15 now be removed from this information recall (but this is not clarified). Another tire recall each year. We estimate that collection. twelve (12) annual hours are required to the inclusion of this additional We continue to believe nine vehicle ‘‘.... disseminate internal documents information will require an additional manufacturers, who did not operate

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VIN-based recalls lookup systems prior average of 2 recalls each year and 19 Also updated in the last revision to to August 2013, incur certain recurring affected passenger vehicle this information collection, NHTSA burdens on an annual basis. We manufacturers will make recalled VINs established a requirement that estimate that 100 burden hours will be available for an average of 8 recalls each manufactures change or update recall spent on system and database year. We believe it will take no more components in their Part 573 Safety administrator support. These 100 than 1 hour, and potentially much less Recall Report. We continue to estimate burden hours include: Backup data with automated systems, to update the that 20 percent of Part 573 reports will management and monitoring; database VIN status of vehicles that have been involve a change or addition. We management, updates, and log remedied under the manufacturer’s originally estimated that this burden management; and data transfer, remedy program. We continue to would require an additional 30 minutes archiving, quality assurance, and estimate this will require 8,736 burden per amended report. Nissan commented cleanup procedures. We estimate hours per year (1 hour × 2 recalls × 52 that this task requires up to one (1) hour another 100 burden hours will be weeks × 8 MFRs + 1 hour × 8 recalls × per amended report. We believe incurred on web/application developer 52 weeks × 19 MFRs) to support the Nissan’s estimate of one hour is support. These burdens include: requirement to update the recalls reasonable and we will adopt this Operating system and security patch completion status of each VIN in a recall estimated burden calculation. At one management; application/web server at least weekly for 15 years. We received hour per amended report, this totals 171 management; and application server no comments on this estimate. burden hours per year (854 recalls × .20 × system and log files management. We As the number of Part 573 Recall = 171 recalls; 171 1 = 171 hours). estimate these burdens will total 1,800 Reports has increased in recent years, so As to the requirement that hours each year (9 MFRs × 200 hours). has the number of quarterly reports manufacturers notify NHTSA in the We estimate the recurring costs of these which track the completion of safety event of a bankruptcy, we expect this burden hours will be $30,000 per recalls. Our previous estimate of 3,000 notification to take an estimated 2 hours manufacturer.1 We continue to estimate quarterly reports received annually is to draft and submit to NHTSA. We that the total cost to the industry from now revised up to an average of 3,800 continue to estimate that only 10 these recurring expenses will total reports annually. Nissan commented manufacturers might submit such a $270,000, on an annual basis (9 MFRs that they spend an average of ten (10) notice to NHTSA each year, so we × calculate the total burden at 20 hours $30,000). Nissan commented that they minutes per quarterly report where we × agreed with this estimate. previously estimated 4 hours per report. (10 MFRs 2 hours). We received no The Agency previously estimated one- We believe Nissan’s estimate of 10 comments on this particular estimate. We continue to estimate that it takes time startup costs that manufacturers minutes is much more realistic as this manufacturers an average of 8 hours to would assume in order to meet certain process is likely automated through draft their notification letters, submit technical access requirements to electronic reporting. As such, we will provide recall information to NHTSA’s them to NHTSA for review, and then adopt Nissan’s estimate of 10 minutes finalize them for mailing to their Web site. We estimated that the total burden to gather the pertinent one-time costs to the industry from affected owners and purchasers. We information for each quarterly report. estimate that the 49 CFR part 577 these technical access requirements Nissan further estimated that it requirements result in 6,832 burden would require 1,914 burden hours (27 requires one (1) additional hour each hours annually (8 hours per recall × 854 MFRs × 72 hours) and total $189,270 (27 quarter to electronically submit all recalls per year). Nissan commented MFRs × $7,010) and we now remove quarterly reports (for up to 30 recalls in that they agree with the Agency’s these costs from this information a given quarter) totaling another four (4) estimate for this burden calculation. collection. burden hours annually. As noted before, The estimate associated with the The Agency previously estimated one- the major, passenger vehicle regulation which requires owner time startup costs manufacturers manufacturers often conduct more notifications within 60 days of filing a incurred to create a VIN list for 15 years recalls affecting more vehicles and this Part 573 Safety Recall Report remains of recall information. We estimated that can increase the quarterly reporting must similarly be revised with an the total one-time costs to the industry burden for those manufacturers. We will increase in recalls. We previously from this VIN list creation would include an additional four (4) burden × calculated that about 25 percent of past require 1,620 hours (27 MFRs 60 hours for the seventeen major, passenger recalls did not include an owner hours). We remove these costs from this vehicle manufacturers. The quarterly notification mailing within 60 days of information collection. reporting burden now totals 701 hours the filing of the Part 573 Safety Recall Changes to 49 CFR part 573 in 2013 ((3,800 quarterly reports × 10 minutes/ Report. However, recent trends show required 27 manufacturers to update report) + (17 MFRs × 4 hours for that only about 10 percent of recalls each recalled vehicle’s repair status no electronic submission)). require an interim owner notification less than every 7 days, for 15 years from NHTSA’s last update to this mailing. Under the regulation, the date the VIN is known to be information collection established a manufacturers must send two letters in included in the recall. This ongoing new online recalls portal for the these cases: An interim notification of requirement to update the status of a submission of recall documents. We the defect or noncompliance within 60 VIN for 15 years continues to add a continue to estimate a small burden of days and a supplemental letter notifying recurring burden on top of the one-time 2 hours annually in order to set up a owners and purchasers of the available burden to implement and operate these manufacturer’s online recalls portal remedy. online search tools. We calculate that 8 account with the pertinent contact We originally estimated these interim affected motorcycle manufacturers will information and maintaining/updating letters would require 8 burden hours per make recalled VINs available for an their account information as needed. We recall (similar to the standard owner estimate this will require a total of 550 notification letters). However, Nissan 1 $8,000 (for data center hosting for the physical × commented that preparation of the server) + $12,000 (for system and database hours annually (2 hours 275 MFRs). administrator support) + $10,000 (for web/ Nissan commented that they agree with interim letter can require up to ten (10) application developer support) = $30,000. this estimate. hours if the letter is complex in nature.

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We believe Nissan’s estimate of 10 year associated with OMB No. 2127– Issued in Washington, DC, on October 4, hours is reasonable and we will adopt 0004. 2016, under authority delegated in 49 CFR part 107. this estimate burden calculation. Issued on: October 4, 2016. Accordingly, we estimate that 850 William S. Schoonover, Michael L. Brown, burden hours are associated with this Acting Associate Administrator, Pipeline and 60-day interim notification requirement Acting Director, Office of Defects Hazardous Materials Safety Administration. Investigation. (854 recalls × .10 = 85 recalls; 85 recalls [FR Doc. 2016–24417 Filed 10–7–16; 8:45 am] [FR Doc. 2016–24505 Filed 10–7–16; 8:45 am] times 10 hours per recall = 850 hours). BILLING CODE 4910–60–P As for costs associated with notifying BILLING CODE 4910–59–P owners and purchasers of recalls, we continue to estimate this costs $1.50 per DEPARTMENT OF TRANSPORTATION first class mail notification, on average. DEPARTMENT OF TRANSPORTATION Office of the Secretary This cost estimate includes the costs of Pipeline and Hazardous Materials printing, mailing, as well as the costs Safety Administration vehicle manufacturers may pay to third- Port Performance Freight Statistics party vendors to acquire the names and Working Group addresses of the current registered [Docket No. PHMSA 2016–0094; Notice No. 2016–17] AGENCY: Bureau of Transportation owners from state and territory Statistics (BTS), Office of the Assistant departments of motor vehicles. In Hazardous Materials: Proposed Secretary for Research and Technology reviewing recent recall figures, we Termination of EX Classification (OST–R), U.S. Department of determined that an estimated 58.4 Approval EX1987030326 Transportation (USDOT). million letters are mailed yearly totaling ACTION: Port Performance Freight $87,600,000 ($1.50 per letter × AGENCY: Pipeline and Hazardous Statistics Working Group: notice of 58,400,000 letters). The requirement in Materials Safety Administration public meeting and public comment 49 CFR part 577 for a manufacturer to (PHMSA), DOT. period on draft work plan. notify their affected customers within ACTION: Notice. 60 days would add an additional SUMMARY: This notice announces an $8,760,000 (58,400,000 letters × .10 SUMMARY: PHMSA proposes to terminate upcoming meeting of the Port requiring interim owner notifications = Performance Freight Statistics Working × EX classification approval 5,840,000 letters; 5,840,000 $1.50 = Group (hereafter, ‘‘Working Group’’). $8,760,000). In total we estimate that the EX1987030326, issued to BHT Products, Inc. for a Division 4.1 classification. In The Working Group will provide advice current 49 CFR part 577 requirements and recommendations to the BTS cost manufacturers a total of January and May 2016, PHMSA attempted to contact BHT Products, Inc. Director pursuant to Section 6018 of the $96,360,000 annually ($87,600,000 Fixing America’s Surface owner notification letters + $8,760,000 via letters delivered by certified mail. These letters requested that BHT Transportation (FAST) Act on matters interim notification letters = related to port performance measures, $96,360,000). Nissan commented that Products, Inc. provide PHMSA with background information, such as a copy including: (a) Specifications and data they agree with the Agency’s estimate measurements to be used in the Port for this cost estimate. of the existing lab report and test data to support the classification issued Performance Freight Statistics Program Due to the past burdens associated established under subsection 6018(a); with the requirement that certain under EX1987030326. To date, PHMSA has not received any correspondence and (b) a process for the Department to vehicle manufacturers setup VIN Look- collect timely and consistent data, up systems for their recalled vehicles, from BHT Products, Inc. concerning EX1987030326. including identifying safeguards to many estimates have been removed protect proprietary information from this information collection as these FOR FURTHER INFORMATION CONTACT: Mr. described in subsection 6018(b)(2). The burdens and costs have already Ryan Paquet, Director, Approvals and Working Group will operate in occurred. The 49 CFR part 573 and 49 Permits Division, Office of Hazardous accordance with the provisions of the CFR part 577 requirements found in Materials Safety, (202) 366–4512, Federal Advisory Committee Act today’s notice will require 36,070 hours PHMSA, 1200 New Jersey Avenue SE., (FACA) and the rules and regulations each year for OMB Control Number Washington, DC 20590 or at explo@ issued in implementation of that Act. 2127–0004, a decrease of 10,068 burden dot.gov. This notice also announces the hours from the previously approved opening of a 14-day public comment collection of 46,138 hours. Additionally, Correspondence with respect to the period for the Working Group’s draft manufacturers impacted by 49 CFR part EX classification approval Work Plan, available at http:// 573 and 49 CFR part 577 requirements EX1987030326 should be sent to explo@ www.bts.gov/bts/port_performance. will incur a recurring annual cost dot.gov with a subject line ‘‘EX This draft Work Plan identifies the estimated at $96,630,000 total. classification approval EX1987030326’’ Estimated Number of Respondents: and should be in writing; state in detail schedule, agenda items, and anticipated NHTSA receives reports of defect or any alleged errors of fact and law; follow-up actions for each of the noncompliance from roughly 275 enclose any additional information Working Group’s four meetings. manufacturers per year. Accordingly, needed to support the request; and state DATES: The Working Group meeting will we estimate that there will be in detail the final decision sought. be held on November 18, 2016, from approximately 275 manufacturers per Action: PHMSA will terminate the EX 9:00 a.m. to 4:30 p.m., Eastern Standard year filing defect or noncompliance classification approval EX1987030326 Time. reports and completing the other thirty (30) days after this notice is ADDRESSES: The meeting will be at the information collection responsibilities published in the Federal Register, U.S. Department of Transportation; 1200 associated with those filings. unless the holder requests New Jersey Avenue SE., Washington, In summary, we estimate that there reconsideration as outlined in 49 CFR DC 20590. Any person requiring will be a total of 275 respondents per 107.715. accessibility accommodations should

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contact Matthew Chambers at (202) first served basis, especially because and Executive Order 13469 of July 25, 366–1270 or via email at: portstatistics@ space is limited. Members of the public 2008, ‘‘Blocking Property of Additional dot.gov. who wish to attend the meetings in- Persons Undermining Democratic FOR FURTHER INFORMATION CONTACT: U.S. person are asked to send RSVPs, Processes or Institutions in Zimbabwe.’’ Department of Transportation, Office of including name and affiliation to DATES: OFAC’s actions described in this the Assistant Secretary for Research and [email protected], in order to notice are effective as of October 4, Technology, Bureau of Transportation request a seat and to facilitate entry. 2016. RSVPs are requested by November 14, Statistics, Attn: Port Performance FOR FURTHER INFORMATION CONTACT: 2016. Any person requiring accessibility Freight Statistics Working Group, 1200 Associate Director for Global Targeting, accommodation, such as sign language New Jersey Avenue SE., Room # E32– tel.: 202/622–2420, Assistant Director 342, Washington, DC 20590. interpretation, should contact the Matthew Chambers at (202) 366–1270 or for Sanctions Compliance & Evaluation, SUPPLEMENTARY INFORMATION: via email at: [email protected] five tel.: 202/622–2490, Assistant Director Background: The Port Performance (5) business days before the meeting. for Licensing, tel.: 202/622–2480, Office Freight Statistics Working Group has Written Comments: Persons who wish of Foreign Assets Control, or Chief been created in accordance with Section to submit written comments on the draft Counsel (Foreign Assets Control), tel.: 6018 of the FAST Act (Pub. L. 114–94; Work Plan or for consideration by the 202/622–2410 (not toll free numbers). Dec. 4, 2015; 129 Stat. 1312). The Working Group at its November meeting SUPPLEMENTARY INFORMATION: Working Group supports development must send them via email to Electronic and Facsimile Availability of the newly-established BTS Port [email protected] or mail to Performance Freight Statistics Program. Matthew Chambers, Designated Federal The SDN List and additional The goal of the program is ‘‘to provide Officer, Port Performance Freight information concerning OFAC sanctions nationally consistent measures of Statistics Working Group, 1200 New programs are available from OFAC’s performance’’ of the nation’s largest Jersey Avenue SE., Room # E32–342, Web site (www.treasury.gov/ofac). ports, and to report annually to Washington, DC 20590. Written Certain general information pertaining Congress on port capacity and comments for the Working Group’s to OFAC’s sanctions programs is also throughput. November meeting must be received on available via facsimile through a 24- The Working Group is established in or before November 14, 2016. Written hour fax-on-demand service, tel.: 202/ the FAST Act to provide comments on the draft Work Plan must 622–0077. recommendations to the BTS Director be received on or before October 20, Notice of OFAC Actions on matters related to port performance 2016. Comments on the Working measures; to identify a standard for port A. On October 4, 2016, OFAC, in Group’s activities can be provided at data; to specify standards for consistent consultation with the State Department, any time to [email protected]. port performance measures; to removed from the SDN List the recommend statistics for measuring port Dated: October 3, 2016. individuals and entities listed below, capacity and throughput; and to develop Michael Sprung, whose property and interests in a process to collect timely and Assistant Director, Bureau of Transportation property were blocked pursuant to consistent data. The FAST Act also Statistics. Executive Order 13288 (E.O. 13288), identifies the membership of the [FR Doc. 2016–24446 Filed 10–7–16; 8:45 am] Executive Order 13391 (E.O. 13391), Working Group, and sets a due date for BILLING CODE 4910–9X–P and Executive Order 13469 (E.O. recommendations to the BTS Director of 13469). December 4, 2016. 1. CHAPFIKA, Abina DOB 23 Aug 1961 Agenda: During the meeting, U.S. DEPARTMENT OF THE TREASURY Passport ZE190297 (Zimbabwe) Spouse of Department of Transportation (hereafter, David Chapfika (individual) ‘‘Department’’) staff will provide Office of Foreign Assets Control [ZIMBABWE—E.O. 13391]. updates of the Department’s progress in 2. CHARAMBA, Rudo Grace DOB 20 Jun implementing its Port Performance Unblocking of Specially Designated 1964 Spouse of George Charamba (individual) [ZIMBABWE—E.O. 13391]. Freight Statistics Program and related Nationals and Blocked Persons Pursuant To Executive Order 13288, 3. CHIGWEDERE, Aeneas Soko; DOB 25 Nov provisions. The Working Group will 1939; Minister of Education, Sports and discuss its draft recommendations on Executive Order 13391, and Executive Order 13469 Culture (individual) [ZIMBABWE—E.O. the following topics: 13288, E.O. 13391]. (a) Generally accepted industry AGENCY: Office of Foreign Assets 4. CHIWENGA, Jocelyn Mauchaza DOB 19 standard for port data collection and Control, Treasury. May 1955 Passport AN061550 (Zimbabwe) Spouse of Constantine Chiwenga reporting. ACTION: Notice. (b) Standards for collecting data and (individual) [ZIMBABWE—E.O. 13391]. reporting nationally consistent port SUMMARY: The Treasury Department’s 5. CHOMBO, Ever; No. 38, 39th Crescent, Warrenton Park, Harare, Zimbabwe DOB performance measures. Office of Foreign Assets Control (OFAC) 20 Sep 1956 Passport AN845280 (c) Statistics measuring U.S. port is publishing the names of nine (Zimbabwe) Spouse of Ignatius Chombo capacity and throughput. individuals and 11 entities whose (individual) [ZIMBABWE—E.O. 13391]. (d) Process for the Department to property and interests in property have 6. MSIPA, Cephas George; DOB 07 Jul 1931; collect timely and consistent data, been unblocked pursuant to Executive Passport ZD001500 (Zimbabwe); Midlands including identifying safeguards to Order 13288 of March 6, 2003, Provincial Governor (individual) protect proprietary information. ‘‘Blocking Property of Persons [ZIMBABWE—E.O. 13391]. The final meeting agenda will be Undermining Democratic Processes or 7. MUGABE, Sabina DOB 14 Oct 1934 Politburo Senior Committee Member posted on the BTS Web site at Institutions in Zimbabwe,’’ Executive _ (individual) [ZIMBABWE—E.O. 13288, www.bts.gov/port performance in Order 13391 of November 22, 2005, E.O. 13391]. advance of the meeting. ‘‘Blocking Property of Additional 8. NKOMO, Georgina Ngwenya; 59 Public Participation: The meeting will Persons Undermining Democratic Muchbimding Road, Worringham, be open to the public on a first-come, Processes or Institutions in Zimbabwe,’’ Bulawayo, Zimbabwe DOB 4 Aug 1966

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Spouse of John Nkomo (individual) 1. MUGABE, Leo (a.k.a. ‘‘CDE MUGABE’’), 72 DEPARTMENT OF THE TREASURY [ZIMBABWE—E.O. 13391]. Green Groove Drive, Greendale, Harare, 9. UTETE, Charles Manhamu DOB 30 Oct Zimbabwe; DOB 28 Feb 1957; alt. DOB 28 Internal Revenue Service 1938 Former Cabinet Secretary; Passport Aug 1962; MP for Makonde; Nephew of ZD002097 (Zimbabwe) (individual) Robert MUGABE (individual) Open meeting of the Taxpayer [ZIMBABWE—E.O. 13288, E.O. 13391]. [ZIMBABWE]. Advocacy Panel Joint Committee 10. GOWRIE FARM; City of Norton (entity) [ZIMBABWE—E.O. 13391]. Dated: October 4, 2016. AGENCY: Internal Revenue Service (IRS), 11. LONGWOOD FARM (entity) John E. Smith, Treasury. [ZIMBABWE—E.O. 13391]. Acting Director, Office of Foreign Assets ACTION: Notice of Meeting. 12. R/E OF MLEMBWE FARM; City of Control. Mlembwe (entity) [ZIMBABWE—E.O. 13391]. [FR Doc. 2016–24398 Filed 10–7–16; 8:45 am] SUMMARY: An open meeting of the 13. ZB FINANCIAL HOLDINGS LIMITED BILLING CODE 4810–AL–P Taxpayer Advocacy Panel Joint (a.k.a. ZIMBABWE FINANCIAL Committee will be conducted. The HOLDINGS LIMITED; a.k.a. FINHOLD; Taxpayer Advocacy Panel is soliciting a.k.a. WWW.ZB.CO.ZW), National DEPARTMENT OF THE TREASURY public comments, ideas, and Identification Number 1278–89, 10th Floor suggestions on improving customer ZB House 46 Speke Avenue P.O. Box 3198, Internal Revenue Service service at the Internal Revenue Service. Harare, Phone Number 263–4–751168; Fax Number 263–4–251029 (entity) Open meeting of the Taxpayer DATES: The meeting will be held [ZIMBABWE—E.O. 13469]. Advocacy Panel Special Projects Wednesday, November 30, 2016. 14. ZB BANK LIMITED (a.k.a. ZIMBABWE Committee FOR FURTHER INFORMATION CONTACT: Kim BANKING CORPORATION LIMITED; a.k.a. Vinci at 1–888–912–1227 or 916–974– ZB BANK; a.k.a. ZBCL; a.k.a. ZIMBANK), AGENCY: Internal Revenue Service (IRS), 5086. Zimbank House Cnr. 1st Street/Speke Treasury. Avenue P.O. Box 3198, Harare, Phone SUPPLEMENTARY INFORMATION: Notice is Number 263–4–751168; Fax Number 263– ACTION: Notice of Meeting. hereby given pursuant to Section 4–757497(entity) [ZIMBABWE—E.O. 10(a)(2) of the Federal Advisory 13469]. SUMMARY: An open meeting of the Committee Act, 5 U.S.C. App. (1988) 15. ZB HOLDINGS LIMITED, 10th Floor ZB Taxpayer Advocacy Panel Special that an open meeting of the Taxpayer House 46 Speke Avenue P.O. Box 3198, Projects Committee will be conducted. Advocacy Panel Joint Committee will be Harare, Phone Number 263–4–751168; Fax The Taxpayer Advocacy Panel is Number 263–4–251029 (entity) held Wednesday, November 30, 2016, at soliciting public comments, ideas, and 1:00 p.m. Eastern Time via [ZIMBABWE—E.O. 13469]. suggestions on improving customer 16. INTERMARKET HOLDINGS LIMITED, teleconference. The public is invited to 10th Floor ZB House 46 Speke Avenue service at the Internal Revenue Service. make oral comments or submit written P.O. Box 3198, Harare, Phone number 263– DATES: The meeting will be held statements for consideration. For more 4–751168; Fax Number 263–4–251029 Tuesday, November 1, 2016. information please contact: Kim Vinci at (entity) [ZIMBABWE—E.O. 13469]. FOR FURTHER INFORMATION CONTACT: Kim 1–888–912–1227 or 916–974–5086, TAP 17. SCOTFIN LIMITED, 10th Floor ZB House Office, 4330 Watt Ave, Sacramento, CA 46 Speke Avenue P.O. Box 3198, Harare, Vinci at 1–888–912–1227 or 916–974– Phone Number 263–4–751168; Fax 5086. 95821, or contact us at the Web site: Number 263–4–251029 (entity) http://www.improveirs.org. [ZIMBABWE—E.O. 13469]. SUPPLEMENTARY INFORMATION: Notice is The agenda will include various 18. INDUSTRIAL DEVELOPMENT hereby given pursuant to Section committee issues for submission to the CORPORATION OF ZIMBABWE LTD 10(a)(2) of the Federal Advisory IRS and other TAP related topics. Public (a.k.a. Industrial Development Corporation Committee Act, 5 U.S.C. App. (1988) input is welcomed. of Zimbabwe), P.O. Box CY1431 Causeway, that a meeting of the Taxpayer Dated: October 1, 2016. Harare; 93 Park Lane, Harare, Phone Advocacy Panel Special Projects Antoinette Ross, Number 263–4–794805; Fax Number 263– Committee will be held Tuesday, 4–250385 (entity) [ZIMBABWE—E.O. November 1, 2016, at 1:00 p.m. Eastern Acting Director, Taxpayer Advocacy Panel. 13469]. [FR Doc. 2016–24397 Filed 10–7–16; 8:45 am] 19. CHEMPLEX CORPORATION LIMITED Time via teleconference. The public is (a.k.a. Chemplex Corporation Ltd), 93 Park invited to make oral comments or BILLING CODE 4830–01–P Lane P.O. Box 989, Harare; 10 Bilston submit written statements for Street, Bulawayo; 35 Coventry Road, consideration. Due to limited Harare, Linked to Industrial Development conference lines, notification of intent DEPARTMENT OF THE TREASURY Corporation of Zimbabwe Ltd (entity) to participate must be made with Kim Internal Revenue Service [ZIMBABWE—E.O. 13469]. Vinci. For more information please 20. ZIMBABWE FERTILISER COMPANY contact: Kim Vinci at 1–888–912–1227 (a.k.a. ZFC Limited), 35 Coventry Road, Open meeting of the Taxpayer Workington, Harare; Ambleside Road, or 916–974–5086, TAP Office, 4330 Advocacy Panel Taxpayer Aspindale Park, Harare; Sable Chemicals Watt Ave, Sacramento, CA 95821, or Communications Project Committee Complex, Lot 1/7, Sherwood Block, contact us at the Web site: http:// Kwekwe, Linked to Chemplex Corporation www.improveirs.org. AGENCY: Internal Revenue Service (IRS), Limited (entity) [ZIMBABWE—E.O. The agenda will include a discussion Treasury. 13469]. on various special topics with IRS ACTION: Notice of Meeting. processes. B. On October 4, 2016, OFAC SUMMARY: An open meeting of the published the following revised Dated: October 1, 2016. Taxpayer Advocacy Panel Taxpayer identifier information for one individual Antoinette Ross, Communications Project Committee will on OFAC’s SDN List whose property Acting Director, Taxpayer Advocacy Panel. be conducted. The Taxpayer Advocacy and interests in property are blocked [FR Doc. 2016–24396 Filed 10–7–16; 8:45 am] Panel is soliciting public comments, pursuant to E.O. 13391: BILLING CODE 4830–01–P ideas, and suggestions on improving

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customer service at the Internal Revenue Committee Act, 5 U.S.C. App. (1988) Donna Powers. For more information Service. that a meeting of the Taxpayer please contact: Donna Powers at 1–888– DATES: The meeting will be held Advocacy Panel Taxpayer Assistance 912–1227 or (954) 423–7977 or write: Thursday, November 17, 2016. Center Improvements Project Committee TAP Office, 1000 S. Pine Island Road, FOR FURTHER INFORMATION CONTACT: will be held Wednesday, November 9, Plantation, FL 33324 or contact us at the Antoinette Ross at 1–888–912–1227 or 2016, at 2:00 p.m. Eastern Time. The Web site: http://www.improveirs.org. (202) 317–4110. public is invited to make oral comments The committee will be discussing SUPPLEMENTARY INFORMATION: Notice is or submit written statements for various issues related to Tax Forms and hereby given pursuant to Section consideration. Due to limited Publications and public input is 10(a)(2) of the Federal Advisory conference lines, notification of intent welcomed. Committee Act, 5 U.S.C. App. (1988) to participate must be made with Dated: October 1, 2016. that an open meeting of the Taxpayer Gretchen Swayzer. For more Antoinette Ross, information please contact: Gretchen Advocacy Panel Taxpayer Acting Director, Taxpayer Advocacy Panel. Communications Project Committee will Swayzer at 1–888–912–1227 or 469– 801–0769, TAP Office, 4050 Alpha Rd, [FR Doc. 2016–24391 Filed 10–7–16; 8:45 am] be held Thursday, November 17, 2016, BILLING CODE 4830–01–P at 2:00 p.m. Eastern Time via Farmers Branch, TX 75244, or contact teleconference. The public is invited to us at the Web site: http:// www.improveirs.org. make oral comments or submit written DEPARTMENT OF THE TREASURY statements for consideration. Due to The committee will be discussing limited conference lines, notification of various issues related to the Taxpayer Internal Revenue Service intent to participate must be made with Assistance Centers and public input is Antoinette Ross. For more information welcomed. Open Meeting of the Taxpayer please contact: Antoinette Ross at 1– Dated: October 1, 2016. Advocacy Panel Toll-Free Phone Line 888–912–1227 or (202) 317–4110, or Antoinette Ross, Project Committee write TAP Office, 1111 Constitution Acting Director, Taxpayer Advocacy Panel. Avenue NW., Room 1509, National AGENCY: Internal Revenue Service (IRS), [FR Doc. 2016–24399 Filed 10–7–16; 8:45 am] Treasury. Office, Washington, DC 20224, or BILLING CODE 4830–01–P contact us at the Web site: http:// ACTION: Notice of meeting. www.improveirs.org. The committee will be discussing DEPARTMENT OF THE TREASURY SUMMARY: An open meeting of the various issues related to Taxpayer Taxpayer Advocacy Panel Toll-Free Communications and public input is Internal Revenue Service Phone Line Project Committee will be welcome. conducted. The Taxpayer Advocacy Open Meeting of the Taxpayer Dated: October 1, 2016. Panel is soliciting public comments, Advocacy Panel Tax Forms and ideas, and suggestions on improving Antoinette Ross, Publications Project Committee Acting Director, Taxpayer Advocacy Panel. customer service at the Internal Revenue Service. [FR Doc. 2016–24393 Filed 10–7–16; 8:45 am] AGENCY: Internal Revenue Service (IRS), BILLING CODE 4830–01–P Treasury. DATES: The meeting will be held ACTION: Notice of meeting. Wednesday, November 16, 2016.

DEPARTMENT OF THE TREASURY SUMMARY: An open meeting of the FOR FURTHER INFORMATION CONTACT: Taxpayer Advocacy Panel Tax Forms Linda Rivera at 1–888–912–1227 or Internal Revenue Service and Publications Project Committee will (202) 317–3337. be conducted. The Taxpayer Advocacy SUPPLEMENTARY INFORMATION: Notice is Open Meeting of the Taxpayer Panel is soliciting public comments, hereby given pursuant to Section Advocacy Panel Taxpayer Assistance ideas and suggestions on improving 10(a)(2) of the Federal Advisory Center Improvements Project customer service at the Internal Revenue Committee Act, 5 U.S.C. App. (1988) Committee Service. that an open meeting of the Taxpayer AGENCY: Internal Revenue Service (IRS), DATES: The meeting will be held Advocacy Panel Toll-Free Phone Line Treasury. Thursday, November 10, 2016. Project Committee will be held ACTION: Notice of Meeting FOR FURTHER INFORMATION CONTACT: Wednesday, November 16, 2016, at 2:30 Donna Powers at 1–888–912–1227 or p.m. Eastern Time via teleconference. SUMMARY: The Taxpayer Advocacy (954) 423–7977. The public is invited to make oral Panel Taxpayer Assistance Center SUPPLEMENTARY INFORMATION: Notice is comments or submit written statements Improvements Project Committee will hereby given pursuant to section for consideration. Due to limited conduct an open meeting and will 10(a)(2) of the Federal Advisory conference lines, notification of intent solicit public comments, ideas, and Committee Act, 5 U.S.C. App. (1988) to participate must be made with Linda suggestions on improving customer that an open meeting of the Taxpayer Rivera. For more information please service at the Internal Revenue Service. Advocacy Panel Tax Forms and contact: Ms. Rivera at 1–888–912–1227 DATES: The meeting will be held Publications Project Committee will be or (202)317–3337, or write TAP Office, Wednesday, November 9, 2016. held Thursday, November 10, 2016, at 1111 Constitution Avenue NW., Room FOR FURTHER INFORMATION CONTACT: 1:00 p.m. Eastern Time via 1509-National Office, Washington, DC Gretchen Swayzer at 1–888–912–1227 teleconference. The public is invited to 20224, or contact us at the Web site: or 469–801–0769. make oral comments or submit written http://www.improveirs.org. SUPPLEMENTARY INFORMATION: Notice is statements for consideration. Due to The committee will be discussing hereby given pursuant to Section limited conference lines, notification of Toll-free issues and public input is 10(a)(2) of the Federal Advisory intent to participate must be made with welcomed.

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Dated: October 1, 2016. Abstract: Issuers of state or local Approved: September 30, 2016. Antoinette Ross, bonds must comply with certain R. Joseph Durbala, Acting Director, Taxpayer Advocacy Panel. information reporting requirements IRS, Tax Analyst. [FR Doc. 2016–24392 Filed 10–7–16; 8:45 am] contained in Internal Revenue Code [FR Doc. 2016–24394 Filed 10–7–16; 8:45 am] BILLING CODE 4830–01–P section 149 to qualify for tax exemption. The information must be reported by the BILLING CODE 4830–01–P issuers about bonds issued by them DEPARTMENT OF THE TREASURY during each preceding calendar quarter. DEPARTMENT OF THE TREASURY Forms 8038, 8038 G, and 8038 GC are Internal Revenue Service used to provide the IRS with the Internal Revenue Service information required by Code section Proposed Collection; Comment 149 and to monitor the requirements of Open Meeting of the Taxpayer Request for Form 8038, 8038–G, and Code sections 141 through 150. Advocacy Panel Notices and 8038–GC Current Actions: There is no change Correspondence Project Committee AGENCY: Internal Revenue Service (IRS), in the paperwork burden previously Treasury. approved by OMB. This form is being AGENCY: Internal Revenue Service (IRS), ACTION: Notice and request for submitted for renewal purposes only. Treasury. Type of Review: Extension of a comments. ACTION: Notice of Meeting. currently approved collection. SUMMARY: The Department of the Affected Public: State, Local or Tribal SUMMARY: An open meeting of the Treasury, as part of its continuing effort Governments and not-for-profit Taxpayer Advocacy Panel Notices and to reduce paperwork and respondent institutions. Correspondence Project Committee will burden, invites the general public and Estimated Number of Respondents: be conducted. The Taxpayer Advocacy other Federal agencies to take this 39,491. opportunity to comment on proposed Panel is soliciting public comments, Estimated Time per Respondent: 21 ideas, and suggestions on improving and/or continuing information hours, 4 minutes. collections, as required by the customer service at the Internal Revenue Paperwork Reduction Act of 1995, Estimated Total Annual Burden Service. Public Law 104–13 (44 U.S.C. Hours: 831,714. DATES: The meeting will be held 3506(c)(2)(A)). Currently, the IRS is The following paragraph applies to all Wednesday, November 23, 2016. soliciting comments concerning Form of the collections of information covered 8038, Information Return for Tax- by this notice: FOR FURTHER INFORMATION CONTACT: Exempt Private Activity Bond Issues, An agency may not conduct or Theresa Singleton at 1–888–912–1227 or Form 8038–G, Information Return for sponsor, and a person is not required to 202–317–3329. Tax-Exempt Governmental Obligation, respond to, a collection of information and Form 8038–GC, Information Return unless the collection of information SUPPLEMENTARY INFORMATION: Notice is for Small Tax-Exempt Governmental displays a valid OMB control number. hereby given pursuant to Section Bond Issues, Leases, and Installment Books or records relating to a collection 10(a)(2) of the Federal Advisory Sales. of information must be retained as long Committee Act, 5 U.S.C. App. (1988) as their contents may become material that a meeting of the Taxpayer DATES: Written comments should be in the administration of any internal Advocacy Panel Notices and received on or before December 12, 2016 revenue law. Generally, tax returns and Correspondence Project Committee will to be assured of consideration. tax return information are confidential, be held Wednesday, November 23, ADDRESSES: Direct all written comments as required by 26 U.S.C. 6103. 2016, at 12:00 p.m. Eastern Time via to Tuawana Pinkston, Internal Revenue Request for Comments: Comments teleconference. The public is invited to Service, Room 6527, 1111 Constitution submitted in response to this notice will make oral comments or submit written Avenue NW., Washington, DC 20224. be summarized and/or included in the statements for consideration. Due to FOR FURTHER INFORMATION CONTACT: request for OMB approval. All limited conference lines, notification of Requests for additional information or comments will become a matter of intent to participate must be made with copies of the form and instructions public record. Comments are invited on: Theresa Singleton. For more should be directed to R. Joseph Durbala, (a) Whether the collection of information please contact: Theresa at Internal Revenue Service, Room 6129, information is necessary for the proper Singleton at 1–888–912–1227 or 202– 1111 Constitution Avenue NW., performance of the functions of the 317–3329, TAP Office, 1111 Washington, DC 20224, or at (202) 317– agency, including whether the 5746, or through the internet at Constitution Avenue NW., Room 1509- information shall have practical utility; National Office, Washington, DC 20224, [email protected]. (b) the accuracy of the agency’s estimate or contact us at the Web site: http:// SUPPLEMENTARY INFORMATION: of the burden of the collection of www.improveirs.org. Title: Information Return for Tax- information; (c) ways to enhance the Exempt Private Activity Bond Issues quality, utility, and clarity of the The agenda will include a discussion (Form 8038), Information Return for information to be collected; (d) ways to on various letters, and other issues Tax-Exempt Governmental Obligation minimize the burden of the collection of related to written communications from (Form 8038–G), and Information Return information on respondents, including the IRS. for Small Tax-Exempt Governmental through the use of automated collection Dated: October 1, 2016. Bond Issues, Leases, and Installment techniques or other forms of information Antoinette Ross, Sales (Form 8038–GC). technology; and (e) estimates of capital OMB Number: 1545–0720. or start-up costs and costs of operation, Acting Director, Taxpayer Advocacy Panel. Form Number: 8038, 8038–G, and maintenance, and purchase of services [FR Doc. 2016–24395 Filed 10–7–16; 8:45 am] 8038–GC. to provide information. BILLING CODE 4830–01–P

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DEPARTMENT OF VETERANS With respect to the following Affected Public: Individuals or AFFAIRS collection of information, VHA invites Households. comments on: (1) Whether the proposed Estimated Annual Burden: 928,606 [OMB Control No. 2900–0823] collection of information is necessary burden hours. Agency Information Collection for the proper performance of VHA’s Estimated Average Burden per (Expanded Access to Non-VA Care functions, including whether the Respondent: 10 minutes. Frequency of Response: 12.64 times Through the Veterans Choice Program) information will have practical utility; (2) the accuracy of VHA’s estimate of per year. AGENCY: Veterans Health the burden of the proposed collection of Estimated Number of Respondents: Administration, Department of Veterans information; (3) ways to enhance the 440,794 respondents. Affairs. quality, utility, and clarity of the Titles: Health-Care Plan Information ACTION: Notice. information to be collected; and (4) for the Veterans Choice Program (VA ways to minimize the burden of the Form 10–10143a). Activities: OMB Review. collection of information on OMB Control Number: 2900–0823. SUMMARY: In compliance with the Type of Review: Extension. respondents, including through the use Paperwork Reduction Act (PRA) of 1995 Abstract: Section 17.1510(d) requires (44 U.S.C. 3501–3521), this notice of automated collection techniques or eligible veterans to submit to VA announces that the Veterans Health the use of other forms of information information about their health-care plan Administration (VHA), Department of technology. to participate in the Veterans Choice Veterans Affairs, will submit the Titles: Secondary Authorization Program. collection of information abstracted Request for VA Community Care (VA Affected Public: Individuals or below to the Office of Management and Form 10–10143e). Households. Budget (OMB) for review and comment. OMB Control Number: 2900–0823. Estimated Annual Burden: 88,159 The PRA submission describes the Type of Review: Revision (new form burden hours. nature of the information collection and added). Estimated Average Burden per its expected cost and burden and Abstract: VA Form 10–10143e would Respondent: 10 minutes. includes the actual data collection require non-VA health care providers to Frequency of Response: 1.2 times per instrument. submit requests for additional services year. supporting the original authorized plan Estimated Number of Respondents: DATES: Written comments and of care to the agency. A copy of all 440,794 respondents. recommendations on the proposed medical and dental records (including Titles: Submission of Medical Record collection of information should be but not limited to images, test results, Information under the Veterans Choice received on or before November 10, and notes or other records of what care Program (VA Form 10–10143b). 2016. was provided and why) related to a OMB Control Number: 2900–0823. ADDRESSES: Submit written comments Veteran’s care provided under this Type of Review: Extension. on the collection of information through Program must be submitted to VA for Abstract: Participating eligible entities www.Regulations.gov, or to Office of entry into the veteran’s electronic and providers are required to submit a Information and Regulatory Affairs, medical record. Providers will be copy of any medical record related to Office of Management and Budget, Attn: required to submit records produced as hospital care or medical services VA Desk Officer; 725 17th St. NW., a result of care authorized after the furnished under this Program to an Washington, DC 20503 or sent through beginning of the Program. eligible veteran. _ electronic mail to oira submission@ Affected Public: Individuals or Affected Public: Individuals or omb.eop.gov. Please refer to ‘‘OMB Households. Households. Control No. 2900–0823 (Expanded Estimated Annual Burden: 289,826 Estimated Annual Burden: 464,383 Access to Non-VA Care through the burden hours. burden hours. Veterans Choice Program)’’ in any Estimated Average Burden per Estimated Average Burden Per correspondence. During the comment Respondent: 20 minutes. Respondent: 5 minutes. Frequency of Response: 29.80 times period, comments may be viewed online Frequency of Response: 4.56 times per per year. through the FDMS. year. FOR FURTHER INFORMATION CONTACT: Estimated Number of Respondents: Estimated Number of Respondents: 187,000 respondents. Cynthia Harvey-Pryor, Enterprise 190,675 respondents. Records Service (005R1B), Department Titles: Submission of Information on Titles: Election to Receive Authorized Credentials and Licenses by Eligible of Veterans Affairs, 810 Vermont Non-VA Care and Selection of Provider Avenue NW., Washington, DC 20420, Entities or Providers (VA Form 10– for the Veterans Choice Program (VA 10143c). (202) 461–5870 or email cynthia.harvey- Form 10–10143). [email protected]. Please refer to ‘‘OMB OMB Control Number: 2900–0823. OMB Control Number: 2900–0823. Type of Review: Extension. Control No. 2900–0823 (Expanded Type of Review: Extension. Abstract: Section 17.1530 requires Access to Non-VA Care through the Abstract: Section 17.1515 requires eligible entities and providers to submit Veterans Choice Program)’’ in any eligible veterans to notify VA whether verification that the entity or provider correspondence. the veteran elects to receive authorized maintains at least the same or similar SUPPLEMENTARY INFORMATION: Under the non-VA care through the Veterans credentials and licenses as those PRA of 1995 (Pub. L. 104–13; 44 U.S.C. Choice Program, be placed on an required of VA’s health care providers, 3501–3521), Federal agencies must electronic waiting list, or be scheduled as determined by the Secretary. obtain approval from the Office of for an appointment with a VA health Affected Public: Individuals or Management and Budget (OMB) for each care provider. Section 17.1515(b)(1) also Households. collection of information they conduct allows eligible veterans to specify a Estimated Annual Burden: 15,583 or sponsor. This request for comment is particular non-VA entity or health care burden hours. being made pursuant to Section provider, if that entity or provider meets Estimated Average Burden per 3506(c)(2)(A) of the PRA. certain requirements. Respondent: 5 minutes.

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Frequency of Response: Once DEPARTMENT OF VETERANS Advisory Committee Act) that the annually. AFFAIRS subcommittees of the Joint Biomedical Estimated Number of Respondents: Laboratory Research and Development 187,000 respondents. Joint Biomedical Laboratory Research and Clinical Science Research and and Development and Clinical Science By direction of the Secretary: Development Services Scientific Merit Research and Development Services Cynthia Harvey-Pryor, Review Board (JBL/CS SMRB) will meet Scientific Merit Review Board from 8 a.m. to 5 p.m. on the dates Program Specialist, Office of Privacy and Amended; Notice of Meetings Records Management, Department of indicated below (unless otherwise Veterans Affairs. The Department of Veterans Affairs listed). This Notice of Meetings is being [FR Doc. 2016–24482 Filed 10–7–16; 8:45 am] (VA) gives notice under Public Law 92– amended due to date changes. BILLING CODE 8320–01–P 463; Title 5 U.S.C. App. 2 (Federal

Subcommittee Date Location

Surgery ...... November 16, 2016 ...... Residence Inn Arlington Pentagon City. Infectious Diseases-B ...... November 17, 2016 ...... Hilton Crystal City—Reagan National Airport. Oncology-A/D ...... November 17, 2016 ...... Hilton Crystal City—Reagan National Airport. Hematology ...... November 18, 2016 ...... Hilton Crystal City—Reagan National Airport. Oncology-C ...... November 18, 2016 ...... * VA Central Office. Cellular & Molecular Medicine ...... November 21, 2016 ...... * VA Central Office. Oncology-E ...... November 21, 2016 ...... Hilton Crystal City—Reagan National Airport. Oncology-B ...... November 28, 2016 ...... * VA Central Office. Epidemiology ...... November 29, 2016 ...... * VA Central Office. Infectious Diseases-A ...... November 29, 2016 ...... * VA Central Office. Mental Health & Behavioral Sciences-A ...... November 29, 2016 ...... * VA Central Office. Nephrology ...... November 29, 2016 ...... Hilton Crystal City—Reagan National Airport. Immunology-A ...... November 30, 2016 ...... Hilton Crystal City—Reagan National Airport. Mental Health & Behavioral Sciences-B ...... November 30, 2016 ...... Hilton Crystal City—Reagan National Airport. Cardiovascular Studies-A ...... December 1, 2016 ...... Hilton Crystal City—Reagan National Airport. Endocrinology-B ...... December 1, 2016 ...... Hilton Crystal City—Reagan National Airport. Neurobiology-C ...... December 1, 2016 ...... Hilton Crystal City—Reagan National Airport. Pulmonary Medicine ...... December 1, 2016 ...... Hilton Crystal City—Reagan National Airport. Neurobiology-A ...... December 2, 2016 ...... * VA Central Office. Neurobiology-E ...... December 2, 2016 ...... Hilton Crystal City—Reagan National Airport. Special Emphasis on Genomics ...... December 2, 2016 ...... * VA Central Office. Endocrinology-A ...... December 5, 2016 ...... Hyatt Regency Washington. Neurobiology-B ...... December 6, 2016 ...... Hilton Crystal City—Reagan National Airport. Cardiovascular Studies-B ...... December 8, 2016 ...... Hilton Crystal City—Reagan National Airport. Gastroenterology ...... December 8, 2016 ...... Hilton Crystal City—Reagan National Airport. Neurobiology-D ...... December 9, 2016 ...... Hilton Crystal City—Reagan National Airport. Gulf War Research ...... December 9, 2016 ...... * VA Central Office. Jt BL/CS SMRB ...... January 26, 2017 ...... * VA Central Office. Eligibility ...... January 27, 2017 ...... Hyatt Regency Washington. The addresses of the meeting sites are: Hilton Crystal City—Reagan National Airport, 2399 Jefferson Davis Hwy., Arlington, VA. Hyatt Regency Washington on Capitol Hill, 400 New Jersey Avenue NW., Washington, DC. * VA Central Office, 1100 First Street NE., Suite 600, Washington, DC. * Teleconference.

The purpose of the subcommittees is Discussions will deal with scientific Those who would like to obtain a to provide advice on the scientific merit of each proposal and copy of the minutes from the closed quality, budget, safety and mission qualifications of personnel conducting subcommittee meetings and rosters of relevance of investigator-initiated the studies, the disclosure of which the subcommittee members should research proposals submitted for VA would constitute a clearly unwarranted contact Holly Krull, Ph.D., Manager, merit review evaluation. Proposals invasion of personal privacy. Merit Review Program (10P9B), submitted for review include diverse Additionally, premature disclosure of Department of Veterans Affairs, 810 medical specialties within the general research information could significantly Vermont Avenue NW., Washington, DC areas of biomedical, behavioral and frustrate implementation of proposed 20420, at (202) 632–8522 or email at clinical science research. agency action regarding the research [email protected]. These subcommittee meetings will be proposals. As provided by subsection Dated: October 5, 2016. closed to the public for the review, 10(d) of Public Law 92–463, as amended LaTonya L. Small, discussion, and evaluation of initial and by Public Law 94–409, closing the renewal research proposals, which Advisory Committee Management Officer. subcommittee meetings is in accordance involve reference to staff and consultant [FR Doc. 2016–24510 Filed 10–7–16; 8:45 am] critiques of research proposals. with Title 5 U.S.C. 552b(c)(6) and (9)(B). BILLING CODE 8320–01–P

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Part II

Department of the Interior

Fish and Wildlife Service 50 CFR Part 17 Endangered and Threatened Wildlife and Plants; Proposed Threatened Species Status for Sideroxylon reclinatum ssp. austrofloridense (Everglades Bully), Digitaria pauciflora (Florida Pineland Crabgrass), and Chamaesyce deltoidea ssp. pinetorum (Pineland Sandmat) and Endangered Species Status for Dalea carthagenensis var. floridana (Florida Prairie-Clover); Proposed Rule

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DEPARTMENT OF THE INTERIOR (2) By hard copy: Submit by U.S. mail existing regulatory mechanisms; or (E) or hand-delivery to: Public Comments other natural or manmade factors Fish and Wildlife Service Processing, Attn: FWS–R4–ES–2016– affecting its continued existence. We 0090; U.S. Fish and Wildlife Service have determined that the threats to 50 CFR Part 17 Headquarters, MS: BPHC, 5275 Leesburg Sideroxylon reclinatum ssp. [Docket No. FWS–R4–ES–2016– Pike, Falls Church, VA 22041–3803. austrofloridense, Digitaria pauciflora, 0090;4500030113] We request that you send comments Chamaesyce deltoidea ssp. pinetorum, only by the methods described above. and Dalea carthagenensis var. floridana RIN 1018–BB48 We will post all comments on http:// consist primarily of habitat loss and www.regulations.gov. This generally modification through urban and Endangered and Threatened Wildlife means that we will post any personal agricultural development, and lack of and Plants; Proposed Threatened information you provide us (see Public adequate fire management (Factor A) Species Status for Sideroxylon Comments below for more information). and proliferation of nonnative invasive reclinatum ssp. austrofloridense plants, stochastic events (hurricanes and (Everglades Bully), Digitaria pauciflora FOR FURTHER INFORMATION CONTACT: Roxanna Hinzman, Field Supervisor, storm surge), maintenance practices (Florida Pineland Crabgrass), and used on roadsides and disturbed sites, Chamaesyce deltoidea ssp. pinetorum U.S. Fish and Wildlife Service, South Florida Ecological Services Office, 1339 and sea level rise (SLR) (Factor E). (Pineland Sandmat) and Endangered We will seek peer review. We will seek Species Status for Dalea 20th Street, Vero Beach, FL 32960, by telephone 772–562–3909, or by comments from independent specialists carthagenensis var. floridana (Florida to ensure that our proposed designation Prairie-Clover) facsimile 772–562–4288. Persons who use a telecommunications device for the is based on scientifically sound data, AGENCY: Fish and Wildlife Service, deaf (TDD) may call the Federal assumptions, and analyses. We will invite these peer reviewers to comment Interior. Information Relay Service (FIRS) at on our listing proposal. ACTION: Proposed rule. 800–877–8339. SUPPLEMENTARY INFORMATION: Information Requested SUMMARY: We, the U.S. Fish and Wildlife Service (Service), propose Executive Summary Public Comments threatened species status under the Why we need to publish a rule. Under We intend that any final action Endangered Species Act of 1973 (Act), the Act, if we determine that a species resulting from this proposed rule will be as amended, for Sideroxylon reclinatum is an endangered or threatened species based on the best scientific and ssp. austrofloridense (Everglades bully), throughout all or a significant portion of commercial data available and be as Digitaria pauciflora (Florida pineland its range, we are required to promptly accurate and as effective as possible. crabgrass) and Chamaesyce deltoidea publish a proposal in the Federal Therefore, we request comments or ssp. pinetorum (pineland sandmat), and Register and make a determination on information from the public, other endangered species status for Dalea our proposal within 1 year. Listing a concerned governmental agencies, carthagenensis var. floridana (Florida species as an endangered or threatened Native American tribes, the scientific prairie-clover). All four plants are from species and designations and revisions community, industry, or any other south Florida. If we finalize this rule as of critical habitat can only be completed interested parties concerning this proposed, it would extend the Act’s by issuing a rule. proposed rule. We particularly seek protections to these plants. The effect of What this proposed rule does. This comments concerning: this regulation will be to add these document proposes the listing of the (1) The four plants’ biology, range, species to the List of Endangered and Sideroxylon reclinatum ssp. and population trends, including: (a) Biological or ecological Threatened Plants. austrofloridense, Digitaria pauciflora, requirements of these plants, including DATES: We will accept comments and Chamaesyce deltoidea ssp. habitat requirements for establishment, received or postmarked on or before pinetorum as threatened species, and growth, and reproduction; December 12, 2016. Comments Dalea carthagenensis var. floridana as submitted electronically using the (b) Genetics and taxonomy; an endangered species. The four plants (c) Historical and current range Federal eRulemaking Portal (see are currently candidate species for including distribution patterns; ADDRESSES below) must be received by which we have on file sufficient (d) Historical and current population 11:59 p.m. Eastern Time on the closing information on biological vulnerability levels, and current and projected trends; date. We must receive requests for and threats to support preparation of a and public hearings, in writing, at the listing proposal, but for which (e) Past and ongoing conservation address shown in FOR FURTHER development of a listing regulation has measures for the plants, their habitat, or INFORMATION CONTACT by November 25, until now been precluded by other both. 2016. higher priority listing activities. This (2) Factors that may affect the ADDRESSES: You may submit comments proposed rule reassesses all available continued existence of these plants, by one of the following methods: information regarding status of and which may include habitat modification (1) Electronically: Go to the Federal threats to the four plants. or destruction, overutilization, disease, eRulemaking Portal: http:// The basis for our action. Under the predation, the inadequacy of existing www.regulations.gov. In the Search box, Act, we may determine that a species is regulatory mechanisms, or other natural enter FWS–R4–ES–2016–0090, which is an endangered or threatened species or manmade factors. the docket number for this rulemaking. based on any of five factors: (A) The (3) Biological, commercial trade, or Then, in the Search panel on the left present or threatened destruction, other relevant data concerning any side of the screen, under the Document modification, or curtailment of its threats (or lack thereof) to these plants Type heading, click on the Proposed habitat or range; (B) overutilization for and existing regulations that may be Rules link to locate this document. You commercial, recreational, scientific, or addressing those threats. may submit a comment by clicking on educational purposes; (C) disease or (4) Current or planned activities in the ‘‘Comment Now!’’ predation; (D) the inadequacy of areas occupied by these plants and

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potential effects (positive or negative) of Register (see DATES). Such requests must published a finding for Digitaria these activities on these plants. be sent to the address shown in FOR pauciflora, Chamaesyce deltoidea ssp. (5) Additional information concerning FURTHER INFORMATION CONTACT. We will pinetorum, and Dalea carthagenensis the biological or ecological requirements schedule public hearings on this var. floridana in the 2005 CNOR on May of these plants, including pollination proposal, if any are requested, and 11, 2005 (70 FR 24870), in response to and pollinators. announce the dates, times, and places of a petition received on May 11, 2004. (6) Additional information concerning those hearings, as well as how to obtain All four species remained candidates the current and projected effects of reasonable accommodations, in the from 2005 to 2015 (70 FR 24870, May climate change, including sea level rise, Federal Register and local newspapers 11, 2005; 71 FR 53756, September 12, on these plants and their habitat. at least 15 days before the hearing. 2006; 73 FR 75176, December 10, 2008; (7) Scientific information or analysis Peer Review 74 FR 57804, November 9, 2009; 75 FR informing whether these plants more 69222, November 10, 2010; 76 FR closely meet the definition of an In accordance with our joint policy on 66370, October 26, 2011; 77 FR 69994, endangered species or of a threatened peer review published in the Federal November 21, 2012; 78 FR 70104, species under the Act. Register on July 1, 1994 (59 FR 34270), November 22, 2013; 79 FR 72450, Please include sufficient information we will seek the expert opinions of at December 5, 2014; 80 FR 80584, with your submission (such as scientific least three appropriate and independent December 24, 2015). journal articles or other publications) to specialists regarding this proposed rule. On September 9, 2011, the Service allow us to verify any scientific or The purpose of peer review is to ensure entered into two settlement agreements commercial information you include. that our listing determination and regarding species on the candidate list Please note that submissions merely critical habitat designation are based on at that time (Endangered Species Act stating support for or opposition to the scientifically sound data, assumptions, Section 4 Deadline Litigation, No. 10– action under consideration without and analyses. The peer reviewers will 377 (EGS), MDL Docket No. 2165 providing supporting information, have expertise in the biology, habitat, (D.D.C. May 10, 2011)). This proposed although noted, will not be considered and conservation status of these plants, listing rule fulfills the requirements of in making a determination, as section to help inform our determination. those settlement agreements for the 4 4(b)(1)(A) of the Act directs that Previous Federal Actions plant species. determinations as to whether any species is a threatened or endangered Digitaria pauciflora was first Background recognized as a candidate species on species must be made ‘‘solely on the It is our intent to discuss below only September 27, 1985 (50 FR 39526). The basis of the best scientific and those topics directly relevant to the 1990 Candidate Notice of Review commercial data available.’’ listing of Sideroxylon reclinatum ssp. (CNOR) published in the Federal You may submit your comments and austrofloridense, Digitaria pauciflora, Register on February 21, 1990 (55 FR materials concerning this proposed rule and Chamaesyce deltoidea ssp. 6184), included Digitaria pauciflora as a by one of the methods listed in pinetorum as threatened species and candidate for listing under the Act. We ADDRESSES. We request that you send Dalea carthagenensis var. floridana as determined at that time that listing was comments only by the methods an endangered species in this proposed warranted, but precluded due to described in ADDRESSES. rule. If you submit information via http:// workloads and competing priorities. www.regulations.gov, your entire Digitaria pauciflora remained on the Sideroxylon reclinatum ssp. submission—including any personal candidate list as published in the CNOR austrofloridense (Everglades bully) in 1993 (58 FR 51144, September 30, identifying information—will be posted Species Description on the Web site. If your submission is 1993). The CNOR was not published made via a hardcopy that includes again until October 25, 1999, and it Corogin and Judd (2014, pp. 410–412) personal identifying information, you retained Digitaria pauciflora as a provide a detailed description of may request at the top of your document candidate and assigned a listing priority Sideroxylon reclinatum ssp. that we withhold this information from number (LPN) of 6; the 1999 CNOR first austrofloridense. The plant is a single- public review. However, we cannot recognized Chamaesyce deltoidea ssp. to many-stemmed shrub, 3–6 feet (ft) (1– guarantee that we will be able to do so. pinetorum as a candidate and assigned 2 meters (m)) tall. The branches are We will post all hardcopy submissions an LPN of 12 and Dalea carthagenensis smooth, slightly bent, and somewhat on http://www.regulations.gov. var. floridana as a candidate and spiny. The leaves are thin, oval-shaped, Comments and materials we receive, assigned an LPN of 3 (64 FR 57534). 0.8–2 inches (in) (2–5 centimeters (cm)) as well as supporting documentation we Candidate species are assigned LPNs long, evergreen, lance-shaped, and fuzzy used in preparing this proposed rule, based on immediacy and magnitude of on their undersides. The flowers are in will be available for public inspection threats, as well as taxonomic status. The axillary cymes (Long and Lakela 1971, on http://www.regulations.gov, or by lower the LPN, the higher priority that p. 679). appointment, during normal business species is for us to determine Sideroxylon reclinatum ssp. hours, at the U.S. Fish and Wildlife appropriate action using our available austrofloridense is distinguished from Service, South Florida Ecological resources. the similar subspecies S. reclinatum ssp. Services Office (see FOR FURTHER Digitaria pauciflora, Chamaesyce reclinatum in Florida by its leaves, INFORMATION CONTACT). deltoidea ssp. pinetorum, and Dalea which are persistently pubescent (fuzzy) carthagenensis var. floridana remained on their undersides, rather than smooth Public Hearing on the candidate list from 2001 to 2004 or pubescent only along the leaf Section 4(b)(5) of the Act provides for (66 FR 54808, October 30, 2001; 67 FR midvein (Wunderlin and Hansen 2003, one or more public hearings on this 40657, June 13, 2002; 69 FR 24876, May p. 603). Corogin and Judd (2014, p. 404) proposal, if requested. Requests for 4, 2004). Sideroxylon reclinatum ssp. indicated the two subspecies are most public hearings must be received within austrofloridense was first recognized reliably distinguished by differences in 45 days after the date of publication of May 4, 2004, and was assigned an LPN the micromorphology of the leaf this proposed rule in the Federal of 12 (69 FR 24876, May 4, 2004). We epidermis, and by the extent of

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distribution of S. r. ssp. monthly mean temperature above 18 of more than 100 species of palms and austrofloridense, which is limited to degrees Celsius (°C) (64.4 degrees hardwoods, most derived from the extreme southern peninsular Florida. Fahrenheit (°F)) in every month of the tropical flora of the West Indies (FNAI year (Gabler et al. 1994, p. 211). Freezes 2010, p. 61). Many of these species vary Taxonomy can occur in the winter months, but are in height depending on fire frequency, The genus Sideroxylon is represented infrequent. Rainfall in the area where getting taller with time since fire. These by eight species in Florida. All of these Sideroxylon reclinatum ssp. include saw palmetto (Serenoa repens), species were previously assigned to the austrofloridense occurs varies from an cabbage palm (Sabal palmetto), silver genus Bumelia. Sideroxylon reclinatum, annual average of 153–165 cm (60–65 palm (Coccothrinax argentata), brittle the Florida bully, is represented by in) in the northern portion of the Miami thatch palm (Thrinax morrisii), wax three subspecies that range nearly Rock Ridge to an average of 140–153 cm myrtle (Myrica cerifera), myrsine throughout Florida and into neighboring (55–60 in) in the southern portion. (Rapanea punctata), poisonwood States. The Everglades subspecies was Approximately 75 percent of yearly (Metopium toxiferum), locustberry first recognized by Whetstone (1985, pp. rainfall occurs during the wet season (Byrsonima lucida), varnishleaf 544–547) as Bumelia reclinata var. from June through September (Snyder et (Dodonaea viscosa), tetrazygia austrofloridense, then transferred to the al. 1990, p. 238). (Tetrazygia bicolor), rough velvetseed genus Sideroxylon (Kartesz and Gandhi (Guettarda scabra), marlberry (Ardisia Habitat 1990, pp. 421–427). Kartesz and Gandhi escallonioides), mangrove berry (1990, pp. 421–427) made Sideroxylon Sideroxylon reclinatum ssp. (Psidium longipes), willow bustic reclinatum ssp. austrofloridense a austrofloridense grows in pine rockland (Sideroxylon salicifolium), and winged subspecies rather than a variety; habitat, marl prairie habitat, and within sumac (Rhus copallinum). Short- however, in plant nomenclature, the the ecotone between both habitats (Gann statured shrubs include running oak ranks of variety and subspecies are et al. 2006, p. 12; Bradley et al. 2013, (Quercus elliottii), white indigoberry interchangeable. Sideroxylon reclinatum p. 4, Gann 2015, p. 31). These habitats (Randia aculeata), Christmas berry ssp. austrofloridense is used in the are maintained by regular fire, and are (Crossopetalum ilicifolium), redgal current treatment of the Florida flora prone, particularly marl prairie, to (Morinda royoc), and snowberry (Wunderlin and Hansen 2016, p. 1). annual flooding for several months (Chiococca alba). The Integrated Taxonomic during the wet season (Gann et al. 2006, Grasses, forbs, and ferns make up a Information System (2016, p. 1) p. 13; Bradley et al. 2013, p. 4). diverse herbaceous layer ranging from indicates that the taxonomic standing Sideroxylon reclinatum ssp. mostly continuous in areas with more for Sideroxylon reclinatum ssp. austrofloridense also grows on the soil development and little exposed austrofloridense (Whetstone) Kartesz sunny edges of rockland hammock rock to sparse where more extensive and Gandhi is accepted. The online habitat (Gann 2015, p. 412), which is outcroppings of rock occur. Typical Atlas of Florida Vascular Plants fire-resistant. Historically, fire served to herbaceous species include bluestems (Wunderlin and Hansen 2016, p. 1) uses maintain the boundary between pine (Andropogon spp., Schizachyrium the name S. reclinatum ssp. rockland and rockland hammock by gracile, S. rhizomatum, and S. austrofloridense (Whetstone), as does eliminating the encroachment of sanguineum), arrowleaf threeawn NatureServe (2016, p. 1). hardwoods into pine rocklands. Absent (Aristida purpurascens), lopsided Corogin and Judd (2014, p. 408) natural or prescribed fire, many pine indiangrass (Sorghastrum secundum), indicate that Sideroxylon reclinatum rocklands have succeeded to rockland hairawn muhly (Muhlenbergia subsp. austrofloridense is differentiated hammock (FNAI 2010, p. 25). Canopy capillaris), Florida white-top sedge from S. reclinatum subsp. reclinatum by cover on the interior of rockland (Rhynchospora floridensis), pineland a set of distinct characters at the hammock is too dense to support herbs noseburn (Tragia saxicola), devil’s micromorphological level. and smaller shrub species, such as S. r. potato (Echites umbellata), pineland The two taxa are also separated eco- ssp. austrofloridense, that require more croton, several species of sandmats geographically. Sideroxylon reclinatum sunlight. (Chamaesyce spp.), partridge pea subsp. austrofloridense is a narrow (Chamaecrista fasciculata), coontie Pine Rockland endemic, restricted to pine rockland and (Zamia pumila), maidenhair pineland marl prairie habitats in a well-defined Pine rockland is characterized by an fern (Anemia adiantifolia), Bahama area of extreme southeastern peninsular open canopy of South Florida slash pine brake (Pteris bahamensis), and lacy Florida. Conversely, Sideroxylon (Pinus elliottii var. densa) with a patchy bracken (Pteridium aquilinum var. reclinatum subsp. reclinatum is more understory of tropical and temperate caudatum) (FNAI 2010, p. 62). wide-ranging, occurring coastally from shrubs and palms and a rich herbaceous Pine rockland occurs on relatively southern Georgia west to Louisiana, and layer of mostly perennial species flat, moderately to well drained terrain throughout Florida as far south as including numerous species endemic to from 2 to 7 m (6.5 to 23 ft) above sea Broward County in the east, and Collier South Florida. Outcrops of weathered level (FNAI 2010, p. 62). The oolitic and Monroe Counties in the west. The oolitic (small rounded particles or limestone is at or very near the surface, only place where plants of both species grains) limestone, known locally as and there is very little soil development. overlap is within Big Cypress National pinnacle rock, are common, and Soils are generally composed of small Preserve (BCNP), at the western fringe of solution holes may be present. This accumulations of nutrient-poor sand, Everglades bully’s range (Corrogin and subtropical, pyrogenic flatland can be marl, clayey loam, and organic debris in Judd 2014, p. 409). mesic or xeric depending on landscape depressions and crevices in the rock position and associated natural surface. Organic acids occasionally Climate communities (Florida Natural Areas dissolve the surface limestone causing The climate of south Florida where Inventory (FNAI) 2010, p. 61). collapsed depressions in the surface Sideroxylon reclinatum ssp. Pine rockland has an open canopy of rock called solution holes (FNAI 2010, austrofloridense occurs is classified as South Florida slash pine, generally with p. 62). Drainage varies according to the tropical savanna and is characterized by multiple age classes. The diverse, open porosity of the limestone substrate, but distinct wet and dry seasons and a shrub and subcanopy layer is composed is generally rapid. Consequently, most

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sites are wet for only short periods Flora of North America (2007)). Other Current Range, Population Estimates, following heavy rains. During the rainy characteristic species include southern and Status season, however, some sites may be beaksedge (Rhynchospora microcarpa), The current range of Sideroxylon shallowly inundated by slow-flowing bluejoint panicum (Panicum tenerum), reclinatum ssp. austrofloridense is surface water for up to 60 days each Gulfdune paspalum (Paspalum BCNP, the Long Pine Key region of year (FNAI 2010, p. 62). monostachyum), rosy camphorweed Everglades National Park (ENP), and Pine rockland is maintained by (Pluchea rosea), starrush whitetop pine rocklands adjacent to ENP (Hodges regular fire, and susceptible to other (Rhynchospora colorata), alligator lily and Bradley 2006, p. 42; Gann et al. natural disturbances such as hurricanes, (Hymenocallis palmeri), arrowfeather 2006, p. 11; K. Bradley, pers. comm. frost events, and sea-level rise (Ross et threeawn (Aristida purpurascens), and 2007; J. Possley, pers. comm. 2011a; al. 1994, pp. 144–156). Fires historically narrowleaf yellowtops (Flaveria 2011b; J. Sadle, pers. comm. 2011; burned on an interval of approximately linearis) (Porter, Jr. 1967, pp. 937–942; Bradley et al. 2013, p. 4; Gann 2015, p. every 3 to 7 years (FNAI 2010, p. 63) FNAI 2010, p. 107). 30). The species is apparently extirpated and were typically started by lightning from Key Largo. Hodges and Bradley strikes during the frequent summer Marl prairie depends on a short (2006, p. 42) did not find Sideroxylon thunderstorms (FNAI 2010, p. 63). hydroperiod of 2 to 4 months. Longer reclinatum ssp. austrofloridense in their Presently, prescribed fire must be hydroperiods favor the development of surveys of pine rocklands on Key Largo, periodically introduced into pine peat and the dominance of sawgrass; Big Pine Key, Cudjoe Key, and Lower rocklands to sustain community shorter hydroperiods permit the Sugarloaf Key. This area constitutes a structure, prevent invasion by woody invasion of woody species. current range of approximately 42 mi species, maintain high herbaceous Marl prairie normally dries out during (66 km) (Gann et al. 2002, p. 526; diversity (Loope and Dunevitz 1981, pp. the winter and is subject to fires at the Corogin and Judd 2014, p. 412). 5–6; FNAI 2010, p. 63), and prevent end of the dry season; the most acres The largest population occurs at Long succession to rockland hammock. The naturally burn in May (FNAI 2010, p. amount of woody understory growth is Pine Key in ENP (Hodges and Bradley 108). Fires at this time (in contrast to directly related to the length of time 2006, p. 42; Gann et al. 2006, p. 11; dormant season fires) stimulate since the last fire. Herbaceous diversity Gann 2015, p. 9). The most recent flowering of the dominant grasses (Main declines with time since last fire. The information indicates that the baseline and Barry 2002, pp. 430–434). The ecotone between pine rockland and abundance estimate at Long Pine Key rockland hammock is abrupt when herbaceous species recover rapidly from based on a log10 abundance estimate is regular fire is present in the system. fire, and biomass reaches pre-fire levels 10,000–100,000 plants (Gann et al. However when fire is removed, the at the end of 2 years. For the first 2 years 2006, pp. 9–11; Gann 2015, p. 29). ecotone becomes more gradual and after fire, this community will burn only Recent surveys of ENP have identified subtle as hammock hardwoods encroach patchily, if at all (FNAI 2010, p. 108). 14 occurrences of Sideroxylon into the pineland (FNAI 2010, p. 63). Reasons for the presence of dwarf reclinatum ssp. austrofloridense in Long cypress in some marl prairies and not Pine Key, expanding the known range in Marl Prairie others are unknown (FNAI 2010, p. ENP (Gann 2015, p. 30). Marl prairie is a sparsely vegetated, 108). Wade et al. (1980, pp. 67–79) In Miami-Dade County, outside ENP, grass-dominated community found on estimated dwarf cypress stands in marl pine rocklands tracts are orders of marl substrates in South Florida. Marls prairie burn about once a decade due to magnitude smaller and exist in a matrix are fine white calcareous muds formed low fire-carrying capacity of their sparse of agricultural, commercial, and from calcite precipitated by a mixture of understory. residential development. Possley and green algae, blue green algae, and McSweeney (2005, p. 1) observed diatoms, known as periphyton. It is Historical Range approximately 73 plants at Larry and Penny Thompson Park, within the seasonally inundated (2 to 4 months) to All known historical and current Richmond Pine Rocklands. Possley a shallow depth averaging about 20 cm records for Sideroxylon reclinatum ssp. (8 in). Marl prairie is a diverse (Fairchild Tropical Botanic Garden austrofloridense are summarized in community, which may contain more (FTBG), pers. comm. 2011a; 2011b) table 1. The historical range of S. than 100 species. Most of the marl found extant populations at Quail Roost reclinatum ssp. austrofloridense is prairie plant species contribute little Pineland (two plants), Navy Well limited to Collier, Miami-Dade, and cover and more than 90 percent of the Pineland Preserve (four plants), and cover is contributed by only two or Monroe Counties, Florida. In Miami- Sunny Palms Pinelands (two plants). three dominant species in any given Dade County, the plant was known from The species had been observed in pine area (FNAI 2010, p. 107). Dominants central and southern Miami-Dade rocklands at Grant Hammock, and Pine may include one or more of the County along the Miami Rock Ridge, Ridge Sanctuary (Bradley et al. 2013, p. following: Gulf hairawn muhly which extends from Long Pine Key in 1). The species no longer occurs at the (Muhlenbergia sericea), spreading the Everglades northward through urban Nixon-Smiley Preserve. beaksedge (Rhynchospora divergens), Miami to the Miami River. In Monroe Bradley et al. (2013, pp. 1–8) Florida little bluestem (Schizachyrium County, the plant was known from conducted surveys in the Gum Slough rhizomatum), black bogrush (Schoenus BCNP on the mainland, and was region of Lostmans Pines in BCNP and nigricans), Elliott’s lovegrass (Eragrostis collected as far south as Key Largo, in reported finding Sideroxylon reclinatum elliottii), sand cordgrass (Spartina the Florida Keys. In Collier County, the ssp. austrofloridense to have limited bakeri), and a short form of sawgrass species has been recorded only within distribution within the study area. (Cladium jamaicense) (Porter, Jr. 1967, BCNP. This area constitutes a historical Seventeen plants were counted within pp. 937–942; FNAI 2010, p. 107). range of approximately 42 miles (mi) (66 pine rockland plots that were associated (Taxonomy of Schizachyrium and kilometers (km)) (Gann et al. 2002, p. with marl prairie habitats (Bradley et al. Muhlenbergia follows treatments in 526; Corogin and Judd 2014, p. 412). 2013, p. 4).

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TABLE 1—SUMMARY OF THE STATUS AND TRENDS OF THE KNOWN OCCURRENCES OF Sideroxylon Reclinatum SSP. Austrofloridense

Most recent population esti- Population Ownership mate Status Trend (Year)

Everglades National Park .... National Park Service ...... 10,000– 100,000 (2013) ..... Extant ...... Increasing. Big Cypress National Pre- National Park Service ...... 17 (2013) ...... Extant ...... Insufficient data. serve. Larry Penny Thompson Park Miami-Dade County ...... 73 (2005) ...... Extant ...... Insufficient data. Nixon-Smiley Preserve ...... Miami-Dade County ...... 0 (Unknown) ...... Extirpated ...... Navy Wells Pineland Pre- Miami-Dade County ...... 4 (2011) ...... Extant ...... Insufficient data. serve. Sunny Palms Pineland ...... Miami-Dade County ...... 2 (2011) ...... Extant ...... Insufficient data. Pine Ridge Sanctuary ...... Private ...... Unknown ...... Extant ...... Insufficient data. Lucille Hammock ...... Miami-Dade County ...... 11–100 (2007) ...... Extant ...... Insufficient data. South Dade Wetlands ...... Miami-Dade County ...... Unknown (2007) ...... Extant ...... Insufficient data. Natural Forest Community Private ...... 2–10 (2007) ...... Extant ...... Insufficient data. #P–300. Natural Forest Community Private ...... 11–100 (2007) ...... Extant ...... Insufficient data. #P–310. Quail Roost Pineland ...... Miami-Dade County ...... 2 (2011) ...... Extant ...... Insufficient data. Grant Hammock ...... Unknown ...... Unknown (Unknown) ...... Extirpated ...... Key Largo ...... Unknown ...... No estimate (1948) ...... Extirpated ......

Biology glabrous (smooth or hairless) with age. of Agriculture and Consumer Services Life History and Reproduction The nodes are mostly glabrous, the (FDACS) (Coile and Garland 2003, p. 19) sheath auricles (an ear-like projection at indicates that its taxonomic status is Little is known about the life history the base of the leaf) are 1.5 mm (0.06 in) accepted. We have carefully reviewed of Sideroxylon reclinatum ssp. long, and the sheaths are hairy but all taxonomic data to determine that austrofloridense, including pollination becoming glabrous with age. The ligule Digitaria pauciflora is a valid taxon. The biology, seed production, and dispersal (a small bract located at the leaf-stem only synonym is Syntherisma pauciflora (Gann 2015, p. 31). Reproduction is junction) is 1.5–2.0 mm (0.06–0.08 in) (Hitchcock) Hitchcock ex Small (ITIS sexual, with new plants generated from long. The flowers are dull green, very 2016, p. 1). seeds. The species produces flowers small, and are borne on wispy spikes on Climate from April to May, and fruit ripen from the ends of the leafy stems, with usually June to July (Corogin and Judd 2014, pp. only a few flower clusters forming per The climate of south Florida where 410–412). The plants can stand partial clump of grass. The lemma (a tiny bract Digitaria pauciflora occurs is classified inundation with fresh water for a adjacent to the flower) of upper floret as tropical savanna, as described above portion of the year, but do not tolerate (flower) is purple. Stolons (aboveground for Sideroxylon reclinatum ssp. salinity. horizontal stems) are not present, but austrofloridense. Fire Ecology and Demography the plant produces rhizomes Habitat (belowground horizontal stems) that Digitaria pauciflora occurs There have been no detailed studies allow for vegetative spread (Webster and predominantly within the seasonally of Sideroxylon reclinatum ssp. Hatch, 1990, pp. 161–162). Digitaria flooded ecotone between pine rockland austrofloridense relationship towards pauciflora is known to reproduce fire; however, periodic fire is extremely and marl prairie, although the species sexually (Bradley and Gann 1999, p. 50), may overlap somewhat into both important to maintaining habitat for this with fruit production in the fall species (Corogin and Judd 2014, p. 414). habitats (Bradley and Gann 1999, p. 49; (Wendelberger and Maschinski 2006, p. Fellows et al. 2002, p. 79). Plants can Therefore, historical declines have been 3). partially attributed to habitat loss from withstand inundation with fresh water fire suppression or inadequate fire Taxonomy for one to several months each year management (ENP 2014, p. 173). (ENP 2014, p. 172). These habitats are Digitaria pauciflora was first maintained by regular fire, and are Digitaria pauciflora (Florida pineland described in 1928 based on specimens prone, particularly marl prairie, to crabgrass) collected in 1903 (Bradley and Gann annual flooding for several months 1999, p. 49). Small (1933, pp. 50–51) Species Description during the wet season (Gann et al. 2006, later placed it in the genus Syntherisma. p. 13). Pine rocklands and marl prairies Digitaria pauciflora is a small Subsequent authors (Hitchcock 1935, p. are described in detail above for perennial clump-grass, appearing blue- 561; Webster & Hatch 1990, p. 161; Sideroxylon reclinatum ssp. green to gray with reddish-brown stems, Wunderlin 1998) have retained it in the austrofloridense. typically 0.5–1 m (1.5–3 ft) tall (Small genus Digitaria (Bradley and Gann 1999, 1933, p. 51). The leaves form a subtle p. 49). Historical Range zig-zag pattern as the leaf blades come The online Atlas of Florida Vascular All known historical and current off the stem at an angle. The leaf blades Plants uses the name Digitaria records for Digitaria pauciflora are are 7–18 cm (2.8–7.1) in) long, 1.0–2.2 pauciflora (Wunderlin and Hansen summarized in table 2. The historical mm (0.04–0.08 in) wide, and number 2– 2016, p. 1), the Integrated Taxonomic range of D. pauciflora consists of central 8 per stem. Both the lower and upper System (ITIS 2016, p. 1), NatureServe and southern Miami-Dade County along surface and stems are hairy but become (2016, p. 1), and the Florida Department the Miami Rock Ridge, from the

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southern Miami to Long Pine Key region found during a 2-year project to survey contain an estimated 500–600 plants of ENP, a range of approximately 42 mi and map rare and exotic plants along (Maschinski et al. 2003, p. 141). Bradley (67.6 km) (Bradley and Gann 1999, p. Florida Department of Transportation et al. (2013, pp. 1–8) conducted surveys 49). Specimens of D. pauciflora were (FDOT) right-of-ways within Miami- in the Gum Slough region of Lostmans collected early in the twentieth century Dade and Monroe Counties (Gordon et Pines and indicated that the species is throughout Miami-Dade County. al. 2007, pp. 1, 38). widely distributed within the study D. pauciflora was absent from area. A total of 2,365 plants was counted Current Range, Population Estimates, collections from 1939 until 1973, when within pineland and sawgrass based and Status it was rediscoverd at Long Pine Key in survey plots (Bradley et al. 2013, pp. 3– Everglades National Park (Bradley and The current range of Digitaria 4). The range-wide population estimate Gann 1999, p. 49). D. pauciflora has pauciflora includes ENP and BCNP for D. pauciflora is 1,000–10,000 subsequently been encountered (Bradley and Gann 1999, p. 49; Gann et individuals at Long Pine Key (Gann consistently within Long Pine Key al. 2006, p. 3; Bradley, pers. comm. 2015, p. 142) and >10,000 individuals (Bradley and Gann 1999, p. 49). 2005a; Gann 2015, p. 142). Ongoing within BCNP (K. Bradley, pers. comm. A single Digitaria pauciflora plant surveys suggest the species occurs 2007). Large-scale stochastic events was discovered in 1995 within marl throughout Long Pine Key of ENP (Gann such as wildfire and flooding can prairie habitat at the Martinez Pinelands et al. 2006, p. 7; 2015, p. 144; Gann drastically reduce the size of D. in the Richmond Pine Rocklands, an 2015, p. 144) and is much wider-ranging pauciflora populations. For example, in area of Miami-Dade County that retains than previously known in ENP. Joyce the spring months of 2016, wildfires in the largest contiguous areas of pine Maschinski (FTBG, pers. comm. 2007) areas occupied by D. pauciflora likely rockland habitat outside of the characterized the populations within reduced populations in ENP. The Everglades. However, this plant has ENP as abundant. populations will likely rebound; since disappeared (Herndon 1998, p. 88; In 2002, Bradley et al. (2013, p. 2) however, regeneration could be severely Bradley and Gann 1999, p. 49; Gann discovered Digitaria pauciflora within hampered, based on the amount and 2015, p. 142). Three other historical the Lostmans Pines region of BCNP in duration of flooding during the region’s occurrences in Miami-Dade County Monroe County. This discovery late summer storm season. While have been documented: (1) a site represented the first known D. Digitaria pauciflora populations remain between Cutler and Longview Camp pauciflora occurrence outside Miami- abundant within ENP and BCNP, these (last observed in 1903); (2) Jenkins Dade County (FNAI 2007, p. 191). The areas represent only half of the species’ Homestead (date unspecified); and (3) species is widely distributed within historical range (Bradley and Gann South Miami (last observed in 1939) (K. Lostmans Pines (Bradley et al. 2013, pp. 1999, p. 25; Gann 2015, p. 167). While Bradley, pers. comm. 2007); however, 1–8). Subsequent surveys for the species D. pauciflora was known to occur little is known regarding the status of within BCNP have documented up to throughout Miami-Dade County, all these populations. The species was not nine occurrences, some of which other populations are likely extirpated.

TABLE 2—SUMMARY OF THE STATUS AND TRENDS OF THE KNOWN OCCURRENCES OF Digitaria Pauciflora

Most recent population Population Ownership estimate Status Trend

Everglades National Park ...... National Park Service ...... 1,000–10,000 (2007) ...... Extant ...... Stable. Big Cypress National Preserve National Park Service ...... >10,000 (2007) ...... Extant ...... Stable. Martinez Pineland ...... Miami-Dade County ...... 0 (1999) ...... Extirpated. Cutler and Longview Camp .... Unknown ...... Unknown (1903) ...... Extirpated. Jenkins Homestead ...... Unknown ...... Unknown (date unspecified) ... Extirpated. South Miami ...... Unknown ...... Unknown (1939) ...... Extirpated.

Biology Fire Ecology and Demography burned populations of D. pauciflora during the wet and dry season, and both Life History and Reproduction Digitaria pauciflora population demographics and longevity have not appear suitable to maintain populations Little is known about the life history been studied (Bradley and Gann, 1999, of the plant (ENP 2014, p. 226). of Digitaria pauciflora, including p. 53; Fellows et al. 2002, p. 2). There Chamaesyce deltoidea spp. pinetorum pollination biology, seed production, have been no studies of the plant’s (pineland sandmat) and dispersal. Reproduction is sexual, relationship to fire; however, periodic with new plants generated from seeds fire is extremely important to Species Description (Bradley and Gann, 1999, p. 53). The maintaining habitat for this species Chamaesyce deltoidea ssp. pinetorum species produces flowers from summer (Bradley and Gann, 1999, p. 53; ENP is an ascending to erect perennial herb. to late fall on both new and older 2014, p. 226). Therefore, historical The stems are villous (hairy), and often growth; some plants have been observed declines have been partially attributed reddish. The leaf blades range from to finish seeding as late as December to habitat loss from fire suppression or kidney-shaped or triangle-shaped and (Fellows et al. 2002, p. 2; Gann 2015, p. inadequate fire management. Gann elliptic to oval. The involucres (a cup- like structure enclosing the flowers) are 172). Plants can also spread clonally via (2015, p. 142) indicates that the species shows patch dynamics, colonizing new 1 mm long, and pubescent, and possess rhizomes (Webster and Hatch, 1990, pp. areas and undergoing local extinctions green, even-edged glands with very 161–162). The plants can stand partial with high rates of turnover. Plants with narrow appendages. The fruit is a 2-mm inundation with fresh water for a ‘flashy’ or ‘boom and bust’ demographic broad, pubescent capsule. The seeds are portion of the year, but do not tolerate patterns are more susceptible to 1 mm long, transversely wrinkled, and salinity. stochastic extinction events. ENP has yellowish in color (Small 1933, p. 795).

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C. deltoidea ssp. pinetorum is known to genus Euphorbia, the correct name is pinetorum are summarized in table 3. reproduce sexually (Bradley and Gann Euphorbia deltoidea ssp. pinetorum. Chamaesyce deltoidea ssp. pinetorum 1999, p. 25). Fruit production is year- The online Atlas of Florida Vascular occurred historically only within the round, with a peak in the fall Plants uses the name Chamaesyce southern portion of the Miami Rock (Wendelberger and Maschinski 2006, p. deltoidea ssp. pinetorum (Small) Ridge, from the Richmond Pine 2). Herndon (Wunderlin and Hansen 2016, Rocklands of southern Miami to the p. 1). NatureServe (2016, p. 1) and Taxonomy Long Pine Key region of Everglades FDACS (Coile and Garland 2003, p. 11) National Park, a range of approximately Chamaesyce deltoidea ssp. pinetorum indicate that C. deltoidea ssp. 42 mi (67.6 km) (Bradley and Gann was first described by Small in 1905, pinetorum is accepted. However, the 1999, p. 24). C. deltoidea ssp. pinetorum based on specimens collected in eastern Integrated Taxonomic System (ITIS has been encountered consistently Miami-Dade County (Small 1905, pp. 2016, p. 1) accepts Euphorbia deltoidea within Long Pine Key, as well as in 429–430). Initially, Small referred to ssp. pinetorum as the scientific name for several County-owned conservation these specimens as C. pinetorum but the species (Gann 2015, p. 168). We lands adjacent to the ENP (Gann 2015, recognized that it was closely related to have carefully reviewed all taxonomic p. 167). Chamaesyce deltoidea. Herndon (1993, data and have determined that C. pp. 38–51) included C. pinetorum deltoidea ssp. pinetorum is a valid Current Range, Population Estimates, within the C. deltoidea complex, which taxon. and Status is composed of three other taxa, two occurring further north on the Miami Climate The current range of Chamaesyce Rock Ridge, and one occurring on Big The climate of south Florida where deltoidea ssp. pinetorum is similar to Pine Key in the lower Florida Keys Chamaesyce deltoidea ssp. pinetorum the historical range, although 98 percent (Monroe County). The three taxa on the occurs is classified as tropical savanna, of the pine rocklands (the species’ only Miami Rock Ridge have distinct, but as described above for Sideroxylon habitat) outside of the ENP has been lost adjacent ranges. Subsequently, Herndon reclinatum ssp. austrofloridense. to development (Kernan and Bradley (1993, pp. 38–51) has placed all four 1996, p. 2). The total population size of taxa at the same taxonomic level, Habitat Chamaesyce deltoidea ssp. pinetorum is treating each as a distinct subspecies Chamaesyce deltoidea ssp. pinetorum estimated to be between 14,500–146,000 under Chamaesyce deltoidea (C. occurs in pine rocklands (Bradley and individuals, with the majority of the deltoidea ssp. pinetorum; C. deltoidea Gann 1999, p. 24). Pine rocklands are population occurring on Long Pine Key ssp. serpyllum, C. deltoidea ssp. maintained by regular fire, and are (Bradley and Gann 1999, p. 25; Gann adhaerens; C. deltoidea ssp. deltoidea). prone to annual flooding for several 2015, p. 167). However, while Chamaesyce deltoidea ssp. deltoidea months during the wet season (Gann et Chamaesyce deltoidea ssp. pinetorum is and C. deltoidea ssp. adhaerens occur al. 2006, p. 13). However, Gann (2015, most abundant within ENP, pine north of known C. deltoidea ssp. p. 169), indicates that C. deltoidea ssp. rockland fragments outside of the pinetorum populations, while pinetorum generally occurs in higher Everglades represent about half the Chamaesyce deltoidea ssp. serpyllum is elevation pine rocklands at Long Pine species’ extant range (Bradley and Gann endemic to Big Pine Key. Wunderlin Key in ENP, in areas rarely subject to 1999, p. 25; Bradley pers. comm. 2007; and Hansen (2016, p. 1) follow flooding. Pine rockland habitat is Gann 2015, p. 167). Elsewhere in Herndon’s treatment in using C. described in detail above in the Habitat Miami-Dade County, a 2011 survey of deltoidea ssp. pinetorum. Some modern section for Sideroxylon reclinatum ssp. the privately owned Pine Ridge authors place the genus Chamaesyce austrofloridense. Sanctuary confirmed the plant remains into the genus Euphorbia sensu lato at this site (FNAI 2011, p. 5). A recent (Yang and Berry 2011, pp. 1486–1503). Historical Range survey of Larry and Penny Thompson Gann (2015, p. 168) indicates that if the All known historical and current Park located no individuals (J. Possley, pineland sandmat is placed into the records for Chamaesyce deltoidea ssp. FTBG, pers. comm. 2011c).

TABLE 3—SUMMARY OF THE STATUS AND TRENDS OF THE KNOWN OCCURRENCES OF CHAMAESYCE DELTOIDEA SSP. PINETORUM

Most recent population Population Ownderhip estimate Status Trend

Everglades National Park .... National Park Service ...... 10,000–100,000 (2011) ...... Extant ...... Increasing. Florida City Pineland ...... Miami-Dade County ...... 100–1,000 (2007) ...... Extant ...... Increasing. Navy Wells ...... Miami-Dade County ...... 1,000–10,000 (2007) ...... Extant ...... Insufficient data. Navy Wells #2 ...... Miami-Dade County ...... 100–1,000 (2007) ...... Extant ...... Insufficient data. Navy Wells #39 ...... Miami-Dade County ...... 1,000–10,000 (2007) ...... Extant ...... Insufficient data. Palm Drive Pineland ...... Miami-Dade County ...... 10–100 (2007) ...... Extant ...... Insufficient data. Pine Ridge Sanctuary ...... Private ...... 10–100 (2011) ...... Extant ...... Insufficient data. Rock Pit #39 ...... Miami-Dade County ...... 11–1,000 (2007) ...... Extant ...... Insufficient data. Seminole Wayside Park ...... Miami-Dade County ...... 100–1,000 (2007) ...... Extant ...... Insufficient data. Fuchs Hammock Addition ... Miami-Dade County ...... 11–100 (2007) ...... Extant ...... Insufficient data. Sunny Palms Pineland ...... Miami-Dade County ...... 100–1,000 (2007) ...... Extant ...... Insufficient data. Larry and Penny Thompson Miami-Dade County ...... 0 (2011) ...... Extirpated ...... Insufficient data. Park. John Kunkel Small Pineland Institute for Regional Con- Present (2006) ...... Extant ...... Insufficient data. servation. Natural Forest Community Private ...... 11–100 (2007) ...... Extant ...... Insufficient data. [NFC] #P330.

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TABLE 3—SUMMARY OF THE STATUS AND TRENDS OF THE KNOWN OCCURRENCES OF CHAMAESYCE DELTOIDEA SSP. PINETORUM—Continued

Most recent population Population Ownderhip estimate Status Trend

Natural Forest Community Private ...... 1,001–10,000 (2007) ...... Extant ...... Insufficient data. #P338. Natural Forest Community Private ...... 11–100 (2007) ...... Extant ...... Insufficient data. #P339. Natural Forest Community Private ...... 11–100 (2007) ...... Extant ...... Insufficient data. #P347. Natural Forest Community Private ...... 101–1,000 (2007) ...... Extant ...... Insufficient data. #P411. Natural Forest Community Private ...... 11–100 (2007) ...... Extant ...... Insufficient data. #P413. Natural Forest Community Private ...... 11–100 (2007) ...... Extant ...... Insufficient data. #P416. Natural Forest Community Private ...... 1,001–10,000 (2007) ...... Extant ...... Insufficient data. #P445.

Biology Fire Ecology and Demography floridana, and this name was retained Life History and Reproduction There have been no studies of by Small (1933, pp. 694–695). Clausen Chamaesyce deltoidea ssp. pinetorum (1946a, p. 85) reviewed the taxonomy of Little is known about the life history Florida and West Indian Dalea and of Chamaesyce deltoidea ssp. population demographics. However, the species is not shade tolerant, and it considered them all to be the same pinetorum. Reproduction is sexual, but species. Clausen (1946a, p. 85) also little is known about the reproductive requires periodic low-intensity fires to reduce competition by woody species to found that the name D. domingensis was biology and ecology of the species a homonym of D. emphysodes, and (Bradley and Gann 1999, p. 25; Gann maintain habitat for this species (Bradley and Gann, 1999, p. 26; ENP published the name D. emphysodes ssp. 2015, p. 167). Herndon (1998, pp. 13– domingensis. Clausen (1946b, p. 572) 2014, p. 170). Therefore, historical 14) studied the life history and later discovered that his use of the name declines have been partially attributed population trends of C. deltoidea ssp. D. emphysodes was in error, and to habitat loss from fire suppression or pinetorum and found up to 88 percent renamed the plants D. carthagenensis inadequate fire management. of plants survived more than 3 years, ssp. domingensis. Long and Lakela showing that it is a somewhat long-lived Dalea carthagenensis var. floridana (1971, p. 478) accepted this usage. taxon. Herndon (1998, pp. 13–14) (Florida prairie-clover) Barneby (1977), in a monograph of the hypothesized that some of the plants genus, also found that Florida plants Species Description that had been recorded as dead may were distinct from West Indian plants, have instead been in a cryptic phase Dalea carthagenensis var. floridana is citing differences in leaf characters, (Gann 2015, p. 167). The extensive root a short-lived (less than 7 years) naming the Florida species D. system of C. deltoidea ssp. pinetorum perennial shrub 2.6–9.8 ft (0.8–3.0 m) carthagenensis var. floridana. also suggests that it is a long-lived plant tall with a light-brown woody stem and Wunderlin (1998) has followed this (Maschinski et al. 2003, p. 179). non-woody, light-brown or reddish treatment. Pollinators are unknown; other species branches. The leaves are composed of The Integrated Taxonomic of Chamaesyce are completely reliant on 9–15 oval, gland-tipped leaflets, and are Information System (2016, p. 1) insects for pollination and seed gland-dotted on the underside. The indicates that the taxonomic standing production, while others are self- flowers are in small loose heads at ends for Dalea carthagenensis var. floridana pollinating (Maschinski et al. 2003, p. of hairy, glandular stalks, less than 0.4 (Rydb.) Barneby is accepted. The online 179; Gann 2015, p. 168). Pollinators may in long. The flower color is white and Atlas of Florida Vascular Plants include bees, flies, ants, and wasps maroon; each of the petals is different (Wunderlin and Hansen 2016, p. 1) uses (Ehrenfeld 1979, p. 95; Gann 2015, p. lengths and shapes. The fruit is a small the name D. carthagenensis var. 168). Dispersal is unknown for one-seeded pod, mostly enclosed by the floridana, as does NatureServe (2016, p. Chamaesyce deltoidea ssp. pinetorum; hairy, gland-dotted calyx (bracts at base 1). FDACS uses the name Dalea however, many seed capsules in similar of each flower) (adapted from Long and carthagenensis and notes that D. Chamaesyce species are explosively Lakela 1971, p. 478; Bradley and Gann carthagenensis var. floridana is endemic dehiscent, a form of dispersal that flings 1999, p. 42; Maschinski et al. 2014, p. (Coile and Garland 2003, p. 17). In seeds far from the parent plant 44). summary, there is consensus that D. (Maschinski et al., p. 179; Gann 2015, p. Taxonomy carthagenensis var. floridana is a 168). This species is known to flower distinct taxon. We have carefully and fruit year round (Wendelberger and Chapman (1886, p. 102) was the first reviewed the available taxonomic Maschinski 2006, p. 2). Peaks in fruiting to report this taxon in Florida, calling it information to reach the conclusion that for C. deltoidea ssp. pinetorum occur in the tropical Dalea domingensis, based D. carthagenensis var. floridana is a the fall and are stimulated by fire on specimens collected on Key valid taxon. (Wendelberger and Maschinski 2006, p. Biscayne. Small (1913, p. 89) accepted 2). The plants can stand partial this characterization but included the Climate inundation with fresh water for a taxon in the genus Parosela, making the The climate of south Florida where portion of the year, but do not tolerate plant P. domingensis. Rydberg (1920, p. Dalea carthagenensis var. floridana salinity. x) renamed the plant, calling it Parosela occurs is classified as tropical savanna

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as described above for Sideroxylon within rockland hammock include associated with infrequent hurricanes. reclinatum ssp. austrofloridense. several species of Eugenia (stoppers), Canopy damage often occurs, which Thrinax morrisii and T. radiata (thatch causes a change in the microclimate of Habitat palms), Amyris elemifera (sea the hammock. Decreased relative Dalea carthagenensis var. floridana torchwood), Ardisia escallonioides humidity and drier soils can leave grows in pine rockland, rockland (marlberry), Psychotria nervosa (wild rockland hammocks more susceptible to hammock, marl prairie, coastal berm, coffee), Chrysophyllum oliviforme fire. Rockland hammock can transition and in the ecotones between these (satinleaf), Sabal palmetto (cabbage into glades marsh, mangrove swamp, habitats (Bradley and Gann 1999, p. 43). palm), Guaiacum sanctum (lignum- salt marsh, coastal rock barren, pine The species may also occur along vitae), Ximenia americana (tallow rockland, maritime hammock, or marl roadsides within these habitats (Gann et wood), Colubrina elliptica prairie (FNAI 2010, p. 26). al. 2006, p. 10). Pine rockland and marl (soldierwood), Pithecellobium unguis- The sparsely vegetated edges or prairie habitat are described in detail cati (cat claw blackbead) and interior portions laid open by canopy above in the Habitat section for Pithecellobium keyense (Florida keys disruption are the areas of rockland Sideroxylon reclinatum ssp. blackbead), Coccoloba uvifera (sea hammock that have light levels austrofloridense. grape), and Colubrina arborescens sufficient to support Dalea Roadsides (greenheart). Vines can be common and carthagenensis var. floridana. However, include Toxicodendron radicans the dynamic nature of the habitat means Roadsides are a potentially important (eastern poison ivy), Smilax auriculata that areas not currently open may habitat for Dalea carthagenensis var. (earleaf greenbrier), Smilax havanensis become open in the future as a result of floridana (Bradley and Gann 1999, p. (Everglades greenbrier), Parthenocissus canopy disruption from hurricanes, 43). Where endemics such as D. quinquefolia (Virginia creeper), while areas currently open may develop carthagenensis var. floridana are found Hippocratea volubilis (medicine vine), more dense canopy over time, on shoulders, the ground cover is and Morinda royoc (redgal). The eventually rendering that portion of the dominated mostly by native herbs and typically sparse, short shrub layer may hammock unsuitable for Dalea grasses where exotic lawn grasses have include Zamia pumila (coontie) and carthagenensis var. floridana. not been planted. Maintaining the Acanthocereus tetragonus (triangle Coastal Berm roadsides in this condition through cactus). Herbaceous species are regular mowing, without planting sod, occasionally present and generally Coastal berms are landscape features should continue to provide suitable sparse in coverage. Characteristic found along low-energy coastlines in habitat for Dalea carthagenensis var. species include Lasiacis divaricata south Florida and the Florida Keys. floridana (Bradley 2006, p. 37). (smallcane), Oplismenus hirtellus Coastal berm is a short forest or shrub Rockland Hammock (basketgrass), and many species of ferns thicket found on long, narrow, storm- (FNAI 2010, p. 24). deposited ridges of loose sediment Rockland hammock is a species-rich Rockland hammock occurs on a thin formed by a mixture of coarse shell tropical hardwood forest on upland sites layer of highly organic soil covering fragments, pieces of coralline algae, and in areas where limestone is very near limestone on high ground that does not other coastal debris. These ridges the surface and often exposed. The regularly flood, but it is often dependent parallel the shore and may be found on forest floor is largely covered by leaf upon a high water table to keep the seaward edge or landward edge of litter with varying amounts of exposed humidity levels high. Rockland the mangroves or farther inland limestone and has few herbaceous hammocks are frequently located near depending on the height of the storm species. Rockland hammocks typically wetlands; in the Everglades they can surge that formed them. They range in have larger, more mature trees in the occur on organic matter that height from 0.30 to 3.05 m (1 to 10 ft). interior, while the margins can be accumulates on top of the underlying Structure and composition of the almost impenetrable in places with limestone (FNAI 2010, p. 25). vegetation is variable depending on dense growth of smaller shrubs, trees, Rockland hammock is susceptible to height and time since the last storm and vines. Typical canopy and fire, frost, canopy disruption, and event. The most stable berms may share subcanopy species include Bursera ground water reduction. Rockland some tree species with rockland simaruba, Lysiloma latisiliquum (false hammock can be the advanced hammocks, but generally have a greater tamarind), Coccoloba diversifolia successional stage of pine rockland, proportion of shrubs and herbs. Tree (pigeon plum), Sideroxylon especially in cases where rockland species may include Bursera simaruba foetidissimum (false mastic), Ficus hammock is adjacent to pine rockland. (gumbo limbo), Coccoloba uvifera aurea (strangler fig), Piscidia piscipula In such cases, when fire is excluded (seagrape), Coccothrinax argentata (Jamaican dogwood), Ocotea coriacea from pine rockland for 15 to 25 years, (silver palm), Guapira discolor (blolly), (lancewood), Drypetes diversifolia, it can succeed to rockland hammock Drypetes diversifolia (milkbark), Genipa Simarouba glauca (paradisetree), vegetation. Historically, rockland clusiifolia (seven year apple), and Sideroxylon salicifolium (willow hammocks in south Florida evolved Metopium toxiferum (poisonwood). bustic), Krugiodendron ferreum (black with fire in the landscape. Fire most Characteristic tall shrub and short tree ironwood), Exothea paniculata often extinguished near the edges when species include Eugenia foetida (inkwood), Metopium toxiferum, and it encountered the hammock’s moist (Spanish stopper), Ximenia americana Swietenia mahagoni (West Indies microclimate and litter layer. However, (hog plum), Randia aculeata (white mahogany). Mature hammocks may be rockland hammocks are susceptible to indigoberry), Pithecellobium keyense open beneath a tall, well-defined damage from fire during extreme (Florida Keys blackbead), and canopy and subcanopy. More drought or when the water table is Sideroxylon celastrinum (saffron plum). commonly, in less mature or disturbed lowered. In these cases, fire can cause Short shrubs and herbs include hammocks, dense woody vegetation of tree mortality and consume the organic Hymenocallis latifolia (perfumed varying heights from canopy to short soil layer (FNAI 2010, p. 25). spiderlily), Capparis flexuosa (bayleaf shrubs is often present. Species that Rockland hammocks are also sensitive capertree), Lantana involucrata generally make up the shrub layers to the strong winds and storm surge (buttonsage), and Rivina humilis

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(rougeplant). More seaward berms or 39). Gann et al. (2002, pp. 408–411) between 50 and 80 individuals, with the those more recently affected by storm accounted for essentially every number of seedlings ranging from 3 to deposition may support a suite of plants herbarium specimen and reliable 54. However, beginning in 2008, similar to beaches, including shoreline sighting. Gann (2015, pp. 25–26) did not Maschinski et al. (2014, p. 33) have Sesuvium portulacastrum (sea find D. carthagenensis var. floridana in documented pulses in seedling purslane), Distichlis spicata (saltgrass), ENP, and it is presumed to be extirpated establishment. In 2010, the total and Sporobolus virginicus (seashore at this location. One of the previous population size (seedlings and woody dropseed), or scattered to dense shrub records at ENP was originally plants) was 356 individuals. The thickets with Conocarpus erectus misidentified and has recently been majority of these were seedlings and (buttonwood), stunted Avicennia confirmed as a specimen of basal re-sprouts from a fire that affected germinans (black mangrove), Aeschynomene pratensis (J. Sadle, NPS, approximately one-third of the Rhizophora mangle (red mangrove), pers. comm. 2014). The other ENP population (Maschinski et al. 2010, p. Laguncularia racemosa (white herbarium specimen was correctly 24). A 2014 survey found 347 plants, mangrove), Suriana maritima (bay identified, but the plant is currently suggesting the population remains cedar), Manilkara jaimiqui (wild dilly), considered to be extirpated from the stable (Maschinski et al. 2015, p. 30). Jacquinia keyensis (joewood), and historical location (J. Sadle, NPS, pers. The population at R. Hardy Matheson Borrichia frutescens (bushy seaside comm. 2014). Preserve had declined from 31 plants in oxeye) (Florida Natural Areas Inventory Current Range, Population Estimates, 2004 to just 1 woody plant and 3 (FNAI) 2010a, p. 1). and Status seedlings in 2008. However, the Coastal berms are deposited by storm The current range of Dalea population increased to 330 and 200 waves along low-energy coasts. Their carthagenensis var. floridana includes seedlings in 2009 and 2010, distance inland depends on the height BCNP (Monroe and Collier Counties), respectively. The most recent surveys of the storm surge. Tall berms may be three Miami-Dade County conservation indicated stable populations of 98 and the product of repeated storm areas, and three unprotected lands 307 individuals, in 2014 and 2015, deposition. Coastal berms that are within the Cutler Bay region of Miami- respectively (Maschinski et al. 2010, p. deposited far enough inland and remain Dade County (Maschinski et al. 2014, p. 30; 2014, p. 34). long-undisturbed may in time succeed 39) to hammock. This is a structurally In 2003, Dalea carthagenensis var. In 1999, Dalea carthagenensis var. floridana was discovered within coastal variable community that may appear in floridana was rediscovered within various stages of succession following uplands at Crandon Park for the first BCNP (Bradley and Gann 1999, p. 42). time since 1966 (Maschinski et al. 2010, storm disturbance, from scattered Maschinski et al. (2014, p. 31) p. 28). The population at Crandon Park herbaceous beach-colonizing plants to a subsequently surveyed the four extant appears to be stable; however, it is dense stand of tall shrubs (FNAI 2010a, populations on BCNP, finding them at highly localized to a small area of p. 2). two locations. An area north of Oasis approximately 145 m2 (Possley and Historical Range Visitor Center contained 236 plants (of various ages) and represents the largest Maschinski 2009, p. 10). During 2007, All known historical and current extant population within BCNP. The FTBG initiated a demographic study of records for Dalea carthagenensis var. second extant population was in the the species. Sampling plots found 200 floridana are summarized in table 4. Pinecrest region (along Loop Road) of plants of various sizes, resulting in a The historical range of D. BCNP, an historic location within the population estimate of 966 plants at the carthagenensis var. floridana includes Park; however, only 17 plants were site (J. Maschinski, pers. comm. 2007; Miami-Dade, Monroe, Collier, and Palm encountered. The species was not found Possley and Maschinski 2009, p. 10). Beach Counties (Gann et al. 2015, pp. at 11-Mile Road, or at a second location Subsequent surveys have shown the 25–26). There have been no reports of along Loop Road during the surveys. population to vary considerably, this plant from Palm Beach County Maschinski et al. (2014, pp. 31–34) possibly due to a short lifespan or plant since 1918 (Bradley and Gann 1999, p. have extensively surveyed extant Dalea dormancy (Possley and Maschinski 42). In Miami-Dade County, the species carthagenensis var. floridana 2009, p. 10). Surveys at Crandon Park has been extirpated from a number of populations at Charles Deering Estate, R. identified 288 and 168 individuals, in historical locations, including Castellow Hardy Matheson Preserve, and Crandon 2014 and 2015, respectively Hammock, ENP, the Coral Gables area, Park within Miami-Dade County over (Maschinski et al. 2015, p. 32). pinelands south of the Miami River, and the past decade. Additional known populations within Cox Hammock (Bradley and Gann 1999, During 2003 to 2007, the population Miami-Dade County are summarized in pp. 42–43; Maschinski et al. 2014, p. at Charles Deering Estate ranged from table 4.

TABLE 4—SUMMARY OF THE STATUS AND TRENDS OF THE KNOWN OCCURRENCES OF DALEA CARTHAGENENSIS VAR. FLORIDANA

Most recent population Population Ownership estimate Status Trend

Everglades National Park .... National Park Service ...... Extirpated (1964). Big Cypress National Pre- National Park Service ...... 236 (2013) ...... Extant ...... Insufficient data. serve, North of Oasis Vis- itor Center. Big Cypress National Pre- National Park Service ...... 0 (2013) ...... Extirpated (2014) ...... Insufficient data. serve, 11-Mile Road. Big Cypress National Pre- National Park Service ...... 17 (2013) ...... Extant ...... Insufficient data. serve, Pinecrest. Charles Deering Estate ...... Miami-Dade County ...... 347 (2014) ...... Extant ...... Stable.

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TABLE 4—SUMMARY OF THE STATUS AND TRENDS OF THE KNOWN OCCURRENCES OF DALEA CARTHAGENENSIS VAR. FLORIDANA—Continued

Most recent population Population Ownership estimate Status Trend

Virginia Key (reintroduction) City of Miami ...... 4 (2010) ...... Extant ...... Insufficient data. R. Hardy Matheson Pre- Miami-Dade County ...... 307 (2015) ...... Extant ...... Stable. serve. Crandon Park ...... Miami-Dade County ...... 168 (2015) ...... Extant ...... Stable. Strawberry Fields Hammock Private ...... 17 (2014) ...... Extant ...... Insufficient data. (next to Natural Forest Community). HRS, Inc...... Private ...... 21 (2014) ...... Extant ...... Insufficient data. Florida Power and Light Florida Power and Light ..... 2–10 (2007) ...... Extant ...... Insufficient data. property. Coral Gables area ...... Private ...... Extirpated (1967). Cox Hammock ...... Private ...... Extirpated (1930). Castellow Hammock Pre- Miami-Dade County ...... Extirpated (1975). serve. Pineland South of Miami Unknown ...... Unknown ...... Unknown. River. Palm Beach County ...... Private ...... Extirpated (1918).

Biology recruitment and good seedling survival; by development (i.e., conversion to both Life History and Reproduction however, if high rainfall followed cold urban and agricultural land uses) and winter temperatures, as was noted for inadequate fire management. Each of Dalea carthagenensis var. floridana winter 2010, seedling mortality was these threats and its specific effects on appears to be a short-lived (less than 7 high (Maschinski et al. 2014, p. 41). these plants are discussed in detail years) perennial with a persistent seed below. bank (Maschinski et al. 2014, p. 45). The Fire Ecology and Demography Human Population Growth, species produces flowers from October There have been no studies of Dalea Development, and Agricultural to March, and fruit ripen from carthagenensis var. floridana Conversion November to April. The seed maturation relationship to fire; however, periodic period is January to May, with a peak fire is extremely important to The modification and destruction of in February and March. Larger plants maintaining habitat for this species the habitats that support Sideroxylon can produce more than 500 seeds. (Maschinski et al. 2014, p. 47). reclinatum ssp. austrofloridense, Seedling recruitment varies widely from Therefore, historical declines have been Digitaria pauciflora, Chamaesyce year to year, with lower recruitment in partially attributed to habitat loss from deltoidea ssp. pinetorum, and Dalea drier years. Seedlings and juveniles fire suppression or inadequate fire carthagenensis var. floridana has been experience rapid growth in their first 2 management. extreme in most areas of Miami-Dade years (Maschinski et al. 2014, p. 45). and Monroe Counties, thereby reducing The plants can stand partial inundation Summary of Biological Status and the plants’ current range and abundance with fresh water for a portion of the Threats in Florida. The pine rockland year, but do not tolerate salinity. The Act directs us to determine community of south Florida, in which Maschinski et al. (2014, p. 41) used whether any species is an endangered these species primarily occur, is ongoing survey data from the Crandon species or a threatened species because critically imperiled locally and globally Park population to conduct a of any factors affecting its continued (FNAI 2010, p. 62). Destruction of pine preliminary population viability existence. In this section, we summarize rocklands and rockland hammocks has analysis (PVA). The population at the biological condition of each of the occurred since the beginning of the Crandon Park declined by 33 percent plant species and its resources, and the 1900s. Extensive land-clearing for from 2007 to 2009. High seedling influences on such, to assess the human population growth, recruitment increased numbers in 2010, species’ overall viability and the risks to development, and agriculture in Miami- which stabilized the population until that viability. Dade and Monroe Counties has altered, 2014, when a pulse of high recruitment degraded, or destroyed thousands of Factor A. The Present or Threatened occurred. The demographic study acres of these once-abundant Destruction, Modification, or indicated that 3 years had declining ecosystems. Curtailment of Its Habitat or Range population growth and 4 years were In Miami-Dade County, development stable or increasing, a cyclic pattern Sideroxylon reclinatum ssp. and agriculture have reduced pine characteristic of short-lived species. The austrofloridense, Digitaria pauciflora, rockland habitat by 90 percent in PVA indicated that the external cues Chamaesyce deltoidea ssp. pinetorum, mainland south Florida. Pine rockland (temperature and soil moisture) required and Dalea carthagenensis var. floridana habitat in Miami-Dade County, to break dormancy positively influenced have experienced substantial including ENP, was reduced to about 11 Dalea carthagenensis var. floridana destruction, modification, and percent of its natural extent, from population dynamics. However, if curtailment of their habitat and range approximately 74,000 ha (183,000 ac) in coupled with seedling mortality, serious (see Background, above). Specific the early 1900s, to only 8,140 ha (20,100 population decline resulted. Low winter threats to these plants included in this ac) in 1996 (Kernan and Bradley 1996, temperature coupled with average factor include habitat loss, p. 2). The largest remaining intact pine rainfall resulted in high seedling fragmentation, and modification caused rockland (approximately 2,313 ha (5,716

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ac)) is Long Pine Key in ENP. Outside pine rocklands outside of ENP within Miami River, and Cox Hammock of ENP, only about 1 percent of the pine Miami-Dade County, most of which are (Bradley and Gann 1999, pp. 42–43; rocklands on the Miami Rock Ridge impacted be some degree by Maschinski et al. 2014, p. 39). In have escaped clearing, and much of development. Two privately owned addition, there have been no reports of what is left are small remnants scattered sites in Miami-Dade County supporting this species from Palm Beach County throughout the Miami metropolitan Sideroxylon reclinatum ssp. since 1918, and this area is now densely area, isolated from other natural areas austrofloridense are vulnerable to developed (Bradley and Gann 1999, p. (Herndon 1998, p. 1). Habitat loss habitat loss from development. Eight 42). Six populations occur on public continues to occur in these plants’ sites that support the species are public lands and are protected from range, and most remaining suitable land, which provides for some development. Three extant populations habitat has been negatively altered management and protection. However, occur on private land and are vulnerable through human activity (illegal clearing, one population on public land, the to habitat loss from development. dumping), preclusion of fire, and county-owned Nixon-Smiley Preserve, Currently, there are plans to develop introduction of nonnative species. is extirpated due to inadequate 55 ha (137 ac) of the largest remaining Significant remaining pine rockland management. parcel of pine rockland habitat in habitat occurs on private lands and Both extant populations of Digitaria Miami-Dade County, the Richmond Pine publicly owned lands that are not pauciflora are located at ENP and BCNP, Rocklands, with a shopping center and dedicated to or managed for which are public lands managed for residential construction (Ram 2014, p. conservation. Species occurrences and conservation. However, D. pauciflora is 2). Bradley and Gann (1999, p. 4) called suitable habitat remaining on these extirpated from four sites outside ENP the 345-ha (853-ac) Richmond Pine lands are threatened by habitat loss and and BCNP, which comprise half of the Rocklands, ‘‘the largest and most degradation, and threats are expected to species’ historical range (Bradley and important area of pine rockland in accelerate with increased development. Gann 1999, p. 25; Gann 2015, p. 167). Miami-Dade County outside of The human population within Miami- Outside the protected lands of ENP and Everglades National Park.’’ Although Dade County is currently greater than BCNP, Digitaria pauciflora occurred both Digitaria pauciflora and 2.4 million people, and the population throughout Miami-Dade County, Chamaesyce deltoidea ssp. pinetorum is expected to grow to more than 4 including as recently as 1995 within the have been extirpated from Richmond million by 2060, an annual increase of pine rockland and marl prairie habitats Pine Rocklands, populations of roughly 30,000 people (Zwick and Carr of the Martinez Pineland. Martinez Sideroxylon reclinatum ssp. 2006, p. 20). Some of the known Pineland is adjacent to several other Austrofloridense, along with numerous populations of Sideroxylon reclinatum remnant pine rocklands that form the other federally listed species, still occur ssp. austrofloridense, Digitaria largest contiguous area of pine rockland there. pauciflora, Chamaesyce deltoidea ssp. habitat in Miami-Dade County. The Miami-Dade County Department pinetorum, and Dalea carthagenensis However, D. pauciflora has since of Environmental Resources var. floridana occur on public disappeared (Herndon 1998, p. 88; Management has completed a conservation lands. Miami-Dade County Bradley and Gann 1999, p. 49) from management plan for portions of the has developed a network of publicly Martinez Pineland, and plans are being Richmond Pine Rocklands under a grant owned conservation lands within reviewed for development of private from the Service and is leading the Miami-Dade County, but prescribed fire portions (see discussion of Richmond restoration and management of the is lacking at many of these sites. ENP Pine Rocklands, below). Gordon et al. Richmond Pine Rocklands (Bradley and and BCNP actively manage their (2007, pp. 1, 38) did not document other Gann 1999, p. 4). The developer has respective pine rockland habitat with extant D. pauciflora populations during proposed to enter into a Habitat prescribed fire (tables 1–4). However, surveys to map rare and exotic plants Conservation Plan in conjunction with any extant populations of these plants along FDOT right-of-ways within their plans to develop their portion of or suitable habitat that may occur on Miami-Dade and Monroe Counties. the site and was required by Miami- non-conservation public or private land, Three other historical occurrences in Dade County Natural Forest Community such as within the Richmond Pine Miami-Dade County had been (NFC) regulations to set aside and Rocklands, are vulnerable to habitat loss documented; however, no population manage 17 ha (43 ac) of pine rockland directly from development or indirectly estimates were made prior to these areas and associated habitats. A second by lack of management. being destroyed by habitat loss. project that would result in the loss of The marl prairie habitat that also Eight populations of Chamaesyce pine rockland habitat has been proposed supports Sideroxylon reclinatum ssp. deltoidea ssp. pinetorum located on for the Richmond Pine Rocklands. It austrofloridense, Digitaria pauciflora, private land are vulnerable to habitat includes expanding the Miami Zoo Chamaesyce deltoidea ssp. pinetorum, loss due to development. Ten extant complex to develop an amusement park and Dalea carthagenensis var. floridana populations occur on public land and and commercial entities. These has similarly been destroyed by the are largely protected from development. development projects will result in the rapid development of Miami-Dade and A historical population of Chamaesyce loss of pine rockland habitat that Monroe Counties. At least some of the deltoidea ssp. pinetorum within Larry maintains a population of Sideroxylon occurrences reported from this habitat and Penny Thompson Park (also part of reclinatum ssp. austrofloridense as well may be the result of colonization that the Richmond Pine Rocklands) has been as several federally listed species, and occurred after the habitat was artificially extirpated due to lack of prescribed fire may preclude future recovery options dried-out due to local or regional (J. Possley, FTBG, pers. comm. 2011). for the four plants (such as drainage. Marl prairie on non- Dalea carthagenensis var. floridana compromising the land managers ability conservation public or private land has been extirpated from a number of to burn within Richmond Pine remains vulnerable to development, historical locations within Miami-Dade Rocklands). which could lead to the loss of County, including ENP for unknown populations of the species. reasons, and by development at Habitat Fragmentation Sideroxylon reclinatum ssp. Castellow Hammock, in the Coral The remaining pine rocklands in the austrofloridense occurs in numerous Gables area, the pinelands south of the Miami metropolitan area are severely

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fragmented and isolated from each behavior (Rathcke and Jules 1993, pp. marked decrease in the number of other. Habitat fragmentation reduces the 273–275; Kremen and Ricketts 2000, p. herbaceous species due to the effects of size of plant populations, and increases 1227; Harris and Johnson 2004, pp. 30– shading and litter accumulation (FNAI spatial isolation of remnants. Barrios et 33). As a result, plants in fragmented 2010, p. 63). Exclusion of fire for al. (2011, p. 1062) investigated the habitats may experience lower visitation approximately 25 years will likely result effects of fragmentation on a threatened rates, which in turn may result in in gradual hammock development over pine rockland plant, Angadenia berteroi reduced seed production of the that time period, leaving a system that (pineland golden trumpet), and found pollinated plant (which may lead to is very fire resistant if additional pre-fire that abundance and fragment size were reduced seedling recruitment), reduced management (e.g., mechanical positively related. Possley et al. (2008, pollen dispersal, increased inbreeding, hardwood removal) is not undertaken. p. 385) studied the effects of fragment reduced genetic variability, and Today, natural fires are unlikely to size on species composition in south ultimately reduced population viability occur or are likely to be suppressed in Florida pine rocklands, and found that (Rathcke and Jules 1993, p. 275; the remaining, highly fragmented pine plant species richness and fragment size Goverde et al. 2002, pp. 297–298; Harris rockland habitat. The suppression of were positively correlated (although and Johnson 2004, pp. 33–34). natural fires has reduced the size of the some small fragments supported nearly The effects of fragmentation on fire go areas that burn, and habitat as many species as the largest fragment). beyond edge effects and include fragmentation has prevented fire from Composition of fragmented habitat reduced likelihood and extent of fires, moving across the landscape in a typically differs from that of intact and altered behavior and characteristics natural way. Without fire, successional forests, as isolation and edge effects (e.g., intensity) of those fires that do climax from pine rockland to rockland increase leading to increased abundance occur. Habitat fragmentation encourages hammock takes 10 to 25 years, and of disturbance-adapted species (weedy the suppression of naturally occurring displacement of native species by species, nonnative invasive species) and fires, and has prevented fire from invasive nonnative plants often occurs. lower rates of pollination and propagule moving across the landscape in a All occurrences of Sideroxylon dispersal (Laurence and Bierregaard natural way, resulting in an increased reclinatum ssp. austrofloridense, 1997, pp. 347–350.; Noss and Csuti amount of habitat suffering from these Digitaria pauciflora, Chamaesyce 1997, pp. 284–299). negative impacts. High fragmentation of deltoidea ssp. pinetorum, and Dalea The degree to which fragmentation small habitat patches within an urban carthagenensis var. floridana are threatens the dispersal abilities of matrix discourages the use of prescribed affected by some degree of inadequate Sideroxylon reclinatum ssp. fire as well due to logistical difficulties fire management, with the primary austrofloridense, Digitaria pauciflora, (see Fire Management, below). threat being shading by hardwoods Chamaesyce deltoidea ssp. pinetorum, Forest fragments in urban settings are (Bradley and Gann 1999, p. 15; Bradley and Dalea carthagenensis var. floridana also subject to increased likelihood of and Gann 2005, page numbers not is unknown. In the historical landscape, certain types of human-related applicable). Shading may also be caused where pine rockland occurred within a disturbance, such as the dumping of by a fire-suppressed (and, in some cases, mosaic of wetlands, water may have trash (Chavez and Tynon 2000, p. 405) planted) pine canopy that has evaded acted as a dispersal vector for all pine and illegal clearing. The many effects of the natural thinning effects that fire has rockland seeds. In the current habitat fragmentation may work in on seedlings and smaller trees. Gann fragmented landscape, this type of concert to threaten the local persistence dispersal would no longer be possible of a species, especially of small (2013, pers. comm.) indicates this is also for any of the Miami-Dade populations, populations (see discussion below); a threat to pine rockland habitat on the because they exist in isolated habitat when a species’ range of occurrence is Miami Rock Ridge. Understory plants patches surrounded by miles of limited, as with these four plants, such as Sideroxylon reclinatum ssp. unsuitable habitat (agriculture and threats to local persistence increase austrofloridense, Digitaria pauciflora, urban development) on every side. extinction risk. Chamaesyce deltoidea ssp. pinetorum, and Dalea carthagenensis var. floridana While additional dispersal vectors may Fire Management include animals and (in certain are shaded out after just 10 years locations) mowing equipment, it is One of the primary threats to without fire, by hardwoods and likely that fragmentation has effectively Sideroxylon reclinatum ssp. nonnatives alike. reduced these plants’ ability to disperse. austrofloridense, Digitaria pauciflora, Whether the dense canopy is While pollination research has not Chamaesyce deltoidea ssp. pinetorum, composed of pine, hardwoods, been conducted for Sideroxylon and Dalea carthagenensis var. floridana nonnatives, or a combination, seed reclinatum ssp. austrofloridense, is habitat modification and degradation germination and establishment are Digitaria pauciflora, Chamaesyce through inadequate fire management, inhibited in fire-suppressed habitat due deltoidea ssp. pinetorum, and Dalea which includes both the lack of to accumulated leaf litter, which also carthagenensis var. floridana, research prescribed fire and suppression of changes soil moisture and nutrient regarding other species and ecosystems natural fires. Where the term ‘‘fire- availability (Hiers et al. 2007, pp. 811– provides valuable information regarding suppressed’’ is used below, it describes 812). This alteration to microhabitat can potential effects of fragmentation to degraded pine rockland conditions also inhibit seedling establishment as these plants. Effects of fragmentation resulting from a lack of adequate fire well as negatively influence flower and may include changes to the pollinator (natural or prescribed) in the landscape. fruit production (Wendelberger and community as a result of limitation of Historically, frequent (approximately Maschinski 2009, pp. 849–851), thereby pollinator-required resources (e.g., twice per decade), lightning-induced reducing sexual reproduction in fire- reduced availability of rendezvous fires were a vital component in adapted species such as Sideroxylon plants, nesting and roosting sites, and maintaining native vegetation and reclinatum ssp. austrofloridense, nectar/pollen); these changes may ecosystem functioning within south Digitaria pauciflora, Chamaesyce include changes to pollinator Florida pine rocklands (see Status deltoidea ssp. pinetorum, and Dalea community composition, species Assessment, above). A period of just 10 carthagenensis var. floridana (Geiger abundance and diversity, and pollinator years without fire may result in a 2002, pp. 78–79, 81–83).

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After an extended period of rocklands. Prescribed fire in ENP was prolonged or insufficient fire inadequate fire management in pine originally conducted during the dry management may pose to local rocklands, it becomes necessary to season. Fire management was gradually populations of an imperiled species, control invading native hardwoods shifted to wet-season burning in an even on public conservation lands. mechanically, since excess growth of effort to better mimic natural lightning- Implementation of a prescribed fire native hardwoods would result in a hot ignited fire patterns. As a result, program in Miami-Dade County has fire, which can cause mortality of pines pinelands and marl prairies in ENP been hampered by a shortage of and destroys the rootstocks and seed where S. reclinatum ssp. resources, and by logistical difficulties banks of other native plants. Mechanical austrofloridense, D. pauciflora, and C. and public concern related to burning treatments cannot entirely replace fire deltoidea ssp. pinetorum occur have next to residential areas. Many homes because pine trees, understory shrubs, been burned in both the wet season and have been built in a mosaic of pine grasses, and herbs all contribute to an dry season. Long-term maintenance of rockland, so the use of prescribed fire in ever-increasing layer of leaf litter, populations in those areas indicates that many places has become complicated covering herbs and preventing either practice will sustain populations because of potential danger to structures germination, as discussed above. Leaf of these species. and smoke generated from the burns. litter will continue to accumulate even Federal (Service, NPS), State (Florida Nonprofit organizations such as IRC if hardwoods are removed Department of Environmental Protection have similar difficulties in conducting mechanically. In addition, the ashes left (FDEP), Florida Fish and Wildlife prescribed burns due to difficulties with by fires provide important post-fire Conservation Commission (FWC), and permitting and obtaining the necessary nutrient cycling, which is not provided County (Miami-Dade DERM) land permissions as well as hazard insurance via mechanical removal. managers, and nonprofit organizations limitations (Gann 2013, pers. comm.). The impacts of fire on Sideroxylon (Institute for Regional Conservation Few private landowners have the means reclinatum ssp. austrofloridense, (IRC)) implement prescribed fire on and/or desire to implement prescribed Digitaria pauciflora, Chamaesyce public and private lands within the fire on their property, and doing so in deltoidea ssp. pinetorum, and Dalea ranges of Sideroxylon reclinatum ssp. a fragmented urban environment is carthagenensis var. floridana are not austrofloridense, Digitaria pauciflora, logistically difficult and may be costly. entirely understood. Fire is critical in Chamaesyce deltoidea ssp. pinetorum, One of the few privately owned pine maintaining the open understory and and Dalea carthagenensis var. floridana. rocklands that is successfully managed species diversity in pine rocklands and While management of some County with prescribed burning is Pine Ridge marl prairies where these species occur, conservation lands includes regular Sanctuary, located in a more as well as to reduce populations of burning, other lands remain severely agricultural (less urban) matrix of nonnative plant species. Fire maintains fire-suppressed. Even in areas under Miami-Dade, which was last burned in the ecotone (transition) between saw active management, some portions are November 2010 (Glancy 2013, pers. grass marsh, pine rockland, and typically fire-suppressed. Nevertheless, comm.) and retains populations of both rockland hammock habitats where S. all of these sites retain a contingent of Sideroxylon reclinatum ssp. reclinatum ssp. austrofloridense grows. native species and a seedbank capable austrofloridense and Chamaesyce Some natural mortality of Sideroxylon of responding to fire. deltoidea ssp. pinetorum. Similarly, reclinatum ssp. austrofloridense, While ENP, BCNP, and various extant populations of Dalea Digitaria pauciflora, Chamaesyce Miami-Dade County conservation lands carthagenensis var. floridana within the deltoidea ssp. pinetorum, and Dalea (e.g., Navy Wells Pineland Preserve) privately owned Charles Deering Estate carthagenensis var. floridana may occur each attempt to administer prescribed and County-owned Crandon Park, are from fire, especially more intense fires. burns, the threat of inadequate fire managed with fire. S. reclinatum ssp. austrofloridense and management still remains. The pine C. deltoidea ssp. pinetorum grow in wet rocklands in the Long Pine Key region Conservation Efforts To Reduce the marl soils and soil deposits within of ENP remained largely fire-suppressed Present or Threatened Destruction, cracks in the limestone bedrock, which for the past decade as the Park updated Modification, or Curtailment of Habitat provides protection to the roots and its fire management plan. Although or Range allows plants to resprout following fire. prescribed fire was returned to Long Miami-Dade County Environmentally C. deltoidea ssp. pinetorum, in Pine Key in early 2016, many areas Endangered Lands Covenant Program particular, possesses a well-developed retained substantial amounts of rootstock that is protected from fire unburned understory vegetation. As a In 1979, Miami-Dade County enacted (ENP 2014, p. 203). Herndon (1998, p. result, despite reintroduction of a fire the Environmentally Endangered Lands 28) pointed out that the life history of regime, several large-scale wildfires (EEL) Covenant Program, which reduces C. deltoidea ssp. pinetorum includes a ignited during the spring months of taxes for private landowners of natural cryptic stage, making interpretation of 2016, which burned up to 50 percent of forest communities (NFCs; pine mortality of aboveground parts difficult. the pine rocklands in Long Pine Key. rocklands and tropical hardwood Currently, limited information is Ultimately, this combination of hammocks) who agree not to develop available on differences in mortality or prescribed burns and natural fires (if not their property and manage it for a long-term population impacts of too hot or lasting too long) is likely to period of 10 years, with the option to Sideroxylon reclinatum ssp. improve conditions for Sideroxylon renew for additional 10-year periods austrofloridense, Digitaria pauciflora, reclinatum ssp. austrofloridense, (Service 1999, p. 3–177). Although these Chamaesyce deltoidea ssp. pinetorum, Digitaria pauciflora, and Chamaesyce temporary conservation easements and Dalea carthagenensis var. floridana deltoidea ssp. pinetorum populations provide valuable protection for their resulting from wet or dry season burns. within ENP. For example, at 3 to 6 duration, they are not considered under Indirect evidence suggests that burning months post-burn, these species appear Factor D, below, because they are in either season is suitable to maintain to be recolonizing burned areas (Sadle, voluntary agreements and not regulatory populations of S. reclinatum ssp. pers. comm. 2016; Salvato, pers. obs. in nature. Miami-Dade County currently austrofloridense, D. pauciflora, and C. 2016). However, this chain of events has approximately 59 pine rockland deltoidea ssp. pinetorum in pine also demonstrated the threat that properties enrolled in this program,

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preserving 69.4 ha (172 ac) of pine and natural stochastic events are conservation measures for Sideroxylon rockland habitat (Johnson 2012, pers. monitored and actively managed in reclinatum ssp. austrofloridense, comm.). The program also has areas where the taxon is known to Digitaria pauciflora, Chamaesyce approximately 21 rockland hammocks occur. These programs are long term deltoidea ssp. pinetorum, or Dalea properties enrolled in this program, and ongoing in Miami-Dade County; carthagenensis var. floridana. preserving 20.64 ha (51 ac) of rockland however, programs are limited by the Summary of Factor A hammock habitat (Joyner 2013b, pers. availability of annual funding. In comm.). The vast majority of these particular, fire management remains We have identified a number of properties are small, and many are in inadequate at many sites. threats to the habitat of the Sideroxylon need of habitat management such as Since 2005, the Service has funded reclinatum ssp. austrofloridense, prescribed fire and removal of IRC to facilitate restoration and Digitaria pauciflora, Chamaesyce nonnative invasive plants. Thus, while management of privately owned pine deltoidea ssp. pinetorum, and Dalea EEL covenant lands have the potential rockland habitats in Miami-Dade carthagenensis var. floridana that have to provide valuable habitat for these County. These programs included operated in the past, are impacting these plants and reduce threats in the near prescribed burns, nonnative plant species now, and will continue to term, the actual effect of these control, light debris removal, hardwood impact them in the future. Habitat loss, conservation lands is largely determined management, reintroduction of pines fragmentation, and degradation and by whether individual land owners where needed, and development of associated pressures from increased follow prescribed EEL management management plans. One of these human population are major threats; plans and NFC regulations (see Local programs, called the Pine Rockland these threats are expected to continue, under Factor D). Initiative, includes 10-year cooperative placing these plants at greater risk. agreements between participating Sideroxylon reclinatum ssp. Fee Title Properties landowners and the Service/IRC to austrofloridense, Digitaria pauciflora, In 1990, Miami-Dade County voters ensure restored areas will be managed Chamaesyce deltoidea ssp. pinetorum, approved a 2-year property tax to fund appropriately during that time. and Dalea carthagenensis var. floridana the acquisition, protection, and Although most of these objectives have may be impacted when pine rocklands maintenance of natural areas by the EEL been achieved, IRC has not been able to are converted to other uses or when lack Program. The EEL Program purchases conduct the desired prescribed burns, of fire causes the conversion to and manages natural lands for due to logistical difficulties as discussed hardwood hammocks or other preservation. Land uses deemed above (see Fire Management). unsuitable habitats. incompatible with the protection of the On public lands, including Service, natural resources are prohibited by Connect To Protect Program NPS, and Miami-Dade County-owned current regulations; however, the FTBG, with the support of various lands, implementation of prescribed fire County Commission ultimately controls Federal, State, local, and nonprofit has not been sufficient because of legal what may happen with any County organizations, has established the constraints (permitting requirements) property, and land use changes may ‘‘Connect to Protect Network.’’ The and inadequate funding. Any occur over time (Gil 2013, pers. comm.). objective of this program is to encourage populations of these four plants found To date, the Miami-Dade County EEL widespread participation of citizens to on private property could be destroyed Program has acquired a total of create corridors of healthy pine due to lack of protection. Although approximately 313 ha (775 ac) of pine rocklands by planting stepping stone efforts are being made to conserve rockland, and 95 ha (236 ac) of rockland gardens and rights-of-way with native natural areas and apply prescribed fire, hammocks (Guerra 2015 pers. comm.; pine rockland species, and restoring most pine rocklands remain in poor fire Gil 2013, pers. comm.). The EEL isolated pine rockland fragments. By condition, and the long-term effects of Program also manages approximately doing this, FTBG hopes to increase the large-scale and wide-ranging habitat 314 ha (777 ac) of pine rocklands and probability that pollination and seed modification, destruction, and 639 ha (1,578 ac) of rockland hammocks dispersal vectors can find and transport curtailment will last into the future, owned by the Miami-Dade County seeds and pollen across developed areas while ongoing habitat loss due to Parks, Recreation and Open Spaces that separate pine rockland fragments to population growth, development, and Department, including some of the improve gene flow between fragmented agricultural conversion continues to largest remaining areas of pine rockland plant populations and increase the pose a threat to these species outside of habitat on the Miami Rock Ridge likelihood that these plants will persist conservation lands. outside of ENP (e.g., Larry and Penny over the long term. Although these Therefore, based on the best Thompson Park, Zoo Miami pinelands, projects may serve as valuable information available, we have and Navy Wells Pineland Preserve), and components toward the conservation of determined that the threats to some of the largest remaining areas of pine rockland species and habitat, they Sideroxylon reclinatum ssp. rockland hammocks (e.g., Matheson are dependent on continual funding, as austrofloridense, Digitaria pauciflora, Hammock Park, Castellow Hammock well as participation from private Chamaesyce deltoidea ssp. pinetorum, Park, and Deering Estate Park and landowners, both of which may vary and Dalea carthagenensis var. floridana Preserves). through time. from habitat destruction, modification, Conservation efforts in Miami’s EEL or curtailment are occurring throughout National Park Service Lands Preserves have been under way for the entire range of these species and are many years. In Miami-Dade County, The NPS General Management Plans expected to continue into the future. conservation lands are and have been (GMPs) for ENP (NPS 2015) and BCNP monitored by FTBG and IRC, in (BCNP 2008) serve to protect, restore, Factor B. Overutilization for coordination with the EEL Program, to and maintain natural and cultural Commercial, Recreational, Scientific, or assess habitat status and determine any resources at the ecosystem level. Educational Purposes changes that may pose a threat to or Although these GMPs are not regulatory, The best available data do not alter the abundance of these species. and their implementation is not indicate that overutilization for Impacts to habitat via nonnative species mandatory, they do include commercial, recreational, scientific, or

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educational purposes are a threat to Digitaria pauciflora, Chamaesyce highway; or selling or offering for sale Sideroxylon reclinatum ssp. deltoidea ssp. pinetorum, and Dalea any plant listed in the Index as austrofloridense, Digitaria pauciflora, carthagenensis var. floridana within the endangered must have a permit from the Chamaesyce deltoidea ssp. pinetorum, Everglades and ENP and BCNP are State at all times when engaged in any or Dalea carthagenensis var. floridana. protected by NPS regulations at 36 CFR such activities. Threats to these plants related to other 2.1, which prohibit visitors from However, subsections (8)(a) and (b) of aspects of recreation and similar human harming or removing plants, listed or the statute waive State regulation for activities (i.e., not related to otherwise, from ENP or BCNP. However, certain classes of activities for all overutilization) are discussed in Factor the regulation does not address actions species on the Regulated Plant Index, E. taken by NPS that cause mortality, or including the clearing or removal of habitat loss or modification. NPS regulated plants for agricultural, Factor C. Disease or Predation regulations do not require the forestry, mining, construction No diseases or incidences of application of prescribed fire or (residential, commercial, or predation have been reported for voluntary recovery actions for listed infrastructure), and fire-control Sideroxylon reclinatum ssp. species. activities by a private landowner or his austrofloridense, Digitaria pauciflora, In addition to occurring on ENP and or her agent. On the other hand, section Chamaesyce deltoidea ssp. pinetorum, BCNP, Sideroxylon reclinatum ssp. (10) of the statute provides for or Dalea carthagenensis var. floridana. austrofloridense, Digitaria pauciflora, consultation similar to section 7 of the Factor D. The Inadequacy of Existing Chamaesyce deltoidea ssp. pinetorum, Federal Act for listed species by Regulatory Mechanisms and Dalea carthagenensis var. floridana requiring the Department of may occur (we do not have recent Transportation to notify the FDACS and Under this factor, we examine surveys) on Federal lands within the the Endangered Plant Advisory Council whether threats to these plants that are Richmond Pine Rocklands, including of planned highway construction at the discussed under the other factors are lands owned by the U.S. Coast Guard time bids are first advertised, to continuing due to an inadequacy of an and the National Oceanic and facilitate evaluation of the project for existing regulatory mechanism. Section Atmospheric Association (NOAA; small listed plant populations, and to 4(b)(1)(A) of the Act requires the Service portion of Martinez Pineland). There are ‘‘provide for the appropriate disposal of to take into account ‘‘those efforts, if no Federal protections for candidate such plants’’ (i.e., transplanting). any, being made by any State or foreign species, including these four plants, on Local nation, or any political subdivision of a these properties. Otherwise, these plants State or foreign nation, to protect such occur primarily on State, County, or In 1984, Section 24–49 of the Code of species. . . .’’ In relation to Factor D, private land (Tables 1–4), and Miami-Dade County established we interpret this language to require the development of these areas will likely regulation of County-designated NFCs, Service to consider relevant Federal, require no Federal permit or other which include both pine rocklands and State, and tribal laws, regulations, and authorization. Therefore, projects that tropical hardwood hammocks. These other such mechanisms that may affect them are usually not analyzed regulations were placed on specific minimize any of the threats we describe under the National Environmental properties throughout the county by an in threat analyses under the other four Policy Act (NEPA) (42 U.S.C. 4321 et act of the Board of County factors, or otherwise enhance seq.). Commissioners in an effort to protect conservation of the species. We give environmentally sensitive forest lands. State strongest weight to statutes and their The Miami-Dade County Department of implementing regulations and to Sideroxylon reclinatum ssp. Regulatory and Economic Resources has management direction that stems from austrofloridense, Digitaria pauciflora, regulatory authority over NFCs and is those laws and regulations. An example Chamaesyce deltoidea ssp. pinetorum, charged with enforcing regulations that would be State governmental actions and Dalea carthagenensis var. floridana provide partial protection on the Miami enforced under a State statute or are listed on the Sate of Florida’s Rock Ridge. Miami-Dade Code typically constitution or Federal action under Regulated Plant Index as endangered allows up to 20 percent of a pine statute. under Chapter 5B–40, Florida rockland designated as NFC to be Having evaluated the impact of the Administrative Code. This listing developed, and requires that the threats as mitigated by any such provides little or no habitat protection remaining 80 percent be placed under a conservation efforts, we analyze under beyond the State’s Development of perpetual covenant. In certain Factor D the extent to which existing Regional Impact process, which circumstances, where the landowner regulatory mechanisms address the discloses impacts from projects, but can demonstrate that limiting specific threats to the species. provides no regulatory protection for development to 20 percent does not Regulatory mechanisms, if they exist, State-listed plants on private lands. allow for ‘‘reasonable use’’ of the may reduce or eliminate the impacts Florida Statutes 581.185 sections property, additional development may from one or more identified threats. In (3)(a) and (b) prohibit any person from be approved. NFC landowners are also this section, we review existing Federal, willfully destroying or harvesting any required to obtain an NFC permit for State, and local regulatory mechanisms species listed as endangered or any work, including removal of to determine whether they effectively threatened on the Index, or growing nonnatives within the boundaries of the reduce or remove threats to Sideroxylon such a plant on the private land of NFC on their property. The NFC reclinatum ssp. austrofloridense, another, or on any public land, without program is responsible for ensuring that Digitaria pauciflora, Chamaesyce first obtaining the written permission of NFC permits are issued in accordance deltoidea ssp. pinetorum, and Dalea the landowner and a permit from the with the limitations and requirements of carthagenensis var. floridana. Florida Department of Plant Industry. the code and that appropriate NFC The statute further provides that any preserves are established and Federal person willfully destroying or maintained in conjunction with the Populations of Sideroxylon harvesting; transporting, carrying, or issuance of an NFC permit. The NFC reclinatum ssp. austrofloridense, conveying on any public road or program currently regulates

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approximately 600 pine rockland or State Park regulations provide carthagenensis var. floridana to some pine rockland/hammock properties, protection for plants within Florida degree (Bradley 2006, pp. 25–26; comprising approximately 1,200 ha State Parks. The NFC program in Miami Bradley and Gann 1999, pp. 18–19; (3,000 ac) of habitat (Joyner 2013a, pers. is designed to protect rare and Bradley and Saha 2009, p. 25; Bradley comm.). important upland (non-wetlands) and van der Heiden 2013, pp. 12–16). Although the NFC program is habitats in south Florida; however, this As a result of human activities, at least designed to protect rare and important regulatory strategy has several 277 taxa of nonnative plants have upland (non-wetlands) habitats in south limitations (as described above) that invaded pine rocklands throughout Florida, this regulatory strategy has reduce its ability to protect S. south Florida (Service 1999, p. 3–175). limitations. For example, in certain reclinatum ssp. austrofloridense, D. Schinus terebinthifolius (Brazilian circumstances where landowners can pauciflora, C. deltoidea ssp. pinetorum, pepper) and Neyraudia neyraudiana demonstrate that limiting development and D. carthagenensis var. floridana and (Burma reed) affect these species to 20 percent does not allow for their habitats. (Bradley and Gann 1999, pp. 13, 72). ‘‘reasonable use’’ of the property, Although most populations of Brazilian pepper, a nonnative tree, is the additional development may be Sideroxylon reclinatum ssp. most widespread and one of the most approved. Furthermore, Miami-Dade austrofloridense, Digitaria pauciflora, invasive species. It forms dense thickets County Code provides for up to 100 Chamaesyce deltoidea ssp. pinetorum, of tangled, woody stems that completely percent of the NFC to be developed on and Dalea carthagenensis var. floridana shade out and displace native vegetation a parcel in limited circumstances for are afforded some level of protection (Loflin 1991, p. 19; Langeland and parcels less than 2.02 ha (5 ac) in size because they are on public conservation Craddock Burks 1998, p. 54). Lygodium and requires coordination with the lands, existing regulatory mechanisms microphyllum (Old World climbing landowner only if the landowner plans have not led to a sufficient reduction of fern) is also a serious threat throughout to develop property or perform work threats posed to these plants by a wide south Florida. within the NFC designated area. As array of sources (see discussions under Nonnative plants in pine rocklands such, the majority of the existing private Factors A and E). can also affect the characteristics of a forested NFC parcels consists of isolated fire when it does occur. Historically, Factor E. Other Natural or Manmade fragments, without management pine rocklands had an open, low Factors Affecting Its Continued obligations or preserve designation, as understory where natural fires remained Existence development has not been proposed at patchy with low temperature intensity. a level that would trigger the NFC Other natural or manmade factors S. ssp. austrofloridense, D. pauciflora, regulatory requirements. Often, affect Sideroxylon reclinatum ssp. C. deltoidea ssp. pinetorum, and D. nonnative vegetation over time begins to austrofloridense, Digitaria pauciflora, carthagenensis var. floridana thrive dominate and degrade the undeveloped Chamaesyce deltoidea ssp. pinetorum, under this fire regime. However, dense and unmanaged NFC landscape until it and Dalea carthagenensis var. floridana infestations of Neyraudia neyraudiana no longer meets the legal threshold of an to varying degrees, including the spread and Schinus terebinthifolius cause NFC, which requires the land to be of nonnative invasive plants, potentially higher fire temperatures and longer dominated by native vegetation. When incompatible management practices burning periods. development of such degraded NFCs is (such as mowing and herbicide use), These nonnative species occur proposed, Miami-Dade County Code direct impacts to plants from recreation throughout the ranges of the four plants. requires delisting of the degraded areas and other human activities, small In ENP and BCNP, invasives tend to be as part of the development process. population size and isolation, climate fewer due to the insularity of these sites Property previously designated as NFC change, and the related risks from and the NPS’s control programs. is removed from the list even before environmental stochasticity (extreme Nevertheless, most areas require annual development is initiated because of the weather) on small populations. Each of treatments to remove incipient abundance of nonnative species, making these threats and its specific effect on invasions. Management of nonnative it no longer considered to be these species are discussed in detail invasive plants in pine rocklands in jurisdictional or subject to the NFC below. Miami-Dade County is further protection requirements of Miami-Dade complicated because the vast majority of Nonnative Plant Species County Code (Grossenbacher 2013, pers. pine rocklands are small, fragmented comm.). Nonnative invasive plants compete areas bordered by urban development. with native plants for space, light, Areas near managed pine rockland that Summary of Factor D water, and nutrients, and make habitat contain nonnative species can act as a Currently, Sideroxylon reclinatum conditions unsuitable for Sideroxylon seed source of nonnatives allowing ssp. austrofloridense, Digitaria reclinatum ssp. austrofloridense, them to continue to invade the pauciflora, Chamaesyce deltoidea ssp. Digitaria pauciflora, Chamaesyce surrounding pine rockland (Bradley and pinetorum, and Dalea carthagenensis deltoidea ssp. pinetorum, and Dalea Gann 1999, p. 13). var. floridana are found on Federal, carthagenensis var. floridana, which Nonnative plant species are also a State, and County lands; however, there prefer open conditions. Bradley and concern on private lands, where often is no regulatory mechanism in place Gann (1999, pp. 13, 71–72) indicated they are not controlled due to associated that provides substantive protection of that the control of nonnative plants is costs, lack of interest, or lack of actual habitat or of potentially suitable one of the most important conservation knowledge of detrimental impacts to the habitat at this time. NPS regulations actions for the four plants and a critical ecosystem. Undiscovered populations of provide some protection at ENP and part of habitat maintenance. Sideroxylon reclinatum ssp. BCNP sites, whichprotect the largest Nonnative plants have significantly austrofloridense, Digitaria pauciflora, and best managed populations. State affected pine rocklands, and negatively Chamaesyce deltoidea ssp. pinetorum, regulations provide protection against impact all occurrences of Sideroxylon and Dalea carthagenensis var. floridana trade, but allow private landowners or reclinatum ssp. austrofloridense, on private lands could certainly be at their agents to clear or remove species Digitaria pauciflora, Chamaesyce risk. Overall, active management is on the Florida Regulated Plant Index. deltoidea ssp. pinetorum, and Dalea necessary to control for nonnative

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species and to protect unique and rare working with BCNP to determine the deltoidea ssp. pinetorum, and Dalea habitats where these plants occur extent to which ORVs are affecting all carthagenensis var. floridana, so (Snyder et al. 1990, p. 273). three species at this site, particularly D. whether these plants exhibit such a pauciflora, since it is one of only two threshold is not known. Mowing sites where the species is known to Reduced genetic variability generally While no studies have investigated exist. Damage from ORV use has also diminishes a species’ capacity to adapt the effect of mowing on Sideroxylon been documented for Dalea and respond to environmental changes, reclinatum ssp. austrofloridense, carthagenensis var. floridana within the thereby decreasing the probability of Digitaria pauciflora, Chamaesyce Charles Deering Estate (J. Possley, pers. long-term persistence (e.g., Barrett and deltoidea ssp. pinetorum, or Dalea comm. 2008, 2009). Kohn 1991, p. 4; Newman and Pilson carthagenensis var. floridana, research Dalea carthagenensis var. floridana at 1997, p. 361). Very small plant has been conducted on the federally the R. Hardy Matheson Preserve is also populations may experience reduced endangered Linum carteri var. carteri impacted by illegal mountain biking reproductive vigor due to ineffective (which also occurs in pine rocklands). (Bradley and Gann 1999, pp. 43–45). In pollination or inbreeding depression. The study found significantly higher the past, this pineland fragment was Isolated individuals have difficulty densities of plants at the mown sites heavily used by mountain bikers. In achieving natural pollen exchange, where competition with other plants is response Miami-Dade County has which limits the production of viable decreased (Maschinski et al. 2007, p. erected fencing to protect this site, seed. The problems associated with 56). However, plants growing on mown which appears to have reduced this small population size and vulnerability sites were shorter, which may affect threat (Bradley and Gann 1999, p. 43). to random demographic fluctuations or fruiting magnitude. While mowing did natural catastrophes are further not usually kill adult plants, it could Effects of Small Population Size and magnified by synergistic (interaction of delay reproduction if it occurred prior Isolation two or more components) effects with to plants reaching reproductive status Endemic species whose populations (Maschinski et al. 2007, pp. 56–57). If exhibit a high degree of isolation are other threats, such as those discussed such mowing occurs repeatedly, extremely susceptible to extinction from above (Factors A and C). Tables 1, 2, 3, reproduction of those plants would be both random and nonrandom and 4 above list the population sizes entirely eliminated. Maschinski et al. catastrophic natural or human-caused and the geographic ranges for S. (2008, p. 28) recommended adjusting events. Species that are restricted to reclinatum ssp. austrofloridense, D. the timing of mowing to occur at least geographically limited areas are pauciflora, C. deltoidea ssp. pinetorum, 3 weeks after flowering is observed to inherently more vulnerable to extinction and D. carthagenensis var. floridana. allow a higher probability of adults than widespread species because of the For example, table 2 lists Digitaria setting fruit prior to the mowing event. increased risk of genetic bottlenecks, pauciflora as having 2 extant With flexibility and proper instructions random demographic fluctuations, populations (ENP and BCNP), one to land managers and ground crews, effects of climate change, and localized estimated at 1,000–10,000 plants and mowing practices could be catastrophes such as hurricanes and the other with greater than 10,000 implemented in such a way as to scatter disease outbreaks (Mangel and Tier plants. The Service does not consider seeds and reduce competition with little 1994, p. 607; Pimm et al. 1988, p. 757). these as small populations; however, a effect on population reproductive These problems are further magnified large wildfire or severe flooding could output for the year (Maschinski et al. when populations are few and restricted be catastrophic. As shown in 2016, D. 2008, p. 28). The exact impacts of to a very small geographic area, and pauciflora was impacted by fire in ENP mowing also depend on the timing of when the number of individuals is very and flooding in ENP and BCNP, proving rainfall prior to and following mowing, small. Populations with these that the small geographic extent of the and the numbers of plants in the characteristics face an increased existing populations is not sufficient to population that have reached a likelihood of stochastic extinction due eliminate the risk posed by large-scale reproductive state. to changes in demography, the disturbances. environment, genetics, or other factors Effects of Climate Change Recreation and Other Human Activities (Gilpin and Soule 1986, pp. 24–34). Recreational use of off-road vehicles Small, isolated populations, such as Climatic changes, including sea level (ORV) is a threat to Sideroxylon those in fragmented habitat, often rise (SLR), are major threats to the flora reclinatum ssp. austrofloridense, exhibit reduced levels of genetic of south Florida, including Sideroxylon Digitaria pauciflora, and Dalea variability, although the ultimate effect reclinatum ssp. austrofloridense, carthagenensis var. floridana of these changes is dependent on a Digitaria pauciflora, Chamaesyce occurrences within BCNP (K. Bradley et plant’s specific life history, reproductive deltoidea ssp. pinetorum, or Dalea al. 2013, p. 3). Operators frequently veer system, and interaction with pollinators carthagenensis var. floridana. Our off established trails, and plants can be and dispersal vectors (which may analyses under the Act include harmed or destroyed (Bradley and Gann themselves be affected by consideration of ongoing and projected 1999, p. 43). BCNP manages ORV access fragmentation) (Young et al. 1996, p. changes in climate. With regard to our using a permit system, regulations, and 413). While research results clearly analysis for Sideroxylon reclinatum ssp. designated trails. However, there are indicate that isolation/fragmentation has austrofloridense, Digitaria pauciflora, over 1,000 miles of ORV trails in BCNP, population genetic consequences for Chamaesyce deltoidea ssp. pinetorum, and only one enforcement officer plants, consequences are varied and for or Dalea carthagenensis var. floridana, (Pernas pers. comm., 2016), making some species there may be a downscaled projections suggest that enforcement of designated ORV trails a ‘‘fragmentation threshold’’ below which SLR is the largest climate-driven challenge. Current aerial imagery from genetic variation is not lost (Young et al. challenge to low-lying coastal areas in the Lostman’s Pine area of BCNP, where 1996, p. 416). No such studies have the subtropical ecoregion of southern Digitaria pauciflora occurs, shows a been conducted for Sideroxylon Florida (U.S. Climate Change Science criss-cross pattern of multiple ORV reclinatum ssp. austrofloridense, Program (USCCSP) 2008, pp. 5–31, 5– trails through the area. The Service is Digitaria pauciflora, Chamaesyce 32).

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The long-term record at Key West Massachusetts Institute of Technology (IPCC 2008, p. 57; USCCSP 2008, p. 7– shows that sea level rose on average (MIT) modeled several scenarios 6). 0.229 cm (0.090 in) annually between combining various levels of SLR, The Science and Technology 1913 and 2013 (NOAA 2013, p. 1). This temperature change, and precipitation Committee of the Miami-Dade County equates to approximately 22.9 cm (9.02 differences with human population Climate Change Task Force (Wanless et in) over the last 100 years. IPCC (2008, growth, policy assumptions, and al. 2008, p. 1) recognized that p. 28) emphasized it is very likely that conservation funding changes (see significant SLR is a very real threat to the average rate of SLR during the 21st Alternative Future Landscape Models, the near future for Miami-Dade County. century will exceed the historical rate. below). All of the scenarios, from small In a January 2008 statement, the Heat trapped by greenhouse gases climate change shifts to major changes, committee warned that sea level is causes atmospheric warming, but the indicate significant effects on coastal expected to rise at least 0.9–1.5 m (3– ocean is a vast heat sink where most of Miami-Dade County. 5 ft) within this century (Wanless et al. the increased heat energy is stored. As Decades prior to inundation, pine 2008, p. 3). With a 0.9–1.2 m (3–4 ft) the water increases in temperature, its rocklands are likely to undergo rise in sea level (above baseline) in volume expands. Due to the thermal vegetation shifts related to climate Miami-Dade County, spring high tides dynamic properties of water, as change, triggered by changes to would be at about 6 to 7 ft; freshwater projected temperatures increase, so does hydrology (wetter), salinity (higher) and resources would be gone; the Everglades the volume of the ocean, and the rate of increasing vulnerability to storm surge would be inundated on the west side of expansion. As a result, most models (pulse events causing massive erosion Miami-Dade County; the barrier islands show a dramatic increase in the rate of and salinization of soils) (Saha et would be largely inundated; storm SLR rise by mid-century. The IPCC al.2011, p. 82). Hydrology has a strong surges would be devastating; landfill Special Report on Emission Scenarios influence on plant distribution in these sites would be exposed to erosion (2000, entire) presented a range of and other coastal areas (IPCC 2008, p. contaminating marine and coastal scenarios based on the computed 57). Such communities typically grade environments. Freshwater and coastal amount of change in the climate system from saltwater to brackish to freshwater mangrove wetlands will not keep up due to various potential amounts of species. From the 1930s to 1950s, with or offset SLR of 2 ft per century or anthropogenic greenhouse gases and increased salinity of coastal waters greater. With a 5-ft rise (spring tides at aerosols in 2100. Each scenario contributed to the decline of cabbage nearly +8 ft), the land area of Miami- Dade County will be extremely describes a future world with varying palm forests in southwest Florida diminished (Wanless et al. 2008, pp. 3– levels of atmospheric pollution leading (Williams et al. 1999, pp. 2056–2059), to corresponding levels of global 4). expansion of mangroves into adjacent Drier conditions and increased warming and corresponding levels of marshes in the Everglades (Ross et al. SLR. The IPCC Synthesis Report (2007, variability in precipitation associated 2000, pp. 101, 111), and loss of pine with climate change are expected to entire) provided an integrated view of rockland in the Keys (Ross et al. 1994, climate change and presented updated hamper successful regeneration of pp. 144, 151–155). In one Florida Keys forests and cause shifts in vegetation projections of future climate change and pine rockland with an average elevation related impacts under different types through time (Wear and Greis of 0.89 m (2.9 ft), Ross et al. (1994, pp. scenarios. 2012, p. 39). Although this issue has not 149–152) observed an approximately 65 Subsequent to the 2007 IPCC Report, been well studied, existing pine the scientific community has continued percent reduction in an area occupied rocklands have probably been affected to model SLR. Recent peer-reviewed by South Florida slash pine over a 70- by reductions in the mean water table. publications indicate a movement year period, with pine mortality and Climate changes are also forecasted to toward increased acceleration of SLR. subsequent increased proportions of extend fire seasons and the frequency of Observed SLR rates are already trending halophytic (salt-loving) plants occurring large fire events throughout the Coastal along the higher end of the 2007 IPCC earlier at the lower elevations. During Plain (Wear and Greis 2012, p. 43). estimates, and it is now widely held that this same time span, local sea level had These factors will likely cause an SLR will exceed the levels projected by risen by 15 cm (6.0 in), and Ross et al. increase in wildfires and exacerbate the IPCC (Rahmstorf et al. 2012, p. 1; (1994, p. 152) found evidence of complications related to prescribed Grinsted et al. 2010, p. 470). Taken groundwater and soil water salinization. burning (i.e., less predictability related together, these studies support the use Extrapolating this situation to pine to rainfall, fuel moisture, and winds) or of higher end estimates now prevalent rocklands on the mainland is not other management needed to restore and in the scientific literature. Recent straightforward, but indications are that maintain habitat for the four plants. studies have estimated global mean SLR similar changes to species composition While restoring fire to pine rocklands is of 1–2 m (3.3–6.6 ft) by 2100 as follows: could arise if current projections of SLR essential to the long-term viability of 0.75–1.90 m (2.5–6.2 ft; Vermeer and occur and freshwater inputs are not Sideroxylon reclinatum ssp. Rahmstorf 2009, p. 21530), 0.8–2.0 m sufficient to prevent salinization. austrofloridense, Digitaria pauciflora, (2.6–6.6 ft; Pfeffer et al. 2008, p. 1342), Furthermore, Ross et al. (2009, pp. 471– Chamaesyce deltoidea ssp. pinetorum, 0.9–1.3 m (3.0–4.3 ft; Grinsted et al. 478) suggested that interactions between and Dalea carthagenensis var. floridana 2010, pp. 469–470), 0.6–1.6 m (2.0–5.2 SLR and pulse disturbances (e.g., storm populations, increases in the scale, ft; Jevrejeva et al. 2010, p. 4), and 0.5– surges) can cause vegetation to change frequency, or severity of wildfires could 1.40 m (1.6–4.6 ft; National Resource sooner than projected based on sea level have negative effects on these plants Council 2012, p. 2). alone. Alexander (1953, pp. 133–138) considering their general vulnerability Other processes expected to be attributed the demise of pinelands on due to small population size, restricted affected by projected warming include northern Key Largo to salinization of the range, few occurrences, and relative temperatures, rainfall (amount, seasonal groundwater in response to SLR. isolation. Big, hot wildfires can destroy timing, and distribution), and storms Patterns of human development will essential habitat features of pine (frequency and intensity) (discussed also likely be significant factors rockland habitat. In addition, hot burns more specifically under Environmental influencing whether natural with long residence times (which are Stochasticity, below). The communities can move and persist more likely under wildfire conditions)

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can also sterilize the soil seed bank and elevation, transitioning from mangroves austrofloridense and Dalea cause a demographic crash in plant at sea level to salinity-intolerant interior carthagenensis var. floridana, would populations. habitats, including pine rocklands and likely be lost or significantly impacted hardwood hammocks within an by shifts in vegetation communities. Alternative Future Landscape Models elevation change of 2 m (6.5 ft) above Populations of Sideroxylon reclinatum To accommodate the large uncertainty sea level. As a result, a rise of 1 m (3.3 ssp. austrofloridense, Chamaesyce in SLR projections, researchers must ft) in sea level is expected to render deltoidea ssp. pinetorum, and Dalea estimate effects from a range of coastal systems susceptible to increased carthagenensis var. floridana would scenarios. Various model scenarios erosion and cause these areas to likely remain only at the highest developed at MIT and GeoAdaptive Inc. transition from upland forest habitats to elevations along the Miami Rock Ridge. have projected possible trajectories of saline wetland habitats. In addition, many existing pine future transformation of the south Prior to the onset of sustained rockland fragments are projected to be Florida landscape by 2060 based upon inundation, there will be irreversible developed for housing as the human four main drivers: climate change, shifts changes in vegetation composition population grows and adjusts to in planning approaches and regulations, within these habitats. Shifts in habitat changing sea levels under this scenario. human population change, and toward hydric and saline ecosystems variations in financial resources for may occur decades in advance of full Further or Additional Impacts Expected conservation. The scenarios do not inundation, rendering the habitat Beyond 2060 account for temperature, precipitation, unsuitable for salt-intolerant species Further direct losses to extant or species habitat shifts due to climate including S. reclinatum ssp. populations of all four plants are change, and no storm surge effects are austrofloridense, D. pauciflora, C. expected due to habitat loss and considered. The current MIT scenarios deltoidea ssp. pinetorum, and D. modification from SLR through 2100. range from an SLR of 0.09–1.0 m (0.3– carthagenensis var. floridana (Saha et We analyzed existing sites that support 3.3 ft) by 2060 (Vargas-Moreno and al.2011, p. 82). As interior habitats populations of the four plants using the Flaxman 2010, pp. 1–6). become more saline there will be a National Oceanic and Atmospheric Based on the most recent estimates of reduction in freshwater inflows to the Administration (NOAA) Sea Level Rise anticipated SLR, the upward trend in estuarine portions of ENP and BCNP, and Coastal Impacts viewer. Below we recent projections toward the higher accelerating losses in salinity-intolerant discuss general implications of sea level range of earlier SLR estimates coastal plant communities (Saha et al. rise within the range of projections (discussed above), and the data 2011, p. 105), such as S. reclinatum ssp. discussed above on the current available to us at this time, we evaluated austrofloridense, D. pauciflora, C. distribution of these species. The NOAA potential effects of SLR using the deltoidea ssp. pinetorum, or D. tool uses 1-foot increments. Our current ‘‘high’’ range MIT scenario as carthagenensis var. floridana. analysis is based on 0.91 m (3 ft) and 1.8 well as comparing elevations of Actual impacts may be greater or less m (6 ft) of SLR. remaining pine rockland fragments and than anticipated based upon the high Based on a higher SLR of 1.8 m (6 ft), extant and historical occurrences of variability of factors involved (e.g., SLR, as projected by NOAA, much larger Sideroxylon reclinatum ssp. human population growth) and portions of urban Miami-Dade County, austrofloridense, Digitaria pauciflora, assumptions made, but based on the including conservation areas, such as Chamaesyce deltoidea ssp. pinetorum, current ‘‘high’’ range MIT scenario, pine Navy Wells Pineland Preserve, will be and Dalea carthagenensis var. floridana. rocklands, marl prairies and associated inundated by 2100. Under such a 1.8- The ‘‘high’’ range (or ‘‘worst case’’) MIT habitats along the coast in central and meter SLR projection, both extant scenario assumes high SLR (1 m (3.3 ft) southern Miami-Dade County would populations of D. pauciflora in ENP and by 2060), low financial resources, a become inundated. The ‘‘new’’ sea level BCNP would be almost entirely ‘‘business as usual’’ approach to would occur at the southern end of the inundated by 2100, and the species will planning, and a doubling of human Miami Rock Ridge (the eastern edge of be extinct. Several extant occurrences of population. the Everglades). However, in decades Sideroxylon reclinatum ssp. The rate of SLR will increase as time prior to the fully anticipated sea level austrofloridense, Chamaesyce deltoidea passes. This is due to atmospheric and rise, changes in the water table and ssp. pinetorum, and Dalea ocean warming and the thermal increased soil salinity from partial carthagenensis var. floridana would expansion properties of water. In SLR inundation and storm surge will result also be lost. The western part of urban models the rate of sea level rise is in vegetation shifts within BCNP, ENP, Miami-Dade County would also be projected to increase dramatically and conservation lands on the southern inundated (barring creation of sea walls around mid-century. Miami Rock Ridge. Inundation will or other barriers), creating a virtual Most populations of Sideroxylon result in pine rocklands gaining island of the Miami Rock Ridge. reclinatum ssp. austrofloridense, increased marl prairie characteristics. Following a 1.8-m (6-ft) rise in sea Digitaria pauciflora, and Chamaesyce Marl prairies, in turn, will transition to level, approximately 75 percent of deltoidea ssp. pinetorum occur at sawgrass or more hydric conditions, due presently extant pine rocklands on the elevations less than 2 m (6.6 ft) above to increased inundation. Miami Rock Ridge would still remain sea level, making these species highly As a result, species such as Digitaria above sea level. However, an unknown susceptible to increased storm surges pauciflora and Sideroxylon reclinatum percentage of remaining pine rockland and related impacts associated with ssp. austrofloridense, which are most fragments would be negatively impacted SLR. Areas of the Miami Rock Ridge in abundant within the ecotone between by water table and soil salinization, Miami-Dade County (located to the east pine rocklands and marl prairies, will which would be further exacerbated due of ENP and BCNP) are higher elevation gradually decline as these habitat types to isolation from mainland fresh water (maximum of 7 m [22 ft] above sea level) merge and eventually disappear. Under flows. than those in BCNP (FNAI 2010, p. 62). this scenario, by 2060, all extant Projections of SLR above 1.8 m (6 ft) However, plant communities along populations of Digitaria pauciflora, as indicate that very little pine rockland South Florida’s low-lying coasts are well as the largest populations of would remain, with the vast majority organized along a mild gradient in Sideroxylon reclinatum ssp. either being inundated or experiencing

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vegetation shifts, resulting in the influences, these species are at magnitude, direction, and distribution extirpation of all known populations of substantial risk from hurricanes, storm of all of these changes at the regional Digitaria pauciflora, Sideroxylon surges, and other extreme weather. level are difficult to project. reclinatum ssp. austrofloridense, Depending on the location and intensity Freezing Temperatures Chamaesyce deltoidea ssp. pinetorum, of a hurricane or other severe weather and Dalea carthagenensis var. floridana. event, it is possible that the plants could Occasional freezing temperatures that become extirpated or extinct. occur in south Florida pose a risk to Environmental Stochasticity Hurricanes, storm surge, and extreme Sideroxylon reclinatum ssp. Endemic species whose populations high tide events are natural events that austrofloridense, Digitaria pauciflora, exhibit a high degree of isolation and can negatively impact these four plants. Chamaesyce deltoidea ssp. pinetorum, narrow geographic distribution, such as Hurricanes and tropical storms can or Dalea carthagenensis var. floridana, Sideroxylon reclinatum ssp. modify habitat (e.g., through storm causing damage or death to individual austrofloridense, Digitaria pauciflora, surge) and have the potential to destroy plants. Under normal circumstances, Chamaesyce deltoidea ssp. pinetorum, entire populations, physically washing occasional freezing temperatures would and Dalea carthagenensis var. floridana, them away or leaving soil too saline for not result in a significant impact to are extremely susceptible to extinction them to persist. Climate change may populations of these plants; however, from both random and nonrandom lead to increased frequency and the small size of some populations catastrophic natural or human-caused duration of severe storms (Golladay et means the loss from freezing events of events. Small populations of species, al. 2004, p. 504; McLaughlin et al. 2002, even a few individuals can reduce the without positive growth rates, are p. 6074; Cook et al. 2004, p. 1015). viability of the population. considered to have a high extinction Sideroxylon reclinatum ssp. Hydrology and Everglades Restoration risk from site-specific demographic and austrofloridense, Digitaria pauciflora, environmental stochasticity (Lande Chamaesyce deltoidea ssp. pinetorum, Hydrology is a key ecosystem 1993, pp. 911–927). or Dalea carthagenensis var. floridana component that affects rare plant The climate of southern Florida is experienced these disturbances distributions and their viability (Gann et driven by a combination of local, historically, but had the benefit of more al. 2006, p. 4). Historically, sheet flow regional, and global events, regimes, and abundant and contiguous habitat to from Shark River Slough and Taylor oscillations. There are three main buffer them from extirpations. With Slough did not reach the upland ‘‘seasons’’: (1) the wet season, which is most of the historical habitat having portions of Long Pine Key, but during hot, rainy, and humid from June been destroyed or modified, the few the wet season increased surface water through October; (2) the official remaining populations of these species flow in sloughs generated a rise in hurricane season that extends one could face local extirpations due to ground water across the region (Gann et month beyond the wet season (June 1 stochastic events. al. 2006, p. 4). Water flow through Long through November 30), with peak Other processes to be affected by Pine Key was originally concentrated in season being August and September; climate change, related to marl prairies, traversing in a north-south and (3) the dry season, which is drier environmental stochasticity, include direction; however, construction of the and cooler, from November through temperatures, rainfall (amount, seasonal main ENP road dissected Long Pine Key May. In the dry season, periodic surges timing, and distribution), and storms in an east-west direction, thereby of cool and dry continental air masses (frequency and intensity). Temperatures impeding sheet flow across this area influence the weather with short- are projected to rise from 2–5 °C (3.6– (Gann et al. 2006, p. 4). Water was either duration rain events followed by long 9 °F) for North America by the end of impounded to the north of the main periods of dry weather. this century (IPCC 2007, pp. 7–9, 13). ENP road or diverted around the Florida is considered the most These factors will likely cause an southern portion of Long Pine Key vulnerable State in the United States to increase in wildfires and exacerbate through Taylor Slough and Shark River hurricanes and tropical storms (Florida complications related to prescribed Slough (Gann et al. 2006, p. 4). As Climate Center, http://coaps.fsu.edu/ burning or other management needed to artificial drainage became more climate_center). Based on data gathered restore and maintain habitat for the four widespread, however, regional from 1856 to 2008, Klotzbach and Gray plants. Based upon modeling, Atlantic groundwater supplies declined. (2009, p. 28) calculated the hurricane and tropical storm While projects designed to restore the climatological probabilities for each frequencies are expected to decrease historical hydrology of the Everglades State being impacted by a hurricane or (Knutson et al. 2008, pp. 1–21). By and other natural systems in southern major hurricane in all years over the 2100, there should be a 10–30 percent Florida, including ENP and BCNP 152-year timespan. Of the coastal States decrease in hurricane frequency. (collectively known as the analyzed, Florida had the highest Hurricane frequency is expected to drop Comprehensive Everglades Restoration climatological probabilities, with a 51 due to more wind shear impeding initial Plan (CERP)), are beneficial to the percent probability of a hurricane hurricane development. However, Everglades ecosystem, some may (Category 1 or 2) and a 21 percent hurricane winds are expected to produce collateral impacts to extant probability of a major hurricane increase by 5–10 percent, which will pine rockland, marl prairies, and (Category 3 or higher). From 1856 to increase storm surge heights. This is due associated habitats within the region 2015, Florida actually experienced 109 to more hurricane energy being through inundation or increased hurricanes and 36 major hurricanes. available for intense hurricanes. In hydroperiods. The effects of changes in While not every hurricane will pass addition to climate change, weather regional hydrology through restoration over south Florida, given the low variables are extremely influenced by may have impacts on the four plant population sizes and restricted ranges of other natural cycles, such as El Nin˜ o species and their habitats. Sadle (2012, Sideroxylon reclinatum ssp. Southern Oscillation with a frequency pers. comm.) suggested various CERP austrofloridense, Digitaria pauciflora, of every 4–7 years, solar cycle (every 11 projects (such as C–111 spreader canal; Chamaesyce deltoidea ssp. pinetorum, years), and the Atlantic Multi-decadal L–31N seepage barrier), specifically the and Dalea carthagenensis var. floridana Oscillation. All of these cycles influence operation of pumps and associated within locations prone to storm changes in Floridian weather. The exact detention areas along the ENP

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boundary, may influence (through County land managers. Many of the threats to Sideroxylon reclinatum ssp. excessive water discharges) select remaining populations of these plants austrofloridense, Digitaria pauciflora, portions of eastern Long Pine Key. are small and geographically isolated, Chamaesyce deltoidea ssp. pinetorum, Increased and longer-duration and genetic variability is likely low, and Dalea carthagenensis var. floridana. hydroperiods within the pine rockland increasing the inherent risk due to Sideroxylon reclinatum ssp. and marl prairie habitats where these overall low resilience of these plants. austrofloridense species occur may lead to a reduction in The threats act together to impact the amount of suitable habitat, a populations of Sideroxylon reclinatum Nine of 11 extant populations are potential reduction in the area occupied ssp. austrofloridense, Digitaria located on publicly owned conservation and a reduction in the number of pauciflora, Chamaesyce deltoidea ssp. lands. This includes 10,000–100,000 individuals found in ENP and BCNP. It pinetorum, or Dalea carthagenensis var. plants at ENP, and a small population is unclear to what extent this may occur, floridana. at BCNP, where prescribed fire if at all. In an effort to establish a implementation has improved, and Cumulative Effects of Threats baseline assessment of future hydrologic nonnative plant control efforts are modifications, long-term monitoring When two or more threats affect adequate to beneficially manage habitat transects and plots for Sideroxylon populations of Sideroxylon reclinatum for native species. In contrast, in the reclinatum ssp. austrofloridense, ssp. austrofloridense, Digitaria scattered small populations on Miami- Digitaria pauciflora, and Chamaesyce pauciflora, Chamaesyce deltoidea ssp. Dade habitat fragments, representing deltoidea ssp. pinetorum were pinetorum, and Dalea carthagenensis half of the species’ historical range, established in Long Pine Key between var. floridana, the effects of those habitat management currently is not 2003 and 2008 (Gann 2015, p. 169). threats could interact or become adequate due to the inability to conduct compounded, producing a cumulative prescribed fire. Increasing temperatures Conservation Efforts To Reduce Other adverse effect that is greater than the and changes in precipitation patterns Natural or Manmade Factors Affecting impact of either threat alone. The most associated with climate change will Continued Existence obvious cases in which cumulative likely cause an increase in wildfires and NPS, the Service, Miami-Dade adverse effects would be significant are exacerbate complications related to County, and the State of Florida have those in which small populations prescribed burning or other ongoing nonnative plant management (Factor E) are affected by threats that management needed to restore and programs to reduce threats on public result in destruction or modification of maintain habitat for the species. In the lands, as funding and resources allow. habitat (Factor A), ORV damage (Factor current, fragmented landscape, dispersal In Miami-Dade County, nonnative, E), or stochastic events, such as and genetic exchange for any of these invasive plant management is very hurricanes, storm surges, wildfires smaller Miami-Dade populations is active, with a goal to treat all publicly (Factor E). The limited distributions unlikely, because they exist in isolated owned properties at least once a year and/or small population sizes of many habitat patches surrounded by miles of and more often in many cases. IRC and populations of S. reclinatum ssp. unsuitable habitat (agriculture and FTBG conduct research and monitoring austrofloridense, D. pauciflora, C. urban development). Two privately in various natural areas within Miami- deltoidea ssp. pinetorum, and D. owned sites in Miami supporting extant Dade County and the Florida Keys for carthagenensis var. floridana make populations are vulnerable to various endangered plant species and them extremely susceptible to the development. The largest populations nonnative, invasive species. For the four detrimental effects of further habitat (ENP and BCNP) are vulnerable to plants, monitoring detects declines that modification, degradation, and loss, as hydrologic changes related to lead to small population size, changes well as other anthropogenic threats. Everglades restoration projects and SLR. in habitat due to SLR, and declines due Mechanisms leading to the decline of S. SLR projections suggest future to stochastic events. For nonnatives, reclinatum ssp. austrofloridense, D. inundation and modification to the monitoring is an integral part of efforts pauciflora, C. deltoidea ssp. pinetorum, majority of Sideroxylon reclinatum ssp. to detect and control invasive plant and and D. carthagenensis var. floridana, as austrofloridense habitat in ENP and animal species. discussed above, range from local (e.g., BCNP by 2060. Decades prior to agriculture) to regional (e.g., inundation, however, pine rocklands, Summary of Factor E development, fragmentation, nonnative marl prairies, and associated habitats We have discussed threats from other species) to global influences (e.g., effects within ENP and BCNP will undergo natural or manmade factors including: of climate change, SLR). The synergistic habitat transitions toward wetter, salt- nonnative invasive plants, management effects of threats, such as impacts from tolerant plant communities, practices (such as mowing and hurricanes on a species with a limited hydrological changes, and increasing herbicide use), recreation (including distribution and small populations, vulnerability to storm surge. Although ORV use), effects from small population make it difficult to predict population the effects of SLR within urban Miami- size and isolation, limited geographic viability. While these stressors may act Dade fragments may be less severe, range, and stochastic events including in isolation, it is more probable that these pine rocklands will, at a hurricanes, storm surges, and wildfires. many stressors are acting minimum, experience partial Additionally, these plants are simultaneously (or in combination) on inundations and vegetation shifts. In particularly vulnerable to the effects of populations of S. reclinatum ssp. addition, many existing Miami-Dade climate change, including SLR, as austrofloridense, D. pauciflora, C. pine rockland fragments are projected to changes in the water table, increased deltoidea ssp. pinetorum, and D. be developed for housing as the human soil salinity from partial inundation, carthagenensis var. floridana, making population grows and adjusts to and storm surge will likely result in them more vulnerable. changing sea levels under this scenario. vegetation shifts in the decades prior to the fully anticipated sea level rise. Some Proposed Determination Digitaria pauciflora of these threats (e.g., nonnative species) We have carefully assessed the best Only two of five historical Digitaria may be reduced on public lands due to scientific and commercial data available pauciflora locations are extant. They are active programs by Federal, State, and regarding the past, present, and future located in BCNP (>10,000 plants) and

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ENP (1,000–10,000 plants) on publicly plants at ENP and 1,000 plants at Navy Charles Deering Estate, and 307 plants owned conservation lands where habitat Wells pineland, where habitat at R. Hardy Matheson Preserve, where management (prescribed fire and management (prescribed fire and current habitat management does not nonnative plant control) is ongoing and nonnative plant control) is ongoing, and allow for prescribed fire to be conducted includes addressing a backlog of long- includes addressing a backlog of long- on a consistent basis. Higher unburned sites that could result in unburned sites that could result in temperatures and changes in larger wildfires if burns are not larger wildfires if burns are not precipitation patterns associated with implemented. In addition, although we implemented. In contrast, in the climate change will likely cause an do not have evidence of direct impacts, scattered small populations on Miami- increase in wildfires and exacerbate given the mapped overlap of ORV trails Dade habitat fragments, representing complications related to prescribed with Digitaria pauciflora locations, ORV half of the species’ historical range, burning or other management needed to use in BCNP has likely resulted in current habitat management does not restore and maintain habitat for the damage to Digitaria pauciflora plants allow for prescribed fire to be conducted species. In the current, fragmented and habitat. The scattered small on a consistent basis. Increasing landscape, dispersal and genetic populations that once occurred in temperatures and changes in exchange between Miami-Dade Miami-Dade habitat fragments, precipitation patterns associated with populations is unlikely, because they representing the remainder of the climate change will likely cause an exist in isolated habitat patches species’ historical range, are extirpated, increase in wildfires and exacerbate surrounded by miles of unsuitable and current habitat management does complications related to prescribed habitat (agriculture and urban not allow for prescribed fire to be burning or other management needed to development). Three privately owned conducted on a consistent basis. restore and maintain habitat for the sites in Miami supporting extant Increasing temperatures and changes in species. In the current, fragmented populations are vulnerable to precipitation patterns associated with landscape, dispersal and genetic development, two of which support 17 climate change will likely cause an exchange for any of these smaller and 21 plants each. The population increase in wildfires and exacerbate Miami-Dade populations is unlikely, within BCNP is vulnerable to complications related to prescribed because they exist in isolated habitat hydrological changes related to burning or other management needed to patches surrounded by miles of Everglades restoration projects and SLR. restore and maintain habitat for the unsuitable habitat (agriculture and Numerous populations of all plants species. urban development). Eight privately have been extirpated from these species’ Digitaria pauciflora previously owned sites in Miami supporting extant historical ranges, and the primary occurred within the Richmond Pine populations are vulnerable to threats of habitat destruction and Rocklands, an area that retains the development, two of which support modification resulting from human largest remaining contiguous privately 1,000–10,000 plants each. The largest population growth and development, and publicly owned pine rocklands in population (Long Pine Key, ENP) is agricultural conversion, and inadequate Miami-Dade County, outside of ENP. In vulnerable to hydrological changes fire management (Factor A); competition terms of restoring the species’ historical related to Everglades restoration projects from nonnative, invasive species (Factor range, the Richmond Pine Rocklands and SLR. E); changes in climatic conditions, would serve as one of the most SLR projections suggest future including SLR and changes in important sites in Miami-Dade County inundation and modification to the hydrology (Factor E); and natural for recovery efforts (i.e., reintroduction). majority of Chamaesyce deltoidea spp. stochastic events, including hurricanes, The largest populations (ENP and pinetorum habitat by 2060. Decades storm surges, and wildfires (Factor E) BCNP) are vulnerable to hydrological prior to inundation, however, pine are threats for the existing populations. changes related to Everglades rocklands, marl prairies, and associated Existing regulatory mechanisms have restoration projects and SLR. habitats within ENP and BCNP will not reduced or removed threats SLR projections suggest future partial undergo habitat transitions toward impacting the four plants from the other inundation and modification to the wetter, salt-tolerant plant communities, factors (see Factor D discussion). These majority of D. pauciflora habitat by hydrological changes, and increasing threats are ongoing, rangewide, and 2060. Decades prior to inundation, vulnerability to storm surge. Although expected to continue in the future. A however, pine rocklands, marl prairies, the effects of SLR within urban Miami- significant percentage of populations of and associated habitats within ENP and Dade fragments may be less severe, the four plants are relatively small and BCNP will undergo habitat transitions these pine rocklands will, at a isolated from one another, and their toward wetter, salt-tolerant plant minimum, experience partial ability to recolonize suitable habitat is communities, hydrological changes, and inundations and vegetation shifts. In unlikely without human intervention, if increase in vulnerability to storm surge. addition, many existing Miami-Dade at all. The threats have had and will Although the effects of SLR within pine rockland fragments are projected to continue to have substantial adverse urban Miami-Dade fragments may be be developed for housing as the human effects on Sideroxlyon reclinatum ssp. less severe, these pine rocklands will, at population grows and adjusts to austrofloridense, Digitaria pauciflora, a minimum, experience partial changing sea levels under this scenario. Chamaesyce deltoidea ssp. pinetorum, inundations and vegetation shifts. In and Dalea carthagenensis var. floridana Dalea carthagenensis var. floridana addition, many existing Miami-Dade and their habitats. Although attempts pine rockland fragments are projected to Six of 9 extant populations are located are ongoing to alleviate or minimize be developed for housing as the human on publicly owned conservation lands. some of these threats at certain population grows and adjusts to This total includes 253 plants at BCNP locations, all populations appear to be changing sea levels under this scenario. (Monroe County), where prescribed fire impacted by one or more threats. and nonnative plant control efforts are The Act defines an endangered Chamaesyce deltoidea ssp. pinetorum adequate to beneficially manage habitat species as ‘‘any species which is in Eleven of 20 extant populations are for native species. The two other largest danger of extinction throughout all or a located on publicly owned conservation populations occur in Miami-Dade significant portion of its range’’ and a lands. This includes 10,000–100,000 County and consist of 347 plants at threatened species as ‘‘any species

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which is likely to become an reclinatum ssp. austrofloridense, coordinate their recovery efforts and endangered species within the Digitaria pauciflora, and Chamaesyce provide estimates of the cost of foreseeable future throughout all or a deltoidea ssp. pinetorum as threatened implementing recovery tasks. Recovery significant portion of its range.’’ We find species and Dalea carthagenensis var. teams (composed of species experts, that Dalea carthagenensis var. floridana floridana as an endangered species Federal and State agencies, is presently in danger of extinction throughout all of their ranges, no nongovernmental organizations, and throughout its entire range due to the portion of their ranges can be stakeholders) are often established to immediacy and severity of threats ‘‘significant’’ for purposes of the develop recovery plans. If these species currently impacting the species. The definitions of ‘‘endangered species’’ and are listed, a recovery outline, draft risk of extinction is high because there ‘‘threatened species.’’ See the Service’s recovery plan, and the final recovery are few (9) extant populations and the SPR Policy (79 FR 37578, July 1, 2014). plan will be available on our Web site majority of the populations are small (http://www.fws.gov/endangered), or Available Conservation Measures and isolated, and have limited to no from our South Florida Ecological potential for recolonization. Therefore, Conservation measures provided to Service Field Office (see FOR FURTHER on the basis of the best available species listed as endangered or INFORMATION CONTACT). scientific and commercial information, threatened under the Act include Implementation of recovery actions we propose to list Dalea carthagenensis recognition, recovery actions, generally requires the participation of a var. floridana as an endangered species requirements for Federal protection, and broad range of partners, including other in accordance with sections 3(6) and prohibitions against certain practices. Federal agencies, States, Tribes, 4(a)(1) of the Act. We find that a Recognition through listing results in nongovernmental organizations, threatened species status is not public awareness and conservation by businesses, and private landowners. appropriate for this species because of Federal, State, Tribal, and local Examples of recovery actions include the contracted range and small agencies, private organizations, and habitat restoration (e.g., restoration of population size of Dalea carthagenensis individuals. The Act encourages native vegetation), research, captive- var. floridana and because of the current cooperation with the States and other propagation and reintroduction, and magnitude and severity of the threats on countries and calls for recovery actions outreach and education. The recovery of the plant. Because the species is already to be carried out for listed species. The many listed species cannot be in danger of extinction throughout its protection required by Federal agencies accomplished solely on Federal lands range, a threatened species status is not and the prohibitions against certain because their range may occur primarily appropriate. activities are discussed, in part, below. or solely on non-Federal lands. To Sideroxlyon reclinatum ssp. The primary purpose of the Act is the achieve recovery of these species austrofloridense, Digitaria pauciflora, conservation of endangered and requires cooperative conservation efforts and Chamaesyce deltoidea ssp. threatened species and the ecosystems on private, State, and Tribal lands. If pinetorum face threats similar to Dalea upon which they depend. The ultimate these species are listed, funding for carthagenensis var. floridana. However, goal of such conservation efforts is the recovery actions will be available from we find that endangered species status recovery of these listed species, so that a variety of sources, including Federal is not appropriate for these three they no longer need the protective budgets, State programs, and cost-share species. While we have evidence of measures of the Act. Subsection 4(f) of grants for non-Federal landowners, the threats under Factors A and E affecting the Act calls for the Service to develop academic community, and the species, large populations of these and implement recovery plans for the nongovernmental organizations. In three species are protected and actively conservation of endangered and addition, pursuant to section 6 of the managed at ENP and BCNP (Sideroxylon threatened species. The recovery Act, the State of Florida would be reclinatum ssp. austrofloridense, ENP planning process involves the eligible for Federal funds to implement (10,000–100,000 plants); Digitaria identification of actions that are management actions that promote the pauciflora, BCNP (>10,000 plants), and necessary to halt or reverse the species’ protection or recovery of the four plants. ENP (1,000–10,000 plants); and decline by addressing the threats to its Information on our grant programs that Chamaesyce deltoidea ssp. pinetorum survival and recovery. The goal of this are available to aid species recovery can ENP (10,000–100,000 plants)). Short- process is to restore listed species to a be found at: http://www.fws.gov/grants. and medium-term threats to these three point where they are secure, self- Although Sideroxylon reclinatum ssp. species in these protected areas are sustaining, and functioning components austrofloridense, Digitaria pauciflora, being addressed. On the other hand, of their ecosystems. Chamaesyce deltoidea ssp. pinetorum, SLR is projected to have profound Recovery planning includes the and Dalea carthagenensis var. floridana negative effects on the habitat of these development of a recovery outline are only proposed for listing under the plants in the foreseeable future. shortly after a species is listed and Act at this time, please let us know if Therefore, based on the best available preparation of a draft and final recovery you are interested in participating in information, we find that Sideroxlyon plan. The recovery outline guides the recovery efforts for these species. reclinatum ssp. austrofloridense, immediate implementation of urgent Additionally, we invite you to submit Digitaria pauciflora, and Chamaesyce recovery actions and describes the any new information on these plants deltoidea ssp. pinetorum are likely to process to be used to develop a recovery whenever it becomes available and any become endangered species within the plan. Revisions of the plan may be done information you may have for recovery foreseeable future throughout all or a to address continuing or new threats to planning purposes (see FOR FURTHER significant portion of its range, and we the species, as new substantive INFORMATION CONTACT). propose to list these species as information becomes available. The Section 7(a) of the Act requires threatened species in accordance with recovery plan also identifies recovery Federal agencies to evaluate their sections 3(20) and 4(a)(1) of the Act. criteria for review of when a species actions with respect to any species that may be ready for downlisting or is proposed or listed as an endangered Significant Portion of the Range delisting, and methods for monitoring or threatened species and with respect Because we have determined that we recovery progress. Recovery plans also to its critical habitat, if any is are proposing to list Sideroxylon establish a framework for agencies to designated. Regulations implementing

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this interagency cooperation provision provisions of 50 CFR 17.61, provided the effect of a proposed listing on of the Act are codified at 50 CFR part that a statement that the seeds are of proposed and ongoing activities within 402. Section 7(a)(4) of the Act requires ‘‘cultivated origin’’ accompanies the the range of species proposed for listing. Federal agencies to confer with the seeds or their container during the Based on the best available information, Service on any action that is likely to course of any activity otherwise subject the following actions are unlikely to jeopardize the continued existence of a to these regulations. result in a violation of section 9, if these species proposed for listing or result in Preservation of native flora of Florida activities are carried out in accordance destruction or adverse modification of (Florida Statutes 581.185) sections (3)(a) with existing regulations and permit proposed critical habitat. If a species is and (b) provide limited protection to requirements; this list is not listed subsequently, section 7(a)(2) of species listed in the State of Florida comprehensive: the Act requires Federal agencies to Regulated Plant Index including (1) Import any such species into, or ensure that activities they authorize, Sideroxylon reclinatum ssp. export any such species from, the fund, or carry out are not likely to austrofloridense, Digitaria pauciflora, United States; jeopardize the continued existence of Chamaesyce deltoidea ssp. pinetorum, (2) Remove and reduce to possession the species or destroy or adversely and Dalea carthagenensis var. floridana any such species from areas under modify its critical habitat. If a Federal as described under Factor D, The Federal jurisdiction; maliciously action may affect a listed species or its Inadequacy of Existing Regulatory damage or destroy any such species on critical habitat, the responsible Federal Mechanisms. Federal listing increases any such area; or remove, cut, dig up, agency must enter into consultation protection for these plants by making or damage or destroy any such species with the Service. violations of section 3 of the Florida on any other area in knowing violation Federal agency actions within these Statute punishable as a Federal offense of any law or regulation of any State or species’ habitat that may require under section 9 of the Act. This in the course of any violation of a State conference or consultation or both as provision provides increased protection criminal trespass law; described in the preceding paragraph from unauthorized collecting and (3) Deliver, receive, carry, transport, and include management and any other vandalism for the plants on State and or ship in interstate or foreign landscape-altering activities on Federal private lands, where they might not commerce, by any means whatsoever lands administered by the U.S. Fish and otherwise be protected by the Act, and and in the course of a commercial Wildlife Service, National Park Service, increases the severity of the penalty for activity, any such species; and Department of Defense; issuance of unauthorized collection, vandalism, or (4) Sell or offer for sale in interstate section 404 Clean Water Act permits by trade in these plants. or foreign commerce any such species; the Army Corps of Engineers; The Service acknowledges that it (5) Introduce any nonnative wildlife construction and management of gas cannot fully address some of the natural or plant species to the State of Florida pipeline and power line rights-of-way threats facing Sideroxylon reclinatum that competes with or preys upon by the Federal Energy Regulatory ssp. austrofloridense, Digitaria Sideroxylon reclinatum ssp. Commission; construction and pauciflora, Chamaesyce deltoidea ssp. austrofloridense, Digitaria pauciflora, maintenance of roads or highways by pinetorum, and Dalea carthagenensis Chamaesyce deltoidea ssp. pinetorum, the Federal Highway Administration; var. floridana (e.g., hurricanes, storm and Dalea carthagenensis var. floridana; and disaster relief efforts conducted by surge) or even some of the other (6) Release any unauthorized the Federal Emergency Management significant, long-term threats (e.g., biological control agents that attack any Agency. climatic changes, SLR). However, life stage of Sideroxylon reclinatum ssp. With respect to endangered plants, through listing, we provide protection to austrofloridense, Digitaria pauciflora, prohibitions outlined at 50 CFR 17.61 the known populations and any new Chamaesyce deltoidea ssp. pinetorum, make it illegal for any person subject to population of these plants that may be and Dalea carthagenensis var. floridana; the jurisdiction of the United States to discovered (see discussion below). With or import or export, transport in interstate listing, we can also influence Federal (7) Engage in unauthorized or foreign commerce in the course of a actions that may potentially impact this manipulation or modification of the commercial activity, sell or offer for sale plant (see discussion below); this habitat of Sideroxylon reclinatum ssp. in interstate or foreign commerce, or to protection is especially valuable if these austrofloridense, Digitaria pauciflora, remove and reduce to possession any plants are found at additional locations. Chamaesyce deltoidea ssp. pinetorum, such plant species from areas under We may issue permits to carry out and Dalea carthagenensis var. floridana Federal jurisdiction. In addition, for otherwise prohibited activities on Federal lands. endangered plants, the Act prohibits involving endangered plants under Questions regarding whether specific malicious damage or destruction of any certain circumstances. Regulations activities would constitute a violation of such species on any area under Federal governing permits are codified at 50 section 9 of the Act should be directed jurisdiction, and the removal, cutting, CFR 17.62 and 17.72. With regard to to the Field Supervisor of the Service’s digging up, or damaging or destroying of endangered plants, the Service may South Florida Ecological Services Office any such species on any other area in issue a permit authorizing any activity (see FOR FURTHER INFORMATION CONTACT). knowing violation of any State law or otherwise prohibited by 50 CFR 17.61 Requests for copies of regulations regulation, or in the course of any and 17.72 for scientific purposes or for regarding listed species and inquiries violation of a State criminal trespass enhancing the propagation or survival of about prohibitions and permits should law. Exceptions to these prohibitions endangered plants. be addressed to the U.S. Fish and are outlined in 50 CFR 17.62. It is our policy, as published in the Wildlife Service, Ecological Services With respect to threatened plants, the Federal Register on July 1, 1994 (59 FR Division, Endangered Species Permits, prohibitions outlined at 50 CFR 17.71 34272), to identify to the maximum 1875 Century Boulevard, Atlanta, GA include all of the provisions in 50 CFR extent practicable at the time a species 30345 (Phone 404–679–7140; Fax 404– 17.61 that apply to endangered plants, is listed, those activities that would or 679–7081). with one exception: seeds of cultivated would not constitute a violation of If Sideroxylon reclinatum ssp. specimens of species treated as section 9 of the Act. The intent of this austrofloridense, Digitaria pauciflora, threatened shall be exempt from all policy is to increase public awareness of Chamaesyce deltoidea ssp. pinetorum,

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and Dalea carthagenensis var. floridana specific areas outside the geographical determinable when one or both of the are listed under the Act, the State of area occupied by the species at the time following situations exists: (1) Florida’s Endangered Species Act it is listed upon a determination by the information sufficient to perform (Florida Statutes 581.185) is Secretary that such areas are essential required analysis of the impacts of the automatically invoked, which would for the conservation of the species. designation is lacking; or (2) the also prohibit take of these plants and Section 3(3) of the Act defines biological needs of the species are not encourage conservation by State conservation as to use and the use of all sufficiently well known to permit government agencies. Further, the State methods and procedures which are identification of an area as critical may enter into agreements with Federal necessary to bring any endangered habitat. On the basis of a review of agencies to administer and manage any species or threatened species to the available information, we find that area required for the conservation, point at which the measures provided critical habitat for Sideroxylon management, enhancement, or pursuant to the Act are no longer reclinatum ssp. austrofloridense, protection of endangered species necessary.’’ Digitaria pauciflora, Chamaesyce (Florida Statutes 581.185). Funds for Section 4(a)(3) of the Act, as deltoidea ssp. pinetorum, and Dalea these activities could be made available amended, and implementing regulations carthagenensis var. floridana is not under section 6 of the Act (Cooperation (50 CFR 424.12), require that, to the determinable because the specific with the States). Thus, the Federal maximum extent prudent and information sufficient to perform the protection afforded to these plants by determinable, the Secretary will required analysis of the impacts of the listing them as threatened or designate critical habitat at the time the designation is currently lacking. endangered species would be reinforced species is determined to be an and supplemented by protection under endangered or threatened species. Our Required Determinations State law. regulations (50 CFR 424.12(a)(1)) state Clarity of the Rule Activities that the Service believes that the designation of critical habitat is could potentially harm these four plants not prudent when one or both of the We are required by Executive Orders include, but are not limited to: following situations exist: 12866 and 12988 and by the (1) Actions that would significantly (1) The species is threatened by taking Presidential Memorandum of June 1, alter the hydrology or substrate, such as or other human activity, and 1998, to write all rules in plain ditching or filling. Such activities may identification of critical habitat can be language. This means that each rule we include, but are not limited to, road expected to increase the degree of threat publish must: construction or maintenance, and to the species, or (1) Be logically organized; residential, commercial, or recreational (2) Such designation of critical habitat (2) Use the active voice to address development. would not be beneficial to the species. readers directly; (2) Actions that would significantly There is currently no imminent threat (3) Use clear language rather than alter vegetation structure or of take attributed to collection or jargon; composition, such as clearing vegetation vandalism under Factor B for these (4) Be divided into short sections and for construction of residences, facilities, species, and identification and mapping sentences; and trails, and roads. of critical habitat is not expected to (5) Use lists and tables wherever (3) Actions that would introduce initiate any such threat. Therefore, in possible. nonnative species that would the absence of finding that the If you feel that we have not met these significantly alter vegetation structure or designation of critical habitat would requirements, send us comments by one composition. Such activities may increase threats to a species, if there are of the methods listed in ADDRESSES. To include, but are not limited to, any benefits to a critical habitat better help us revise the proposed rule, residential and commercial designation, a finding that designation your comments should be as specific as development, and road construction. is prudent is warranted. Here, the possible. For example, you should tell (4) Application of herbicides, or potential benefits of designation us the numbers of the sections or release of contaminants, in areas where include: (1) Triggering consultation paragraphs that are unclearly written, these plants occur. Such activities may under section 7 of the Act, in new areas which sections or sentences are too include, but are not limited to, natural for actions in which there may be a long, the sections where you feel lists or resource management, management of Federal nexus where it would not tables would be useful, etc. otherwise occur because, for example, it right of ways, residential and National Environmental Policy Act (42 is unoccupied; (2) focusing conservation commercial development, and road U.S.C. 4321 et seq.) construction. activities on the most essential features Questions regarding whether specific and areas; (3) providing educational We have determined that activities would constitute a violation of benefits to State or county governments environmental assessments and section 9 of the Act should be directed or private entities; and (4) preventing environmental impact statements, as to the Service’s South Florida Ecological people from causing inadvertent harm defined under the authority of the Services Field Office (see FOR FURTHER to these species. National Environmental Policy Act, INFORMATION CONTACT). Because we have determined that the need not be prepared in connection designation of critical habitat will not with listing a species as an endangered Critical Habitat likely increase the degree of threat to the or threatened species under the Section 3(5)(A) of the Act defines species and may provide some measure Endangered Species Act. We published critical habitat as ‘‘(i) the specific areas of benefit, we determine that a notice outlining our reasons for this within the geographical area occupied designation of critical habitat is prudent determination in the Federal Register by the species, at the time it is listed for Sideroxylon reclinatum ssp. on October 25, 1983 (48 FR 49244). . . . on which are found those physical austrofloridense, Digitaria pauciflora, Government-to-Government or biological features (I) essential to the Chamaesyce deltoidea ssp. pinetorum, Relationship With Tribes conservation of the species and (II) and Dalea carthagenensis var. floridana. which may require special management Our regulations (50 CFR 424.12(a)(2)) No Native American tribes are considerations or protection; and (ii) further state that critical habitat is not affected by the proposed rule.

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References Cited List of Subjects in 50 CFR Part 17 Authority: 16 U.S.C. 1361–1407; 1531– 1544; 4201–4245; unless otherwise noted. A complete list of references cited in Endangered and threatened species, this rulemaking is available on the Exports, Imports, Reporting and ■ 2. In § 17.12(h) add entries for recordkeeping requirements, Internet at http://www.regulations.gov at ‘‘Chamaesyce deltoidea ssp. Transportation. Docket No. FWS–R4–ES–2016–0090 and pinetorum’’, ‘‘Dalea carthagenensis var. upon request from the South Florida Proposed Regulation Promulgation floridana’’, ‘‘Digitaria pauciflora’’, and Ecological Services Field Office (see FOR Accordingly, we propose to amend ‘‘Sideroxylon reclinatum ssp. FURTHER INFORMATION CONTACT). part 17, subchapter B of chapter I, title austrofloridense’’ to the List of Endangered and Threatened Plants in Authors 50 of the Code of Federal Regulations, as set forth below: alphabetical order under Flowering The primary authors of this proposed Plants to read as set forth below: rule are the staff members of the South PART 17—ENDANGERED AND THREATENED WILDLIFE AND PLANTS § 17.12 Endangered and threatened plants. Florida Ecological Services Field Office. * * * * * ■ 1. The authority citation for part 17 continues to read as follows: (h) * * *

Scientific name Common name Where listed Status Listing citations and applicable rules

FLOWERING PLANTS

******* Chamaesyce deltoidea ssp. pinetorum ...... Pineland sandmat ..... Wherever found T [Federal Register citation of the final rule].

******* Dalea carthagenensis var. floridana ...... Florida prairie-clover Wherever found E [Federal Register citation of the final rule].

******* Digitaria pauciflora ...... Florida pineland crab- Wherever found T Federal Register citation of the final rule]. grass.

******* Sideroxylon reclinatum ssp. austrofloridense Everglades bully ...... Wherever found T [Federal Register citation of the final rule].

*******

Dated: September 29, 2016. Stephen Guertin Acting Director, U.S. Fish and Wildlife Service. [FR Doc. 2016–24140 Filed 10–7–16; 8:45 am] BILLING CODE 4333–15–P

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Part III

The President

Presidential Determination No. 2016–12 of September 27, 2016— Presidential Determination on Foreign Governments’ Efforts Regarding Trafficking in Persons Presidential Determination No. 2016–13 of September 28, 2016— Presidential Determination on Refugee Admissions for Fiscal Year 2017 Proclamation 9515—German-American Day, 2016

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Federal Register Presidential Documents Vol. 81, No. 196

Tuesday, October 11, 2016

Title 3— Presidential Determination No. 2016–12 of September 27, 2016

The President Presidential Determination on Foreign Governments’ Efforts Regarding Trafficking in Persons

Memorandum for the Secretary of State

Consistent with section 110 of the Trafficking Victims Protection Act of 2000 (the ‘‘Act’’) (22 U.S.C. 7107), I hereby: Make the determination provided in section 110(d)(1)(A)(i) of the Act, with respect to Equatorial Guinea, Iran, South Sudan, Sudan, Venezuela, and Zimbabwe not to provide certain non-humanitarian, non-trade-related assist- ance for those countries’ governments for Fiscal Year (FY) 2017, until such governments comply with the minimum standards or make significant efforts to bring themselves into compliance, as may be determined by the Secretary of State in a report to the Congress pursuant to section 110(b) of the Act; Make the determination provided in section 110(d)(1)(A)(ii) of the Act, with respect to Eritrea, North Korea, Russia, and Syria not to provide non-humani- tarian, non-trade-related assistance or to allow funding for participation by officials or employees of those countries’ governments in educational and cultural exchange programs for FY 2017, until such governments comply with the minimum standards or make significant efforts to bring themselves into compliance, as may be determined by the Secretary of State in a report to the Congress pursuant to section 110(b) of the Act; Make the determination provided in section 110(d)(1)(B) of the Act to instruct the United States Executive Director of each multilateral development bank and of the International Monetary Fund to vote against and use best efforts to deny any loan or other utilization of the funds of the respective institution (other than for humanitarian assistance, for trade-related assistance, or for development assistance that directly addresses basic human needs, is not administered by the government of such country, and confers no benefit to that government) to Eritrea, Iran, North Korea, Russia, and Zimbabwe for FY 2017, until such governments comply with the minimum standards or makes significant efforts to bring themselves into compliance; Determine, consistent with section 110(d)(4) of the Act, with respect to Algeria, Belarus, Belize, Burma, Burundi, the Central African Republic, Comoros, Djibouti, The Gambia, Guinea-Bissau, Haiti, Marshall Islands, Mau- ritania, Papua New Guinea, Suriname, Turkmenistan, and Uzbekistan that provision to these countries’ governments of all programs, projects, or activi- ties described in sections 110(d)(1)(A) and 110(d)(1)(B) of the Act would promote the purposes of the Act or is otherwise in the national interest of the United States; Determine, consistent with section 110(d)(4) of the Act, with respect to Equatorial Guinea, South Sudan, Sudan, Syria, and Venezuela, that assistance described in section 110(d)(1)(B) of the Act would promote the purposes of the Act or is otherwise in the national interest of the United States; Determine, consistent with section 110(d)(4) of the Act, with respect to Eritrea, Russia, and Syria, that a partial waiver to allow funding for edu- cational and cultural exchange programs described in section 110(d)(1)(A)(ii) of the Act would promote the purposes of the Act or is otherwise in the national interest of the United States;

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Determine, consistent with section 110(d)(4) of the Act, with respect to Equatorial Guinea, that a partial waiver to allow assistance described in section 110(d)(1)(A)(i) of the Act to promote sustainable natural resource management and biodiversity and programs to advance energy access; and support the participation of government employees or officials in young leader exchanges and leadership programs would promote the purposes of the Act or is otherwise in the national interest of the United States; Determine, consistent with section 110(d)(4) of the Act, with respect to South Sudan, that a partial waiver to allow assistance and programs described in section 110(d)(1)(A)(i) of the Act, with the exception of Foreign Military Financing, Foreign Military Sales, and Excess Defense Articles, would pro- mote the purposes of the Act or is otherwise in the national interest of the United States; Determine, consistent with section 110(d)(4) of the Act, with respect to South Sudan, that a waiver to allow assistance to be provided pursuant to section 1208 of the National Defense Authorization Act for Fiscal Year 2014 (Public Law 113–66), to the extent that such programs would otherwise be restricted by the Act, would promote the purposes of the Act or is otherwise in the national interest of the United States; Determine, consistent with section 110(d)(4) of the Act, with respect to Sudan, that a partial waiver to allow assistance and programs described in section 110(d)(1)(A)(i) of the Act, with the exception of Foreign Military Financing, Foreign Military Sales, International Military Education and Train- ing, Peacekeeping Operations, and Excess Defense Articles, would promote the purposes of the Act or is otherwise in the national interest of the United States; Determine, consistent with section 110(d)(4) of the Act, with respect to Venezuela, that a partial waiver to allow for assistance described in section 110(d)(1)(A)(i) of the Act to strengthen the democratic process in Venezuela and for participation by government officials and employees in foreign assist- ance-funded programs related to democracy and rule of law would promote the purposes of the Act or is otherwise in the national interest of the United States; Determine, consistent with section 110(d)(4) of the Act, with respect to Zimbabwe, that a partial waiver to allow for assistance described in section 110(d)(1)(A)(i) of the Act to support programs that provide assistance for victims of trafficking in persons, promote biodiversity and wildlife protection, health, good governance, education, leadership, agriculture and food security, poverty reduction, livelihoods, family planning and reproductive health, macroeconomic growth, that would have a significant adverse effect on vulnerable populations if suspended, and allow for the participation of government employees or officials in young leader exchanges and leadership programs, would promote the purposes of the Act or is otherwise in the national interest of the United States; And determine, consistent with section 110(d)(4) of the Act, with respect to Zimbabwe, that assistance described in section 110(d)(1)(B) of the Act, which: (1) is a regional program, project, or activity under which the total benefit to Zimbabwe does not exceed 10 percent of the total value of such program, project, or activity; (2) has as its primary objective the addressing of basic human needs, as defined by the Department of the Treasury with respect to other, existing legislative mandates concerning U.S. participation in the multilateral devel- opment banks; (3) is complementary to or has similar policy objectives to programs being implemented bilaterally by the United States Government; (4) has as its primary objective the improvement of Zimbabwe’s legal system, including in areas that impact Zimbabwe’s ability to investigate

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and prosecute trafficking cases or otherwise improve implementation of its anti-trafficking policy, regulations, or legislation; (5) is engaging a government, international organization, or civil society organization, and seeks as its primary objective(s) to: (a) increase efforts to investigate and prosecute trafficking in persons crimes; (b) increase protec- tion for victims of trafficking through better screening, identification, rescue/ removal, aftercare (shelter, counseling), training, and reintegration; or (c) expand prevention efforts through education and awareness campaigns high- lighting the dangers of trafficking in persons or training and economic em- powerment of populations clearly at risk of falling victim to trafficking; or (6) is targeted macroeconomic assistance from the International Monetary Fund that strengthens the macroeconomic management capacity of Zimbabwe; would promote the purposes of the Act; or is otherwise in the national interest of the United States. The certification required by section 110(e) of the Act is provided herewith. You are hereby authorized and directed to submit this determination to the Congress, and to publish it in the Federal Register.

THE WHITE HOUSE, Washington, September 27, 2016

[FR Doc. 2016–24734 Filed 10–7–16; 11:15 am] Billing code 4710–10–P

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Presidential Determination No. 2016–13 of September 28, 2016

Presidential Determination on Refugee Admissions for Fiscal Year 2017

Memorandum for the Secretary of State

In accordance with section 207 of the Immigration and Nationality Act (the ‘‘Act’’) (8 U.S.C. 1157), and after appropriate consultations with the Congress, I hereby make the following determinations and authorize the following actions: The admission of up to 110,000 refugees to the United States during Fiscal Year (FY) 2017 is justified by humanitarian concerns or is otherwise in the national interest; provided that this number shall be understood as including persons admitted to the United States during FY 2017 with Federal refugee resettlement assistance under the Amerasian immigrant admissions program, as provided below. The admissions numbers shall be allocated among refugees of special humani- tarian concern to the United States in accordance with the following regional allocations; provided that the number of admissions allocated to the East Asia region shall include persons admitted to the United States during FY 2017 with Federal refugee resettlement assistance under section 584 of the Foreign Operations, Export Financing, and Related Programs Appro- priations Act of 1988, as contained in section 101(e) of Public Law 100– 202 (Amerasian immigrants and their family members): Africa ...... 35,000 East Asia ...... 12,000 Europe and Central Asia ...... 4,000 Latin America and the Caribbean ...... 5,000 Near East and South Asia ...... 40,000 Unallocated Reserve ...... 14,000 The 14,000 unallocated refugee numbers shall be allocated to regional ceil- ings, as needed. Upon providing notification to the Judiciary Committees of the Congress, you are hereby authorized to use unallocated admissions in regions where the need for additional admissions arises. Additionally, upon notification to the Judiciary Committees of the Congress, you are further authorized to transfer unused admissions allocated to a particular region to one or more other regions, if there is a need for greater admissions for the region or regions to which the admissions are being transferred. Consistent with section 2(b)(2) of the Migration and Refugee Assistance Act of 1962, I hereby determine that assistance to or on behalf of persons applying for admission to the United States as part of the overseas refugee admissions program will contribute to the foreign policy interests of the United States and designate such persons for this purpose. Consistent with section 101(a)(42) of the Act (8 U.S.C. 1101(a)(42)), and after appropriate consultation with the Congress, I also specify that, for FY 2017, the following persons may, if otherwise qualified, be considered refugees for the purpose of admission to the United States within their countries of nationality or habitual residence: a. Persons in Cuba b. Persons in Eurasia and the Baltics c. Persons in Iraq

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d. Persons in Honduras, Guatemala, and El Salvador e. In exceptional circumstances, persons identified by a United States Embassy in any location You are authorized and directed to publish this determination in the Federal Register.

THE WHITE HOUSE, Washington, September 28, 2016

[FR Doc. 2016–24736 Filed 10–7–16; 11:15 am] Billing code 4710–10–P

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Proclamation 9515 of October 5, 2016

German-American Day, 2016

By the President of the United States of America

A Proclamation For centuries, German immigrants have ventured to American shores for the same reasons as so many others—to pursue new lives in a land of opportunity and forge brighter futures for themselves and their families. These immigrants and their descendants have changed the course of our history and paved our country’s path of progress, and on German-American Day, we recognize their role in building a stronger and more prosperous Nation for all our people. From those who were among our earliest settlers and farmers to today’s innovative leaders in business and public service, German Americans have shaped every sector of our society. More Americans can trace their roots to Germany than to any other nation, and elements of German heritage are embedded deeply in our country’s character. German Americans have, throughout our history, proven that our diversity is one of our greatest strengths, and that no matter where we come from, as Americans we are united by the ideal that we are all created equal. Today, the alliance between the United States and Germany is one of the closest the world has ever known. Our cooperation in striving to protect the security and sustainability of our planet is guided by the enduring friendship between our citizens and the experiences and values that bind us together. On this occasion, let us honor the achievements of German Americans by renewing our devotion to beliefs borne out of common experi- ence—by creating opportunity that lifts up not just the few but the many, and by affirming the inherent dignity and equality of every human being. NOW, THEREFORE, I, BARACK OBAMA, President of the United States of America, by virtue of the authority vested in me by the Constitution and the laws of the United States, do hereby proclaim October 6, 2016, as German-American Day. I encourage all Americans to learn more about the history of German Americans and reflect on the many contributions they have made to our Nation.

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IN WITNESS WHEREOF, I have hereunto set my hand this fifth day of October, in the year of our Lord two thousand sixteen, and of the Independ- ence of the United States of America the two hundred and forty-first.

[FR Doc. 2016–24744 Filed 10–7–16; 11:15 am] Billing code 3295–F7–P

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Reader Aids Federal Register Vol. 81, No. 196 Tuesday, October 11, 2016

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING OCTOBER

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. 609...... 67924 Presidential Documents 3 CFR Executive orders and proclamations 741–6000 Proclamations: 11 CFR The United States Government Manual 741–6000 9504...... 68285 Proposed Rules: 9505...... 68287 Other Services 100...... 69721 9506...... 68289 102...... 69722 Electronic and on-line services (voice) 741–6020 9507...... 69369 104...... 69722 Privacy Act Compilation 741–6050 9508...... 69371 106...... 69721, 69722 Public Laws Update Service (numbers, dates, etc.) 741–6043 9509...... 69373 109...... 69721, 69722 9510...... 69375 110...... 69722 9511...... 69377 ELECTRONIC RESEARCH 9008...... 69722 9512...... 69379 9012...... 69722 World Wide Web 9513...... 69383 9514...... 69991 12 CFR Full text of the daily Federal Register, CFR and other publications 9515...... 70317 600...... 69663 is located at: www.fdsys.gov. Executive Orders: 602...... 69663 Federal Register information and research tools, including Public 13741...... 68289 603...... 69663 Inspection List, indexes, and Code of Federal Regulations are Administrative Orders: 606...... 69663 located at: www.ofr.gov. Memorandums: Memorandum of April 13 CFR E-mail 12, 2016 ...... 68931 121...... 67091 123...... 67091 FEDREGTOC (Daily Federal Register Table of Contents Electronic Memorandum of Mailing List) is an open e-mail service that provides subscribers September 30, Proposed Rules: with a digital form of the Federal Register Table of Contents. The 2016 ...... 69367 107...... 69012 digital form of the Federal Register Table of Contents includes Memorandum of 121...... 69723 HTML and PDF links to the full text of each document. October 5, 2016 ...... 69993 134...... 69723 Determinations: 300...... 68186 To join or leave, go to https://public.govdelivery.com/accounts/ No. 2016-05 of 301...... 68186 USGPOOFR/subscriber/new, enter your email address, then January 13, 2016 ...... 68929 302...... 68186 follow the instructions to join, leave, or manage your No. 2016-12 of 303...... 68186 subscription. September 27, 304...... 68186 PENS (Public Law Electronic Notification Service) is an e-mail 2016 ...... 70311 305...... 68186 service that notifies subscribers of recently enacted laws. No. 2016-13 of 307...... 68186 September 28, To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 309...... 68186 2016 ...... 70315 and select Join or leave the list (or change settings); then follow 314...... 68186 the instructions. 5 CFR 14 CFR FEDREGTOC and PENS are mailing lists only. We cannot Proposed Rules: 23...... 69663 respond to specific inquiries. 2634...... 69204 39 ...... 67904, 69666, 70011 Proposed Rules: Reference questions. Send questions and comments about the 6 CFR Federal Register system to: [email protected] 39 ...... 67937, 68371, 68373, Proposed Rules: 68376, 70062 The Federal Register staff cannot interpret specific documents or Ch. I ...... 70060 regulations. 61...... 69908 71...... 69729 7 CFR CFR Checklist. Effective January 1, 2009, the CFR Checklist no 91...... 69908 longer appears in the Federal Register. This information can be 550...... 69999 121...... 69908 found online at http://bookstore.gpo.gov/. 135...... 69908 8 CFR 382...... 67939 FEDERAL REGISTER PAGES AND DATE, OCTOBER Proposed Rules: Ch. I ...... 70060 17 CFR 67901–68288...... 3 Proposed Rules: 9 CFR 68289–68932...... 4 240...... 69240 68933–69368...... 5 317...... 68933 381...... 68933 18 CFR 69369–69658...... 6 412...... 68933 69659–69998...... 7 Proposed Rules: 35...... 69731 69999–70318...... 11 10 CFR 72...... 69569, 70004 19 CFR Proposed Rules: Proposed Rules: 50...... 69446 Ch. I ...... 70060 72...... 69719 Ch. I ...... 69010 21 CFR 430...... 69009 216...... 69668

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314...... 69580 203...... 67940 42 CFR 356...... 68336 320...... 69580 204...... 67940 405...... 68688, 68947 365...... 68336 862...... 68293, 68295 205...... 67940 412...... 68947 369...... 68336 Proposed Rules: 210...... 67940 413...... 68947 370...... 68336 73...... 69740 211...... 67940 431...... 68688 373...... 68336 212...... 67940 447...... 68688 374...... 68336 24 CFR 253...... 67940 482...... 68688 376...... 68336 570...... 68297 255...... 67940 483...... 68688 377...... 68336 Proposed Rules: 258...... 67940 485...... 68688 378...... 68336 100...... 69012 260...... 67940 488...... 68688 382...... 68336 261...... 67940 489...... 68688, 68947 383...... 68336 26 CFR 262...... 67940 384...... 68336 43 CFR 1 ...... 68299, 68934, 69282, 263...... 67940 385...... 68336 69291 270...... 67940 Proposed Rules: 386...... 68336 Proposed Rules: 8360...... 69019 390...... 68336 1...... 68378, 69301 39 CFR 44 CFR 391...... 68336 392...... 68336 3020...... 70014 29 CFR Proposed Rules: 395...... 68336 Ch. I ...... 70060 Proposed Rules: 397...... 68336 1904...... 68504 40 CFR 46 CFR 398...... 68336 1910...... 68504, 69740 593...... 68359 50...... 68216 Proposed Rules: 1915...... 68504 51...... 68216 Ch. I ...... 70060 1108...... 69410 1926...... 68504 52 ...... 67915, 68319, 68320, Ch. III ...... 70060 1115...... 69410 Proposed Rules: 32 CFR 68322, 68936, 69385, 69390, 69393, 69396, 69679, 69685, 47 CFR 110...... 70067 236...... 68312 69687, 69693, 70018, 70020, 54...... 67922, 69696 1152...... 69023 706...... 69677 70023, 70025 69...... 69696 Ch. XII...... 70060 62...... 67918 33 CFR 73...... 69409 70 ...... 67915, 69693, 70025 Proposed Rules: 50 CFR 100...... 68318, 68934 82...... 70029 54...... 69722 117...... 69678, 70013 180 ...... 67920, 68938, 68944, 17 ...... 68963, 68985, 69312, 165 ...... 67906, 67909, 67911, 69401, 70038 48 CFR 69417, 69425, 70043 67913 258...... 69407 503...... 68335 32...... 68874, 69716 Proposed Rules: Proposed Rules: 552...... 68335 300...... 69717 Ch. I ...... 70060 51...... 68110 Proposed Rules: 622...... 69008 52 ...... 67954, 68110, 68379, 202...... 70067 679 ...... 68369, 69442, 69443, 37 CFR 69019, 69448, 69752, 70064, 212...... 70067 69445 2...... 69950 70065, 70066 215...... 70067 Proposed Rules: Proposed Rules: 60...... 68110 234...... 70067 17 ...... 68379, 69454, 69475, 1...... 68150 62...... 67954 239...... 70067 69500, 70282 41...... 68150 70 ...... 67954, 68110, 69752, 252...... 70067 223...... 70074 42...... 68150 70066 224...... 70074 201...... 67940 71...... 68110 49 CFR 300...... 70080 202...... 67940 1700...... 69753 355...... 68336 622...... 69774

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