Vol. 81 Friday, No. 247 December 23, 2016
Book 2 of 2 Books Pages 94495–94908
Part II
Regulatory Information Service Center
Introduction to the Unified Agenda of Federal Regulatory and Deregulatory Actions—Fall 2016
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REGULATORY INFORMATION section 610 of the Regulatory Flexibility Social Security Administration SERVICE CENTER Act. Federal Acquisition Regulation The complete fall 2016 Unified Independent Regulatory Agencies Introduction to the Unified Agenda of Agenda contains the Regulatory Plans of Consumer Financial Protection Bureau Federal Regulatory and Deregulatory 30 Federal agencies and 60 Federal Consumer Product Safety Commission Actions—Fall 2016 agency regulatory agendas. Federal Trade Commission ADDRESSES: Regulatory Information National Indian Gaming Commission AGENCY: Regulatory Information Service Nuclear Regulatory Commission Center. Service Center (MVE), General Services Administration, 1800 F Street NW., AGENCY REGULATORY FLEXIBILITY ACTION: Introduction to the Regulatory 2219F, Washington, DC 20405. AGENDAS Plan and the Unified Agenda of Federal FOR FURTHER INFORMATION CONTACT: For Cabinet Departments Regulatory and Deregulatory Actions. further information about specific Department of Agriculture SUMMARY: Publication of the Unified regulatory actions, please refer to the Department of Commerce Agenda of Regulatory and Deregulatory agency contact listed for each entry. Department of Defense Actions and the Regulatory Plan To provide comment on or to obtain Department of Education further information about this Department of Energy represent key components of the Department of Health and Human Services regulatory planning mechanism publication, contact: John C. Thomas, Executive Director, Regulatory Department of Homeland Security prescribed in Executive Order 12866, Department of Housing and Urban ‘‘Regulatory Planning and Review’’ (58 Information Service Center (MVE), U.S. Development FR 51735) and incorporated in General Services Administration, 1800 F Department of Interior Executive Order 13563, ‘‘Improving Street NW., 2219F, Washington, DC Department of Justice Regulation and Regulatory Review’’ 20405, (202) 482–7340. You may also Department of Labor issued on January 18, 2011 (76 FR send comments to us by email at: risc@ Department of Transportation 3821). The fall editions of the Unified gsa.gov. Department of Treasury Agenda include the agency regulatory SUPPLEMENTARY INFORMATION: Other Executive Agencies plans required by E.O. 12866, which Table of Contents Architectural and Transportation Barriers identify regulatory priorities and Compliance Board provide additional detail about the most Introduction to the Regulatory Plan and the Environmental Protection Agency important significant regulatory actions Unified Agenda of Federal Regulatory and General Services Administration Deregulatory Actions National Aeronautics and Space that agencies expect to take in the Administration coming year. I. What are The Regulatory Plan and the Small Business Administration In addition, the Regulatory Flexibility Unified Agenda? Federal Acquisition Regulation II. Why are The Regulatory Plan and the Act requires that agencies publish Independent Agencies semiannual ‘‘regulatory flexibility Unified Agenda published? III. How are The Regulatory Plan and the agendas’’ describing regulatory actions Commodity Futures Trading Commission Unified Agenda organized? Consumer Financial Protection Bureau they are developing that will have IV. What information appears for each entry? Consumer Product Safety Commission significant effects on small businesses V. Abbreviations. Federal Communication Commission and other small entities (5 U.S.C. 602). VI. How can users get copies of the Plan and Federal Reserve System The Unified Agenda of Regulatory the Agenda? Nuclear Regulatory Commission and Deregulatory Actions (Unified Introduction to the Fall 2016 Regulatory Plan Securities and Exchange Commission Agenda), published in the fall and Surface Transportation Board AGENCY REGULATORY PLANS spring, helps agencies fulfill all of these INTRODUCTION TO THE requirements. All federal regulatory Cabinet Departments REGULATORY PLAN AND THE agencies have chosen to publish their Department of Agriculture UNIFIED AGENDA OF FEDERAL regulatory agendas as part of this Department of Commerce REGULATORY AND DEREGULATORY publication. The complete Unified Department of Defense ACTIONS Agenda and Regulatory Plan can be Department of Education found online at http://www.reginfo.gov Department of Energy I. What are the Regulatory Plan and the and a reduced print version can be Department of Health and Human Services Unified Agenda? Department of Housing and Urban found in the Federal Register. Development The Regulatory Plan serves as a Information regarding obtaining printed Department of Interior defining statement of the copies can also be found on the Department of Justice Administration’s regulatory and Reginfo.gov Web site (or below, VI. How Department of Labor deregulatory policies and priorities. The can users get copies of the Plan and the Department of Transportation Plan is part of the fall edition of the Agenda?). Department of Treasury Unified Agenda. Each participating The fall 2016 Unified Agenda Department of Veterans Affairs agency’s regulatory plan contains: (1) A publication appearing in the Federal Other Executive Agencies narrative statement of the agency’s Register consists of The Regulatory Plan Architectural and Transportation Barriers regulatory and deregulatory priorities, and agency regulatory flexibility Compliance Board and, for the most part, (2) a description agendas, in accordance with the Environmental Protection Agency of the most important significant publication requirements of the Equal Employment Opportunity Commission regulatory and deregulatory actions that Regulatory Flexibility Act. Agency General Services Administration the agency reasonably expects to issue regulatory flexibility agendas contain National Aeronautics and Space Administration in proposed or final form during the only those Agenda entries for rules that National Archives and Records upcoming fiscal year. This edition are likely to have a significant economic Administration includes the regulatory plans of 30 impact on a substantial number of small Office of Personnel Management agencies. entities and entries that have been Pension Benefit Guaranty Corporation The Unified Agenda provides selected for periodic review under Small Business Administration information about regulations that the
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Government is considering or Pension Benefit Guaranty Corporation * publication or to confine their reviewing. The Unified Agenda has Railroad Retirement Board regulatory activities to those regulations appeared in the Federal Register twice Social Security Administration * that appear within it. each year since 1983 and has been Independent Agencies II. Why are the Regulatory Plan and the available online since 1995. The Unified Agenda published? complete Unified Agenda is available to Council of the Inspectors General on the public at http://www.reginfo.gov. Integrity and Efficiency The Regulatory Plan and the Unified The online Unified Agenda offers Farm Credit Administration Agenda helps agencies comply with flexible search tools and access to the Farm Credit System Insurance their obligations under the Regulatory historic Unified Agenda database to Corporation Flexibility Act and various Executive 1995. The complete online edition of Federal Deposit Insurance Corporation orders and other statutes. the Unified Agenda includes regulatory Federal Energy Regulatory Commission Federal Housing Finance Agency Regulatory Flexibility Act agendas from 62 Federal agencies. Federal Maritime Commission The Regulatory Flexibility Act Agencies of the United States Congress Federal Trade Commission * are not included. requires agencies to identify those rules Gulf Coast Ecosystem Restoration that may have a significant economic The fall 2016 Unified Agenda Council publication appearing in the Federal impact on a substantial number of small National Credit Union Administration entities (5 U.S.C. 602). Agencies meet Register consists of The Regulatory Plan National Indian Gaming Commission * and agency regulatory flexibility that requirement by including the National Transportation Safety Board information in their submissions for the agendas, in accordance with the Special Inspector General for publication requirements of the Unified Agenda. Agencies may also Afghanistan Reconstruction indicate those regulations that they are Regulatory Flexibility Act. Agency Surface Transportation Board regulatory flexibility agendas contain reviewing as part of their periodic The Regulatory Information Service review of existing rules under the only those Agenda entries for rules that Center compiles the Unified Agenda for are likely to have a significant economic Regulatory Flexibility Act (5 U.S.C. the Office of Information and Regulatory 610). Executive Order 13272, ‘‘Proper impact on a substantial number of small Affairs (OIRA), part of the Office of entities and entries that have been Consideration of Small Entities in Management and Budget. OIRA is Agency Rulemaking,’’ signed August 13, selected for periodic review under responsible for overseeing the Federal section 610 of the Regulatory Flexibility 2002 (67 FR 53461), provides additional Government’s regulatory, paperwork, guidance on compliance with the Act. Act. Printed entries display only the and information resource management fields required by the Regulatory activities, including implementation of Executive Order 12866 Flexibility Act. Complete agenda Executive Order 12866 (incorporated in Executive Order 12866, ‘‘Regulatory information for those entries appears, in Executive Order 13563). The Center also Planning and Review,’’ signed a uniform format, in the online Unified provides information about Federal September 30, 1993 (58 FR 51735), Agenda at http://www.reginfo.gov. regulatory activity to the President and requires covered agencies to prepare an The following agencies have no his Executive Office, the Congress, agenda of all regulations under entries for inclusion in the printed agency officials, and the public. development or review. The Order also regulatory flexibility agenda. An asterisk The activities included in the Agenda requires that certain agencies prepare (*) indicates agencies that appear in The are, in general, those that will have a annually a regulatory plan of their Regulatory Plan. The regulatory agendas regulatory action within the next 12 ‘‘most important significant regulatory of these agencies are available to the months. Agencies may choose to actions,’’ which appears as part of the public at http://reginfo.gov. include activities that will have a longer fall Unified Agenda. Executive Order Cabinet Departments timeframe than 12 months. Agency 13497, signed January 30, 2009 (74 FR agendas also show actions or reviews 6113), revoked the amendments to Department of State completed or withdrawn since the last Department of Veterans Affairs * Executive Order 12866 that were Unified Agenda. Executive Order 12866 contained in Executive Order 13258 and Other Executive Agencies does not require agencies to include Executive Order 13422. regulations concerning military or Agency for International Development Executive Order 13563 Commission on Civil Rights foreign affairs functions or regulations Committee for Purchase From People related to agency organization, Executive Order 13563, ‘‘Improving Who Are Blind or Severely Disabled management, or personnel matters. Regulation and Regulatory Review,’’ Corporation for National and Agencies prepared entries for this issued on January 18, 2011, Community ServiceCourt Services publication to give the public notice of supplements and reaffirms the and Offender Supervision Agency for their plans to review, propose, and issue principles, structures, and definitions the District of Columbia regulations. They have tried to predict governing contemporary regulatory Equal Employment Opportunity their activities over the next 12 months review that were established in Commission * as accurately as possible, but dates and Executive Order 12866, which includes National Archives and Records schedules are subject to change. the general principles of regulation and Administration * Agencies may withdraw some of the public participation, and orders National Endowment for the Arts regulations now under development, integration and innovation in National Endowment for the Humanities and they may issue or propose other coordination across agencies; flexible National Science Foundation regulations not included in their approaches where relevant, feasible, and Office of Government Ethics agendas. Agency actions in the consistent with regulatory approaches; Office of Management and Budget rulemaking process may occur before or scientific integrity in any scientific or Office of Personnel Management * after the dates they have listed. The technological information and processes Office of the United States Trade Regulatory Plan and Unified Agenda do used to support the agencies’ regulatory Representative not create a legal obligation on agencies actions; and retrospective analysis of Peace Corps to adhere to schedules in this existing regulations.
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Executive Order 13132 Affairs, Office of Management and agencies, a description of the agency’s Executive Order 13132, ‘‘Federalism,’’ Budget, for ‘‘those matters identified as most important significant regulatory signed August 4, 1999 (64 FR 43255), significant energy actions.’’ As part of and deregulatory actions. Each agency’s directs agencies to have an accountable this effort, agencies may optionally part of the Agenda contains a preamble process to ensure meaningful and timely include in their submissions for the providing information specific to that Unified Agenda information on whether agency plus descriptions of the agency’s input by State and local officials in the they have prepared or plan to prepare a regulatory and deregulatory actions. development of regulatory policies that Statement of Energy Effects for their The online, complete Unified Agenda have ‘‘federalism implications’’ as regulatory actions. contains the preambles of all defined in the Order. Under the Order, participating agencies. Unlike the an agency that is proposing a regulation Small Business Regulatory Enforcement printed edition, the online Agenda has with federalism implications, which Fairness Act no fixed ordering. In the online Agenda, either preempt State law or impose non- The Small Business Regulatory users can select the particular agencies’ statutory unfunded substantial direct Enforcement Fairness Act (Pub. L. 104– agendas they want to see. Users have compliance costs on State and local 121, title II) established a procedure for broad flexibility to specify the governments, must consult with State congressional review of rules (5 U.S.C. characteristics of the entries of interest and local officials early in the process 801 et seq.), which defers, unless to them by choosing the desired of developing the regulation. In exempted, the effective date of a responses to individual data fields. To addition, the agency must provide to the ‘‘major’’ rule for at least 60 days from see a listing of all of an agency’s entries, Director of the Office of Management the publication of the final rule in the a user can select the agency without and Budget a federalism summary Federal Register. The Act specifies that specifying any particular characteristics impact statement for such a regulation, a rule is ‘‘major’’ if it has resulted, or is of entries. which consists of a description of the likely to result, in an annual effect on Each entry in the Agenda is associated extent of the agency’s prior consultation the economy of $100 million or more or with one of five rulemaking stages. The with State and local officials, a meets other criteria specified in that rulemaking stages are: summary of their concerns and the Act. The Act provides that the 1. Prerule Stage—actions agencies agency’s position supporting the need to Administrator of OIRA will make the will undertake to determine whether or issue the regulation, and a statement of final determination as to whether a rule how to initiate rulemaking. Such actions the extent to which those concerns have is major. occur prior to a Notice of Proposed been met. As part of this effort, agencies Rulemaking (NPRM) and may include include in their submissions for the III. How are the Regulatory Plan and the Unified Agenda organized? Advance Notices of Proposed Unified Agenda information on whether Rulemaking (ANPRMs) and reviews of their regulatory actions may have an The Regulatory Plan appears in part II existing regulations. effect on the various levels of in a daily edition of the Federal 2. Proposed Rule Stage—actions for government and whether those actions Register. The Plan is a single document which agencies plan to publish a Notice have federalism implications. beginning with an introduction, of Proposed Rulemaking as the next step followed by a table of contents, followed Unfunded Mandates Reform Act of 1995 in their rulemaking process or for which by each agency’s section of the Plan. the closing date of the NPRM Comment The Unfunded Mandates Reform Act Following the Plan in the Federal Period is the next step. of 1995 (Pub. L. 104–4, title II) requires Register, as separate parts, are the 3. Final Rule Stage—actions for which agencies to prepare written assessments regulatory flexibility agendas for each agencies plan to publish a final rule or of the costs and benefits of significant agency whose agenda includes entries an interim final rule or to take other regulatory actions ‘‘that may result in for rules which are likely to have a final action as the next step. the expenditure by State, local, and significant economic impact on a 4. Long-Term Actions—items under tribal governments, in the aggregate, or substantial number of small entities or development but for which the agency by the private sector, of $100,000,000 or rules that have been selected for does not expect to have a regulatory more . . . in any 1 year. . . .’’ The periodic review under section 610 of the action within the 12 months after requirement does not apply to Regulatory Flexibility Act. Each printed publication of this edition of the Unified independent regulatory agencies, nor agenda appears as a separate part. The Agenda. Some of the entries in this does it apply to certain subject areas sections of the Plan and the parts of the section may contain abbreviated excluded by section 4 of the Act. Unified Agenda are organized information. Affected agencies identify in the Unified alphabetically in four groups: Cabinet 5. Completed Actions—actions or Agenda those regulatory actions they departments; other executive agencies; reviews the agency has completed or believe are subject to title II of the Act. the Federal Acquisition Regulation, a withdrawn since publishing its last joint authority (Agenda only); and agenda. This section also includes items Executive Order 13211 independent regulatory agencies. the agency began and completed Executive Order 13211, ‘‘Actions Agencies may in turn be divided into between issues of the Agenda. Concerning Regulations That subagencies. Each printed agency Long-Term Actions are rulemakings Significantly Affect Energy Supply, agenda has a table of contents listing the reported during the publication cycle Distribution, or Use,’’ signed May 18, agency’s printed entries that follow. that are outside of the required 12- 2001 (66 FR 28355), directs agencies to Each agency’s part of the Agenda month reporting period for which the provide, to the extent possible, contains a preamble providing Agenda was intended. Completed information regarding the adverse information specific to that agency. Actions in the publication cycle are effects that agency actions may have on Each printed agency agenda has a table rulemakings that are ending their the supply, distribution, and use of of contents listing the agency’s printed lifecycle either by Withdrawal or energy. Under the Order, the agency entries that follow. completion of the rulemaking process. must prepare and submit a Statement of Each agency’s section of the Plan Therefore, the Long-Term and Energy Effects to the Administrator of contains a narrative statement of Completed RINs do not represent the the Office of Information and Regulatory regulatory priorities and, for most ongoing, forward-looking nature
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intended for reporting developing the Regulatory Flexibility Act (5 U.S.C. make the final determination as to rulemakings in the Agenda pursuant to 610(c)). Some agencies have indicated whether a rule is major. Executive Order 12866, section 4(b) and completions of section 610 reviews or Unfunded Mandates—whether the 4(c). To further differentiate these two rulemaking actions resulting from rule is covered by section 202 of the stages of rulemaking in the Unified completed section 610 reviews. In the Unfunded Mandates Reform Act of 1995 Agenda from active rulemakings, Long- online edition, these notations appear in (Pub. L. 104–4). The Act requires that, Term and Completed Actions are a separate field. before issuing an NPRM likely to result reported separately from active Priority—an indication of the in a mandate that may result in rulemakings, which can be any of the significance of the regulation. Agencies expenditures by State, local, and tribal first three stages of rulemaking listed assign each entry to one of the following governments, in the aggregate, or by the above. A separate search function is five categories of significance. private sector of more than $100 million provided on http://reginfo.gov to search in 1 year, agencies, other than for Completed and Long-Term Actions (1) Economically Significant independent regulatory agencies, shall apart from each other and active RINs. As defined in Executive Order 12866, prepare a written statement containing • A bullet ( ) preceding the title of an a rulemaking action that will have an an assessment of the anticipated costs entry indicates that the entry is annual effect on the economy of $100 and benefits of the Federal mandate. appearing in the Unified Agenda for the million or more or will adversely affect Legal Authority—the section(s) of the first time. in a material way the economy, a sector United States Code (U.S.C.) or Public In the printed edition, all entries are of the economy, productivity, Law (Pub. L.) or the Executive order numbered sequentially from the competition, jobs, the environment, (E.O.) that authorize(s) the regulatory beginning to the end of the publication. public health or safety, or State, local, action. Agencies may provide popular The sequence number preceding the or tribal governments or communities. name references to laws in addition to title of each entry identifies the location The definition of an ‘‘economically these citations. of the entry in this edition. The CFR Citation—the section(s) of the significant’’ rule is similar but not sequence number is used as the Code of Federal Regulations that will be identical to the definition of a ‘‘major’’ reference in the printed table of affected by the action. rule under 5 U.S.C. 801 (Pub. L. 104– contents. Sequence numbers are not Legal Deadline—whether the action is 121). (See below.) used in the online Unified Agenda subject to a statutory or judicial because the unique Regulation Identifier (2) Other Significant deadline, the date of that deadline, and Number (RIN) is able to provide this whether the deadline pertains to an A rulemaking that is not cross-reference capability. NPRM, a Final Action, or some other Editions of the Unified Agenda prior Economically Significant but is action. to fall 2007 contained several indexes, considered Significant by the agency. Abstract—a brief description of the which identified entries with various This category includes rules that the problem the regulation will address; the characteristics. These included agency anticipates will be reviewed need for a Federal solution; to the extent regulatory actions for which agencies under Executive Order 12866 or rules available, alternatives that the agency is believe that the Regulatory Flexibility that are a priority of the agency head. considering to address the problem; and Act may require a Regulatory Flexibility These rules may or may not be included potential costs and benefits of the Analysis, actions selected for periodic in the agency’s regulatory plan. action. review under section 610(c) of the (3) Substantive, Nonsignificant Timetable—the dates and citations (if Regulatory Flexibility Act, and actions available) for all past steps and a that may have federalism implications A rulemaking that has substantive projected date for at least the next step as defined in Executive Order 13132 or impacts, but is neither Significant, nor for the regulatory action. A date other effects on levels of government. Routine and Frequent, nor displayed in the form 12/00/14 means These indexes are no longer compiled, Informational/Administrative/Other. the agency is predicting the month and because users of the online Unified (4) Routine and Frequent year the action will take place but not Agenda have the flexibility to search for the day it will occur. In some instances, entries with any combination of desired A rulemaking that is a specific case of agencies may indicate what the next characteristics. The online edition a multiple recurring application of a action will be, but the date of that action retains the Unified Agenda’s subject regulatory program in the Code of is ‘‘To Be Determined.’’ ‘‘Next Action index based on the Federal Register Federal Regulations and that does not Undetermined’’ indicates the agency Thesaurus of Indexing Terms. In alter the body of the regulation. does not know what action it will take addition, online users have the option of (5) Informational/Administrative/Other next. searching Agenda text fields for words Regulatory Flexibility Analysis or phrases. A rulemaking that is primarily Required—whether an analysis is informational or pertains to agency required by the Regulatory Flexibility IV. What information appears for each matters not central to accomplishing the Act (5 U.S.C. 601 et seq.) because the entry? agency’s regulatory mandate but that the rulemaking action is likely to have a All entries in the online Unified agency places in the Unified Agenda to significant economic impact on a Agenda contain uniform data elements inform the public of the activity. substantial number of small entities as including, at a minimum, the following Major—whether the rule is ‘‘major’’ defined by the Act. information: under 5 U.S.C. 801 (Pub. L. 104–121) Small Entities Affected—the types of Title of the Regulation—a brief because it has resulted or is likely to small entities (businesses, governmental description of the subject of the result in an annual effect on the jurisdictions, or organizations) on which regulation. In the printed edition, the economy of $100 million or more or the rulemaking action is likely to have notation ‘‘Section 610 Review’’ meets other criteria specified in that an impact as defined by the Regulatory following the title indicates that the Act. The Act provides that the Flexibility Act. Some agencies have agency has selected the rule for its Administrator of the Office of chosen to indicate likely effects on periodic review of existing rules under Information and Regulatory Affairs will small entities even though they believe
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that a Regulatory Flexibility Analysis Related RINs—one or more past or proposed and final regulations, notices will not be required. current RIN(s) associated with activity of meetings, and other official Government Levels Affected—whether related to this action, such as merged documents issued by Federal agencies. the action is expected to affect levels of RINs, split RINs, new activity for FY—The Federal fiscal year runs from government and, if so, whether the previously completed RINs, or duplicate October 1 to September 30. governments are State, local, tribal, or RINs. • NPRM—A Notice of Proposed Federal. Statement of Need—a description of Rulemaking is the document an agency International Impacts—whether the the need for the regulatory action. issues and publishes in the Federal regulation is expected to have Summary of the Legal Basis—a Register that describes and solicits international trade and investment description of the legal basis for the public comments on a proposed effects, or otherwise may be of interest action, including whether any aspect of regulatory action. Under the to the Nation’s international trading the action is required by statute or court Administrative Procedure Act (5 U.S.C. partners. order. 553), an NPRM must include, at a Federalism—whether the action has Alternatives—a description of the minimum: A statement of the time, ‘‘federalism implications’’ as defined in alternatives the agency has considered place, and nature of the public Executive Order 13132. This term refers or will consider as required by section rulemaking proceeding; to actions ‘‘that have substantial direct 4(c)(1)(B) of Executive Order 12866. • A reference to the legal authority effects on the States, on the relationship Anticipated Costs and Benefits—a under which the rule is proposed; and • between the national government and description of preliminary estimates of Either the terms or substance of the the States, or on the distribution of the anticipated costs and benefits of the proposed rule or a description of the power and responsibilities among the action. subjects and issues involved. various levels of government.’’ Risks—a description of the magnitude PL (or Pub. L.)— A public law is a law Independent regulatory agencies are not of the risk the action addresses, the passed by Congress and signed by the required to supply this information. amount by which the agency expects the President or enacted over his veto. It has Included in the Regulatory Plan— action to reduce this risk, and the general applicability, unlike a private whether the rulemaking was included in relation of the risk and this risk law that applies only to those persons the agency’s current regulatory plan reduction effort to other risks and risk or entities specifically designated. published in fall 2015. reduction efforts within the agency’s Public laws are numbered in sequence Agency Contact—the name and phone jurisdiction. throughout the 2-year life of each number of at least one person in the Congress; for example, PL 112–4 is the V. Abbreviations agency who is knowledgeable about the fourth public law of the 112th Congress. rulemaking action. The agency may also The following abbreviations appear RFA—A Regulatory Flexibility provide the title, address, fax number, throughout this publication: Analysis is a description and analysis of email address, and TDD for each agency ANPRM—An Advance Notice of the impact of a rule on small entities, contact. Proposed Rulemaking is a preliminary including small businesses, small Some agencies have provided the notice, published in the Federal governmental jurisdictions, and certain following optional information: Register, announcing that an agency is small not-for-profit organizations. The RIN Information URL—the Internet considering a regulatory action. An Regulatory Flexibility Act (5 U.S.C. 601 address of a site that provides more agency may issue an ANPRM before it et seq.) requires each agency to prepare information about the entry. develops a detailed proposed rule. An an initial RFA for public comment when Public Comment URL—the Internet ANPRM describes the general area that it is required to publish an NPRM and address of a site that will accept public may be subject to regulation and usually to make available a final RFA when the comments on the entry. Alternatively, asks for public comment on the issues final rule is published, unless the timely public comments may be and options being discussed. An agency head certifies that the rule submitted at the Governmentwide e- ANPRM is issued only when an agency would not have a significant economic rulemaking site, http:// believes it needs to gather more impact on a substantial number of small www.regulations.gov. information before proceeding to a entities. Additional Information—any notice of proposed rulemaking. RIN—The Regulation Identifier information an agency wishes to include CFR—The Code of Federal Number is assigned by the Regulatory that does not have a specific Regulations is an annual codification of Information Service Center to identify corresponding data element. the general and permanent regulations each regulatory action listed in the Compliance Cost to the Public—the published in the Federal Register by the Regulatory Plan and the Unified estimated gross compliance cost of the agencies of the Federal Government. Agenda, as directed by Executive Order action. The Code is divided into 50 titles, each 12866 (section 4(b)). Additionally, OMB Affected Sectors—the industrial title covering a broad area subject to has asked agencies to include RINs in sectors that the action may most affect, Federal regulation. The CFR is keyed to the headings of their Rule and Proposed either directly or indirectly. Affected and kept up to date by the daily issues Rule documents when publishing them sectors are identified by North of the Federal Register. in the Federal Register, to make it easier American Industry Classification EO—An Executive order is a directive for the public and agency officials to System (NAICS) codes. from the President to Executive track the publication history of Energy Effects—an indication of agencies, issued under constitutional or regulatory actions throughout their whether the agency has prepared or statutory authority. Executive orders are development. plans to prepare a Statement of Energy published in the Federal Register and in Seq. No.—The sequence number Effects for the action, as required by title 3 of the Code of Federal identifies the location of an entry in the Executive Order 13211 ‘‘Actions Regulations. printed edition of the Regulatory Plan Concerning Regulations That FR—The Federal Register is a daily and the Unified Agenda. Note that a Significantly Affect Energy Supply, Federal Government publication that specific regulatory action will have the Distribution, or Use,’’ signed May 18, provides a uniform system for same RIN throughout its development 2001 (66 FR 28355). publishing Presidential documents, all but will generally have different
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sequence numbers if it appears in Regulatory Plan and the Unified Agenda Regulatory and Deregulatory Actions different printed editions of the Unified (agency regulatory flexibility agendas) since fall 1995 are available in Agenda. Sequence numbers are not used are available from the Superintendent of electronic form at http://reginfo.gov, in the online Unified Agenda. Documents, U.S. Government Printing along with flexible search tools. U.S.C.—The United States Code is a Office, P.O. Box 371954, Pittsburgh, PA The Government Printing Office’s consolidation and codification of all 15250–7954. Telephone: (202) 512–1800 GPO FDsys Web site contains copies of general and permanent laws of the or 1–866–512–1800 (toll-free). United States. The U.S.C. is divided into the Agendas and Regulatory Plans that Copies of individual agency materials 50 titles, each title covering a broad area have been printed in the Federal may be available directly from the of Federal law. Register. These documents are available agency or may be found on the agency’s at http://www.fdsys.gov. VI. How can users get copies of the Plan Web site. Please contact the particular and the Agenda? agency for further information. Dated: November 17, 2016. John C. Thomas, Copies of the Federal Register issue All editions of The Regulatory Plan containing the printed edition of The and the Unified Agenda of Federal Executive Director.
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INTRODUCTION TO THE 2016 ‘‘economically significant’’ under the issued in 2012, institutionalizes the REGULATORY PLAN terms of Executive Orders 12866 and retrospective—or ‘‘lookback’’— Executive Order 12866, issued in 13563. The Agenda might list a rule as mechanism set out in Executive Order 1993, requires the production of a ‘‘economically significant’’ within the 13563 by requiring agencies to report to Unified Regulatory Agenda and meaning of Executive Order 12866 the Office of Management and Budget Regulatory Plan. Executive Order 13563, (generally, having an annual effect on and to the public twice each year issued in 2011, reaffirms the the economy of $100 million or more) (January and July) on the status of their requirements of Executive Order 12866. because it imposes costs, confers large retrospective review efforts. In these Consistent with these Executive benefits, affects significant budget reports, agencies are to ‘‘describe Orders, the Office of Information and resources, or removes costly burdens. progress, anticipated accomplishments, Regulatory Affairs (OIRA) is providing Executive Orders 13563 and 13610: and proposed timelines for relevant the 2016 Unified Regulatory Agenda Regulatory Development, and the actions.’’ (Agenda) and the Regulatory Plan (Plan) Retrospective Review of Regulation Executive Orders 13563 and 13610 for public review. The Agenda and Plan recognize that circumstances may Executive Order 13563 reaffirmed the are preliminary statements of regulatory change in a way that requires agencies principles, structures, and definitions in and deregulatory policies and priorities to reconsider regulatory requirements. Executive Order 12866, which has long under consideration. The Plan provides The retrospective review process allows governed regulatory review. Executive a list of important regulatory actions agencies to reevaluate existing rules and Order 13563 explicitly points to the that agencies are considering for to streamline, modify, or eliminate those need for predictability and certainty in issuance in proposed or final form regulations that do not make sense in the regulatory system, as well as for use during the 2017 fiscal year. In contrast, their current form. The agencies’ of the least burdensome means to the Agenda is a more inclusive list that lookback efforts so far during this achieving regulatory ends. These includes numerous ministerial actions Administration have yielded Executive Orders include the and routine rulemakings, as well as approximately $37 billion in savings for requirement that, to the extent long-term initiatives that agencies do the American public over the next five permitted by law, agencies should not not plan to complete in the coming year years. Reflecting that focus, the current proceed with rulemaking in the absence but on which they are actively working. Agenda lists numerous actions that of a reasoned determination that the Changed circumstances, public retroactively review existing regulatory benefits justify the costs. They also comment, or applicable legal authorities programs. Since President Obama establish public participation, could affect an agency’s decision about issued Executive Order 13610, this integration and innovation, flexible whether to go forward with a listed Administration has worked to approaches, scientific integrity, and regulatory action. institutionalize retrospective review in retrospective review as areas of A central purpose of the Agenda is to the federal agencies. In July 2016, emphasis in regulation. In particular, involve the public, including State, agencies submitted to OIRA the latest Executive Order 13563 explicitly draws local, and tribal officials, in Federal updates of their retrospective review attention to the need to measure and regulatory planning. The public plans, which are publicly available at: examination of the Agenda and Plan improve ‘‘the actual results of regulatory https://www.whitehouse.gov/omb/oira/ will facilitate public participation in a requirements’’—a clear reference to the regulation-reform. Federal agencies will regulatory system that, in the words of importance of the retrospective review again update their retrospective review Executive Order 13563, protects ‘‘public of regulations. plans in January 2017. OIRA has asked health, welfare, safety, and our Executive Order 13563 addresses new agencies to continue to emphasize environment while promoting economic regulations that are under development, retrospective reviews in their latest growth, innovation, competitiveness, as well as retrospective review of Regulatory Plans. and job creation.’’ We emphasize that existing regulations that are already in rules listed on the Agenda must still place. With respect to agencies’ review As agencies advance the regulations undergo significant development and of existing regulations, the Executive detailed in this 2016 Regulatory Plan, review before agencies can issue them. Order calls for careful reassessment OIRA will continue its efforts to ensure No regulatory action can become based on empirical analysis. The that our regulatory system emphasizes, effective until it has gone through the prospective analysis required by public participation, scientific evidence, legally required processes, which Executive Order 13563 may depend on innovation, flexible regulatory normally include public notice and a degree of prediction and speculation approaches, and careful consideration of comment. Any proposed or final action about a rule’s likely impacts, and the costs and benefits. These considerations must also satisfy the requirements of actual costs and benefits of a regulation are meant to produce a regulatory relevant statutes, Executive Orders, and may be lower or higher than what was system that is driven by the best Presidential Memoranda. anticipated when the rule was originally available knowledge and evidence, Among other information, the Agenda developed. attentive to real-world impacts, and is provides an initial classification of Executive Order 13610, Identifying suited to the evolving circumstances of whether a rulemaking is ‘‘significant’’ or and Reducing Regulatory Burdens, the 21st Century.
DEPARTMENT OF AGRICULTURE
Regulation Sequence No. Title Identifier No. Rulemaking stage
1 ...... National Organic Program—Organic Aquaculture Standards ...... 0581–AD34 Proposed Rule Stage. 2 ...... NOP; Organic Livestock and Poultry Practices; ...... 0581–AD44 Final Rule Stage. 3 ...... Importation, Interstate Movement, and Release Into the Environment of Certain 0579–AE15 Proposed Rule Stage. Genetically Engineered Organisms.
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DEPARTMENT OF AGRICULTURE—Continued
Regulation Sequence No. Title Identifier No. Rulemaking stage
4 ...... Horse Protection; Licensing of Designated Qualified Persons and Other Amend- 0579–AE19 Final Rule Stage. ments. 5 ...... Tournament Systems and Poultry Growing Arrangements ...... 0580–AB26 Proposed Rule Stage. 6 ...... Unfair Practices and Unreasonable Preference ...... 0580–AB27 Proposed Rule Stage. 7 ...... Clarification of Scope ...... 0580–AB25 Final Rule Stage. 8 ...... Eligibility, Certification, and Employment and Training Provisions ...... 0584–AD87 Final Rule Stage. 9 ...... National School Lunch and School Breakfast Programs: Nutrition Standards for 0584–AE09 Final Rule Stage. All Foods Sold in School, as Required by the Healthy, Hunger-Free Kids Act of 2010. 10 ...... Enhancing Retailer Eligibility Standards in SNAP ...... 0584–AE27 Final Rule Stage. 11 ...... Supplemental Nutrition Assistance Program (SNAP) Photo Electronic Benefit 0584–AE45 Final Rule Stage. Transfer (EBT) Card Implementation Requirements. 12 ...... Revision of the Nutrition Facts Panels for Meat and Poultry Products and Updat- 0583–AD56 Proposed Rule Stage. ing Certain Reference Amounts Customarily Consumed. 13 ...... Modernization of Swine Slaughter Inspection ...... 0583–AD62 Proposed Rule Stage.
DEPARTMENT OF COMMERCE
Regulation Sequence No. Title Identifier No. Rulemaking stage
14 ...... Endangered and Threatened Species; Critical Habitat for the Threatened Carib- 0648–BG20 Proposed Rule Stage. bean Corals. 15 ...... Designation of Critical Habitat for Threatened Indo-Pacific Reef-building Corals ... 0648–BG26 Proposed Rule Stage. 16 ...... Magnuson-Stevens Fisheries Conservation and Management Act; Seafood Im- 0648–BF09 Final Rule Stage. port Monitoring Program. 17 ...... Designation of Critical Habitat for the Gulf of Maine, New York Bight, and Chesa- 0648–BF28 Final Rule Stage. peake Bay Distinct Population Segments of Atlantic Sturgeon. 18 ...... Designation of Critical Habitat for the Carolina and South Atlantic Distinct Popu- 0648–BF32 Final Rule Stage. lation Segments of Atlantic Sturgeon.
DEPARTMENT OF DEFENSE
Regulation Sequence No. Title Identifier No. Rulemaking stage
19 ...... Sexual Assault Prevention and Response Program Procedures ...... 0790–AI36 Final Rule Stage. 20 ...... Identification (ID) Cards for Members of the Uniformed Services, Their Depend- 0790–AJ37 Final Rule Stage. ents, and Other Eligible Individuals (Adding Subpart D). 21 ...... Sexual Assault Prevention and Response (SAPR) Program ...... 0790–AJ40 Final Rule Stage. 22 ...... TRICARE; Reimbursement of Long Term Care Hospitals and Inpatient Rehabili- 0720–AB47 Final Rule Stage. tation Facilities. 23 ...... TRICARE: Refills of Maintenance Medications Through Military Treatment Facility 0720–AB64 Final Rule Stage. Pharmacies or National Mail Order Pharmacy Program.
DEPARTMENT OF EDUCATION
Regulation Sequence No. Title Identifier No. Rulemaking stage
24 ...... Title I of the Elementary and Secondary Education Act of 1965—Accountability 1810–AB27 Final Rule Stage. and State Plans. 25 ...... Elementary and Secondary Education Act of 1965, as Amended by the Every 1810–AB33 Final Rule Stage. Student Succeeds Act—Supplement Not Supplant under Title I, Part A.
DEPARTMENT OF ENERGY
Regulation Sequence No. Title Identifier No. Rulemaking stage.
26 ...... Energy Conservation Standards for General Service Lamps ...... 1904–AD09 Proposed Rule Stage. 27 ...... Energy Conservation Standards for Residential Non-Weatherized Gas Furnaces 1904–AD20 Proposed Rule Stage. and Mobile Home Gas Furnaces. 28 ...... Energy Conservation Standards for Walk-In Coolers and Walk-In Freezers ...... 1904–AD59 Proposed Rule Stage. 29 ...... Energy Conservation Standards for Manufactured Housing ...... 1904–AC11 Final Rule Stage. 30 ...... Energy Conservation Standards for Commercial Packaged Boilers ...... 1904–AD01 Final Rule Stage. 31 ...... Energy Conservation Standards for Commercial Water Heating Equipment ...... 1904–AD34 Final Rule Stage.
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DEPARTMENT OF ENERGY—Continued
Regulation Sequence No. Title Identifier No. Rulemaking stage.
32 ...... Energy Conservation Standards for Dedicated-Purpose Pool Pumps ...... 1904–AD52 Final Rule Stage.
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Regulation Sequence No. Title Identifier No. Rulemaking stage.
33 ...... Confidentiality of Substance Use Disorder Patient Records ...... 0930–AA21 Final Rule Stage. 34 ...... Control of Communicable Diseases ...... 0920–AA63 Final Rule Stage. 35 ...... Mammography Quality Standards Act; Regulatory Amendments ...... 0910–AH04 Proposed Rule Stage. 36 ...... Patient Medication Information ...... 0910–AH33 Proposed Rule Stage. 37 ...... 340(B) Civil Monetary Penalties for Manufacturers and Ceiling Price Regulations 0906–AA89 Final Rule Stage. 38 ...... Definition of Human Organ Under Section 301 of the National Organ Transplant 0906–AB02 Final Rule Stage. Act of 1984. 39 ...... 340B Program Omnibus Guidelines ...... 0906–AB08 Final Rule Stage. 40 ...... Federal Policy for the Protection of Human Subjects; Final Rules ...... 0937–AA02 Final Rule Stage. 41 ...... Eligibility Notices, Fair Hearing and Appeal Processes for Medicaid, and Other 0938–AS55 Proposed Rule Stage. Provisions Related to Eligibility and Enrollment for Medicaid and CHIP (CMS– 2334–P2). 42 ...... FY 2018 Prospective Payment System and Consolidated Billing for Skilled Nurs- 0938–AS96 Proposed Rule Stage. ing Facilities (SNFs) (CMS–1679–P). 43 ...... FY 2018 Inpatient Psychiatric Facilities Prospective Payment System—Rate Up- 0938–AS97 Proposed Rule Stage. date (CMS–1673–P). 44 ...... FY 2018 Inpatient Rehabilitation Facility (IRF) Prospective Payment System 0938–AS99 Proposed Rule Stage. (CMS–1671–P). 45 ...... FY 2018 Hospice Rate Update (CMS–1675–P) ...... 0938–AT00 Proposed Rule Stage. 46 ...... CY 2018 Hospital Outpatient PPS Policy Changes and Payment Rates and Am- 0938–AT03 Proposed Rule Stage. bulatory Surgical Center Payment System Policy Changes and Payment Rates (CMS–1678–P). 47 ...... CY 2018 Changes to the End- Stage. Renal Disease (ESRD) Prospective Pay- 0938–AT04 Proposed Rule Stage. ment System, Quality Incentive Program, and Durable Medical Equipment, Prosthetics, Orthotics, and Supplies (DMEPOS) (CMS–1674–P). 48 ...... Eligibility Notices, Fair Hearing and Appeal Processes for Medicaid, and Other 0938–AS27 Final Rule Stage.. Provisions Related to Eligibility and Enrollment for Medicaid and CHIP (CMS– 2334–F2). 49 ...... CY 2017 Inpatient Hospital Deductible and Hospital and Extended Care Services 0938–AS70 Final Rule Stage. Coinsurance Amounts (CMS–8062–N). 50 ...... CY 2018 Inpatient Hospital Deductible and Hospital and Extended Care Services 0938–AT05 Final Rule Stage. Coinsurance Amounts (CMS–8065–N). 51 ...... Adoption and Foster Care Analysis and Reporting System (AFCARS) ...... 0970–AC47 Final Rule Stage. 52 ...... Flexibility, Efficiency, and Modernization of Child Support Enforcement Programs 0970–AC50 Final Rule Stage.
DEPARTMENT OF HOMELAND SECURITY
Regulation Sequence No. Title Identifier No. Rulemaking stage.
53 ...... Chemical Facility Anti-Terrorism Standards (CFATS) ...... 1601–AA69 Proposed Rule Stage. 54 ...... New Classification for Victims of Criminal Activity; Eligibility for the U Non- 1615–AA67 Proposed Rule Stage. immigrant Status. 55 ...... Requirements for Filing Motions and Administrative Appeals ...... 1615–AB98 Proposed Rule Stage. 56 ...... Improvement of the Employment Creation Immigrant Regulations ...... 1615–AC07 Proposed Rule Stage. 57 ...... Classification for Victims of Severe Forms of Trafficking in Persons; Eligibility for 1615–AA59 Final Rule Stage. T Nonimmigrant Status. 58 ...... Special Immigrant Juvenile Petitions ...... 1615–AB81 Final Rule Stage. 59 ...... International Entrepreneur ...... 1615–AC04 Final Rule Stage. 60 ...... Retention of EB–1, EB–2, and EB–3 Immigrant Workers and Program Improve- 1615–AC05 Final Rule Stage. ments Affecting Highly-Skilled H–1B Nonimmigrant Workers. 61 ...... Commercial Fishing Vessels—Implementation of 2010 and 2012 Legislation ...... 1625–AB85 Proposed Rule Stage. 62 ...... Seafarers’ Access to Maritime Facilities ...... 1625–AC15 Final Rule Stage. 63 ...... Air Cargo Advance Screening (ACAS) ...... 1651–AB04 Proposed Rule Stage. 64 ...... Definition of Form I–94 to Include Electronic Format ...... 1651–AA96 Final Rule Stage. 65 ...... Surface Transportation Vulnerability Assessments and Security Plans ...... 1652–AA56 Prerule Stage. 66 ...... Security Training for Surface Transportation Employees ...... 1652–AA55 Proposed Rule Stage. 67 ...... Vetting of Certain Surface Transportation Employees ...... 1652–AA69 Proposed Rule Stage. 68 ...... Eligibility Checks of Nominated and Current Designated School Officials of 1653–AA71 Proposed Rule Stage. Schools That Enroll F and M Nonimmigrant Students and of Exchange Visitor Program-Designated Sponsors of J Nonimmigrants.
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DEPARTMENT OF HOMELAND SECURITY—Continued
Regulation Sequence No. Title Identifier No. Rulemaking stage.
69 ...... Updates to Floodplain Management and Protection of Wetlands Regulations to 1660–AA85 Final Rule Stage. Implement Executive Order 13690 and the Federal Flood Risk Management Standard.
DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
Regulation Sequence No. Title Identifier No. Rulemaking stage
70 ...... Floodplain Management and Protection of Wetlands; Minimum Property Stand- 2501–AD62 Proposed Rule Stage. ards for Flood Hazard Exposure; Building to the Federal Flood Risk Manage- ment Standard (FR–5717). 71 ...... Notification, Evaluation and Reduction of Lead-Based Paint Hazards in Federally 2501–AD77 Final Rule Stage. Owned Residential Property and Housing Receiving Federal Assistance; Re- sponse to Elevated Blood Lead Level (FR–5816).
DEPARTMENT OF JUSTICE
Regulation Sequence No. Title Identifier No. Rulemaking stage
72 ...... Nondiscrimination on the Basis of Disability: Accessibility of Web Information and 1190–AA65 Proposed Rule Stage. Services of State and Local Governments. 73 ...... Nondiscrimination on the Basis of Disability; Movie Captioning and Audio De- 1190–AA63 Final Rule Stage. scription. 74 ...... Revision of Standards and Procedures for the Enforcement of Section 274B of 1190–AA71 Final Rule Stage. the Immigration and Nationality Act. 75 ...... Motions To Reopen Removal, Deportation, or Exclusion Proceedings Based 1125–AA68 Final Rule Stage. Upon a Claim of Ineffective Assistance of Counsel. 76 ...... Recognition of Organizations and Accreditation of Non-Attorney Representatives 1125–AA72 Final Rule Stage. 77 ...... Implementation of the ADA Amendments Act of 2008 Federally Assisted Pro- 1105–AB50 Proposed Rule Stage. grams (Section 504 of the Rehabilitation Act of 1973).
DEPARTMENT OF LABOR
Regulation Sequence No. Title Identifier No. Rulemaking stage
78 ...... Employment of Workers With Disabilities Under Special Certificates ...... 1235–AA14 Proposed Rule Stage. 79 ...... Equal Employment Opportunity in Apprenticeship Amendment of Regulations ...... 1205–AB59 Final Rule Stage. 80 ...... Amendment to Claims Procedure Regulation ...... 1210–AB39 Final Rule Stage. 81 ...... Savings Arrangements Established by Political Subdivisions for Non-Govern- 1210–AB76 Final Rule Stage. mental Employees. 82 ...... Respirable Crystalline Silica ...... 1219–AB36 Proposed Rule Stage. 83 ...... Proximity Detection Systems for Mobile Machines in Underground Mines ...... 1219–AB78 Proposed Rule Stage. 84 ...... Preventing Workplace Violence in Healthcare ...... 1218–AD08 Prerule Stage. 85 ...... Infectious Diseases ...... 1218–AC46 Proposed Rule Stage. 86 ...... Standards Improvement Project IV ...... 1218–AC67 Proposed Rule Stage. 87 ...... Occupational Exposure to Beryllium ...... 1218–AB76 Final Rule Stage.
DEPARTMENT OF TRANSPORTATION
Regulation Sequence No. Title Identifier No. Rulemaking stage
88 ...... Airport Safety Management System ...... 2120–AJ38 Proposed Rule Stage. 89 ...... Pilot Professional Development ...... 2120–AJ87 Proposed Rule Stage. 90 ...... Revision of Airworthiness Standards for Normal, Utility, Acrobatic, and Commuter 2120–AK65 Final Rule Stage. Category Airplanes (RRR). 91 ...... National Goals and Performance Management Measures 2 (MAP–21) ...... 2125–AF53 Final Rule Stage. 92 ...... National Goals and Performance Management Measures 3 (MAP–21) ...... 2125–AF54 Final Rule Stage. 93 ...... Entry-Level Driver Training ...... 2126–AB66 Final Rule Stage. 94 ...... Tire Fuel Efficiency Consumer Information—Part 2 ...... 2127–AK76 Proposed Rule Stage. 95 ...... Heavy Vehicle Speed Limiters ...... 2127–AK92 Proposed Rule Stage. 96 ...... Federal Motor Vehicle Safety Standard (FMVSS) 150—Vehicle to Vehicle (V2V) 2127–AL55 Proposed Rule Stage. Communication. 97 ...... Locomotive Recording Devices ...... 2130–AC51 Proposed Rule Stage. 98 ...... Risk Reduction Program ...... 2130–AC11 Final Rule Stage.
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DEPARTMENT OF TRANSPORTATION—Continued
Regulation Sequence No. Title Identifier No. Rulemaking stage
99 ...... Pipeline Safety: Safety of Hazardous Liquid Pipelines ...... 2137–AE66 Final Rule Stage. 100 ...... Hazardous Materials: Oil Spill Response Plans and Information Sharing for High- 2137–AF08 Final Rule Stage. Hazard Flammable Trains.
DEPARTMENT OF VETERANS AFFAIRS
Regulation Sequence No. Title Identifier No. Rulemaking stage
101 ...... Schedule for Rating Disabilities: The Genitourinary Diseases and Conditions ...... 2900–AP16 Proposed Rule Stage. 102 ...... Revise and Streamline VA Acquisition Regulation to Adhere to Federal Acquisi- 2900–AP50 Proposed Rule Stage. tion Regulation Principles (VAAR Case 2014–V001, Parts 803, 814, 822). 103 ...... VA Homeless Providers Grant and Per Diem Program ...... 2900–AP54 Proposed Rule Stage. 104 ...... Revise and Streamline VA Acquisition Regulation to Adhere to Federal Acquisi- 2900–AP58 Proposed Rule Stage. tion Regulation Principles (VAAR Case 2014–V005, Parts 812, 813). 105 ...... Diseases Associated With Exposure to Contaminants in the Water Supply at 2900–AP66 Proposed Rule Stage. Camp Lejeune. 106 ...... Revise and Streamline VA Acquisition Regulation to Adhere to Federal Acquisi- 2900–AP81 Proposed Rule Stage. tion Regulation Principles VAAR Case 2014–V004 (Parts 811, 832). 107 ...... Revise and Streamline VA Acquisition Regulation to Adhere to Federal Acquisi- 2900–AP82 Proposed Rule Stage. tion Regulation Principles (VAAR Case 2014–V002, Parts 816, 828). 108 ...... Schedule for Rating Disabilities: The Hematologic and Lymphatic Systems ...... 2900–AO19 Final Rule Stage. 109 ...... Schedule for Rating Disabilities: The Endocrine System ...... 2900–AO44 Final Rule Stage. 110 ...... Fiduciary Activities ...... 2900–AO53 Final Rule Stage. 111 ...... Per Diem Paid to States for Care of Eligible Veterans in State Homes ...... 2900–AO88 Final Rule Stage. 112 ...... Schedule for Rating Disabilities; Dental and Oral Conditions ...... 2900–AP08 Final Rule Stage. 113 ...... Schedule for Rating Disabilities: Gynecological Conditions and Disorders of the 2900–AP13 Final Rule Stage. Breast. 114 ...... Schedule for Rating Disabilities: The Organs of Special Sense and Schedule of 2900–AP14 Final Rule Stage. Ratings—Eye. 115 ...... Schedule for Rating Disabilities: Skin Conditions ...... 2900–AP27 Final Rule Stage. 116 ...... Tiered Pharmacy Copayments for Medications ...... 2900–AP35 Final Rule Stage. 117 ...... Advanced Practice Registered Nurses ...... 2900–AP44 Final Rule Stage. 118 ...... Expanded Access to Non-VA Care Through the Veterans Choice Program ...... 2900–AP60 Final Rule Stage. 119 ...... Veterans Employment Pay for Success Grant Program ...... 2900–AP72 Final Rule Stage.
ENVIRONMENTAL PROTECTION AGENCY
Regulation Sequence No. Title Identifier No. Rulemaking stage
120 ...... Federal Baseline Water Quality Standards for Indian Reservations ...... 2040–AF62 Prerule Stage. 121 ...... Renewables Enhancement and Growth Support Rule ...... 2060–AS66 Proposed Rule Stage. 122 ...... Implementation of the 2015 National Ambient Air Quality Standards for Ozone: 2060–AS82 Proposed Rule Stage. Nonattainment Area Classifications and State Implementation Plan Require- ments. 123 ...... Renewable Fuel Volume Standards for 2018 and Biomass Based Diesel Volume 2060–AT04 Proposed Rule Stage. (BBD) for 2019. 124 ...... Trichloroethylene (TCE); Rulemaking Under TSCA Section 6(a) ...... 2070–AK03 Proposed Rule Stage. 125 ...... N-Methylpyrrolidone (NMP) and Methylene Chloride; Rulemaking Under TSCA 2070–AK07 Proposed Rule Stage. Section 6(a). 126 ...... Trichloroethylene (TCE); Rulemaking Under TSCA Section 6(a); Vapor 2070–AK11 Proposed Rule Stage. Degreasing. 127 ...... Polychlorinated Biphenyls (PCBs); Reassessment of Use Authorizations for 2070–AK12 Proposed Rule Stage. PCBs in Small Capacitors in Fluorescent Light Ballasts in Schools and Daycares. 128 ...... Procedures for Evaluating Existing Chemical Risks Under the Toxic Substances 2070–AK20 Proposed Rule Stage. Control Act. 129 ...... Procedures for Prioritization of Chemicals for Risk Evaluation Under the Toxic 2070–AK23 Proposed Rule Stage. Substances Control Act. 130 ...... Financial Responsibility Requirements Under CERCLA Section 108(b) for Class- 2050–AG61 Proposed Rule Stage. es of Facilities in the Hardrock Mining Industry. 131 ...... National Primary Drinking Water Regulations for Lead and Copper: Regulatory 2040–AF15 Proposed Rule Stage. Revisions. 132 ...... Fees for Water Infrastructure Project Applications Under the Water Infrastructure 2040–AF64 Proposed Rule Stage. Finance and Innovation Act. 133 ...... National Emission Standards for Hazardous Air Pollutants (NESHAP) Subpart W: 2060–AP26 Final Rule Stage. Standards for Radon Emissions From Operating Uranium Mill Tailings: Review.
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ENVIRONMENTAL PROTECTION AGENCY—Continued
Regulation Sequence No. Title Identifier No. Rulemaking stage
134 ...... Revision of 40 CFR 192—Health and Environmental Protection Standards for 2060–AP43 Final Rule Stage. Uranium and Thorium Mill Tailings and Uranium In Situ Leaching Processing Facilities. 135 ...... Model Trading Rules for Greenhouse Gas Emissions From Electric Utility Gener- 2060–AS47 Final Rule Stage. ating Units Constructed on or Before January 8, 2014. 136 ...... Renewable Fuel Volume Standards for 2017 and Biomass Based Diesel Volume 2060–AS72 Final Rule Stage. (BBD) for 2018. 137 ...... Pesticides; Certification of Pesticide Applicators ...... 2070–AJ20 Final Rule Stage. 138 ...... Modernization of the Accidental Release Prevention Regulations Under Clean Air 2050–AG82 Final Rule Stage. Act. 139 ...... Credit Assistance for Water Infrastructure Projects ...... 2040–AF63 Final Rule Stage.
EQUAL EMPLOYMENT OPPORTUNITY COMMISSION
Regulation Sequence No. Title Identifier No. Rulemaking stage
140 ...... Affirmative Action for Individuals With Disabilities in the Federal Government ...... 3046–AA94 Final Rule. Stage.
SMALL BUSINESS ADMINISTRATION
Regulation Sequence No. Title Identifier No. Rulemaking stage
141 ...... Small Business Innovation Research Program and Small Business Technology 3245–AG64 Final Rule Stage. Transfer Program Policy Directive. 142 ...... Small Business Investment Company (SBIC) Program—Impact SBICs ...... 3245–AG66 Final Rule Stage.
SOCIAL SECURITY ADMINISTRATION
Regulation Sequence No. Title Identifier No. Rulemaking stage
143 ...... Revised Medical Criteria for Evaluating Musculoskeletal Disorders (3318P) ...... 0960–AG38 Proposed Rule Stage. 144 ...... Revised Medical Criteria for Evaluating Digestive Disorders (3441P) ...... 0960–AG65 Proposed Rule Stage. 145 ...... Revised Medical Criteria for Evaluating Cardiovascular Disorders (3477P) ...... 0960–AG74 Proposed Rule Stage. 146 ...... Revising the Ticket to Work Program Rules (3780A) ...... 0960–AH50 Proposed Rule Stage. 147 ...... Revisions to Rules Regarding the Evaluation of Medical Evidence ...... 0960–AH51 Proposed Rule Stage. 148 ...... Revised Medical Criteria for Evaluating Hearing Loss and Disturbances of Lab- 0960–AH54 Proposed Rule Stage. yrinthine-Vestibular Function (3806P). 149 ...... Use of Electronic Payroll Data To Improve Program Administration ...... 0960–AH88 Proposed Rule Stage. 150 ...... Treatment of Earnings Derived From Services ...... 0960–AH90 Proposed Rule Stage. 151 ...... Closure of Unintended Loopholes (Conforming Changes to Regulations on Pre- 0960–AH93 Proposed Rule Stage. sumed Filing and Voluntary Suspension). 152 ...... Revisions to Rules on Representation of Parties (3396F) ...... 0960–AG56 Final Rule Stage. 153 ...... Revised Medical Criteria for Evaluating Human Immunodeficiency Virus (HIV) In- 0960–AG71 Final Rule Stage. fection and for Evaluating Functional Limitations in Immune System Disorders (3466F). 154 ...... Amendments to Regulations Regarding Withdrawals of Applications and Vol- 0960–AH07 Final Rule Stage. untary Suspension of Benefits (3573F). 155 ...... Revisions to Rules of Conduct and Standards of Responsibility for Appointed 0960–AH63 Final Rule Stage. Representatives. 156 ...... Ensuring Program Uniformity at the Hearing and Appeals Council Levels of the 0960–AH71 Final Rule Stage. Administrative Review Process. 157 ...... Implementation of the NICS Improvement Amendments Act of 2007 ...... 0960–AH95 Final Rule Stage. 158 ...... Availability of Information and Records to the Public ...... 0960–AI07 Final Rule Stage.
CONSUMER PRODUCT SAFETY COMMISSION
Regulation Sequence No. Title Identifier No. Rulemaking stage
159 ...... Flammability Standard for Upholstered Furniture ...... 3041–AB35 Proposed Rule Stage.
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NATIONAL INDIAN GAMING COMMISSION
Regulation Sequence No. Title Identifier No. Rulemaking stage
160 ...... Class II Minimum Internal Control Standards ...... 3141–AA60 Proposed Rule Stage. 161 ...... Minimum Internal Control Standards ...... 3141–AA55 Final Rule Stage.
NUCLEAR REGULATORY COMMISSION
Regulation Sequence No. Title Identifier No. Rulemaking stage
162 ...... Modified Small Quantities Protocol [NRC–2015–0263] ...... 3150–AJ70 Final Rule Stage.
BILLING CODE 6820–27–P opportunities such as renewable energy, awardees. For more information about U.S. DEPARTMENT OF AGRICULTURE broadband, and recreation. Many of the this rule, see RIN 0572–AC34. Nation’s small businesses are located in USDA also works to increase the Fall 2016 Statement of Regulatory rural communities and are the engine of effectiveness of the Government’s Priorities job growth and an important source of investment in rural America. To this The U.S. Department of Agriculture innovation for the country. The end, Rural Development is developing a (USDA) provides leadership on food, economic vitality and quality of life in rule that will establish program metrics agriculture, natural resources, rural rural America depends on a healthy to measure the economic activities development, nutrition, and related agricultural production system. Farmers created through grants and loans, issues based on sound public policy, the and ranchers face a challenging global, including any technical assistance best available science, and efficient technologically advanced, and provided as a component of the grant or management. The Department touches competitive business environment. loan program, and to measure the short the lives of almost every American, USDA works to ensure that producers and long-term viability of award every day. Our regulatory plan reflects are prosperous and competitive, have recipients, and any entities to whom that reality and reinforces our access to new markets, can manage their recipients provide assistance using the commitment to achieve results for risks, and receive support in times of awarded funds. The action is required everyone we serve. economic distress or weather-related by section 6209 of the 2014 Farm Bill, The regulatory plan reflects USDA’s disasters. Prosperous rural communities and will not change the underlying efforts to implement several important are those with adequate assets to fully provisions of the included programs, pieces of legislation. The 2014 Farm Bill support the well-being of community such as eligibility, applications, scoring, provides authorization for services and members. USDA helps to strengthen and servicing provisions. For more programs that impact every American rural assets by building physical, human information about this rule, see RIN and millions of people around the and social, financial, and natural 0570–AA95. world. Under the Farm Bill authorities, capital. Increase agricultural opportunities by USDA will continue to build on historic Enhance rural prosperity, including ensuring a robust safety net, creating economic gains in rural America. The leveraging capital markets to increase new markets, and supporting a Healthy, Hunger-Free Kids Act of 2010 Government’s investment in rural competitive agricultural system. (HHFKA) provided the authority for America. In another step to increase the USDA to make genuine reforms to the USDA is committed to providing effectiveness of the Government’s school lunch and breakfast programs by broadband to rural areas. Since 2009, investment in rural America, the Farm improving the critical nutrition and USDA investments have delivered Service Agency (FSA) published a final hunger safety net for millions of broadband service to over 6 million rule on December 16, 2015, on behalf of children. rural residents. These investments the Commodity Credit Corporation To assist the country in addressing support the USDA goal to create (CCC) to specify the requirements for a today’s challenges, USDA has thriving communities where people person to be considered actively developed a regulatory plan consistent want to live and raise families. engaged in farming for the purpose of with five strategic goals that articulate Consistent with these efforts, the Rural payment eligibility for certain FSA and the Department’s priorities. Utilities Service (RUS) published a final CCC programs. These changes ensure rule confirming the interim rule entitled that farm program payments are made to 1. Assist Rural Communities To Create ‘‘Rural Broadband Access Loans and the farmers and farm families that they Prosperity So They Are Self-Sustaining, Loan Guarantees’’ which published in are intended to help. Specifically, as Re-Populating, and Economically the Federal Register on June 9, 2016. required by the 2014 Farm Bill, FSA Thriving The final rule implements the statutory revised the requirements for a Rural America is home to a vibrant changes from the 2014 Farm Bill and significant contribution of active economy supported by nearly 50 facilitates greater deployment of and personnel management to a farming million Americans. These Americans access to broadband services in rural operation. These changes are required come from diverse backgrounds and communities by adjusting certain by the 2014 Farm Bill, and will not work in a variety of industries, service area eligibility criteria, apply to persons or entities comprised including manufacturing, agriculture, establishing new priority solely of family members. For more services, government, and trade. Today, considerations, and introducing new information about this rule, see RIN the country looks to rural America not reporting sections that require more 0560–AI31. only to provide food and fiber, but for detailed information gathering and The Federal Crop Insurance Program crucial emerging economic publishing for both the Agency and mitigates production and revenue losses
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from yield or price fluctuations and and consolidated, and streamlined resilient to climate change. Through provides timely indemnity payments. programs to improve efficiency and CSP, NRCS provides financial and The 2014 Farm Bill improved the encourage participation. Farm Bill technical assistance to eligible Federal Crop Insurance Program by conservation programs provide producers to conserve and enhance soil, allowing producers to elect coverage for America’s farmers, ranchers and others water, air, and related natural resources shallow losses, improved options for with technical and financial assistance on their land. NRCS makes funding for growers of organic commodities, and the to enable conservation of natural CSP available nationwide on a ability for diversified operations to resources, while protecting and continuous application basis. In fiscal insure their whole-farm under a single improving agricultural operations. year 2014, NRCS enrolled about 9.6 policy. To strengthen further the farm Seventy percent of the American million acres and now CSP enrollment financial safety net, the Risk landscape is privately owned, making exceeds 60 million acres, about the size Management Agency (RMA) published a private lands conservation critical to the of Iowa and Indiana combined. On final rule on June 30, 2016, that health of our nation’s environment and March 10, 2016, NRCS published a final amended the general administrative ability to ensure our working lands are rule to implement provisions of the regulations governing Catastrophic Risk productive. To sustain these many 2014 Farm Bill that amended CSP. For Protection Endorsement, Area Risk benefits, USDA has implemented the more information about this rule, see Protection Insurance, and the basic authorities provided by the 2014 Farm RIN 0578–AA63. provisions for Common Crop Insurance Bill to protect and enhance 1.3 billion The Environmental Quality Incentives consistent with the changes mandated acres of working lands. USDA also Program (EQIP) is another voluntary by the 2014 Farm Bill. For more manages 193 million acres of national conservation program that helps information about this rule, see RIN forests and grasslands. Our partners agricultural producers in a manner that 0563–AC43. include Federal, Tribal, and State promotes agricultural production and The Packers and Stockyards Program governments; industry; non- environmental quality as compatible promotes fair business practices and governmental organizations, community goals. Through EQIP, agricultural competitive environments to market groups and producers. The Nation’s producers receive financial and livestock, meat, and poultry. lands face increasing threats that must technical assistance to implement Accordingly, and consistent with its be addressed. USDA’s natural resource- structural and management oversight activities under the Packers focused regulatory strategies are conservation practices that optimize and Stockyards Act (P&S Act), the Grain designed to make substantial environmental benefits on working Inspection, Packers and Stockyards contributions in the areas of soil health, agricultural land. Through EQIP, Administration (GIPSA) proposes to resiliency to climate change, and producers addressed their conservation establish criteria to be considered in improved water quality. needs on over 11 million acres in fiscal determining whether an undue or Improve the health of the Nation’s year 2014. EQIP has been instrumental unreasonable preference or advantage forests, grasslands and working lands by in helping communities respond to has occurred during contractual growing managing our natural resources. drought. On June 3, 2016, NRCS arrangements. For more information The Natural Resources Conservation published a final rule that implemented about this rule, see RIN 0580–AB27. Service (NRCS) administers the changes mandated by 2014 Farm Bill Consistent with the P&S Act, GIPSA Agricultural Conservation Easement and addressed key discretionary also proposes to establish certain Program (ACEP), which provides provisions, including adding waiver requirements when using a financial and technical assistance to authority to irrigation history ‘‘tournament’’ system for contract help conserve agricultural lands and requirements, incorporation of Tribal poultry growing. For more information wetlands and their related benefits. The Conservation Advisory Councils where about this rule, see RIN 0580–AB26. 2014 Farm Bill consolidated the appropriate, and clarifying provisions Finally, GIPSA proposes to issue Wetlands Reserve Program (WRP), the related to Comprehensive Nutrient interim clarifying language on the list of Farm and Ranch Lands Protection Management Plans (CNMP) associated unfair practices between those that do Program (FRPP), and the Grassland with Animal Feeding Operations (AFO). not require a showing of harm to Reserve Program (GRP) into ACEP. In For more information about this rule, competition and those that violate the fiscal year 2015, an estimated 115,233 see RIN 0578–AA62. P&S Act only with a finding of harm to acres of farmland, grasslands, and Contribute to clean and abundant competition. For more information wetlands were enrolled into ACEP. water by protecting and enhancing about this rule, see RIN 0580–AB25 Through regulation, NRCS established a water resources on national forests and comprehensive framework to implement working lands. 2. Ensure Our National Forests and ACEP, and standardized criteria for The 2014 Farm Bill relinked highly Private Working Lands Are Conserved, implementing the program, provided erodible land conservation and wetland Restored, and Made More Resilient to program participants with predictability conservation compliance with eligibility Climate Change, While Enhancing Our when they initiate an application and for premium support paid under the Water Resources convey an easement. On February 27, federal crop insurance program. The National forests and private working 2015, NRCS published an interim rule Farm Service Agency implemented lands provide clean air, clean and to implement ACEP. NRCS is currently these provisions through an interim rule abundant water, and wildlife habitat. developing a final rule to implement published on April, 24, 2015. Since These lands sustain jobs and produce changes to the administration of ACEP publication of the interim rule, more food, fiber, timber, and bio-based based on public comments received. For than 98.2 percent of producers met the energy. Many of our landscapes are more information about this rule, see requirement to certify conservation scenic and culturally important and RIN 0578–AA61. compliance to qualify for crop insurance provide Americans a chance to enjoy The Conservation Stewardship premium support payments. the outdoors. The 2014 Farm Bill Program (CSP) also helps the Implementing these provisions for delivered a strong conservation title that Department ensure that our national conservation compliance is expected to made robust investments to conserve forests and private working lands are extend conservation provisions for an and support America’s working lands, conserved, restored, and made more additional 1.5 million acres of highly
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erodible lands and 1.1 million acres of program can be used to fill food The AMS National Organic Program wetlands, which will reduce soil availability gaps generated by establishes national standards governing erosion, enhance water quality, and unexpected emergencies. For more the marketing of organically produced create wildlife habitat. Through this information about this rule, see RIN agricultural products. These standards action, NRCS modified the existing 0551–AA87. do not currently include organic farmed wetlands Mitigation Banking Program to Enhance America’s ability to develop aquatic animals in the United States remove the requirement that USDA hold and trade agricultural products derived which means that seafood currently sold easements in the mitigation program. from new and emerging technologies. as organic in the United States is This allows entities recognized by USDA uses science-based regulatory imported from other countries and USDA to hold mitigation banking systems to allow for the safe certified to private standards or other easements granted by a person who development, use, and trade of products countries’ standards. Accordingly, and wishes to maintain payment eligibility derived from new agricultural based on recommendations from the under the wetland conservation technologies. USDA continues to National Organic Standards Board, provision. FSA is currently developing regulate the importation, interstate USDA is proposing to establish a final rule to implement changes to the movement, and field-testing of newly standards for organic farmed aquatic interim rule based on public comments developed genetically engineered (GE) animals and their products. This would received. For more information about organisms that qualify as ‘‘regulated allow U.S. producers to compete in the this rule, see RIN 0560–AI26. articles’’ to ensure they do not pose a organic seafood market and may expand threat to plant health before they can be trade partnerships. For more 3. Help America Promote Agricultural commercialized. These science-based information about this rule, see RIN Production and Biotechnology Exports evaluations facilitate the safe 0581–AD34. as America Works To Increase Food introduction of new agricultural Security production options and enhance public 4. Ensure That All of America’s Food security is important for and international confidence in these Children Have Access to Safe, sustainable economic growth of products. As a part of this effort, the Nutritious, and Balanced Meals developing nations and the long-term Animal and Plant Health Inspection A plentiful supply of safe and economic prosperity and security of the Service (APHIS) will publish a proposed nutritious food is essential to the well- United States. Unfortunately, global rule to revise its regulations and align being of every family and the healthy food insecurity is expected to rise in the them with current authorizations by development of every child in America. next five years. Food security means incorporating the noxious weed Science has established strong links having a reliable source of nutritious authority and regulate GE organisms between diet, health, and productivity. and safe food and sufficient resources to that pose plant pest or weed risks in a Even small improvements in the average purchase it. USDA has a role in curbing manner that balances oversight and risk, diet, fostered by USDA, may yield this distressing trend through programs and that is based on the best available significant health and economic such as Food for Progress and President science. The regulatory framework being benefits. However, foodborne illness is Obama’s Feed the Future Initiative and developed will enable more focused, still a common, costly-yet largely through new technology-based risk-based regulation of GE organisms preventable-public health problem, even solutions, such as the development of that pose plant pest or noxious weed though the U.S. food supply system is genetically engineered plants that risks and will implement regulatory one of the safest in the world. USDA is improves yields and reduces post- requirements only to the extent committed to ensuring that Americans harvest loss. necessary to achieve the APHIS have access to safe food through a farm- Ensure U.S. agricultural resources protection goal. For more information to-table approach to reduce and prevent contribute to enhanced global food about this rule, see RIN 0579–AE15. foodborne illness. To help ensure a security. As part of an Act to reauthorize and plentiful supply of food, the Department The Foreign Agricultural Service amend the National Sea Grant College detects and quickly responds to new (FAS) published a final rule for the Program Act (Act), the President signed invasive species and emerging Local and Regional procurement (LRP) a bill to amend the Agricultural agricultural and public health Program on July 1, 2016 as authorized Marketing Act of 1946 to include situations. in section 3207 of the 2014 Farm Bill. subtitle E, the National Bioengineered Improve access to nutritious food. USDA implemented a successful LRP Food Disclosure Standard (Pub. L. 114– USDA’s domestic nutrition assistance pilot program under the authorities of 216). The legislation requires that the programs serve one in four Americans the 2008 Farm Bill. LRP ties to the Agricultural Marketing Service (AMS) annually. The Department is committed President’s 2014 Trade Policy Agenda establish a mandatory national to making benefits available to every and works with developing nations to bioengineered food disclosure standard eligible person who wishes to alleviate poverty and foster economic and the procedures necessary to participate in the major nutrition growth to provide better markets for implement the national standard within assistance programs, including the U.S. exporters. LRP is expected to help two years of the enactment of the Act. Supplemental Nutrition Assistance alleviate hunger for millions of Throughout the process, AMS will Program (SNAP), the cornerstone of the individuals in food insecure countries. engage consumers and industry nutrition assistance safety net, which LRP supports development activities stakeholders to ensure that the final helped over 45 million Americans, more that strengthen the capacity of food- program is established effectively and than half of whom were children, the insecure developing countries, and with the utmost transparency. AMS is elderly, or individuals with disabilities, build resilience and address the causes currently preparing an advance notice of put food on the table in 2015. The Food of chronic food insecurity while also proposed rulemaking to begin the and Nutrition Service (FNS) plans to supporting USDA’s other food rulemaking process for implementing publish a final rule that works with assistance programs, including the the national bioengineered food States interested in implementing McGovern Dole International Food for disclosure standards. For more photos on SNAP Electronic Benefit Education and Child Nutrition Program information about this action, see RIN Transfer (EBT) cards to ensure that the (McGovern-Dole). In addition, the 0581–AD54. issuance of photo EBT cards does not
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inhibit access to this critical nutrition FNS published a final rule, Local inspection efficiency by allowing FSIS assistance program. For more School Wellness Policy Implementation inspection program personnel to devote information about this rule, see RIN and School Nutrition Environment more time to activities related to food 0584–AE09. Information, on July 27, 2016, to safety. For more information about this Additionally, FNS plans to issue a implement section 204 of the HHFKA. rule, see RIN 0583–AD54. final rule codifying 2008 Farm Bill As a result of meal pattern changes in FSIS is also proposing to amend the changes addressing SNAP eligibility, the school meals programs, students are Federal meat inspection regulations to certification, and employment and now eating 16 percent more vegetables improve the effectiveness of swine training provisions. While the ultimate and there was a 23 percent increase in slaughter inspection by establishing a objective is for economic opportunities the selection of fruit at lunch. This Act new inspection system for swine to make nutrition assistance requires each local educational agency slaughter establishments. The proposed unnecessary for as many families as participating in Federal child nutrition New Swine Slaughter Inspection System possible, we will ensure that these vital programs to establish, for all schools would facilitate pathogen reduction in programs remain ready to serve all under its jurisdiction, a local school pork products by permitting FSIS to eligible people who need them. For wellness policy to maintain this conduct more offline inspection more information about this rule, see momentum. The HHFKA requires that activities that are more effective in RIN 0584–AD87. the wellness policy include goals for ensuring food safety; improving animal Promote healthy diet and physical nutrition, nutrition education, physical welfare and compliance with the activity behaviors. activity, and other school-based Humane Methods of Slaughter Act; and The Administration has set a goal to activities that promote student wellness. making better use of FSIS resources. For solve the problem of childhood obesity In addition, the HHFKA requires that more information about this rule, see within a generation so that children local educational agencies ensure RIN 0583–AD62. born today will reach adulthood at a stakeholder participation in healthy weight. This objective development of local school wellness 5. Create a USDA for the 21st Century represents FNS’s efforts to ensure that policies; periodically assess compliance That Is High Performing, Efficient, and program benefits meet appropriate with the policies; and disclose Adaptable standards to effectively improve information about the policies to the USDA has been a leader in the nutrition for program participants, to public. For more information about this improve the diets of its clients through Federal government at implementing rule, see RIN 0584–AE25. innovative practices to rein in costs and nutrition education, and to support the The Food Safety and Inspection increase efficiencies. By taking steps to national effort to reduce obesity by Service (FSIS) continues to ensure that find efficiencies and cut costs, USDA promoting healthy eating and physical meat and poultry products are properly employees have achieved savings and activity. The Department will finalize marked, labeled, and packaged, and cost avoidances of over $1.4 billion in changes to eligibility requirements for prohibits the distribution in-commerce recent years. Some of these results came SNAP retail food stores to ensure access of meat or poultry products that are from relatively smaller, common-sense to nutritious foods for home preparation adulterated or misbranded. FSIS is initiatives such as the $1 million saved and consumption for the families most planning to publish a proposed rule that by streamlining the mail handling at one vulnerable to food insecurity. The final would amend the nutrition labeling of the USDA mailrooms or the rule will consider the balance of requirements for meat and poultry ensuring participant access to retail food products to better reflect scientific consolidation of the Department’s cell stores with enhanced stocking research and dietary recommendations phone contracts, which is saving requirements. For more information and to improve the presentation of taxpayers over $5 million per year. about this rule, see RIN 0584–AE27. nutrition information to assist Other results have come from larger- FNS published a final rule on July 27, consumers in maintaining healthy scale activities, such as the focus on 2016, for Nutrition Standards for All dietary practices. This rule will be reducing non-essential travel that has Foods Sold in School, as required by consistent with the recent changes that yielded over $400 million in HHFKA. Section 208 requires the the Food and Drug Administration efficiencies. Overall, these results have Secretary to promulgate regulations to (FDA) finalized for other food products. allowed us to do more with less during establish science-based nutrition This rule will ensure that nutrition a time when such stewardship of standards for all foods sold in schools, information is presented consistently resources has been critical to meeting outside the school meal programs, on across the food supply. For more the needs of those that we serve. the school campus, and at any time information about this rule, see RIN While these proactive steps have during the school day. For more 0583–AD56. given USDA the tools to carry out our information about this rule, see RIN Protect agricultural health by mission-critical work, ensuring that 0584–AE09. minimizing major diseases and pests to USDA’s millions of customers receive FNS published the final rule, Meal ensure access to safe, plentiful, and stronger service, they are matters Pattern Revisions Related to the Healthy nutritious food. relating to agency management, Hunger-Free Kids Act of 2010, on July The Food Safety and Inspection personnel, public property, and/or 8, 2016, to implement section 221 of the Service (FSIS) continue to enforce and contracts, and as such they are not HHFKA. This section requires USDA to improve compliance with the Humane subject to the notice and comment review and update, no less frequently Methods of Slaughter Act. FSIS requirements for rulemaking codified at than once every 10 years, requirements published a final rule on July 18, 2016, 5 U.S.C. 553. Consequently, they are not for meals served under the Child and requiring non-ambulatory disabled veal included in the Department’s regulatory Adult Care Food Program (CACFP) to calves that are offered for slaughter to be agenda. For more information about the ensure that meals are consistent with condemned and promptly euthanized. USDA efforts to cut costs and modernize the most recent Dietary Guidelines for This rule will improve compliance with operations via the Blueprint for Stronger Americans and relevant nutrition the Humane Methods of Slaughter Act Service Initiative, see http:// science. For more information about this by encouraging improved treatment of www.usda.gov/wps/portal/usda/ rule, see RIN 0584–AE18. veal calves, as well as improve usdahome?contentidonly=true&
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contentid=blueprint_for_stronger_ regulations were implemented. As part appear in the Regulatory Agenda. You service.html. of this ongoing review to maximize the can find more information about these cost-effectiveness of its regulatory Retrospective Review of Existing completed rulemakings in past programs, USDA will publish a Federal Regulations publications of the Unified Agenda Register notice inviting public comment (search the Completed Actions sections) In accordance with Executive Order to assist in analyzing its existing on www.reginfo.gov. Other entries on 13563, ‘‘Improving Regulation and significant regulations to determine this list are still in development and Regulatory Review,’’ and Executive whether any should be modified, have not yet appeared in the Regulatory Order 13610, ‘‘Identifying and Reducing streamlined, expanded, or repealed. Agenda. You can read more about these Regulatory Burdens,’’ USDA continues USDA has identified the following entries and the Department’s strategy for to review its existing regulations and regulatory actions as associated with information collections to evaluate the retrospective review and analysis. Some regulation reform at http:// continued effectiveness in addressing www.usda.gov/wps/portal/usda/ of the regulatory actions on the below _ the circumstances for which the list are completed actions, which do not usdahome?navid=USDA OPEN.
Agency Title RIN
Food Safety & Inspection Service Requirements for the Disposition of Non-Ambulatory Disabled Veal Calves ..... 0583–AD54. (FSIS). Animal Plant Health & Inspection Serv- Participation in the International Trade Data System (ITDS) via the Automated TBD. ice (APHIS). Commercial Environment (ACE). FSIS ...... Electronic Export Application and Certification Fee ...... 0583–AD41. Agricultural Marketing Service (AMS) ... Input Export Form Numbers Into the Automated Export System ...... TBD. AMS ...... Revisions to the Electronic Submission of the Import Request of Shell Eggs ... 0581–AD40. APHIS ...... Forms for Declaration Mandated by 2008 Farm Bill (Lacey Act Amendments) 0579–AD99. Farm Service Agency (FSA) and Risk Acreage and Crop Reporting Streamlining Initiative ...... 0563–0084. Management Agency. FSA ...... Environmental Policies and Procedures; Compliance with the National Envi- 0560–AH02. ronmental Policy Act and Related Authorities. Natural Resources Conservation Serv- Conservation Delivery Streamlining Initiative (CDSI)—Conservation Client TBD. ice. Gateway (CCG). Rural Business Services (RBS) ...... Business and Industry Loan Guaranteed Program ...... 0570–AA85. Rural Housing Service ...... Community Facilities Loan and Grants ...... 0575–AC91. FNS ...... Simplified Cost Accounting and Other Actions to Reduce Paperwork in the 0584–AD84. Summer Food Service Program. Rural Business Services (RBS) ...... Biorefinery, Renewable Chemical, and Biobased Product Manufacturing As- 0570–AA73, 0570– sistance. 0065. RBS ...... Rural Energy for America Program ...... 0570–AA76.
USDA—AGRICULTURAL MARKETING establish standards for the certification products to continue to be sold as SERVICE (AMS) of organic farmed aquatic animals and organic based on private standards or their products. Finally, the U.S. Proposed Rule Stage other countries’ standards. currently has organic standards Anticipated Cost and Benefits: The 1. National Organic Program—Organic equivalence arrangements with Canada cost for existing conventional Aquaculture Standards and the European Union (EU). Both aquaculture operations to convert and Canada and the EU established Priority: Other Significant. participate in this voluntary marketing Legal Authority: 7 U.S.C. 6501 to 6522 standards for organic aquaculture products. Because the U.S.does not have program generally would be incurred in CFR Citation: 7 CFR 205. organic aquaculture standards, the U.S. the cost of changing management Legal Deadline: None. is unable to include aquaculture in the practices, increased feed costs, and Abstract: This action proposes to scope of these arrangements. obtaining organic certification. There establish standards for organic Establishing U.S. organic aquaculture also would be some costs to certifying production and certification of farmed may provide a basis for expanding those agents who would need to add aquatic animals and their products in trade partnerships. aquaculture to their areas of the USDA organic regulations. This Summary of Legal Basis: AMS accreditation under the USDA organic action would also add aquatic animals regulations. These costs include as a scope of certification and National Organic Program is authorized application fees and expanded audits to accreditation under the National by the Organic Foods Production Act of ensure certifying agents meet the Organic Program (NOP). 1990 (OFPA) to establish national accreditation requirements needed to Statement of Need: This action is standards governing the marketing of necessary to establish standards for organically produced agricultural provide certification services to organic farmed aquatic animals and products (7 U.S.C. 6501–6522). The aquaculture operations. By providing their products which would allow U.S. USDA organic regulations set the organic standards for organic aquatic producers to compete in the organic requirements for the organic animal products, producers will be able seafood market. This action is also certification of agricultural products to sell certified organic aquatic animal necessary to address multiple (7 CFR part 205). products for a premium above the price recommendations provided to USDA by Alternatives: An alternative to of conventionally produced seafood. the National Organic Standards Board providing organic aquatic animal Organic consumers will be assured that (NOSB). From 2007 through 2009, the standards would be to not publish such organic aquatic animal products comply NOSB made five recommendations to standards and allow aquatic animal with the USDA organic regulations.
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Risks: There are no known risks to production regulations with robust and USDA—ANIMAL AND PLANT HEALTH providing these additional standards for clear provisions to fulfill an objective of INSPECTION SERVICE (APHIS) certification of organic products. the Organic Foods Production Act of Proposed Rule Stage Timetable: 1990 (OFPA): To assure consumers that organically-produced products meet a 3. Importation, Interstate Movement, Action Date FR Cite consistent and uniform standard and Release Into the Environment of (7 U.S.C. 6501). OFPA mandates that Certain Genetically Engineered NPRM ...... 11/00/16 detailed livestock and poultry Organisms regulations be developed through notice Regulatory Flexibility Analysis Priority: Other Significant. and comment rulemaking and intends Required: Yes. Legal Authority: 7 U.S.C. 7701 to for National Organic Standards Board Small Entities Affected: Businesses. 7772; 7 U.S.C. 7781 to 7786; 31 U.S.C. (NOSB) involvement in that process Government Levels Affected: None. 9701 International Impacts: This regulatory (7 U.S.C. 6508(g)). CFR Citation: 7 CFR 340. Alternatives: The alternative is that action will be likely to have Legal Deadline: None. consumers will not have the assurance international trade and investment Abstract: USDA uses science-based that organically-produced products effects, or otherwise be of international regulatory systems to allow for the safe meet a consistent and uniform standard interest. development, use, and trade of products Agency Contact: Miles V. McEvoy, as there will be continued inconsistency derived from new agricultural Deputy Administrator, USDA National among organic livestock producers. Nor technologies. USDA continues to Organic Program, Department of will certifying agents be able to make regulate the importation, interstate Agriculture, Agricultural Marketing consistent certification decisions and movement, and field-testing of newly Service, 1400 Independence Avenue facilitate fairness and transparency for developed genetically engineered (GE) SW., Washington, DC 20250, Phone: 202 the organic producers and consumers organisms that qualify as ‘‘regulated 720–3252. that participate in the market. articles’’ to ensure they do not pose a RIN: 0581–AD34 Anticipated Cost and Benefits: AMS threat to plant health before they can be expects this rule to maintain consumer commercialized. These science-based confidence in the high standards evaluations facilitate the safe represented by the USDA organic seal. introduction of new agricultural USDA—AMS This action would promote consistency production options and enhance public Final Rule Stage among certifying agents to uniformly and international confidence in these verify and enforce clear requirements products. As a part of this effort, the 2. NOP; Organic Livestock and Poultry for organic livestock. AMS estimates Animal and Plant Health Inspection Practices that annualized benefits for increased or Service (APHIS) will publish a proposed Priority: Other Significant. sustained demand for organic products rule to revise its regulations regarding Legal Authority: 7 U.S.C. 6501 to 6522 is $14.5 to $34 million per year. The the regulation of GE organisms. CFR Citation: 7 CFR 205. cost of implementing the rule would fall Statement of Need: This rule is Legal Deadline: None. primarily on organic poultry operations necessary in order to respond to Abstract: This action would establish that may need to purchase and advances in genetic engineering and standards that support additional transition additional land to organic APHIS’ understanding of the pest risks practice standards for organic livestock production and modify existing poultry posed by genetically engineered and poultry production. This action structures to come into compliance with organisms, to evaluate genetically would add provisions to the USDA this rule. AMS estimates that the engineered plants for noxious weed risk organic regulations to address and annualized cost to the organic industry (an evaluation that is not part of the clarify livestock and poultry living for this rule is $13 to 15.6 million per current regulations), to respond to two conditions (for example, outdoor access, year. Office of Inspector General audits housing environment and stocking Risks: AMS expects that a few regarding APHIS’ regulation of densities), health care practices (for provisions among the numerous genetically engineered organisms, and example physical alterations, proposed will be contentious. to respond to the requirements of the administering medical treatment, Timetable: 2008 Farm Bill. euthanasia), and animal handling and Summary of Legal Basis: The Plant transport to and during slaughter. Action Date FR Cite Protection Act of 200, as amended (7 Statement of Need: This action would NPRM ...... 04/13/16 81 FR 21955 U.S.C. 7701 et seq.). establish standards that support NPRM Comment 06/13/16 Alternatives: Alternatives that we additional practice standards for organic Period End. considered were (1) to leave the livestock and poultry production. This Final Action ...... 12/00/16 regulations unchanged; (2) to regulate action would add provisions to the all GE organisms as presenting a USDA organic regulations to address Regulatory Flexibility Analysis possible plant pest or noxious weed and clarify livestock and poultry living Required: Yes. risk, without exception, and with no conditions (for example, outdoor access, Small Entities Affected: Businesses. means of granting nonregulated status; housing environment and stocking Government Levels Affected: None. or (3) to withdraw APHIS regulations densities), health care practices (for Agency Contact: Miles V. McEvoy, governing biotechnology and instead example physical alterations, Deputy Administrator, USDA National implement a voluntary program under administering medical treatment, Organic Program, Department of which developers would present euthanasia), and animal handling and Agriculture, Agricultural Marketing genetically engineered organisms to transport to and during slaughter. Service, 1400 Independence Avenue APHIS for an evaluation of their plant Summary of Legal Basis: This action SW., Washington, DC 20250, Phone: 202 pest and noxious weed risk, and is necessary to augment the USDA 720–3252. organisms determined to be plant pests organic livestock and poultry RIN: 0581–AD44 and/or noxious weeds would be
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regulated under other APHIS of devices, equipment, substances, and the proposed rule, we welcomed regulations. practices that can cause soring or are comments from the public on other Anticipated Cost and Benefits: Not yet otherwise prohibited under the Horse options, in particular the viability of determined. Protection Act and regulations. alternative approaches that would Risks: Unless we issue this proposal, Additionally, we are amending the continue to rely on the horse industry we may not be able to regulate a inspection procedures. These actions organization concept, and what the genetically engineered plant that does are intended to strengthen existing governance of such an organization not pose a plant pest risk, but does pose requirements intended to eliminate should be like. a noxious weed risk. Additionally, as soring and promote enforcement of Anticipated Cost and Benefits: The noted above, the current regulations do Horse Protection Act and regulations. benefits of the proposed rule are not incorporate recommendations of Statement of Need: Soring, the act of expected to justify the costs. The two OIG audits, and do not respond to deliberately inducing pain in a horse’s proposed changes to the horse the requirements of the 2008 Farm Bill, feet to produce an exaggerated show protection regulations would promote particularly regarding APHIS oversight gait, has been a persistent practice the humane treatment of walking and of field trials and environmental within the Tennessee Walking Horse racking horses by more effectively releases of genetically engineered industry despite regulations prohibiting ensuring that those horses that organisms. it. Third party inspectors are currently participate in exhibitions, sales, shows, Timetable: trained and licensed by horse industry or auctions are not sored. This benefit organizations and conduct inspections is an unquantifiable animal welfare Action Date FR Cite of horses at horse shows and enhancement. The proposed rule is not exhibitions. In response to public expected to adversely impact NPRM ...... 12/00/16 concerns about the ability of the Horse communities in which shows are held NPRM Comment 02/00/17 Protection Program to prevent soring, since walking and racking horse shows Period End. the United States Department of are expected to continue. Agriculture’s (USDA’s) Office of the Risks: This rulemaking is intended to Regulatory Flexibility Analysis Inspector General (OIG) initiated an reduce the risk of horses suffering pain Required: Undetermined. audit of APHIS’ oversight of the Horse and injury from the practice of soring Small Entities Affected: Businesses, Protection program and concluded that without restricting the activities of horse Organizations. APHIS’ inspection program for owners and organizations that have no Government Levels Affected: Local, inspecting gaited horses is not adequate history of soring and for which the State. to ensure that horses are not being sored USDA does not consider soring to be a International Impacts: This regulatory for the purposes of enhanced concern. action will be likely to have performance. OIG recommended that Timetable: international trade and investment APHIS eliminate the horse inspection effects, or otherwise be of international program in its current form and assume Action Date FR Cite interest. a direct involvement in the Additional Information: Additional accreditation and monitoring of NPRM ...... 07/26/16 81 FR 49111 information about APHIS and its inspectors and inspection procedures. NPRM Comment 09/26/16 programs is available on the Internet at Period End. Under the proposed rule, all training Final Rule ...... 01/00/17 http://www.aphis.usda.gov. and licensing of inspectors would be Agency Contact: Gwendolyn Burnett, conducted only by APHIS, and devices Regulatory Flexibility Analysis Agriculturalist, BRS, Department of used to cause soring would be further Required: Undetermined. Agriculture, Animal and Plant Health restricted or prohibited. APHIS is in Small Entities Affected: Businesses, Inspection Service, 4700 River Road, agreement with these recommendations Organizations. Unit 147, Riverdale, MD 20737–1236, but needs to amend the regulations Government Levels Affected: None. Phone: 301 851–3893. through rulemaking in order to adopt it. Additional Information: Additional RIN: 0579–AE15 Summary of Legal Basis: Section 4 of information about APHIS and its the Horse Protection Act, as amended programs is available on the Internet at (15 U.S.C. 1823), requires the Secretary http://www.aphis.usda.gov. USDA—APHIS of Agriculture to prescribe by regulation Agency Contact: Rachel Cezar, requirements for the appointment by the Supervisory Veterinary Medical Officer, Final Rule Stage management of a horse show, Horse Protection Coordinator, Animal 4. Horse Protection; Licensing of exhibition, sale, or auction (referred to Care, Department of Agriculture, below as show management) of persons Designated Qualified Persons and Other Animal and Plant Health Inspection qualified to detect and diagnose a horse Amendments Service, 4700 River Road, Unit 84, which is sore or to otherwise inspect Riverdale, MD 20737, Phone: 301 851– Priority: Other Significant. horses for the purpose of enforcing the 3746. Legal Authority: 15 U.S.C. 1823 to Act. Section 9 (15 U.S.C. 1828) RIN: 0579–AE19 1825; 15 U.S.C. 1828 authorizes the Secretary of Agriculture CFR Citation: 9 CFR 11. to issue such rules and regulations as Legal Deadline: None. deemed necessary to carry out the Abstract: This rulemaking will amend provisions of the Act. USDA—GRAIN INSPECTION, training and licensing requirements Alternatives: In following the PACKERS AND STOCKYARDS mandated by the horse protection recommendations of the USDA OIG ADMINISTRATION (GIPSA) regulations. We are also making several Audit, we believe the changes we Proposed Rule Stage changes to the responsibilities of show proposed in this rulemaking represent management of horse shows, horse the best alternative option that would 5. Tournament Systems and Poultry exhibitions, horse sales, and horse accomplish the stated objectives and Growing Arrangements auctions, as well as changes to the list minimize impacts on small entities. In Priority: Other Significant.
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Legal Authority: 7 U.S.C. 181 to 229c practices associated with the use of Secretary may consider in determining CFR Citation: 9 CFR 201. poultry grower ranking systems. GIPSA if conduct would violate section 202(b) Legal Deadline: None. also expects that the regulation will of the P&S Act (undue or unreasonable Abstract: The U.S. Department of improve efficiencies and reduce market preference or advantage). While many Agriculture’s Grain Inspection, Packers failures, by increasing the amount of commenters provided examples of and Stockyards Administration (GIPSA) relevant information available to poultry similarly situated poultry growers and plans to propose amending part 201 of growers and reducing information livestock producers receiving different the Regulations under the Packers and asymmetries. Potential poultry growers treatment, other commenters were Stockyards Act (P&S Act) (7 U.S.C. 181– will make better informed business concerned about the impacts of the 229c) to address the use of tournament decisions regarding whether to enter the provision on marketing arrangements systems as a method of payment and industry and established poultry and other beneficial contractual settlement grouping for poultry growers growers will make better informed agreements. Beginning with the FY 2012 under contract in poultry growing decisions regarding additional capital appropriations act, USDA was arrangements with live poultry dealers. investments. precluded from working on certain The proposed regulation would Risks: The risk addressed by this proposed regulatory provisions related establish certain requirements to which rulemaking is the present uncertainty to the P&S Act, including criteria in this a live poultry dealer must comply if a that poultry growers face regarding proposal regarding undue or tournament system is going to be treatment in a poultry grower ranking unreasonable preferences or advantages. utilized to determine grower payment. system and the inefficient allocation of Consequently, GIPSA did not finalize A live poultry dealer’s failure to comply resources due to incomplete information this rule in 2011. The prohibitions are would be deemed an unfair, unjustly needed for business decisions. not included in the Consolidated discriminatory and deceptive practice Timetable: Appropriations Act, 2016. This according to factors outlined in the rulemaking is necessary to fulfill proposed rule. Action Date FR Cite statutory requirements. Section 201.210 Statement of Need: This proposed will illustrate by way of examples types section 201.214 will establish criteria Proposed Rule .... 12/00/16 of conduct GIPSA would consider that the Secretary may consider when unfair, unjustly discriminatory, or determining whether a live poultry Regulatory Flexibility Analysis dealer has used a poultry grower Required: No. deceptive. ranking system to compensate poultry Government Levels Affected: None. Statement of Need: This proposed grower in an unfair, unjustly Agency Contact: Raymond Dexter rulemaking will establish a list of discriminatory, or deceptive manner, or Thomas II, Lead Regulatory Analyst, practices that violate section 202(a) of in a way that gives an undue or Department of Agriculture, Grain the P&S Act without a showing of harm unreasonable prejudice or disadvantage. Inspection, Packers and Stockyards to completion and establish criteria that Proposed section 201.210(10) will link Administration, 1400 Independence the Secretary will consider when the criteria to an unfair practice in Avenue SW., Room 2530–South, determining whether a packer, swine violation of section 202(a) of the P&S Washington, DC 20250, Phone: 202 720– contractor, or live poultry dealer has Act. These provisions are needed to 6529, Fax: 202 690–2173, Email: engaged in conduct or action that protect poultry growers from unfair, [email protected]. constitutes an undue or unreasonable unjustly discriminatory or deceptive RIN: 0580–AB26 preference or advantage in violation of practices and devices and from undue section 202(b) of the P&S Act. These or unreasonable prejudice or provisions are needed to protect disadvantage. SUMMARY OF LEGAL USDA—GIPSA livestock producers and poultry growers BASIS: Section 407 of the P&S Act from unfair, unjustly discriminatory or provides that [t]he Secretary may make 6. Unfair Practices and Unreasonable deceptive practices and devices and such rules, regulations, and orders as Preference from undue or unreasonable prejudice may be necessary to carry out the Priority: Other Significant. or disadvantage or undue or provisions of this Act. This rule is Legal Authority: Pub. L. 110–246; 7 unreasonable preference or advantage. necessary to carry out the provisions of U.S.C. 181–229c The 2008 Farm Bill directed the Section 202(a) and (b) of the P&S Act. CFR Citation: 9 CFR 201. Secretary of Agriculture to establish Summary of Legal Basis: GIPSA Legal Deadline: None. criteria that the Secretary will consider considered three regulatory alternatives: Abstract: Title XI of the 2008 Farm in determining whether a live poultry Maintain the status quo and not propose Bill required the Secretary of dealer has provided reasonable notice to the regulation; propose a revised version Agriculture to issue a number of poultry growers of any suspension of of the proposed rule published in 2010; regulations under the P&S Act. Among the delivery of birds under a poultry and propose a revised version that these instructions, the 2008 Farm Bill growing arrangement; when a would be phased in as existing contracts directed the Secretary to identify criteria requirement of additional capital expire, are replaced, or modified. to be considered in determining investments over the life of a poultry Alternatives: whether an undue or unreasonable growing arrangement or swine Anticipated Cost and Benefits: GIPSA preference or advantage has occurred in production contract constitutes a estimates the annualized costs of violation of the P&S Act. In June of violation of the P&S Act; and if a live proposed regulation 201.211 to be less 2010, the Grain Inspection, Packers and poultry dealer or swine contractor has than $11 million. GIPSA estimates the Stockyards Administration (GIPSA) provided a reasonable period of time for costs to be greater than $100 million published a proposed rule addressing a poultry grower or a swine production annually. GIPSA was unable to quantify this statutory requirement along with contract grower to remedy a breach of the benefits of the regulations. However, several other rules required by the 2008 contract that could lead to termination the primary benefit of regulation Farm Bill. Proposed 201.211 to the of the poultry growing arrangement or 201.214 is the increased ability to regulations under the P&S Act would swine production contract. GIPSA protect poultry growers from unfair have established criteria that the published final rules establishing the
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required criteria in December 2011. Action Date FR Cite the delivery of birds under a poultry These regulations will link the growing arrangement; when a regulatory criteria to a violation of the Proposed Rule .... 12/00/16 requirement of additional capital P&S Act. investments over the life of a poultry Summary of Legal Basis: Section Regulatory Flexibility Analysis growing arrangement or swine 11006 of the Food, Conservation, and Required: Yes. production contract constitutes a Energy Act of 2008 (Pub. L. 110–246) Small Entities Affected: Businesses. violation of the P&S Act; and if a live (2008 Farm Bill) required GIPSA to Government Levels Affected: None. poultry dealer or swine contractor has establish criteria regarding: Undue or Agency Contact: Raymond Dexter provided a reasonable period of time for unreasonable preference or advantage; Thomas II, Lead Regulatory Analyst, a poultry grower or a swine production suspension of delivery of birds under a Department of Agriculture, Grain contract grower to remedy a breach of poultry growing arrangement; additional Inspection, Packers and Stockyards contract that could lead to termination capital investments for poultry or swine Administration, 1400 Independence of the poultry growing arrangement or contracts; and reasonable period of time Avenue SW., Room 2530–South, swine production contract. GIPSA to remedy a breach of contract. GIPSA Washington, DC 20250, Phone: 202 720– published final rules establishing the issued final regulations for three of the 6529, Fax: 202 690–2173, Email: required criteria in December 2011. four required criteria on December 9, [email protected]. However, to link the regulatory criteria RIN: 0580–AB27 2011. Section 201.210 of this rule, will and a violation of the P&S Act, requires link the criteria to a violation of the the interpretation that it is not necessary section 202(a) of the Packers and to show harm to competition in order to Stockyards Act. In addition, section USDA—GIPSA prove that a packer, swine contractor, or 201.210 will identify other conduct that live poultry dealer has committed an Final Rule Stage GIPSA considers to be unfair, unjustly unfair practice in violation of the P&S discriminatory, or deceptive and a 7. Clarification of Scope Act. violation of section 202(a) of the P&S Priority: Economically Significant. Summary of Legal Basis: Section 407 Act without a showing of harm to Major under 5 U.S.C. 801. of the P&S Act provides that [t]he competition. Section 201.211 will Legal Authority: Pub. L. 110–246; 7 Secretary may make such rules, establish criteria for the remaining area U.S.C. 181 to 229c regulations, and orders as may be undue or unreasonable preference or CFR Citation: 9 CFR 201. necessary to carry out the provisions of advantage. Together, the regulations Legal Deadline: None. this Act. This rule is necessary to carry will complete the unfinished work from Abstract: In June of 2010, GIPSA out the provisions of section 202(a) and the 2008 Farm Bill. Section 407 of the published a proposal to amend section (b) of the P&S Act. P&S Act provides that [t]he Secretary 201.3 of the regulations issued under Alternatives: GIPSA considered three may make such rules, regulations, and the Packers and Stockyards Act (P&S regulatory alternatives: Maintain the orders as may be necessary to carry out Act), 1921, as amended. This proposed status quo and not issue the regulation; the provisions of this Act. This rule is change responds to guidance from the issuing regulation as an interim final necessary to carry out the provisions of courts. The courts, in addressing regulation; and issuing the regulation as section 202(a) and (b) of the P&S Act. litigation brought by poultry growers an interim final regulation but Alternatives: GIPSA considered three alleging harm, have said that GIPSA’s exempting small businesses. regulatory alternatives: Maintain the statements regarding the appropriate status quo and not issue the regulations; application of subsections 202(a) and Anticipated Cost and Benefits: GIPSA issuing revised versions of the proposed 202(b) are not entitled to deference in estimates the costs to be greater than rule published in 2010 as proposed the absence of regulation addressing $100 million annually. GIPSA was rules; and proposing regulations that whether the P&S Act prohibits all unfair unable to quantify the benefits of the would be phased in as existing contracts practices, or only those causing harm or regulation. However, the primary expire. a likelihood of harm to competition. The benefit of regulation 201.3 is the Anticipated Cost and Benefits: GIPSA amendment to 201.3 will establish increased ability to protect producers estimates the cost to be greater than GIPSA’s interpretation of the statute and growers through enforcement of the $100 million annually. GIPSA was which will then be entitled to judicial P&S Act for violations of section 202(a) unable to quantify the benefits of the deference. and/or (b) that do not result in harm or regulations. However, the primary Statement of Need: This rulemaking the likelihood of harm to competition. benefit of regulations 201.210 and will clarify the long held position of the Risks: The risk addressed by this 201.211 is the increased ability to Department of Agriculture that it is not rulemaking is the present uncertainty protect producers and growers through necessary in all cases to demonstrate that limits enforcement of section 202(a) enforcement of the P&S Act for harm or likely harm to competition in or (b) of the P&S Act. The clarification violations of section 202(a) and/or (b) order to establish a violation of either provided by this rulemaking will allow that do not result in harm or the Section 202(a) or (b) of the P&S Act. the linkage of the regulatory criteria to likelihood of harm to competition. Several U.S. Courts of Appeals have a violation of the P&S Act, which is a Risks: The risk addressed by this held that it was necessary for plaintiffs substantial portion of the GIPSA Packers rulemaking is the present uncertainty to prove harm or likely harm to and Stockyards Program’s mission. that limits enforcement of section 202(a) competition in cases alleging unfair Timetable: or (b) of the P&S Act. The clarification practices in violation of the P&S Act. provided by this rulemaking will allow The 2008 Farm Bill directed the Action Date FR Cite the linkage of the regulatory criteria to Secretary of Agriculture to establish a violation of the P&S Act, which is a criteria that the Secretary will consider NPRM ...... 06/22/10 75 FR 35338 substantial portion of the GIPSA Packers in determining whether a live poultry NPRM Comment 11/22/10 Period End. and Stockyards Program’s mission. dealer has provided reasonable notice to Interim Final Rule 12/00/16 Timetable: poultry growers of any suspension of
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Regulatory Flexibility Analysis FCEA, and others were new program USDA—FNS Required: Yes. options the FCEA created that State 9. National School Lunch and School Small Entities Affected: Businesses. agencies may include in their Breakfast Programs: Nutrition Government Levels Affected: None. administration of the program. FNS did Standards for All Foods Sold in School, Agency Contact: Raymond Dexter consider alternatives within these Thomas II, Lead Regulatory Analyst, as Required by the Healthy, Hunger- mandatory and optional FCEA Free Kids Act of 2010 Department of Agriculture, Grain provisions addressed in the rule. For Inspection, Packers and Stockyards Priority: Economically Significant. example, under the new optional Administration, 1400 Independence Major under 5 U.S.C. 801. provision implementing section 4119 of Avenue SW., Room 2530–South, Unfunded Mandates: This action may the FCEA, Telephonic Signature Washington, DC 20250, Phone: 202 720– affect State, local or tribal governments. 6529, Fax: 202 690–2173, Email: Systems, FNS considered what specific Legal Authority: Pub. L. 111–296 [email protected]. conditions must be satisfied for a CFR Citation: 7 CFR 210; 7 CFR 220. RIN: 0580–AB25 signature to be considered a spoken Legal Deadline: None. signature. Abstract: This rule codifies a provision of the Healthy, Hunger-Free Anticipated Cost and Benefits: The Kids Act (Pub. L. 111–296; the Act) proposed rule estimated total SNAP USDA—FOOD AND NUTRITION under 7 CFR parts 210 and 220. Section SERVICE (FNS) costs to the Government of the FCEA 208 requires the Secretary to promulgate provisions proposed in the rule to be Final Rule Stage regulations to establish science-based $831 million in fiscal 2010 and $5.619 nutrition standards for all foods sold in 8. Eligibility, Certification, and billion over the five years of fiscal year schools. The nutrition standards apply Employment and Training Provisions 2010 through fiscal year 2014. The final to all food sold outside the school meal rule will present a revised cost analysis. Priority: Economically Significant. programs, on the school campus, and at Major under 5 U.S.C. 801. There are many potential societal any time during the school day. Legal Authority: Pub. L. 110–246; Pub. benefits of this rule, including that Statement of Need: This rule codifies L. 104–121 certain provisions in the rule will the two provisions of the Healthy, CFR Citation: 7 CFR 273. reduce the administrative burden for Hunger-Free Kids Act (Pub. L. 111–296; Legal Deadline: None. households and State agencies. the Act) under 7 CFR parts 210 and 220. Abstract: This final rule amends the Risks: The statutory and discretionary Section 203 requires schools regulations governing the Supplemental changes under consideration would participating in the National School Lunch Program to make available to Nutrition Assistance Program (SNAP) to streamline program operations. The children free of charge, as nutritionally codify provisions from the Food, changes are expected to reduce the risk appropriate, potable water for Conservation, and Energy Act of 2008 of inefficient operations. (Pub. L. 110–246) (FCEA) concerning consumption in the place where meals the eligibility and certification of SNAP Timetable: are served during meal service. Section applicants and participants and SNAP 208 requires the Secretary to promulgate employment and training. Action Date FR Cite regulations to establish science-based Statement of Need: This rule amends nutrition standards for all foods sold in the regulations governing SNAP to NPRM ...... 05/04/11 76 FR 25414 schools not later than December 13, implement provisions from the FCEA NPRM Comment 07/05/11 2011. The nutrition standards apply to Period End. concerning the eligibility and all food sold outside the school meal Final Action ...... 11/00/16 certification of SNAP applicants and programs, on the school campus, and at participants and SNAP employment and any time during the school day. training. In addition, this rule revises Regulatory Flexibility Analysis Summary of Legal Basis: There is no the SNAP regulations throughout 7 CFR Required: No. existing regulatory requirement to make part 273 to change the program name Government Levels Affected: Local, water available where meals are served. from the Food Stamp Program to SNAP State. Regulations at 7 CFR parts 210.11 direct and to make other nomenclature State agencies and school food Agency Contact: Charles H. Watford, changes as mandated by the FCEA. The authorities to establish regulations Regulatory Review Specialist, statutory effective date of these necessary to control the sale of foods in Department of Agriculture, Food and provisions was October 1, 2008. The competition with lunches served under Food and Nutrition Service (FNS) is also Nutrition Service, 3101 Park Center the NSLP, and prohibit the sale of foods implementing two discretionary Drive, Alexandria, VA 22302, Phone: of minimal nutritional value in the food revisions to SNAP regulations to 703 605–0800, Email: charles.watford@ service areas during the lunch periods. provide State agencies options that are fns.usda.gov. The sale of other competitive foods may, available currently only through Lynnette M. Thomas, Chief, Planning at the discretion of the State agency and waivers. These provisions allow State and Regulatory Affairs Branch, school food authority, be allowed in the agencies to average student work hours Department of Agriculture, Food and food service area during the lunch and to provide telephone interviews in Nutrition Service, 3101 Park Center period only if all income from the sale lieu of face-to-face interviews. FNS Drive, Alexandria, VA 22302, Phone: of such foods accrues to the benefit of anticipates that this rule will impact the 703 605–4782, Email: lynnette.thomas@ the nonprofit school food service or the associated paperwork burdens. fns.usda.gov. school or student organizations Summary of Legal Basis: Food, approved by the school. State agencies Conservation, and Energy Act of 2008 RIN: 0584–AD87 and school food authorities may impose (Pub. L. 110–246). additional restrictions on the sale of and Alternatives: Most aspects of the rule income from all foods sold at any time are non-discretionary and tied to throughout schools participating in the specific requirements for SNAP in the Program.
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Alternatives: Several alternatives were Nutrition Service, 3101 Park Center being considered based on commenter considered in the proposed rule that Drive, Alexandria, VA 22302, Phone: feedback on the proposed rule. were not incorporated into the final 703 605–0800, Email: charles.watford@ Anticipated Cost and Benefits: The rule. Alternatives included different fns.usda.gov. changes will allow FNS to improve options for the treatment of entrees and Lynnette M. Thomas, Chief, Planning access to healthy food choices for SNAP side dishes that are served as part of a and Regulatory Affairs Branch, participants and to ensure that reimburseable meal, options for Department of Agriculture, Food and participating retailers effectuate the establishing limits on the frequency of Nutrition Service, 3101 Park Center purposes of the Program. FNS exempt fundraisers, options for public Drive, Alexandria, VA 22302, Phone: anticipates that these provisions will comment on lower-calorie beverages for 703 605–4782, Email: lynnette.thomas@ have no significant costs to States. high school students, and an option that fns.usda.gov. Risks: None identified. considered prohibiting the sale of RIN: 0584–AE09 Timetable: beverages with added caffeine to high school students. Action Date FR Cite Anticipated Cost and Benefits: USDA—FNS Expected Costs Analysis and Budgetary NPRM ...... 02/17/16 81 FR 8015 NPRM Comment 05/18/16 Effects Statement: We expect that these 10. Enhancing Retailer Eligibility Period End. provisions would incur no Federal Standards in SNAP Final Action ...... 11/00/16 costs. Priority: Other Significant. Although the complexity of factors Legal Authority: 3 U.S.C. 2012; 9 Regulatory Flexibility Analysis that influence overall food consumption U.S.C. 2018 Required: No. and obesity prevent us from defining a CFR Citation: 7 CFR 271.2; 7 CFR Government Levels Affected: State. level of dietary change or disease or cost 278.1. Agency Contact: Charles H. Watford, reduction that is attributable to the rule, Legal Deadline: None. Regulatory Review Specialist, there is evidence that standards like Abstract: The final rule will address Department of Agriculture, Food and those in the rule will positively the criteria used to authorize retail food Nutrition Service, 3101 Park Center influence and perhaps directly improve stores for redemption of SNAP benefits. Drive, Alexandria, VA 22302, Phone: food choices and consumption patterns Statement of Need: The Agricultural 703 605–0800, Email: charles.watford@ that contribute to students’ long-term Act 2014 (2014 Farm Bill) amended the fns.usda.gov. health and well-being, and reduce their Food and Nutrition Act of 2008 to Lynnette M. Thomas, Chief, Planning risk for obesity. increase the required amount of food and Regulatory Affairs Branch, Any rule-induced benefit of healthier that certain SNAP authorized retail food Department of Agriculture, Food and eating by school children would be stores have available on a continual Nutrition Service, 3101 Park Center accompanied by costs, at least in the basis from at least three varieties of Drive, Alexandria, VA 22302, Phone: short term. Healthier food may be more items in each of four staple food 703 605–4782, Email: lynnette.thomas@ expensive than unhealthy food either in categories to a mandatory minimum of fns.usda.gov. raw materials, preparation, or both and seven varieties. The 2014 Farm Bill also RIN: 0584–AE27 this greater expense would be amended the Act to increase the distributed among students, schools, minimum number of categories in and the food industry. which perishable foods are required USDA—FNS Risks: None known. from two to three. This rule codifies Timetable: these mandatory requirements. Further, 11. Supplemental Nutrition Assistance the rulemaking addresses depth of Program (SNAP) Photo Electronic Action Date FR Cite stock, redefines staple and accessory Benefit Transfer (EBT) Card Implementation Requirements NPRM ...... 02/08/13 78 FR 9530 foods, and amends the definition of NPRM Comment 04/09/13 retail food store to clarify when a Priority: Other Significant. Period End. retailer is a restaurant rather than a Legal Authority: Pub. L. 104–193 Interim Final Rule 06/28/13 78 FR 39067 retail food store. CFR Citation: 7 CFR 273; 7 CFR 274; Interim Final Rule 08/27/13 Summary of Legal Basis: Section 3(k) 7 CFR 278. Effective. of the Food and Nutrition Act of 2008 Legal Deadline: None. Interim Final Rule 10/28/13 (the Act) generally (with limited Abstract: Under section 7(h)(9) of the Comment Pe- riod End. exception) (1) requires that food Food and Nutrition Act of 2008 (the Final & Interim 07/29/16 81 FR 50131 purchased with SNAP benefits be meant Act), as amended [7 U.S.C. 2016(h)(9)], Final Rule. for home consumption and (2) prohibits States have the option to require the Final Action ...... 03/00/17 the purchase of hot foods with SNAP SNAP Electronic Benefit Transfer (EBT) benefits. The intent of those statutory card contain a photo of one or more Regulatory Flexibility Analysis requirements can be circumvented by household members. The final rule Required: Yes. selling cold foods, which may be would incorporate into regulation and Small Entities Affected: Governmental purchased with SNAP benefits, and provide additional clarity on the Food Jurisdictions. offering onsite heating or cooking of and Nutrition Service (FNS) guidance Government Levels Affected: Local, those same foods, either for free or at an developed for State agencies wishing to State. additional cost. In addition, section 9 of implement the photo EBT card option. Federalism: This action may have the Act provides for approval of retail Statement of Need: The regulation federalism implications as defined in food stores and wholesale food concerns would create a clearer structure for E.O. 13132. based on their ability to effectuate the those States wishing to exercise the Agency Contact: Charles H. Watford, purposes of the Program. option of placing a photo on EBT cards Regulatory Review Specialist, Alternatives: Alternative approaches and ensure uniform accessibility for Department of Agriculture, Food and to several discretionary provisions are participants in all States.
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Summary of Legal Basis: The Food Small Entities Affected: No. products into a new Code of Federal and Nutrition Act of 2008, 7 U.S.C. 2011 Government Levels Affected: Local, Regulations (CFR) part. et seq., requires that any States choosing State. Statement of Need: On May 27, 2016, to issue a photo on the EBT card Agency Contact: Charles H. Watford, the Food and Drug Administration establish procedures to ensure that all Regulatory Review Specialist, (FDA) published two final rules: (1) other household members or any Department of Agriculture, Food and ‘‘Food Labeling: Revision of the authorized representative of the Nutrition Service, 3101 Park Center Nutrition and Supplement Facts Labels’’ household may utilize the card. Drive, Alexandria, VA 22302, Phone: (81 FR 33742); and (2) ‘‘Food Labeling: Furthermore, applying this option must 703 605–0800, Email: charles.watford@ Serving Sizes of Foods that Can also preserve client rights and fns.usda.gov. Reasonably be Consumed at One Eating responsibilities afforded by the Act to RIN: 0584–AE45 Occasion; Dual-Column Labeling; ensure that all household members are Updating, Modifying, and Establishing able to maintain uninterrupted access to Certain Reference Amounts Customarily benefits, that non-applicants applying Consumed; Serving Size for Breath on behalf of eligible household members USDA—FOOD SAFETY AND Mints; and Technical Amendments’’ (81 are not negatively impacted, and that INSPECTION SERVICE (FSIS) FR 34000). FDA finalized these rules to SNAP recipients using photo EBT cards Proposed Rule Stage update the Nutrition Facts label to are treated equitably in accordance with reflect new nutrition and public health Federal law when purchasing food at 12. Revision of the Nutrition Facts research, to reflect recent dietary authorized retailers. Panels for Meat and Poultry Products recommendations from expert groups, Alternatives: The final rule would and Updating Certain Reference and to improve the presentation of mostly codify guidance issued in Amounts Customarily Consumed nutrition information to help consumers December 2014. The Department Priority: Other Significant. make more informed choices and considered not issuing any regulation Legal Authority: Federal Meat maintain healthy dietary practices. FSIS on photo EBT cards. Inspection Act (21 U.S.C. 601 et seq.); has reviewed FDA’s analysis and, to Anticipated Cost and Benefits: The Poultry Products Inspection Act (21 ensure that nutrition information is changes are not expected to create U.S.C. 451 et seq.) presented consistently across the food supply, FSIS will propose to amend the serious inconsistencies or otherwise CFR Citation: 9 CFR 317; 9 CFR 381; nutrition labeling regulations for meat interfere with actions taken or planned 9 CFR 413. and poultry products to parallel, to the by another agency or materially alter the Legal Deadline: None. budgetary impacts of entitlements, extent possible, FDA’s regulations. This Abstract: Consistent with the recent approach will help increase clarity of grants, user fees, or loan programs or the changes that the Food and Drug rights and obligations of recipients information to consumers and will Administration (FDA) finalized, the improve efficiency in the marketplace. thereof. The requirements will not raise Food Safety and Inspection Service novel or legal policy issues. Summary of Legal Basis: The Federal (FSIS) is proposing to amend the Meat Inspection Act (21 U.S.C. 601 et As a result of this rule, States that Federal meat and poultry products exercise the option to implement photos seq.) and the Poultry Products inspection regulations to update and Inspection Act (21 U.S.C. 451 et seq.). on EBT cards would incur costs revise the nutrition labeling Alternatives: FSIS is considering associated with development of an requirements for meat and poultry different alternatives for presentation of implementation plan, State staff products to reflect recent scientific nutrition information on the Nutrition training, client training, and retailer research and dietary recommendations Facts Panel. training. It is expected that providing and to improve the presentation of Anticipated Cost and Benefits: These guidance or oversight of these nutrition information to assist proposed regulations are expected to requirements would fall under the consumers in maintaining healthy benefit consumers by increasing and standard purview of these agencies and dietary practices. FSIS is proposing to improving dietary information available could be absorbed by existing staff. State (1) update the list of nutrients that are in the market. An estimate of the Agencies are responsible for required or permitted to be declared; (2) monetary benefits from these market approximately 50% of SNAP provide updated Daily Reference Values improvements can be obtained by administration costs, which would (DRV) and Reference Daily Intake (RDI) calculating the medical cost savings include the costs associated with values that are based on current dietary generated by linking information use to implementing and maintaining photo recommendations from consensus improved consumer diets. In addition, EBT cards. reports; and (3) amend the requirements FSIS believes that the public would be Risks: This rule will promulgate and for foods represented or purported to be better served by having the regulations expand on current program guidance to specifically for children under the age of governing nutrition labeling provide clarification and more detailed four years and pregnant and lactating consolidated in one part of title 9. guidance to States implementing the women and establish nutrient reference Rather than searching through two photo EBT option and ensure program values specifically for these population separate parts of title 9, CFR parts 317 access is protected. subgroups. FSIS is also proposing to and 381, to find the nutrition labeling Timetable: revise the format and appearance of the regulations, interested parties would Nutrition Facts Panel; amend the only have to survey one, part 413, to be Action Date FR Cite definition of a single-serving container; able to apply nutrition panels to their NPRM ...... 01/06/16 81 FR 398 require dual-column labeling for certain meat and poultry products. The NPRM Comment 03/07/16 containers; and update and modify proposed actions would necessitate the Period End. several reference amounts customarily majority of products to be relabeled. Final Action ...... 12/00/16 consumed (RACCs or reference Firms would incur a one-time cost for amounts). FSIS also is proposing to relabeling, recordkeeping costs, and Regulatory Flexibility Analysis consolidate the nutrition labeling costs associated with voluntary Required: No. regulations for meat and poultry reformulation.
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Risks: None. mandatory costs to industry is economic growth and opportunity by Timetable: approximately $0.74 million, while total promoting innovation, annualized value of all voluntary costs entrepreneurship, competitiveness, and Action Date FR Cite to industry is approximately $11.66 environmental stewardship. Commerce million, assuming a 10 year has 12 operating units, which are NPRM ...... 11/00/16 annualization and a 3 percent discount responsible for managing a diverse rate. Estimated combined the total portfolio of programs and services, Regulatory Flexibility Analysis annualized costs to industry is ranging from trade promotion and Required: No. economic development assistance to Small Entities Affected: Businesses. approximately $12.40 million ($0.77 + broadband and the National Weather Government Levels Affected: None. $11.66), assuming a 10 year Agency Contact: Dr. Daniel L. annualization and a 3 percent discount Service. Commerce touches Americans daily, Engeljohn, Assistant Administrator, rate. FSIS estimates industry-wide in many ways—making possible the Office of Policy and Program adoption of the NSIS would reduce the daily weather reports and survey Development, Department of number of human illness attributed to research; facilitating technology that all Agriculture, Food Safety and Inspection products derived from market hog by an of us use in the workplace and in the Service, 1400 Independence Avenue average of about 2,621 Salmonella home each day; supporting the SW., 349–E JWB, Washington, DC illnesses, which represents potential development, gathering, and 20250, Phone: 202 205–0495, Fax: 202 savings of approximately $9.56 million transmission of information essential to 720–2025, Email: daniel.engeljohn@ annually. The Agency’s budget is competitive business; enabling the fsis.usda.gov. expected to be impacted by changes to RIN: 0583–AD56 personnel and training requirements. diversity of companies and goods found The estimated annualized value of the in America’s and the world’s combined changes to the Agency’s marketplace; and supporting budget is a net reduction of roughly environmental and economic health for USDA—FSIS $8.77 million, over 10 years assuming a the communities in which Americans 13. • Modernization of Swine Slaughter 3 percent discount rate. With the live. Inspection expected impact on the Agency’s budget Commerce has a clear and compelling included, and assuming all large and vision for itself, for its role in the Priority: Other Significant. small exclusively market hog Federal Government, and for its roles Legal Authority: 21 U.S.C. 601 et seq. establishments convert to NSIS, the rule supporting the American people, now CFR Citation: 9 CFR 301, 309, 310, and in the future. To achieve this vision, and 314. is anticipated to have a net benefit of approximately $4.97 million a year, Commerce works in partnership with Legal Deadline: None. businesses, universities, communities, Abstract: The Food Safety and annualized over 10 years assuming a 3 percent discount rate. and workers to: Inspection Service (FSIS) is proposing • Innovate by creating new ideas to amend the Federal meat inspection Risks: None. Timetable: through cutting-edge science and regulations to establish a new technology from advances in inspection system for swine slaughter Action Date FR Cite nanotechnology, to ocean exploration, establishments demonstrated to provide to broadband deployment, and by greater public health protection than the NPRM ...... 03/00/17 protecting American innovations existing inspection system. The Agency through the patent and trademark is also proposing several changes to the Regulatory Flexibility Analysis system; regulations that would affect all Required: No. • Support entrepreneurship and establishments that slaughter swine, Small Entities Affected: Businesses. commercialization by enabling regardless of the inspection system Government Levels Affected: None. community development and under which they operate. Agency Contact: Charles Williams, strengthening minority businesses and Statement of Need: The proposed Director, Issuances Staff (IS), small manufacturers; action is necessary to improve food Department of Agriculture, Food Safety • Maintain U.S. economic safety; improve compliance with the and Inspection Service, Office of Policy competitiveness in the global Humane Methods of Slaughter Act; and Program Development, 1400 marketplace by promoting exports, improve the effectiveness of market hog Independence Avenue SW., Room 6065, ensuring a level playing field for U.S. slaughter inspection; make better use of South Building, Washington, DC 20250– businesses, and ensuring that the Agency’s resources; and remove 3700, Phone: 202 720–5627, Fax: 202 technology transfer is consistent with unnecessary regulatory obstacles to 690–0486, Email: charles.williams@ our nation’s economic and security innovation. fsis.usda.gov. interests; Summary of Legal Basis: 21 U.S.C. RIN: 0583–AD62 • Provide effective management and 601 et seq. BILLING CODE 3410–90–P stewardship of our nation’s resources Alternatives: The Agency is and assets to ensure sustainable considering alternatives such as: (1) A economic opportunities; and mandatory New Swine Slaughter • Make informed policy decisions Inspection System (NSIS) for market hog DEPARTMENT OF COMMERCE (DOC) and enable better understanding of the slaughter establishments and (2) a economy by providing accurate voluntary NSIS for market hog Statement of Regulatory and Deregulatory Priorities economic and demographic data. establishments, under which FSIS Commerce is a vital resource base, a would conduct the same offline Established in 1903, the Department tireless advocate, and Cabinet-level inspection activities as traditional of Commerce (Commerce) is one of the voice for job creation. inspection. oldest Cabinet-level agencies in the The Regulatory Plan tracks the most Anticipated Cost and Benefits: The Federal Government. Commerce’s important regulations that implement estimated total annualized value of all mission is to create the conditions for these policy and program priorities,
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several of which involve regulation of growth. Commerce is where business them to adapt; continually improving the private sector by Commerce. and environmental interests intersect, the National Weather Service; and the classic debate on the use of implementing reliable seasonal and Responding to the Administration’s natural resources is transformed into a interannual climate forecasts to guide Regulatory Philosophy and Principles ‘‘win-win’’ situation for the economic planning; providing science- The vast majority of the Commerce’s environment and the economy. based policy advice on options to deal programs and activities do not involve Three of NOAA’s major components, with very long-term (decadal to regulation. Of Commerce’s 12 primary the National Marine Fisheries Services centennial) changes in the environment; operating units, only the National (NMFS), the National Ocean Service and advancing and improving short- Oceanic and Atmospheric (NOS), and the National Environmental term warning and forecast services for Administration (NOAA) will be Satellite, Data, and Information Service the entire environment. planning actions that are considered the (NESDIS), exercise regulatory authority. ‘‘most important’’ significant pre- NMFS oversees the management and Magnuson-Stevens Fishery regulatory or regulatory actions for FY conservation of the Nation’s marine Conservation and Management Act 2017. During the next year, NOAA plans fisheries, protects threatened and Magnuson-Stevens Fishery to publish five rulemaking actions that endangered marine and anadromous Conservation and Management Act are designated as Regulatory Plan species and marine mammals, and (Magnuson-Stevens Act) rulemakings actions. The Bureau of Industry and promotes economic development of the concern the conservation and Security (BIS) may also publish U.S. fishing industry. NOS assists the management of fishery resources in the rulemaking actions designated as coastal States in their management of U.S. Exclusive Economic Zone Regulatory Plan actions. Further land and ocean resources in their (generally 3–200 nautical miles). Among information on these actions is provided coastal zones, including estuarine the several hundred rulemakings that below. research reserves; manages the national NOAA plans to issue in FY 2017, a Commerce has a long-standing policy marine sanctuaries; monitors marine number of the preregulatory and to prohibit the issuance of any pollution; and directs the national regulatory actions will be significant. regulation that discriminates on the program for deep-seabed minerals and The exact number of such rulemakings basis of race, religion, gender, or any ocean thermal energy. NESDIS is unknown, since they are usually other suspect category and requires that administers the civilian weather initiated by the actions of eight regional all regulations be written so as to be satellite program and licenses private Fishery Management Councils (FMCs) understandable to those affected by organizations to operate commercial that are responsible for preparing them. The Secretary also requires that land-remote sensing satellite systems. fishery management plans (FMPs) and Commerce afford the public the Commerce, through NOAA, has a FMP amendments, and for drafting maximum possible opportunity to unique role in promoting stewardship of implementing regulations for each participate in Departmental the global environment through managed fishery. NOAA issues rulemakings, even where public effective management of the Nation’s regulations to implement FMPs and participation is not required by law. marine and coastal resources and in FMP amendments. Once a rulemaking is monitoring and predicting changes in triggered by an FMC, the Magnuson- National Oceanic and Atmospheric the Earth’s environment, thus linking Stevens Act places stringent deadlines Administration trade, development, and technology upon NOAA by which it must exercise NOAA establishes and administers with environmental issues. NOAA has its rulemaking responsibilities. FMPs Federal policy for the conservation and the primary Federal responsibility for and FMP amendments for Atlantic management of the Nation’s oceanic, providing sound scientific observations, highly migratory species, such as coastal, and atmospheric resources. It assessments, and forecasts of bluefin tuna, swordfish, and sharks, are provides a variety of essential environmental phenomena on which developed directly by NOAA, not by environmental and climate services vital resource management, adaptation, and FMCs. to public safety and to the Nation’s other societal decisions can be made. FMPs address a variety of issues economy, such as weather forecasts, In the environmental stewardship including maximizing fishing drought forecasts, and storm warnings. area, NOAA’s goals include: Rebuilding opportunities on healthy stocks, It is a source of objective information on and maintaining strong U.S. fisheries by rebuilding overfished stocks, and the state of the environment. NOAA using market-based tools and ecosystem addressing gear conflicts. One of the plays the lead role in achieving approaches to management; increasing problems that FMPs may address is Commerce’s goal of promoting the populations of depleted, threatened, preventing overcapitalization stewardship by providing assessments or endangered species and marine (preventing excess fishing capacity) of of the global environment. mammals by implementing recovery fisheries. This may be resolved by Recognizing that economic growth plans that provide for their recovery market-based systems such as catch must go hand-in-hand with while still allowing for economic and shares, which permit shareholders to environmental stewardship, Commerce, recreational opportunities; promoting harvest a quantity of fish and which can through NOAA, conducts programs healthy coastal ecosystems by ensuring be traded on the open market. Harvest designed to provide a better that economic development is managed limits based on the best available understanding of the connections in ways that maintain biodiversity and scientific information, whether as a total between environmental health, long-term productivity for sustained fishing limit for a species in a fishery or economics, and national security. use; and modernizing navigation and as a share assigned to each vessel Commerce’s emphasis on ‘‘sustainable positioning services. In the participant, enable stressed stocks to fisheries’’ is designed to boost long-term environmental assessment and rebuild. Other measures include economic growth in a vital sector of the prediction area, goals include: staggering fishing seasons or limiting U.S. economy while conserving the Understanding climate change science gear types to avoid gear conflicts on the resources in the public trust and and impacts, and communicating that fishing grounds and establishing minimizing any economic dislocation understanding to government and seasonal and area closures to protect necessary to ensure long-term economic private sector stakeholders enabling fishery stocks.
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The FMCs provide a forum for public protect critically imperiled species from sturgeon as threatened—under the debate and, using the best scientific extinction. Of the approximately 1,300 Endangered Species Act on February 6, information available, make the listed species found in part or entirely 2012. This action would designate judgments needed to determine in the United States and its waters, critical habitat for the Carolina and optimum yield on a fishery-by-fishery NMFS has jurisdiction over South Atlantic Distinct Population basis. Optional management measures approximately 60 species. NMFS’ Segments of Atlantic sturgeon, both are examined and selected in rulemaking actions are focused on listed as endangered. accordance with the national standards determining whether any species under 4. Proposed Rule to Designate Critical set forth in the Magnuson-Stevens Act. its responsibility is an endangered or Habitat for Threatened Caribbean This process, including the selection of threatened species and whether those Corals (0648–BG20): On September 10, the preferred management measures, species must be added to the list of 2014, the National Marine Fisheries constitutes the development, in protected species. NMFS is also Service listed 5 corals in the Caribbean simplified form, of an FMP. The FMP, responsible for designating, reviewing, as threatened under the Endangered together with draft implementing and revising critical habitat for any Species Act. With this action, the regulations and supporting listed species. In addition, under the National Marine Fisheries Service documentation, is submitted to NMFS ESA’s procedural framework, Federal proposes to designate critical habitat for for review against the national standards agencies consult with NMFS on any the 5 Caribbean corals (Dendrogyra set forth in the Magnuson-Stevens Act, proposed action authorized, funded, or cylindrus, Orbicella annularis, Orbicella in other provisions of the Act, and other carried out by that agency that may faveolata, Orbicella franksi, and applicable laws. The same process affect one of the listed species or Mycetophyllia ferox) and revises critical applies to amending an existing designated critical habitat, or is likely to habitat for the previously-listed corals approved FMP. jeopardize proposed species or Acropora palmata and Acropora adversely modify proposed critical cervicornis. The proposed designation Marine Mammal Protection Act habitat that is under NMFS’ jurisdiction. would cover coral reef habitat The Marine Mammal Protection Act containing essential features that of 1972 (MMPA) provides the authority NOAA’s Regulatory Plan Actions support reproduction, growth, and for the conservation and management of While most of the rulemakings survival of the listed coral species. marine mammals under U.S. undertaken by NOAA do not rise to the 5. Proposed Rule to Designate Critical jurisdiction. It expressly prohibits, with level necessary to be included in Habitat for Threatened Indo-Pacific certain exceptions, the take of marine Commerce’s regulatory plan, NMFS is Corals (0648–BG26): On September 10, mammals. The MMPA allows NMFS to undertaking five actions that rise to the 2014, the National Marine Fisheries permit the collection of wild animals for level of ‘‘most important’’ of Service listed 15 species of reef-building scientific research or public display or Commerce’s significant regulatory corals in the Indo-Pacific as threatened to enhance the survival of a species or actions and thus are included in this under the Endangered Species Act. Of stock. NMFS initiates rulemakings year’s regulatory plan. A description of the 15 Indo-Pacific species listed, seven under the MMPA to establish a the five regulatory plan actions is occur in U.S. waters of the Pacific management regime to reduce marine provided below. Islands Region, including in American mammal mortalities and injuries as a 1. Magnuson-Stevens Fishery Samoa, Guam, the Commonwealth of result of interactions with fisheries. The Conservation and Management Act; the Mariana Islands, and the Pacific MMPA also established the Marine Seafood Import Monitoring Program Remote Island Areas. With this action, Mammal Commission, which makes (0648–BF09): The Magnuson-Stevens the National Marine Fisheries Service recommendations to the Secretaries of Fishery Conservation and Management proposes to designate critical habitat for the Departments of Commerce and the Act prohibits the importation and trade the seven species in U.S. waters Interior and other Federal officials on in interstate commerce of fishery (Acropora globiceps, Acropora protecting and conserving marine products from fish caught in in violation jacquelineae, Acropora retusa, Acropora mammals. The Act underwent of any foreign law or regulation. speciosa, Euphyllia paradivisa, Isopora significant changes in 1994 to allow for 2. Final Rule to Designate Critical crateriformis, and Seriatopora aculeata). takings incidental to commercial fishing Habitat for the Gulf of Maine, New York The proposed designation would cover operations, to provide certain Bight, and Chesapeake Bay Distinct coral reef habitat containing essential exemptions for subsistence and Population Segments of Atlantic features that support reproduction, scientific uses, and to require the Sturgeon (0648–BF28): The National growth, and survival of the listed coral preparation of stock assessments for all Marine Fisheries Service listed four species. marine mammal stocks in waters under distinct population segments of Atlantic U.S. jurisdiction. sturgeon as endangered—and one Bureau of Industry and Security distinct population of Atlantic sturgeon The Bureau of Industry and Security Endangered Species Act as threatened—under the Endangered (BIS) advances U.S. national security, The Endangered Species Act of 1973 Species Act on February 6, 2012. This foreign policy, and economic objectives (ESA) provides for the conservation of rule would designate critical habitat for by maintaining and strengthening species that are determined to be the Gulf of Maine, New York Bight, and adaptable, efficient, and effective export ‘‘endangered’’ or ‘‘threatened,’’ and the Chesapeake Bay Distinct Population control and treaty compliance systems conservation of the ecosystems on Segments of Atlantic sturgeon. as well as by administering programs to which these species depend. The ESA 3. Final Rule to Designate Critical prioritize certain contracts to promote authorizes both NMFS and the Fish and Habitat for the Carolina and South the national defense and to protect and Wildlife Service (FWS) to jointly Atlantic Distinct Population Segments enhance the defense industrial base. administer the provisions of the ESA. of Atlantic Sturgeon (0648–BF32): The NMFS manages marine and National Marine Fisheries Service listed Major Programs and Activities ‘‘anadromous’’ species, and FWS four distinct population segments of BIS administers four sets of manages land and freshwater species. Atlantic sturgeon as endangered—and regulations. The Export Administration Together, NMFS and FWS work to one distinct population of Atlantic Regulations (EAR) regulate exports and
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reexports to protect national security, Under the President’s approach, States Munitions List are controlled on foreign policy, and short supply agencies are to apply the criteria and the Commerce Control List. It also interests. The EAR also regulates U.S. revise the lists of munitions and dual- revised license exceptions and persons’ participation in certain use items that are controlled for export regulatory definitions, including the boycotts administered by foreign so that they: definition of ‘‘specially designed’’ to • governments. The National Security Distinguish the transactions that make those exceptions and definitions Industrial Base Regulations provide for should be subject to stricter levels of clearer and to more closely align them prioritization of certain contracts and control from those where more with the International Traffic in Arms allocations of resources to promote the permissive levels of control are Regulations, and added to the CCL national defense, require reporting of appropriate; certain military aircraft, gas turbine • Create a ‘‘bright line’’ between the foreign Government-imposed offsets in engines and related items. A second two current control lists to clarify defense sales, provide for surveys to final rule (78 FR 40892, July 8, 2012) assess the capabilities of the industrial jurisdictional determinations and reduce Government and industry followed on by adding to the CCL base to support the national defense and military vehicles, vessels of war, address the effect of imports on the uncertainty about whether particular items are subject to the control of the submersible vessels, and auxiliary defense industrial base. The Chemical military equipment that President Weapons Convention Regulations State Department or the Commerce determined no longer warrant control implement declaration, reporting, and Department; and • on the USML. on-site inspection requirements in the Are structurally aligned so that they private sector necessary to meet United potentially can be combined into a BIS continued its ECRI efforts and by States treaty obligations under the single list of controlled items. the end of fiscal year 2016 had BIS’ current regulatory plan action is Chemical Weapons Convention treaty. published final rules adding to the CCL designed to implement the initial phase The Additional Protocol Regulations additional items that the President of the President’s directive, which will implement similar requirements with determined no longer warrant control add to BIS’ export control purview, respect to an agreement between the under rules administered by the State military related items that the President United States and the International Department in the following categories: determines no longer warrant control Atomic Energy Agency. under rules administered by the State Military training equipment; Explosives BIS also has an enforcement Department. and energetic materials; Personal component with nine offices covering As the agency responsible for leading protective equipment; Launch vehicles the United States. BIS export control the administration and enforcement of and rockets; Spacecraft; Military officers are also stationed at several U.S. U.S. export controls on dual-use and Electronics; Toxicological agents; and embassies and consulates abroad. BIS other items warranting controls but not Directed energy weapons. During fiscal works with other U.S. Government under the provisions of export control year 2015, BIS published a proposed agencies to promote coordinated U.S. regulations administered by other rule that would add to the CCL items Government efforts in export controls departments, BIS plays a central role in related to: Fire control, range finder, and other programs. BIS participates in the Administration’s efforts to reform optical and guidance and control U.S. Government efforts to strengthen the export control system. Changing equipment, followed by a second multilateral export control regimes and what we control, how we control it and proposed rule in fiscal year 2016. to promote effective export controls how we enforce and manage our During fiscal year 2015, BIS initiated through cooperation with other controls will help strengthen our a process of evaluating the effectiveness Governments. national security by focusing our efforts of its ECRI efforts by seeking public BIS’ Regulatory Plan Actions on controlling the most critical products input on whether the regulations are and technologies, and by enhancing the clear; do not inadvertently control, as In August 2009, the President directed competitiveness of key U.S. military items, items in normal a broad-based interagency review of the manufacturing and technology sectors. commercial use; account for U.S. export control system with the goal In FY 2011, BIS began implementing technological developments; and of strengthening national security and the ECRI with a final rule (76 FR 35275, properly implement the national the competitiveness of key U.S. June 16, 2011) implementing a license security and foreign policy objectives of manufacturing and technology sectors exception that authorizes exports, the reform effort. The first review by focusing on the current threats and reexports and transfers to destinations adapting to the changing economic and that do not pose a national security addressed the first two categories of technological landscape. In August concern, provided certain safeguards items added to the CCL by ECRI: 2010, the President outlined an against diversion to other destinations Military aircraft and gas turbine engines. approach, known as the Export Control are taken. Additionally, BIS began After reviewing public comments, BIS Reform Initiative (ECRI), under which publishing proposed rules to add to its completed this review by publishing a agencies that administer export controls Commerce Control List (CCL), military final rule in fiscal year 2016. In fiscal will apply new criteria for determining items the President determined no year 2016, BIS continued this review what items need to be controlled and a longer warranted control by the process with a notice seeking public common set of policies for determining Department of State. BIS continued to comment on implementation of ECRI when an export license is required. The publish such proposed rules in FY 2012. with respect to military vehicles, vessels control list criteria are to be based on In FY 2013, BIS crossed an important of war, submersible vessels, transparent rules, which will reduce the milestone with publication of two final oceanographic equipment, and auxiliary uncertainty faced by our Allies, U.S. rules that began to put ECRI policies and miscellaneous military equipment. industry and its foreign customers, and into place. An Initial Implementation BIS anticipates continuing this series of will allow the Government to erect rule (78 FR 22660, April 16, 2013) set notices after the public has had time to higher walls around the most sensitive in place the structure under which develop experience with each regulation export items in order to enhance items the President determines no that added categories of items to the national security. longer warrant control on the United CCL.
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Promoting International Regulatory among other things, reducing incentives NOAA continues to demonstrate great Cooperation for foreign manufacturers to design out success in fishery sustainability As the President noted in Executive and avoid U.S.-origin content and managed under the Magnuson-Stevens Order 13609, ‘‘international regulatory services, and allow export control Act, with near-record landings and cooperation, consistent with domestic officials to focus Government resources revenue accomplished while rebuilding law and prerogatives and U.S. trade on transactions that pose greater stocks across the country and policy, can be an important means of concern. The new export control preventing overfishing. Since the promoting’’ public health, welfare, framework also will benefit companies Magnuson-Stevens Act reauthorization safety, and our environment as well as in the United States seeking to export in 2007, NMFS and the Regional Fishery economic growth, innovation, items through more flexible and less Management Councils have competitiveness, and job creation. burdensome export controls. The implemented annual catch limits and Accordingly, in E.O. 13609, the system, however, requires ongoing accountability measures in every fishery review and maintenance for it to management plan under National President requires each executive accomplish these objectives. Some Standard One of the act. Informed by a agency to include in its Regulatory Plan technologies are modified and become robust public process that gained input a summary of its international more sensitive or are applied to more through a public summit (Managing our regulatory cooperation activities that are sensitive uses; others become more Nation’s Fisheries), visits to each region reasonably anticipated to lead to commercially available and warrant and Council and multiple public significant regulations. The Department of Commerce engages fewer controls. The approach is novel hearings, NMFS took the experience and will require regular refinement to with numerous international bodies in gained from 8 years of implementation further the objective of increasing various forums to promote the of National Standard One and has interoperability with allies and reducing Department’s priorities and foster proposed multiple substantive, unnecessary regulatory burdens. regulations that do not ‘‘impair the technical changes to the National ability of American business to export Retrospective Review of Existing Standard One rule that will improve and compete internationally.’’ E.O. Regulations implementation and continue to support 13609(a). For example, the United States healthy fisheries. Pursuant to section 6 of Executive For more information, the most recent Patent and Trademark Office is working Order 13563 ‘‘Improving Regulation and E.O. 13563 progress report for the with the European Patent Office to Regulatory Review’’ (Jan. 18, 2011), the Department can be found here: http:// develop a new classification system for Department has identified several open.commerce.gov/news/2016/04/05/ both offices’ use. The Bureau of Industry rulemakings as being associated with commerce-plan-retrospective-analysis- and Security, along with the Department retrospective review and analysis in the existing-rules. of State and Department of Defense, Department’s final retrospective review engages with other countries in the of regulations plan. Accordingly, the Wassenaar Arrangement, through which Agency is reviewing these rules to the international community develops a determine whether action under E.O. DOC—NATIONAL OCEANIC AND common list of items that should be 13563 is appropriate. Some of these ATMOSPHERIC ADMINISTRATION subject to export controls because they entries on this list may be completed (NOAA) are conventional arms or items that have actions, which do not appear in the Proposed Rule Stage both military and civil uses. Other Regulatory Plan. However, more • multilateral export control regimes information can be found about these 14. Endangered and Threatened include the Missile Technology Control completed rulemakings in past Species; Critical Habitat for the Regime, the Nuclear Suppliers Group, publications of the Unified Agenda on Threatened Caribbean Corals and the Australia Group, which lists Reginfo.gov in the Completed Actions Priority: Other Significant. items controlled for chemical and section for the Agency. These Legal Authority: 16 U.S.C. 1531 et seq. biological weapon nonproliferation rulemakings can also be found on CFR Citation: 50 CFR 226. purposes. In addition, the National Regulations.gov. Legal Deadline: None. Oceanic and Atmospheric Two rulemakings that are the product Abstract: The National Marine Administration works with other of the Agency’s retrospective review are Fisheries Service listed five Caribbean countries’ regulatory bodies through from BIS and NOAA. BIS published a corals in the Southeast Region as regional fishery management rule effective in September 2015 that threatened under the Endangered organizations to develop fair and removed the Special Comprehensive Species Act on October 10, 2014. internationally-agreed-to fishery License provisions from the EAR. These Critical habitat shall be specified to the standards for the High Seas. provisions had been rendered obsolete maximum extent prudent and BIS is also engaged, in partnership by liberalizations to the individual determinable at the time a species is with the Departments of State and licensing process, and their removal not proposed for listing. We concluded that Defense, in revising the regulatory only streamlined the EAR but also critical habitat was not determinable for framework for export control, through achieved paperwork burden reductions. the five corals at the time of listing. the President’s Export Control Reform More significantly, BIS, working with its However, we anticipated that critical Initiative (ECRI). Through this effort, the colleagues in the State Department, habitat would be determinable in the United States Government has moved substantially updated and revised the future given on-going research. We, certain items currently controlled by the key structural definitions within the therefore, announced in the final listing United States Military List (USML) to export control regulations. The effort is rules that we would propose critical the Commerce Control List (CCL) in BIS’ not yet completed and substantial habitat in separate rulemakings. This Export Administration Regulations. The additional work is needed to harmonize, rule proposes to designate critical objective of ECRI is to improve update, and simplify the regulatory habitat for the 5 newly-listed corals and interoperability of U.S. military forces structure of the existing export control revises critical habitat for the with those of allied countries, system, which has been in place for previously-listed corals Acropora strengthen the U.S. industrial base by, decades without material modification. palmata and Acropora cervicornis. A
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separate rule is being prepared that Risks: If critical habitat is not reproduction, growth, and survival of would propose to designate critical designated, listed corals will not be the listed coral species. habitat for the 15 Indo-Pacific corals protected to the extent provided for in Statement of Need: This action would listed as threatened in the same rule as the ESA, posing a legal risk to the designate new critical habitat for seven the five Caribbean corals. agency and a risk to the species corals (Acropora globiceps, Acropora Statement of Need: This action would continued existence and recovery. jacquelineae, Acropora retusa, Acropora designate new critical habitat for five Timetable: speciosa, Euphyllia paradivisa, Isopora corals (Dendrogyra cylindrus, Orbicella crateriformis, and Seriatopora aculeata) annularis, O. faveolata, O. franksi, and Action Date FR Cite in accordance with section 4 of the Mycetophyllia ferox) and revise the Endangered Species Act. This action 2008 critical habitat designation for two NPRM ...... 12/00/16 follows from the listing of the seven corals (Acropora palmata and A. new species. cervicornis) in accordance with section Regulatory Flexibility Analysis Summary of Legal Basis: Endangered 4 of the Endangered Species Act. This Required: Yes. Species Act. action follows from the listing of the Small Entities Affected: Businesses, Alternatives: NMFS evaluated five new species. Governmental Jurisdictions. alternatives including the impacts of Summary of Legal Basis: Endangered Government Levels Affected: None. designating all and any parts of 19 Agency Contact: Donna Wieting, Species Act. islands within the U.S. jurisdictions of Alternatives: NMFS evaluated Director, Office of Protected Resources, American Samoa, Guam, the alternatives including the impacts of Department of Commerce, National Commonwealth of the Northern Mariana designating all and any parts of 38 (one Oceanic and Atmospheric Islands, and the Pacific Remote Island for each species in each US jurisdiction Administration, National Marine Areas as units of proposed critical in which it occurs) units as critical Fisheries Service, 1315 East–West habitat for the seven listed corals, habitat. Units 1 for each species are the Highway, Silver Spring, MD 20910, including: (1) Tutuila & Offshore Banks; waters offshore Florida (generally Phone: 301 427–8400 (2) Ofu & Olosega; (3) Ta’u; (4) Rose Martin, Palm Beach, Broward, Miami- RIN: 0648–BG20 Atoll; (5) Guam & Offshore Banks; (6) Dade, and Monroe counties). Units 2 are Rota; (7) Aguijan; (8) Tinian and the waters surrounding the islands of Tatsumi Reef; (9) Saipan and Garapan Puerto Rico. Units 3 are the waters DOC—NOAA Bank; (10) Farallon de Medinilla; (11) surround the islands of St. Thomas and • Anatahan; (12) Pagan; (13) Maug Islands St. John, US Virgin Islands. Units 4 are 15. Designation of Critical Habitat for & Supply Reef; (14) Howland Island; the waters surrounding the island of St. Threatened Indo-Pacific Reef-Building (15) Palmyra Atoll; (16) Kingman Reef; Croix, US Virgin Islands. Units 5 are the Corals (17) Johnston Atoll; (18) Wake Atoll; waters surrounding the island of Priority: Other Significant. and (19) Jarvis Island. NMFS analyzed Navassa. Units 6 are the waters within Legal Authority: 16 U.S.C. 1531 et seq. the economic, national security, and the Flower Garden Banks National CFR Citation: 50 CFR 226. other relevant impacts of designating Marine Sanctuary, approximately 100 Legal Deadline: Final, Statutory, critical habitat. NMFS will further miles offshore of Texas in the Gulf of September 10, 2016, Statutory deadline consider these impacts based on any Mexico. NMFS analyzed the economic, for final critical habitat designation of relevant public and peer reviewer national security, and other relevant listed Indo–Pacific corals. comments regarding this proposed impacts of designating critical habitat. Abstract: On September 10, 2014, the designation. NMFS will further consider these National Marine Fisheries Service listed Anticipated Cost and Benefits: The impacts based on any relevant public 20 species of reef-building corals as primary benefit of designation is the and peer reviewer comments regarding threatened under the Endangered protection afforded under section 7 of this proposed designation. Species Act, 15 in the Indo-Pacific and the Endangered Species Act, requiring Anticipated Cost and Benefits: The five in the Caribbean. Of the 15 Indo- all Federal agencies to insure their primary benefit of designation is the Pacific species, seven occur in U.S. actions are not likely to destroy or protection afforded under section 7 of waters of the Pacific Islands Region, adversely modify designated critical the Endangered Species Act, requiring including in American Samoa, Guam, habitat. In addition to these protections, all Federal agencies to insure their the Commonwealth of the Mariana the designation may also result in other actions are not likely to destroy or Islands, and the Pacific Remote Island forms of benefits including, but not adversely modify designated critical Areas. This proposed rule would limited to: Educational awareness and habitat. In addition to these protections, designate critical habitat for the seven outreach benefits, benefits to tourism the designation may also result in other species in U.S. waters (Acropora and recreation, and improved or forms of benefits including, but not globiceps, Acropora jacquelineae, sustained habitat quality. Costs limited to: Educational awareness and Acropora retusa, Acropora speciosa, specifically associated with the outreach benefits, benefits to tourism Euphyllia paradivisa, Isopora designation of critical habitat stem and recreation, and improved or crateriformis, and Seriatopora aculeata). mainly from Federal agencies sustained habitat quality. Costs A separate proposed rule is being requirement to consult with NMFS, specifically associated with the prepared to designate critical habitat for under section 7 of the Endangered designation of critical habitat stem the listed Caribbean coral species. The Species Act, to insure that any action mainly from Federal agencies proposed designation would cover coral they carry out, permit (authorize), or requirement to consult with NMFS, reef habitat around 13 island or atoll fund will not result in the destruction under section 7 of the Endangered units in the Pacific Islands Region, or adverse modification of critical Species Act, to insure that any action including three in American Samoa, one habitat of a listed species. they carry out, permit (authorize), or in Guam, seven in the Commonwealth Risks: If critical habitat is not fund will not result in the destruction of the Mariana Islands, and two in designated, listed corals will not be or adverse modification of critical Pacific Remote Island Areas, containing protected to the extent provided for in habitat of a listed species. essential features that support the ESA, posing a legal risk to the
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agency and a risk to the species labeled. Requirements for an declines in global fisheries stocks that continued existence and recovery. international trade permit and reporting are affected by illegal, unreported and Timetable: on the origin of certain imported or unregulated fishing activities. exported fishery products were Timetable: Action Date FR Cite previously established by regulations applicable to a number of specified Action Date FR Cite NPRM ...... 12/00/16 fishery products. This rulemaking NPRM ...... 02/05/16 81 FR 6210 would extend those existing permitting NPRM Comment 04/05/16 Regulatory Flexibility Analysis and reporting requirements to Required: Undetermined. Period End. additional fish species and seafood Final Action ...... 11/00/16 Government Levels Affected: Federal. products. Agency Contact: Donna Wieting, Statement of Need: The Magnuson- Regulatory Flexibility Analysis Director, Office of Protected Resources, Stevens Fishery Conservation and Department of Commerce, National Required: Yes. Management Act prohibits the Small Entities Affected: Businesses. Oceanic and Atmospheric importation and trade in interstate Government Levels Affected: None. Administration, National Marine commerce of fishery products from fish International Impacts: This regulatory Fisheries Service, 1315 East–West caught in violation of any foreign law or action will be likely to have Highway, Silver Spring, MD 20910, regulation. international trade and investment Phone: 301 427–8400. Summary of Legal Basis: Magnuson- effects, or otherwise be of international RIN: 0648–BG26 Stevens Fishery Conservation and interest. Management Act. Agency Contact: John Henderschedt, Alternatives: An alternative to this Director, Office for International Affairs DOC—NOAA rulemaking that would diminish the and Seafood Inspection, Department of incentives for illegal, unreported and Commerce, National Oceanic and Final Rule Stage unregulated fishing would be through Atmospheric Administration, 1315 East 16. Magnuson-Stevens Fisheries cooperation and assistance programs. West Highway, Room 10362, Silver Conservation and Management Act; While the U.S. has developed effective Spring, MD 20910, Phone: 301 427– Seafood Import Monitoring Program fisheries management and enforcement 8314, Email: john.henderschedt@ techniques and applied these in many noaa.gov. Priority: Other Significant. fisheries, there is no guarantee that Related RIN: Related to 0648–AX63 Legal Authority: 16 U.S.C. 1857 these methods will be widely adopted RIN: 0648–BF09 CFR Citation: 50 CFR 300; 50 CFR in foreign fisheries. Technical and 600. financial assistance for the development Legal Deadline: None. and implementation of monitoring, DOC—NOAA Abstract: On March 15, 2015, the control and surveillance measures Presidential Task Force on Combating would not be precluded by this 17. Designation of Critical Habitat for Illegal, Unreported, and Unregulated rulemaking, but market access the Gulf of Maine, New York Bight, and Fishing and Seafood Fraud (Task Force), incentives will increase the likelihood Chesapeake Bay Distinct Population co-chaired by the Departments of of action by harvesting nations Segments of Atlantic Sturgeon Commerce and State, published its exporting to the U.S. Priority: Other Significant. action plan to implement Task Force Anticipated Cost and Benefits: Legal Authority: 16 U.S.C. 1531 et seq. recommendations for a comprehensive Potential benefits of this rulemaking CFR Citation: 50 CFR 226. framework of integrated programs to include: An incentive for exporting Legal Deadline: NPRM, Judicial, May combat illegal, unreported, and nations to adopt and implement 30, 2016, per consent decree entered unregulated fishing and seafood fraud. fisheries regulatory and enforcement December 3, 2014, and modified by a The plan identifies actions that will standards, including monitoring, control November 9, 2015, order. strengthen enforcement, create and and surveillance measures that are Following a complaint from the expand partnerships with state and comparable to the U.S. as a condition Natural Resources Defense Council and local governments, industry, and non- for access to the U.S. seafood market, Delaware Riverkeeper Network, we governmental organizations, and create enhanced fisheries conservation for agreed to submit this proposed rule to a traceability program to track seafood shared and transboundary stocks, the Federal Register by November 30, from harvest to entry into U.S. especially high seas stocks, and a safe 2015 for publication. commerce, including the use of existing and sustainable seafood supply for the Abstract: The National Marine traceability mechanisms. As part of that U.S. market. Anticipated costs include: Fisheries Service listed four distinct plan, the National Marine Fisheries Increased administrative costs to the population segments of Atlantic Service proposes regulatory changes to U.S. government for monitoring U.S. sturgeon as endangered and one distinct improve the administration of the imports and making determinations population of Atlantic sturgeon as Magnuson-Stevens Fisheries about lawful acquisition of fisheries threatened under the Endangered Conservation and Management Act products; increased requests for Species Act on February 6, 2012. This prohibition on the entry into interstate international cooperation and assistance rule would designate critical habitat for or foreign commerce of any fish taken in to implement fisheries monitoring, the Gulf of Maine, New York Bight, and violation of any foreign law or control and surveillance measures. Chesapeake Bay Distinct Population regulation. The rule includes Additionally, U.S. importers and fish Segments of Atlantic sturgeon. A adjustments to permitting and reporting processors may incur incremental costs separate rule would designate critical requirements to provide for traceability for recordkeeping and reporting. habitat for the Carolina and South of seafood products offered for entry Risks: Prohibiting imports from Atlantic distinct population segments of into the U.S. supply chain, and to seafood exporting nations for which Atlantic sturgeon. ensure that these products were lawful acquisition cannot be established Statement of Need: The Gulf of lawfully acquired and are properly will diminish the risk of further Maine, New York Bight, and
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Chesapeake Bay distinct population mainly from the requirement that segments (DPSs) of Atlantic sturgeon segments (DPSs) of Atlantic sturgeon Federal agencies consult with NMFS, were listed under the Endangered were listed under the Endangered under section 7 of the ESA, to insure Species Act (ESA) in February 2012. Species Act (ESA) in February 2012. that any action they carry out, permit Section 4 of the ESA requires that Section 4 of the ESA requires that (authorize), or fund will not result in the critical habitat be specified to the critical habitat be specified to the destruction or adverse modification of maximum extent prudent and maximum extent prudent and critical habitat of a listed species. determinable at the time a species is determinable at the time a species is Risks: If critical habitat is not listed (16 U.S.C. 1533(b)(6)(C)). The ESA listed (16 U.S.C. 1533(b)(6)(C)). The ESA designated, listed Atlantic sturgeon will also requires that we publish final also requires that we publish final not be protected to the extent provided critical habitat rules within one year of critical habitat rules within one year of for in the ESA, posing a legal risk to the proposed rules. At the time the Atlantic proposed rules. At the time the Atlantic agency and a risk to the species sturgeon DPSs were listed, we were sturgeon DPSs were listed, we were continued existence and recovery. unable to determine what areas met the unable to determine what areas met the Timetable: statutory definition of critical habitat. statutory definition of critical habitat. We subsequently published a proposed We subsequently published a proposed Action Date FR Cite rule to designate critical habitat for rule to designate critical habitat for these DPSs on June 3, 2016. Under an these DPSs on June 3, 2016. Under an NPRM ...... 06/03/16 81 FR 35701 existing court-ordered settlement NPRM Comment 09/01/16 existing court-ordered settlement Period End. agreement, we are required to publish agreement, we are required to publish NPRM Comment 09/29/16 81 FR 66911 final critical habitat designations by final critical habitat designations by Period Re- June 3, 2017—one year from the date of June 3, 2017—one year from the date of opened. publication of the proposed rules. publication of the proposed rules. Comment Period 10/14/16 Summary of Legal Basis: Endangered Summary of Legal Basis: Endangered End. Species Act and court-ordered Species Act and court-ordered Final Action ...... 06/00/17 settlement agreement. settlement agreement. Alternatives: During the formulation Alternatives: During the formulation Regulatory Flexibility Analysis of the final rule, pursuant to section of the final rule, pursuant to section Required: Yes. 4(b)(2) of the ESA, we will evaluate the 4(b)(2) of the ESA, we will evaluate the Small Entities Affected: Businesses. impacts of designating all and any parts impacts of designating all and any parts Government Levels Affected: Federal, of the proposed critical habitat. We are of the proposed critical habitat. We are Local, State. required to analyze the economic, required to analyze the economic, Agency Contact: Donna Wieting, national security, and other relevant national security, and other relevant Director, Office of Protected Resources, impacts of designating critical habitat. impacts of designating critical habitat. Department of Commerce, National Through this process, we have Through this process, we have Oceanic and Atmospheric discretion to exclude areas from the discretion to exclude areas from the Administration, National Marine final designation as long as such final designation as long as such Fisheries Service, 1315 East-West exclusions do not result in the exclusions do not result in the Highway, Silver Spring, MD 20910, extinction of Atlantic sturgeon DPSs. extinction of Atlantic sturgeon DPSs. Phone: 301 427–8400. Based on our draft impacts analysis Based on our draft impacts analysis RIN: 0648–BF28 supporting the proposed rule, we did supporting the proposed rule, we did not exclude any portions of the not exclude any portions of the proposed critical habitat. We also proposed critical habitat. We also DOC—NOAA completed an Initial Regulatory completed an Initial Regulatory Flexibility Analysis and analyzed a no Flexibility Analysis and analyzed a no 18. Designation of Critical Habitat for action alternative, an alternative in action alternative, an alternative in the Carolina and South Atlantic which some of the identified critical which some of the identified critical Distinct Population Segments of habitat areas are designated, and an habitat areas are designated, and an Atlantic Sturgeon alternative in which all critical habitat alternative in which all critical habitat Priority: Other Significant. areas identified for the Carolina and areas identified for the Gulf of Maine, Legal Authority: 16 U.S.C. 1531 et seq. south Atlantic DPSs of Atlantic sturgeon New York Bight, and Chesapeake Bay CFR Citation: 50 CFR 226. are designated. DPSs of Atlantic sturgeon are Legal Deadline: NPRM, Judicial, May Anticipated Cost and Benefits: The designated. 30, 2016, Per consent decree entered primary benefit of critical habitat Anticipated Cost and Benefits: The December 3, 2014, and modified by a designation is the protection afforded primary benefit of critical habitat November 9, 2015, order. under section 7 of the ESA, which designation is the protection afforded Abstract: The National Marine requires all Federal agencies to insure under section 7 of the ESA, which Fisheries Service listed four distinct their actions are not likely to destroy or requires all Federal agencies to insure population segments of Atlantic adversely modify designated critical their actions are not likely to destroy or sturgeon as endangered—and one habitat. In addition to these protections, adversely modify designated critical distinct population of Atlantic sturgeon the designation may also result in other habitat. In addition to these protections, as threatened—under the Endangered forms of benefits including, but not the designation may also result in other Species Act on February 6, 2012. This limited to: Educational awareness and forms of benefits including, but not action proposes to designate critical outreach benefits, benefits to tourism limited to: educational awareness and habitat for the Carolina and South and recreation, and improved or outreach benefits, benefits to tourism Atlantic Distinct Population Segments sustained habitat quality. Costs and recreation, and improved or of Atlantic sturgeon, both listed as specifically associated with the sustained habitat quality. Costs endangered. designation of critical habitat stem specifically associated with the Statement of Need: The Carolina and mainly from the requirement that designation of critical habitat stem south Atlantic distinct population Federal agencies consult with NMFS,
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under section 7 of the ESA, to insure Defense regulatory efforts under competitiveness, and job creation. that any action they carry out, permit Executive Order (E.O.) 12866 Accordingly, in Executive Order 13609, (authorize), or fund will not result in the ‘‘Regulatory Planning and Review’’ of the President requires each executive destruction or adverse modification of September 30, 1993. agency to include in its Regulatory Plan critical habitat of a listed species. Because of its diversified nature, DoD a summary of its international Risks: If critical habitat is not is affected by the regulations issued by regulatory cooperation activities that are designated, listed Atlantic sturgeon will regulatory agencies such as the reasonably anticipated to lead to not be protected to the extent provided Departments of Commerce, Energy, significant regulations. for in the ESA, posing a legal risk to the Health and Human Services, Housing The Department of Defense, along agency and a risk to the species and Urban Development, Labor, State, with the Departments of State and continued existence and recovery. Transportation, and the Environmental Timetable: Protection Agency. In order to develop Commerce, engages with other countries the best possible regulations that in the Wassenaar Arrangement, Nuclear Action Date FR Cite embody the principles and objectives Suppliers Group, Australia Group, and embedded in Executive Order 12866, Missile Technology Control Regime NPRM ...... 06/03/16 81 FR 36077 there must be coordination of proposed through which the international Correction ...... 06/28/16 81 FR 41926 regulations among the regulatory community develops a common list of NPRM Comment 09/01/16 items that should be subject to export Period End. agencies and the affected DoD NPRM Comment 09/29/16 81 FR 66911 components. Coordinating the proposed controls. DoD has been a key participant Period Re- regulations in advance throughout an in the Administration’s Export Control opened. organization as large as DoD is a Reform effort that resulted in a complete Comment Period 10/14/16 straightforward, yet formidable, overhaul of the U.S. Munitions List and End. undertaking. fundamental changes to the Commerce Final Action ...... 06/00/17 DoD issues regulations that have an Control List. New controls have effect on the public and that can be facilitated transfers of goods and Regulatory Flexibility Analysis significant as defined in Executive technologies to allies and partners while Required: Yes. Order 12866. In addition, some of DoD’s helping prevent transfers to countries of Small Entities Affected: Businesses. regulations may affect other agencies. national security and proliferation Government Levels Affected: Federal, DoD, as an integral part of its program, concern. DoD will continue to assess Local, State. not only receives coordinating actions Agency Contact: Donna Wieting, new and emerging technologies to from other agencies, but coordinates Director, Office of Protected Resources, ensure items that provide critical with the agencies that are affected by its Department of Commerce, National military and intelligence capabilities are regulations as well. Oceanic and Atmospheric properly controlled on international Administration, National Marine Overall Priorities export control regime lists. Fisheries Service, 1315 East–West The Department needs to function at Retrospective Review of Existing Highway, Silver Spring, MD 20910, a reasonable cost, while ensuring that it Regulations Phone: 301 427–8400. does not impose ineffective and RIN: 0648–BF32 unnecessarily burdensome regulations Pursuant to section 6 of Executive BILLING CODE 3510–12–P on the public. The rulemaking process Order 13563 ‘‘Improving Regulation and should be responsive, efficient, cost- Regulatory Review’’ (January 18, 2011), effective, and both fair and perceived as the following Regulatory Identification Numbers (RINs) have been identified as DEPARTMENT OF DEFENSE fair. This is being done in DoD while reacting to the contradictory pressures associated with retrospective review Statement of Regulatory Priorities of providing more services in a and analysis in the Department’s final retrospective review of regulations plan. Background constrained fiscal environment. DoD, as a matter of overall priority for its Several are of particular interest to small The Department of Defense (DoD) is regulatory program, fully incorporates businesses. The entries on this list are the largest Federal department the provisions of the President’s completed actions, which do not appear consisting of three Military departments priorities and objectives under in The Regulatory Plan. However, more (Army, Navy, and Air Force), nine Executive Order 12866. information can be found about these Unified Combatant Commands, 17 completed rulemakings in past Defense Agencies, and ten DoD Field International Regulatory Cooperation publications of the Unified Agenda on Activities. It has 1,329,949 military As the President noted in Executive reginfo.gov in the Completed Actions personnel and 878,527 civilians Order 13609, ‘‘Promoting International section for DoD. These rulemakings can assigned as of June 30, 2016, and over Regulatory Cooperation’’ of May 1, also be found on regulations.gov. We 200 large and medium installations in 2012, ‘‘international regulatory will continue to identify retrospective the continental United States, U.S. cooperation, consistent with domestic review regulations as they are published territories, and foreign countries. The law and prerogatives and U.S. trade and report on the progress of the overall overall size, composition, and policy, can be an important means of plan biannually. DoD’s final agency dispersion of DoD, coupled with an promoting’’ public health, welfare, plan and all updates to the plan can be innovative regulatory program, present a safety, and our environment as well as found at: http://www.regulations.gov/ challenge to the management of the economic growth, innovation, #!docketDetail;D=DOD-2011-OS-0036.
Rule title RIN (*expected to significantly reduce burdens on small businesses)
0702–AA71 ...... Army Privacy Program
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Rule title RIN (*expected to significantly reduce burdens on small businesses)
0703–AA90 ...... Guidelines for Archaeological Investigation Permits and Other Research on Sunken Military Craft and Terrestrial Military Craft Under the Jurisdiction of the Department of the Navy 0703–AA92 ...... Professional Conduct of Attorneys Practicing Under the Cognizance and Supervision of the Judge Advocate General 0710–AA66 ...... Civil Monetary Penalty Inflation Adjustment Rule 0710–AA60 ...... Nationwide Permit Program Regulations* 0750–AG47 ...... Safeguarding Unclassified Controlled Technical Information (DFARS Case 2011–D039) 0750–AG62 ...... Patents, Data, and Copyrights (DFARS Case 2010–D001) 0750–AH11 ...... Only One Offer (DFARS Case 2011–D013) 0750–AH19 ...... Accelerated Payments to Small Business (DFARS Case 2011–D008) 0750–AH54 ...... Performance-Based Payments (DFARS Case 2011–D045) 0750–AH70 ...... Defense Trade Cooperation Treaty With Australia and the United Kingdom (DFARS Case 2012–D034) 0750–AH86 ...... Forward Pricing Rate Proposal Adequacy Checklist (DFARS Case 2012–D035) 0750–AH87 ...... System for Award Management Name Changes, Phase 1 Implementation (DFARS Case 2012–D053) 0750–AH90 ...... Clauses With Alternates—Transportation (DFARS Case 2012–D057) 0750–AH94 ...... Clauses with Alternates—Foreign Acquisition (DFARS Case 2013–D005) 0750–AH95 ...... Clauses with Alternates—Quality Assurance (DFARS Case 2013–D004) 0750–AI02 ...... Clauses with Alternates—Contract Financing (DFARS Case 2013–D014) 0750–AI10 ...... Clauses with Alternates—Research and Development Contracting (DFARS Case 2013–D026) 0750–AI19 ...... Clauses with Alternates—Taxes (DFARS Case 2013–D025) 0750–AI27 ...... Clauses with Alternates—Special Contracting Methods, Major System Acquisition, and Service Contracting (DFARS Case 2014–D004) 0750–AI03 ...... Approval of Rental Waiver Requests (DFARS Case 2013–D006) 0750–AI07 ...... Storage, Treatment, and Disposal of Toxic or Hazardous Materials—Statutory Update (DFARS Case 2013–D013) 0750–AI18 ...... Photovoltaic Devices (DFARS Case 2014–D006) 0750–AI34 ...... State Sponsors of Terrorism (DFARS Case 2014–D014) 0750–AI43 ...... Inflation Adjustment of Acquisition-Related Thresholds (DFARS Case 2014–D025) 0750–AI58 ...... Detection and Avoidance of Counterfeit Electronic Parts—Further Implementation (DFARS Case 2014–D005) 0750–AI76 ...... Duty-Free Entry Threshold (DFARS Case 2015–D036) 0750–AI85 ...... Prohibition on Requiring the Use of Fire-Resistant Rayon Fiber (DFARS Case 2016–D012) 0790–AI19 ...... Service Academies 0790–AI42 ...... Personnel Security Program 0790–AI54 ...... Defense Support of Civilian Law Enforcement Agencies 0790–AI63 ...... Alternative Dispute Resolution 0790–AI77 ...... Provision of Early Intervention and Special Education Services to Eligible DoD Dependents 0790–AI86 ...... Defense Logistics Agency Privacy Program 0790–AI87 ...... Defense Logistics Agency Freedom of Information Act Program 0790–AI88 ...... Shelter for the Homeless 0790–AI90 ...... DoD Assistance to Non-Government, Entertainment-Oriented Media Productions 0790–AI94 ...... Public Affairs Liaison with Industry 0790–AI98 ...... Professional U.S. Scouting Organizations Operating at U.S. Military Installations Overseas 0790–AJ00 ...... Civilian Employment and Reemployment Rights of Applicants for, and Service Members and Former Service Members of, the Uniformed Services 0790–AJ03 ...... DoD Privacy Program 0790–AJ06 ...... Voluntary Education Programs 0790–AJ07 ...... Historical Research in the Files of the Office of the Secretary of Defense (OSD) 0790–AJ10 ...... Enhancement of Protections on Consumer Credit for Members of the Armed Forces and Their Dependents 0790–AJ11 ...... Defense Materiel Disposition 0790–AJ19 ...... Background Checks on Individuals in DoD Child Care Services Programs 0790–AJ28 ...... National Language Service Corps (NLSC) Pursuant to Executive Order 13563, DoD also removed 32 CFR part 513, ‘‘Indebtedness of Military Personnel,’’ because the part is obsolete and the governing policy is now codified at 32 CFR part 112.
Administration Priorities personnel access to equipment and effectively, and consistently addressed 1. Rulemakings that are expected to information to assess the impact of in contracts. This rule will help protect have high net benefits well in excess of reported penetrations. Section 1632 covered defense information or other costs. requires that a contractor designated as Government data from compromise and The Department plans to finalize the operationally critical must report each protect against the loss of operationally following Defense Federal Acquisition time a cyber-incident occurs on that critical support capabilities, which Regulation Supplement (DFARS) rule: contractor’s network or information could directly impact national security. • Network Penetration Reporting and systems. Ultimately, DoD anticipates The Department plans to propose the Contracting for Cloud Services (DFARS significant savings to taxpayers as a following DFARS rule: case 2013–D018). This final rule result of this rule, by improving • Use of the Government Property implements section 941 of the National information security for DoD Clause (DFARS Case 2015–D035). This Defense Authorization Act (NDAA) for information that resides in or transits rule amends the DFARS to expand the FY 2013 and section 1632 of the NDAA through contractor systems and a cloud prescription for use of Federal for FY 2015. Section 941 requires environment. Recent high-profile Acquisition Regulation (FAR) clause cleared defense contractors to report breaches of Federal information show 52.245–1, Government Property. This penetrations of networks and the need to ensure that information clause requires contractors to comply information systems and allows DoD security protections are clearly, with basic property receipt and record
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keeping requirements in order for the Case 2015–D013). This rule amends the the new reporting requirements and Government to track, report, and DFARS to implement section 821 of the other Program amendments. manage Government-furnished NDAA for FY 2015 regarding the Test The Department plans to reissue the property. Currently, this clause is not Program for Comprehensive Small Nationwide Permits— required for use in purchase orders for Business Subcontracting Plans. The Test • Department of the Army (DA) repair when the unit acquisition cost of Program was established under section permits are required for discharges of Government property to be repaired 834 of the NDAAs for FYs 1990 and dredged or fill material into waters of does not exceed the simplified 1991 to determine whether the the United States and any structures or acquisition threshold (SAT). However, negotiation and administration of other work that affect the course, acquisition value alone is not an comprehensive small business location, or condition of navigable indicator of the criticality or sensitivity subcontracting plans would result in an waters of the United States. Small of Government property items. For increase of opportunities provided for businesses proposing to discharge example, firearms, body armor, night small business concerns under DoD dredged or fill material into waters of vision equipment, computers or crypto- contracts. A comprehensive the United States and/or install logical devices may individually all be subcontracting plan (CSP) can be structures or do work in navigable below the SAT, but accountability of negotiated on a corporate, division, or waters of the United States must obtain these items is of vital importance. Lack sector level, rather than contract by DA permits to conduct those activities, of the use of the Government property contract. This rule will amend the unless a particular activity is exempt clause in these instances significantly DFARS to: (1) Extend the Test Program from those permit requirements. increases the risk of misuse or loss of through December 31, 2017; (2) Individual permits and general permits Government property. In order to implement new reporting requirements can be issued by the Corps to satisfy the strengthen the management and for program participants; (3) require permit requirements of these two accountability of Government-furnished contracting officers to consider an statutes. Nationwide permits (NWPs) are property (GFP), this rule proposes to offerors failure to make a good faith a form of general permit issued by the amend the DFARS to require use of the effort to comply with its CSP in past U.S. Army Corps of Engineers (Corps) Government property clause in these performance evaluations; and (4) that authorize activities that have no instances, regardless of the acquisition establish procedures for the assessment more than minimal individual and value. of liquidated damages. This rule is of cumulative adverse environmental 2. Rulemakings that promote open particular interest to small businesses effects. The NWPs provide a streamline Government and use disclosure as a because it holds prime contractors that authorization process for small regulatory tool. are participating in the program businesses to fulfill DA permit requirements. Nationwide permits can The Department plans to finalize the accountable for the small business goals following DFARS rule: only be issued for a period of no more established in their CSP, resulting in • Promoting Voluntary Post-Award than five years. The issuance and increased business opportunities for Disclosure of Defective Pricing (DFARS reissuance of NWPs must be done every small business subcontractors. Case 2015–D030). In response to the five years to continue the NWP program. • Better Buying Power 2.0 initiative on Amendment to Mentor-Prote´ge´ Currently, there are 50 NWPs, and those ‘‘Eliminating Requirements Imposed on Program (DFARS Case 2016–D011). This NWPs expire on March 18, 2017. In Industry where Costs Outweigh rule amends the DFARS to implement addition to proposing to reissue all of Benefits,’’ contractors recommended section 861 of the NDAA for FY 2016 the 50 existing NWPs, the Corps is also that DoD clarify policy guidance to (Pub. L. 114–92), which provides proposing to issue two new NWPs. The reduce repeated submissions of certified amendments to the Pilot Mentor-Prote´ge´ Corps plans on issuing the final NWP cost or pricing data. Frequent Program (‘‘the Program’’). Specifically, rule before the current NWPs expire so submissions of such data are used as a section 861 requires mentor firms that NWPs will continue to be available defense against defective pricing claims participating in the Program to report to small businesses and other regulated by DoD after contract award, since data additional information on the assistance entities. that are frequently updated are less they have provided to their prote´ge´ 4. Rulemakings that streamline likely to be considered outdated or firms, the success this assistance has regulations, reduce unjustified burdens, inaccurate and, therefore, defective. had in addressing the prote´ge´ firm’s and minimize burdens on small Better Buying Power 3.0 called for a developmental needs, the impact on businesses. revision of regulatory guidance DoD contracts, and any problems The Department plans to propose the regarding the requirement for encountered. The new reporting following DFARS rule— • contracting officers to request an audit, requirements apply retroactively to Pilot Program for Streamlining even if a contractor voluntarily discloses mentor-prote´ge´ agreements entered into Awards for Innovative Technology defective pricing after contract award. before, on, or after the date of enactment Projects (DFARS Case 2016–D016). This This rule amends the DFARS to of the NDAA for FY 2016 (enacted rule proposes to amend the DFARS to stipulate that DoD contracting officers November 25, 2015). DoD’s OSBP will implement section 873 of the NDAA for shall request a limited-scope audit when use the information reported by mentors FY 2016 (Pub. L. 114–92). Section 873 a contractor voluntarily discloses to support decisions regarding provides the following exception from defective pricing after contract award, continuation of particular mentor- certified cost and pricing data unless a full-scope audit is appropriate prote´ge´ agreements. In addition, section requirements for contracts, subcontracts, for the circumstances. 861 adds new eligibility criteria for or modifications of contracts or 3. Rulemakings of particular interest mentor and prote´ge´ firms; limits the subcontracts valued at less than $7.5 to small businesses. period of time a prote´ge´ firm can million awarded to a small business or The Department plans to propose the participate in the Program; limits the nontraditional defense contractor following DFARS rules— number of mentor-prote´ge´ agreements to pursuant to a technical, merit-based • Temporary Extension of Test which a prote´ge´ can be a party; and selection procedure (e.g., broad agency Program for Comprehensive Small extends the Program for three years. announcement) or the Small Business Business Subcontracting Plans (DFARS This rule amends DFARS to implement Innovation Research (SBIR) Program. In
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addition, section 873 provides an revising DFARS 231.205–18, public interest by, for example: (1) exception from the records examination Independent Research and Development Utilizing the DPAP Defense Acquisition requirement at 10 U.S.C. 2313 for and Bid and Proposal Costs, to require Regulation System Web site to obtain contracts valued at less than $7.5 that proposed new independent early public feedback on newly enacted million awarded to a small business or research and development (IR&D) efforts legislation that impacts the nontraditional defense contractor be communicated to appropriate DoD Department’s acquisition regulations, pursuant to a technical, merit-based personnel prior to the initiation of these prior to initiating rulemaking to draft selection procedure (e.g., broad agency investments, and that results from these the implementing rules; and (2) holding announcement) or the SBIR Program. investments should also be shared with public meetings to solicit industry However, section 873 also provides appropriate DoD personnel. IR&D feedback on proposed rulemakings. authority in certain circumstances to investments need to meet the • Employ methods to facilitate and determine that submission of cost and complementary goals of providing improve efficiency of the contracting pricing data or auditing of records defense companies an opportunity to process, such as (1) updating certain should be required based on past exercise independent judgement on evaluation thresholds based on the performance of the specific small investments in promising technologies consumer price index; (2) allowing business or nontraditional defense that will provide a competitive contractors to display one DoD contractor or analysis of other advantage, including the creation of Inspector General hotline poster instead information specific to the award. These intellectual property, while at the same of three; and (3) revising the DD Form exceptions end on October 1, 2020. time pursuing technologies that may 1547, Record of Weighted Guidelines, to The Department plans to reissue the improve the military capability of the provide a more transparent means of Nationwide Permits— United States. These efforts can have the documenting costs incurred during the • As discussed above, nationwide best payoff, both for DoD and for undefinitized period of an undefinitized permits (NWPs) are a form of general individual performing companies, when contract action. permit issued by the Corps that the Government is well informed of the authorizes activities that require DA 2. Health Affairs, Department of investments that companies are making, Defense authorization and have no more than and when companies are well informed minimal individual and cumulative about related investments being made The Department of Defense is able to adverse environmental effects. The elsewhere in the Government’s research meet its dual mission of wartime Corps plans to reissue the 50 existing and development portfolios and about readiness and peacetime health care for NWPs and issue two new NWPs. Unlike Government plans for potential future those entitled to DoD medical care and individual permits, NWPs authorize acquisitions where this IR&D may be benefits by operating an extensive activities without the requirement for relevant. network of military medical treatment public notice and comment on each Specific DoD Priorities: For this facilities supplemented by services proposed activity, which reduces regulatory plan, there are six specific furnished by civilian health care burdens on small businesses and DoD priorities, all of which reflect the providers and facilities through the streamlines the authorization process. In established regulatory principles. DoD TRICARE program as administered FY 2015, the Corps issued has focused its regulatory resources on under DoD contracts. TRICARE is a approximately 31,700 NWP the most serious health and safety risks. major health care program designed to verifications, with an average processing Perhaps most significant is that each of improve the management and time of 41 days. In FY 2015, the Corps the priorities described below integration of DoD’s health care delivery issued approximately 1,700 standard promulgates regulations to offset the system. individual permits, with an average resource impacts of Federal decisions The Department of Defense’s Military processing time of 211 days. The on the public or to improve the quality Health System (MHS) continues to meet proposed NWPs were published in the of public life, such as those regulations the challenge of providing the world’s Federal Register on June 1, 2016, for a concerning acquisition, health affairs, finest combat medicine and aeromedical 60-day comment period. The Corps personnel benefits, and cyber security. evacuation, while supporting peacetime plans on finalizing the NWPs before the health care for those entitled to DoD current NWPs expire on March 18, 1. Acquisition, Technology, and medical care and benefits at home and 2017. The costs for obtaining Logistics/Defense Procurement and abroad. The MHS brings together the authorization under an NWP are low Acquisition Policy (DPAP), Department worldwide health care resources of the compared to the standard individual of Defense Uniformed Services (often referred to as permit process, both in terms of DPAP continuously reviews the ‘‘direct care,’’ usually within military financial costs and the time it takes to DFARS and continues to lead treatment facilities) and supplements obtain the required authorization. Government efforts to— this capability with services furnished 5. Rules to be modified, streamlined, • Improve the presentation, clarity, by network and non-network civilian expanded, or repealed to make the and streamlining of the regulation by, health care professionals, institutions, agency’s regulatory program more for example: (1) Implementing the new pharmacies, and suppliers, through the effective or less burdensome in convention to construct clauses with TRICARE program as administered achieving the regulatory objectives. alternates in a manner whereby the under DoD contracts, to provide access The Department plans to finalize the alternate clauses are included in full- to high quality health care services following DFARS rule— text; and (2) removing obsolete reporting while maintaining the capability to • Enhancing Independent Research or other requirements imposed on support military operations. The and Development Efforts (DFARS Case contractors. Such improvements ensure TRICARE program serves 9.5 million 2016–D002). This rule will amend the that contracting officers, contractors, Active Duty Service Members, National DFARS to improve the effectiveness of and offerors have a clear understanding Guard and Reserve members, retirees, independent research and development of the rules for doing business with the their families, survivors, and certain (IR&D) investments by the defense Department. former spouses worldwide. TRICARE industrial base that are reimbursed as • Obtain early engagement with continues to offer an increasingly allowable costs. Specifically, DoD is industry on procurement topics of high integrated and comprehensive health
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care plan, refining and enhancing both payments to providers of services of the SAPR training requirements, and SAPR benefits and programs in a manner same type under Medicare. 32 CFR requirements for the DoD Annual Report consistent with the law, industry 199.2 includes a definition for on Sexual Assault in the Military. The standard of care, and best practices, to ‘‘Hospital, long-term (tuberculosis, DoD goal is a culture free of sexual meet the changing needs of its chronic care, or rehabilitation).’’ This assault through an environment of beneficiaries. The program’s goal is to rule deletes this definition and creates prevention, education and training, increase access to health care services, separate definitions for ‘‘Long Term response capability, victim support, improve health care quality, and control Care Hospital’’ and ‘‘Inpatient reporting procedures, and appropriate health care costs. Rehabilitation Facility’’ in accordance accountability that enhances the safety The Defense Health Agency plans to with Centers for Medicare and Medicaid and well-being of all persons. DoD publish the following rules— Services (CMS) classification criteria. anticipates publishing the final rule in • Final Rule: Civilian Health and Under TRICARE, LTCHs and IRFs (both the third quarter of FY 2017. Medical Program of the Uniformed freestanding rehabilitation hospitals and • Final Rule: Identification (ID) Cards Services (CHAMPUS)/TRICARE: Refills rehabilitation hospital units) are for Members of the Uniformed Services, of Maintenance Medications Through currently paid the lower of a negotiated Their Dependents, and Other Eligible Military Treatment Facility Pharmacies rate (if they are a network provider) or Individuals. Among the Obama or National Mail Order Pharmacy billed charges (if they are a non-network Administration regulatory priorities are Program. This final rule implements provider). Although Medicare’s rules which extend fairness and Section 702(c) of the Carl Levin and reimbursement methods for LTCHs and tolerance to all Americans. The Howard P. ‘‘Buck’’ McKeon National IRFs are different, it is prudent to adopt Department of Defense (DoD) previously Defense Authorization Act for Fiscal both the Medicare LTCH and IRF published an interim final rule that Year 2015 which states that beginning Prospective Payment System (PPS) extended benefits to all eligible October 1, 2015; the pharmacy benefits methods simultaneously to align with dependents of uniformed Service program shall require eligible covered our statutory requirement to reimburse members and eligible DoD civilians. It beneficiaries generally to refill non- like Medicare. This rule sets forth the was necessary to publish an amended generic prescription maintenance proposed regulation modifications interim final rule to ensure the issuance medications through military treatment necessary for TRICARE to adopt of ID cards and extension of benefits facility pharmacies or the national mail- Medicare’s LTCH and IRF Prospective aligns with current Federal and DoD order pharmacy program. Section 702(c) Payment Systems and rates applicable policy, and to include an additional of the National Defense Authorization for inpatient services provided by implementing manual addressing Act for Fiscal Year 2015 also terminates LTCHs and IRFs to TRICARE eligibility documentation requirements. the TRICARE For Life Pilot Program on beneficiaries. This rule has been The final rule incorporates all September 30, 2015. The TRICARE For identified as an economically significant comments received during the public Life Pilot Program described in Section rule. DoD anticipates publishing the comment process that were adjudicated 716(f) of the National Defense final rule in the third quarter of FY by the Department as necessary changes Authorization Act for Fiscal Year 2013, 2017. to the rule. DoD anticipates publishing was a pilot program which began in the final rule in the third quarter of FY March 2014 requiring TRICARE For Life 3. Personnel and Readiness, 2017. beneficiaries to refill non-generic Department of Defense prescription maintenance medications The Department of Defense plans to 4. Chief Information Officer, through military treatment facility publish the following rules— Department of Defense pharmacies or the national mail-order • Final Rule; Amendment: Sexual The Department of Defense plans to pharmacy program. TRICARE for Life Assault Prevention and Response publish the final rule for the Defense beneficiaries are those enrolled in the (SAPR) Program. The purpose of this Industrial Base (DIB) Cybersecurity (CS) Medicare wraparound coverage option rule is to implement DoD policy and Activities that implements statutory of the TRICARE program. This rule assign responsibilities for the SAPR requirements for mandatory cyber includes procedures to assist Program on prevention, response, and incident reporting while maintaining beneficiaries in transferring covered oversight of sexual assault. The goal is the voluntary cyber threat information prescriptions to the mail order for DoD to establish a culture free of sharing program. pharmacy program. This rule has been sexual assault through an environment • Interim Final Rule: Defense identified as an economically significant of prevention, education and training, Industrial Base (DIB) Cyber Security rule. DoD anticipates publishing the response capability, victim support, (CS) Activities. The DoD–DIB CS final rule in the first quarter of FY 2017. reporting procedures, and appropriate Activities regulation mandates reporting • Final Rule: TRICARE; accountability that enhances the safety of cyber incidents that result in an Reimbursement of Long Term Care and well-being of all persons. DoD actual or potentially adverse effect on a Hospitals and Inpatient Rehabilitation anticipates publishing the final rule in covered contractor information system Facilities. The Department of Defense, the third quarter of FY 2017. or covered defense information residing Defense Health Agency, is revising its • Final Rule: Sexual Assault therein, or on a contractor’s ability to reimbursement of Long Term Care Prevention and Response (SAPR) provide operationally critical support. Hospitals (LTCHs) and Inpatient Program Procedures. This rule This interim final rule will modify Rehabilitation Facilities (IRFs). establishes policy, assigns eligibility criteria to permit greater Revisions are in accordance with the responsibilities, and provides guidance participation in the voluntary DoD–DIB statutory provision at title 10, United and procedures for the SAPR Program. CS information sharing program. States Code (U.S.C.), section 1079(i)(2) It establishes processes and procedures Expanding participation in the DoD–DIB that requires TRICARE payment for the Sexual Assault Forensic CS information sharing program is part methods for institutional care be Examination Kit, the multidisciplinary of DoD’s comprehensive approach to determined, to the extent practicable, in Case Management Group, and guidance counter cyber threats through accordance with the same on how to handle sexual assault reports, information sharing between the reimbursement rules as apply to SAPR minimum program standards, Government and DIB participants. The
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DoD–DIB CS information sharing Report on Sexual Assault in the environment of prevention, education program allows eligible DIB participants Military; and consistent with title 10, and training, response capability, victim to receive Government furnished United States Code (Reference (d)) the support, reporting procedures, and information (GFI) and cyber threat DoD Task Force Report on Care for appropriate accountability that information from other DIB participants, Victims of Sexual Assault (Reference enhances the safety and well-being of all thereby providing greater insights into (e)) and pursuant to References (b) and persons covered by this part and 32 CFR adversarial activity targeting the DIB. (c), and Public Law 106–65, 108–375, 103. DoD anticipates publishing the interim 109–163, 109–364, 110–417, 111–84, (3) Requirement that medical care and final rule in the third quarter of FY 111–383, 112–81, 112–239, 113–66, SAPR services are gender-responsive, 2017. 113–291, and 114–92; culturally competent, and recovery- (3) Provide of the preemption of state oriented. A 24 hour, 7 day per week and local laws mandating reporting of sexual assault response capability for all an adult sexual assault incident; locations, including deployed areas for DOD—OFFICE OF THE SECRETARY (4) Protect from retaliation, coercion, persons covered in this part. (OS) and reprisal due to reporting a sexual (4) Creating Command sexual assault Final Rule Stage assault; awareness and prevention programs and (5) Provide for individualized legal DoD law enforcement procedures that 19. Sexual Assault Prevention and representation from a Special Victims’ enable persons to be held appropriately Response Program Procedures Counsel (SVC) or Victims’ Legal accountable for their actions. Priority: Other Significant. Counsel (VLC); (5) Standardized SAPR requirements, Legal Authority: Pub. L. 112–239; Pub. (6) Provide for the opportunity to terminology, guidelines, protocols, and L. 113–66; Pub. L. 113–291; Pub. L. request an Expedited Transfer as a guidelines for training materials focus 114–92 means to getting a fresh start to support on awareness, prevention, and response CFR Citation: 32 CFR 105. victim recovery; at all levels, as appropriate. Legal Deadline: None. (7) Establish the multidisciplinary (6) Requiring Sexual Assault Abstract: This rule will provide Case Management Group as the Response Coordinators (SARC), SAPR sexual assault victims the ability to get oversight body of an Unrestricted sexual Victim Advocates (VA), and other a fresh start through an Expedited assault report. responders to assist sexual assault Transfer policy aimed at removing the Summary of Legal Basis: This victims regardless of Service affiliation. stigma associated with victimization. It regulation is pursued under the (7) Procedures for informing victims will also allow sexual assault victims to authorities of all applicable at the time of making the report, or as be notified of the protections and congressional mandates from section soon as practicable, of the option to support that come with individual legal 113 of title 10, United States Code request a temporary or permanent representation as they navigate the (U.S.C.), and Public Law 106–65, 108– expedited transfer from their assigned criminal justice process. With this rule 375, 109–163, 109–364, 110–417, 111– command or installation, or to a Reserve Component and National Guard 84, 112–81, 113–66; 113–291, 114–92. different location within their assigned members who are victims of sexual Alternatives: The DoD will not have command or installation, in accordance assault would receive the same SAPR current guidance relating to the with the procedures for commanders in advocacy regardless of when the sexual provisions of law enacted by Congress 105.9 of this part. assault incident occurred, similar to the critical to the implementation of sexual (8) Protections from reprisal, or threat advocate support afforded their active assault prevention and response (SAPR), of reprisal, for filing a report of sexual duty counterparts. The goal of this rule SAPR training standards, victim assault. is to ensure victims of sexual assault support, and reporting procedures. (9) Reporting options for Service receive improved victim advocacy Anticipated Cost and Benefits: Fiscal members and military dependents 18 support, quality health care service, year 2016 estimate of the anticipated years and older who have been sexually appropriate and sensitive command cost associated with this rule is assaulted. involvement, individualized legal approximately $15 million. (10) Providing support to an active support, and a military culture better Additionally, each of the Military duty Military Service member regardless informed on the issue of sexual assault. Services establishes its own SAPR of when or where the sexual assault This rule establishes the SAFE Helpline budget for the programmatic costs took place. as the sole DoD hotline for crisis arising from the implementation of the (11) Establishing a DoD-wide intervention; establishes requirements training, prevention, reporting, certification program with a national for a sexual assault victim safety response, and oversight requirements accreditor to ensure all sexual assault assessment and the execution of a high- established by this rule. These costs are victims are offered the assistance of a risk team to monitor cases where the less than those of other alternative SARC or SAPR VA who has obtained sexual assault victim’s life and safety benefits and include: this certification. may be in jeopardy; and incorporates (1) A complete SAPR Policy (12) Implementing training standards several requirements of the National consisting of this part and 32 CFR 103, that cover general SAPR training for Defense Authorization Act (NDAA) to include comprehensive SAPR Service members, and contain specific relating to sexual assault in the military. procedures to implement the DoD standards for: Accessions, annual, Statement of Need: Issue this part to: Directive 6495.01, Sexual Assault professional military education and (1) Implement 32 Code of Federal Prevention and Response (SAPR) leadership development training, pre- Regulations (CFR) 103 and assign Program, which is the DoD policy on and post-deployment, pre-command, responsibilities and provide guidance prevention and response to sexual General and Field Officers and SES, and procedures for the SAPR Program; assaults involving members of the U.S. military recruiters, civilians who (2) Establish SAPR minimum program Armed Forces. supervise military, and responders standards, SAPR training requirements, (2) Guidance and procedures with trainings. and SAPR requirements for the which the DoD may establish a culture (13) Requiring Military Departments Department of Defense (DoD) Annual free of sexual assault, through an to establish procedures for supporting
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the DoD Safe Helpline in accordance Agency Contact: Diana Rangoussis, card policy was inclusive of same-sex with Guidelines for the DoD Safe Department of Defense, Office of the spouse and transgender retiree and Helpline for the referral database, Secretary, Defense Pentagon, dependent populations. Additionally, provide timely response to victim Washington, DC 20301, Phone: 703 696– the length of the previous document feedback, publicize the DoD Safe 9422. combined with additional information Helpline to SARCs and Service RIN: 0790–AI36 necessary to make the document members and at military confinement current, required separation into an facilities. overarching instruction with supporting (14) Directing additional DOD—OS subject matter specific manuals. responsibilities for the DoD SAPRO Summary of Legal Basis: This Director (develop metrics for measuring 20. Identification (ID) Cards for regulation is pursued under the effectiveness, act as liaison between Members of the Uniformed Services, authorities of title 5, title 10 and title 18 DoD and other agencies with regard to Their Dependents, and Other Eligible U.S.C. SAPR, oversee development of strategic Individuals (Adding Subpart D) Alternatives: DoD does not have any program guidance and joint planning Priority: Other Significant. alternatives to address the issuing of objectives, quarterly include Military Legal Authority: 10 U.S.C. 1061; 10 distinct DoD ID cards. Anticipated Cost and Benefits: There Service Academies as a SAPR IPT U.S.C. 1062; 10 U.S.C. 1063; 10 U.S.C. are no costs to the public. There are no standard agenda item, semi-annually 1064; 10 U.S.C. 1072; 10 U.S.C. 1073; 10 capital or start-up costs associated with meet with the Superintendents of the U.S.C. 1074; 10 U.S.C. 1074(a); 10 the issuance of this rule. ID cards cost Military Service Academies, and U.S.C. 1074(b); 10 U.S.C. 1074(c); 10 the Department approximately $28.3 develop and administer standardized U.S.C. 1076; 10 U.S.C. 1076(a); 10 million annually. and voluntary surveys for survivors of U.S.C. 1077; 10 U.S.C. 1095(k)(2); 18 sexual assault to comply with 1726 of Risks: There is no risk to the public. U.S.C. 499; 18 U.S.C. 506; 18 U.S.C. 509; Timetable: NDAA FY 14. 18 U.S.C. 701; 18 U.S.C. 1001 (15) Providing for the Preemption of CFR Citation: 32 CFR 161. Action Date FR Cite state and local laws requiring disclosure Legal Deadline: None. of personally identifiable information of Abstract: Among the Obama Interim Final Rule 10/27/16 81 FR 74874 the service member (or adult military Administration regulatory priorities are Interim Final Rule 10/27/16 dependent) victim or alleged perpetrator rules which extend fairness and Effective. to state or local law enforcement tolerance to all Americans. The Interim Final Rule 12/27/16 agencies, unless such reporting is Department of Defense (DoD) previously Comment Pe- necessary to prevent or mitigate a riod End. published an interim final rule that Final Action ...... 05/00/17 serious and imminent threat to the establishes policy, assigns health and safety of an individual, as responsibilities, and provides Regulatory Flexibility Analysis determined by an authorized procedures for the issuing of distinct Required: No. Department of Defense official. DoD ID cards. The ID cards are issued Small Entities Affected: No. Risks: The degree of risk to Service to uniformed service members, their Government Levels Affected: None. member is that sexual assault victims dependents, and other eligible Additional Information: DoD will not be able to access support individuals and are used as proof of Instruction 1000.13, ‘‘Identification (ID) services or understand the availability identity and DoD affiliation, and Cards for Members of the Uniformed of resources to assist them, such as: the facilitate the extension of DoD benefits. Services, Their Dependents, and Other opportunity to receive an Expedited The interim final rule extended benefits Eligible Individuals’’; DoD Manual Transfer as a means to getting a fresh to all eligible dependents of Uniformed 1000.13, Volume 1, ‘‘DoD Identification start to support recovery; inability to Service members and eligible DoD (ID) Cards: ID Card Life-Cycle’’; DoD request a Restricted Report in civilians. It was necessary to amend the Manual 1000.13, Volume 2, ‘‘DoD mandatory reporting jurisdiction; and interim final rule to ensure the issuance Identification (ID) Cards: Benefits for failure to capture and preserve forensic of ID cards and extension of benefits Members of the Uniformed Services, evidence associated with sexual assault aligns with current Federal and DoD Their Dependents, and Other Eligible cases. policy, and to include an additional Individuals’’; DoD Manual 1000.13, Timetable: implementing manual addressing Volume 3, ‘‘DoD Identification (ID) eligibility documentation requirements. Cards: Eligibility Documentation Action Date FR Cite The revisions to this rule will be Required for Defense Enrollment reported in future status updates as part Eligibility (DEERS) Enrollment, Record Interim Final Rule 04/11/13 78 FR 21715 Interim Final Rule 04/11/13 of DoD’s retrospective plan under Management, and ID Card Issuance’’ Effective. Executive Order 13563, completed in Agency Contact: Robert Eves, Interim Final Rule 06/10/13 August 2011. DoD’s full plan can be Department of Defense, Office of the Comment Pe- accessed at: http://www.regulations.gov/ Secretary, Defense Pentagon, riod End. #!docketDetail;D=DOD-2011-OS-0036. Washington, DC 20301, Phone: 571 372– Interim Final Rule 11/00/16 Statement of Need: Many changes 1956, Email: [email protected]. have occurred since DoD previously Related RIN: Related to 0790–AI61 Regulatory Flexibility Analysis issued ID card policy in 1997 that RIN: 0790–AJ37 Required: No. require regulation and policy to be Small Entities Affected: No. updated, which include but are not Government Levels Affected: None. limited to Obama administration DOD—OS Additional Information: DoD priorities of extending fairness and Instruction 6495.02, ‘‘Sexual Assault tolerance to all Americans. Supreme 21. Sexual Assault Prevention and Prevention and Response (SAPR) Court decisions within the last five Response (SAPR) Program Program Procedures’’. years, required DoD to ensure that ID Priority: Other Significant.
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Legal Authority: 10 U.S.C. 113; Pub. L. assault prevention and response (SAPR), sexual assault within its ranks. Sexual 112–81; Pub. L. 113–66; Pub. L. 114–92 SAPR training standards, victim assault is incompatible with military CFR Citation: 32 CFR 103. support, and reporting procedures. culture and mission readiness, and the Legal Deadline: None. Anticipated Cost and Benefits: Fiscal risks to mission accomplishments are Abstract: This interim final rule Year 2015 Operation and Maintenance unbearable. This rule aims to mitigate establishes that victims of sexual assault funding for DoD SAPRO was $24.3 this risk to mission readiness. perpetrated by a spouse or intimate million with an additional Timetable: partner, or military dependent under the Congressional allocation of $25.0 age of 18 is a Family Advocate Program million designated for the Special Action Date FR Cite (FAP) matter and does not fall within Victims’ Counsel program and the the SAPR program. However to ensure Special Victims’ Investigation and Interim Final Rule 11/00/16 FAP involvement, this interim final rule Prosecution capability that was requires the installation SARC and reprogrammed to the Military Services Regulatory Flexibility Analysis installation FAP to coordinate together and the National Guard Bureau. Required: No. when a sexual assault occurs as a result Additionally, each of the Military Small Entities Affected: No. of domestic violence or involves child Services establishes its own SAPR Government Levels Affected: None. abuse. The rule requires sexual assault budget for the programmatic costs Additional Information: DoD victims be informed of the availability arising from the implementation of the Directive 6495.01, ‘‘Sexual Assault of legal assistance and the right to training, prevention, reporting, Prevention and Response (SAPR) consult with a Special Victims’ Counsel response, and oversight requirements Program’’. and Victims’ Legal Counsel and gives established by this rule. These costs are Agency Contact: Diana Rangoussis, military members who are sexually less than those of other alternative Department of Defense, Office of the assaulted the ability to request an benefits and include: Secretary, Defense Pentagon, Expedited Transfer as a means to getting (1) A complete and up-to-date SAPR Washington, DC 20301, Phone: 703 696– a fresh start’’ while escaping the stigma Policy consisting of this part and 32 9422. associated with sexual assault. Finally, CFR 105, to include comprehensive RIN: 0790–AJ40 the rule mandates the establishment and SAPR policy guidance on the implementation of a SAPR program prevention and response to sexual within National Guard Bureau. The assaults involving members of the U.S. DOD—OFFICE OF ASSISTANT Department of Defense is publishing Armed Forces. SECRETARY FOR HEALTH AFFAIRS this rule as interim to maintain and (2) Guidance and policy with which (DODOASHA) enhance the current SAPR program the DoD may establish a culture free of which elucidates the prevention, sexual assault, through an environment Final Rule Stage response, and oversight of sexual of prevention, education and training, 22. TRICARE; Reimbursement of Long assaults involving members of the U.S. response capability, victim support, Term Care Hospitals and Inpatient Armed Forces and Reserve Component, reporting procedures, and appropriate Rehabilitation Facilities to include the National Guard. accountability that enhances the safety Statement of Need: The purpose of and well-being of all persons covered by Priority: Economically Significant. this rule is to: this part and 32 CFR 105. Major under 5 U.S.C. 801. (1) Establish and implement a (3) Requirement to provide care that Legal Authority: 5 U.S.C. 301; 10 complete SAPR program which focuses is gender-responsive, culturally U.S.C. ch 55 on prevention, training, and response to competent, and recovery-oriented. CFR Citation: 32 CFR 199. sexual assaults involving members of (4) Standardized SAPR requirements, Legal Deadline: None. the U.S. Armed Forces. terminology, guidelines, protocols, and Abstract: The Department of Defense, (2) Establish a culture free of sexual guidelines for training materials shall Defense Health Agency, is proposing to assault, through an environment of focus on awareness, prevention, and revise its reimbursement of Long Term prevention, education and training, response at all levels, as appropriate. Care Hospitals (LTCHs) and Inpatient response capability, victim support, (5) An immediate, trained sexual Rehabilitation Facilities (IRFs). reporting procedures, and appropriate assault response capability for each Proposed revisions are in accordance accountability that enhances the safety report of sexual assault in all locations, with the statutory provision at title 10, and well-being of all persons covered. including in deployed locations. United States Code (U.S.C.), section (3) Focus on the victim and on doing (6) Victims of sexual assault shall be 1079(i)(2) that requires TRICARE what is necessary and appropriate to protected from coercion, retaliation, and payment methods for institutional care support victim recovery. reprisal. be determined, to the extent practicable, (4) Establish SAPR minimum program Risks: The rule does not intend in accordance with the same standards to include training physical or mental harm to individuals reimbursement rules as apply to requirements, oversight responsibilities, of the public. The rule intends to enable payments to providers of services of the data collection, and reports. military readiness by establishing a same type under Medicare. 32 CFR Summary of Legal Basis: This culture free of sexual assault. Sexual 199.2 includes a definition for regulation is established pursuant to all assault poses a serious threat to military ‘‘Hospital, long-term (tuberculosis, applicable congressional mandates from readiness because the potential costs chronic care, or rehabilitation).’’ This section 113 of title 10, United States and consequences are extremely high: rule proposes to delete this definition Code (U.S.C.), and Public Laws 106–65, chronic psychological consequences and create separate definitions for 108–375, 109–163, 109–364, 110–417, may include depression, post-traumatic ‘‘Long Term Care Hospital’’ and 111–84, 112–81, 113–66. stress disorder, and substance abuse. In ‘‘Inpatient Rehabilitation Facility’’ in Alternatives: The DoD will not have the U.S. Armed Forces, sexual assault accordance with Centers for Medicare current guidance relating to the not only degrades individual resilience and Medicaid Services (CMS) implementation of the provisions of law but also may erode unit integrity. An classification criteria. Under TRICARE, enacted by Congress critical to sexual effective fighting force cannot tolerate LTCHs and IRFs (both freestanding
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rehabilitation hospitals and Action Date FR Cite beneficiaries to refill non-generic rehabilitation hospital units) are prescription maintenance medications currently paid the lower of a negotiated NPRM Comment 03/27/15 through military treatment facility rate (if they are a network provider) or Period End. pharmacies or the national mail-order billed charges (if they are a non-network Second NPRM .... 08/31/16 81 FR 59934 pharmacy program. TRICARE for Life provider). Although Medicare’s Second NPRM 10/31/16 beneficiaries are those enrolled in the Comment Pe- reimbursement methods for LTCHs and riod End. Medicare wraparound coverage option IRFs are different, it is prudent to Final Action ...... 06/00/17 of the TRICARE program. This rule propose adopting both the Medicare includes procedures to assist LTCH and IRF Prospective Payment Regulatory Flexibility Analysis beneficiaries in transferring covered System (PPS) methods simultaneously Required: Yes. prescriptions to the mail order to align with our statutory requirement Small Entities Affected: Businesses. pharmacy program. to reimburse like Medicare.This Government Levels Affected: Federal. Statement of Need: The DoD interim proposed rule sets forth the proposed Agency Contact: Ann N. Fazzini, rule established processes for the new regulation modifications necessary for Department of Defense, Office of program of refills of maintenance TRICARE to adopt Medicare’s LTCH Assistant Secretary for Health Affairs, medications for all non-active duty and IRF Prospective Payment Systems 1200 Defense Pentagon, Washington, DC TRICARE beneficiaries through military and rates applicable for inpatient 20301, Phone: 303 676–3803. treatment facility pharmacies and the services provided by LTCHs and IRFs to RIN: 0720–AB47 mail order pharmacy program. TRICARE beneficiaries. The revisions to Summary of Legal Basis: This this rule will be reported in future status regulation is established under the updates as part of DoD’s retrospective DOD—DODOASHA authorities of 5 U.S.C. 301; 10 U.S.C. ch plan under Executive Order 13563, 55; 32 CFR 199.21. completed in August 2011. DoD’s full 23. TRICARE: Refills of Maintenance Alternatives: The rule fulfills a plan can be accessed at: http:// Medications Through Military statutory requirement, therefore there www.regulations.gov/ Treatment Facility Pharmacies or are no alternatives. #!docketDetail;D=DOD-2011-OS-0036. National Mail Order Pharmacy Anticipated Cost and Benefits: The Statement of Need: The rule is Program effect of the statutory requirement, necessary to meet the statutory Priority: Other Significant. implemented by this rule, is to shift a provision to use Medicare Legal Authority: 10 U.S.C. ch 55; 5 volume of prescriptions from retail reimbursement rules to the extent U.S.C. 301 pharmacies to the most cost-effective practicable. CFR Citation: 32 CFR 199. point-of-service venues of military Summary of Legal Basis: Congress Legal Deadline: Other, Statutory, treatment facility pharmacies and the established enabling legislation under October 1, 2015, section 702(c) of the mail order pharmacy program. This will section 707 of the National Defense NDAA 2015. Section 702(c) of the Carl produce savings to the Department of Authorization Act of Fiscal Year 2002 Levin and Howard P. Buck McKeon approximately $88 million per year, and (NDAA–02), Public Law 107–107 (Dec. National Defense Authorization Act for savings to beneficiaries of 28, 2001) changing the statutory Fiscal Year 2015 states that beginning approximately $16.5 million per year in authorization in 10 U.S.C. 1079 (j)(2) October 1, 2015, the pharmacy benefits reduced copayments. Updated and more that TRICARE payment methods for program shall require eligible covered in-depth economic data will be institutional care shall be determined to beneficiaries generally to refill non- provided with the final rule. the extent practicable, in accordance generic prescription maintenance Risks: Not finalizing this rule would with the same reimbursement rules used medications through military treatment risk a loss of savings to both the by Medicare. facility pharmacies or the national mail- Department and beneficiaries. There is Alternatives: This rule implements order pharmacy program. Section 702(c) no risk to the public. statutorily required provisions for also terminates the TRICARE For Life Timetable: adoption and implementation of Pilot Program on September 30, 2015. Medicare institutional reimbursement Abstract: This final rule implements Action Date FR Cite rules which are consistent with well section 702(c) of the Carl Levin and established congressional objectives. No Howard P. Buck’’ McKeon National Interim Final Rule 08/06/15 80 FR 46796 other alternative is applicable. Defense Authorization Act for Fiscal Interim Final Rule 08/06/15 Effective. Anticipated Cost and Benefits: It is Year 2015 which states that beginning October 1, 2015, the pharmacy benefits Interim Final Rule 10/05/15 projected that implementation of this Comment Pe- rule in Fiscal Year (FY) 17 will result in program shall require eligible covered riod End. a health care savings of $77 million for beneficiaries generally to refill non- Final Action ...... 11/00/16 LTCHs and $53 million for IRFs. generic prescription maintenance Risks: The rule implements statutorily medications through military treatment Regulatory Flexibility Analysis required provisions for adoption and facility pharmacies or the national mail- Required: No. order pharmacy program. Section 702(c) implementation of Medicare Small Entities Affected: No. of the National Defense Authorization institutional reimbursement systems Government Levels Affected: None. Act for Fiscal Year 2015 also terminates which are consistent with well Agency Contact: George Jones, established Congressional objectives. No the TRICARE For Life Pilot Program on September 30, 2015. The TRICARE For Department of Defense, Office of risk to the public is applicable. Assistant Secretary for Health Affairs, Timetable: Life Pilot Program described in section 716(f) of the National Defense Defense Pentagon, Washington, DC 20301, Phone: 703 681–2890. Action Date FR Cite Authorization Act for Fiscal Year 2013, was a pilot program which began in RIN: 0720–AB64 NPRM ...... 01/26/15 80 FR 3926 March 2014 requiring TRICARE For Life BILLING CODE 5001–06–P
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DEPARTMENT OF EDUCATION community-based early learning and place-based interventions programs, elementary and secondary developed by local leaders and Statement of Regulatory Priorities schools, colleges, rehabilitation service educators—consistent with our I. Introduction providers, adult education providers, Investing in Innovation and Promise The U.S. Department of Education professional associations, advocacy Neighborhoods grant programs. • (Department) supports States, local organizations, businesses, and labor Sustains and expands this communities, institutions of higher organizations. administration’s historic investments in education, and others in improving If we determine that it is necessary to increasing access to high-quality education and other services nationwide develop regulations, we seek public preschool. • in order to ensure that all Americans, participation at the key stages in the Maintains an expectation that there including those with disabilities, rulemaking process. We invite the will be accountability and action to receive a high-quality education and are public to submit comments on all effect positive change in our lowest- prepared for high-quality employment. proposed regulations through the performing schools, where groups of We provide leadership and financial Internet or by regular mail. We also students are not making progress, and assistance pertaining to education and continue to seek greater public where graduation rates are low over related services at all levels to a wide participation in our rulemaking extended periods of time. range of stakeholders and individuals, activities through the use of transparent The Department issued two notices of including State educational and other and interactive rulemaking procedures proposed rulemaking (NPRMs) that agencies, local school districts, and new technologies. would amend existing regulations providers of early learning programs, To facilitate the public’s involvement, pertaining to accountability and State elementary and secondary schools, we participate in the Federal Docketing plans, and the innovative assessment institutions of higher education, career Management System (FDMS), an demonstration authority. We also, and technical schools, nonprofit electronic single Government-wide following the completion of negotiated organizations, postsecondary students, access point (www.regulations.gov) that rulemaking, issued an NPRM proposing members of the public, families, and enables the public to submit comments to amend regulations on academic many others. These efforts are helping on different types of Federal regulatory assessments, and plan to publish an to ensure that all children and students documents and read and respond to NPRM on the supplement not supplant from pre-kindergarten through grade 12 comments submitted by other members provision in September 2016. We intend will be ready for, and succeed in, of the public during the public comment to issue final rules in all of these areas postsecondary education or period. This system provides the public by January 2017. employment, and that students with the opportunity to submit comments electronically on any notice B. Higher Education Act of 1965, as attending postsecondary institutions are Amended prepared for a profession or career. of proposed rulemaking or interim final We also vigorously monitor and regulations open for comment, as well Congress is currently considering enforce the implementation of Federal as read and print any supporting reauthorization of the Higher Education civil rights laws in educational regulatory documents. Act of 1965, as amended (HEA). When programs and activities that receive We are continuing to streamline enacted, the HEA’s reauthorization will Federal financial assistance, and information collections, reduce the likely require the Department to support innovative programs, research burden on information providers promulgate conforming regulations. In and evaluation activities, technical involved in our programs, and make the meantime, we have identified assistance, and the dissemination of information easily accessible to the several regulatory activities for Fiscal research and evaluation findings to public. Year 2017 under the Title IV Federal improve the quality of education. II. Regulatory Priorities Student Aid programs to improve Overall, the laws, regulations, and protections for students and safeguard programs that the Department A. Every Student Succeeds Act Federal dollars invested in administers will affect nearly every President Obama signed the Every postsecondary education. American during his or her life. Indeed, Student Succeeds Act (ESSA) into law C. Perkins Act in the 2016–2017 school year, about 56 on December 10, 2015. ESSA million students will attend an reauthorized the Elementary and Congress is currently considering estimated 132,000 elementary and Secondary Education Act of 1965 with reauthorization of the Carl D. Perkins secondary schools in approximately provisions aimed at helping to ensure Career and Technical Education Act of 13,500 districts, and about 21 million success for students and schools. The 2006 (Perkins Act), which focuses on students will enroll in degree-granting law: increasing the quality of technical postsecondary schools. All of these • Advances equity by upholding education. The priorities for students may benefit from some degree critical protections for America’s reauthorization include: of financial assistance or support from disadvantaged and high-need students. • Effective alignment with today’s the Department. • Requires—for the first time—that all labor market, including clear In developing and implementing students in America be taught to high expectations for high-quality programs; regulations, guidance, technical academic standards that will prepare • Stronger collaboration among assistance, and monitoring related to them to succeed in college and careers. secondary and postsecondary our programs, we are committed to • Ensures that vital information is institutions, employers, and industry working closely with affected persons provided to educators, families, partners; and groups. Specifically, we work with students, and communities through • Meaningful accountability to a broad range of interested parties and annual statewide assessments that improve academic and employment the general public, including families, measure students’ progress toward those outcomes for students; and students, and educators; State, local, high standards. • Local and State innovation in CTE, and tribal governments; other Federal • Helps to support and grow local particularly the development and agencies; and neighborhood groups, innovations—including evidence-based replication of innovative CTE models.
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We anticipate regulatory activity in Legal Authority: 20 U.S.C. 1001, 1111, programs administered under title I, response to the reauthorization of the 1221e–3, 6303, 6311, 6394, 6601, part A of the Elementary and Secondary Perkins Act. 6611(d), 6823, 7113(c), 7801, 7842, Education Act of 1965 (ESEA), as 7844, 7845, and 8302; 42 U.S.C. amended by the Every Student Succeeds IV. Principles for Regulating 11432(g) Act (ESSA). These proposed regulations Over the next year, we may need to CFR Citation: 34 CFR 200. are needed to implement recent changes issue other regulations because of new Legal Deadline: None. to the supplement not supplant legislation or programmatic changes. In Abstract: The Secretary will amend requirement of title I of the ESEA made doing so, we will follow the Principles the regulations implementing programs by the ESSA. for Regulating, which determine when under title I of the Elementary and Statement of Need: These proposed and how we will regulate. Through Secondary Education Act of 1965 regulations are needed to implement consistent application of those (ESEA) to implement changes to the recent changes to the supplement not principles, we have eliminated ESEA by the Every Student Succeeds supplant requirement of title I of the unnecessary regulations and identified Act (ESSA) enacted on December 10, ESEA made by the ESSA. situations in which major programs 2015. The Secretary also will update the Summary of Legal Basis: These could be implemented without current ESEA general regulations to proposed regulations are needed to regulations or with limited regulatory include the requirements for the implement recent changes to the action. submission of State plans under ESEA supplement not supplant requirement of In deciding when to regulate, we programs, including optional title I of the ESEA made by the ESSA. consider the following: consolidated State plans. Alternatives: These will be discussed • Whether regulations are essential to Statement of Need: These regulations in the final regulations. promote quality and equality of are necessary to implement changes to Anticipated Cost and Benefits: These opportunity in education. the ESEA by the ESSA. will be discussed in the final • Whether a demonstrated problem Summary of Legal Basis: These regulations. cannot be resolved without regulation. regulations are necessary to implement Risks: These will be discussed in the • Whether regulations are necessary changes to the ESEA by the ESSA. final regulations. to provide a legally binding Alternatives: These will be discussed Timetable: interpretation to resolve ambiguity. in the final regulations. • Whether entities or situations Anticipated Cost and Benefits: These Action Date FR Cite subject to regulation are similar enough will be discussed in the final that a uniform approach through regulations. NPRM ...... 09/16/16 81 FR 61148 NPRM Comment 11/07/16 regulation would be meaningful and do Risks: These will be discussed in the final regulations. Period End. more good than harm. Final Action ...... 12/00/16 • Whether regulations are needed to Timetable: protect the Federal interest, that is, to Action Date FR Cite Regulatory Flexibility Analysis ensure that Federal funds are used for Required: No. their intended purpose and to eliminate NPRM ...... 05/31/16 81 FR 34539 Small Entities Affected: No. fraud, waste, and abuse. NPRM Comment 08/01/16 Government Levels Affected: State. In deciding how to regulate, we are Period End. URL For Public Comments: mindful of the following principles: Final Action ...... 11/00/16 www.regulations.gov. • Regulate no more than necessary. Agency Contact: James Butler, • Minimize burden to the extent Regulatory Flexibility Analysis Department of Education, Office of possible, and promote multiple Required: No. Elementary and Secondary Education, approaches to meeting statutory Government Levels Affected: State. Room 3E108, 400 Maryland Avenue requirements if possible. URL For Public Comments: SW., Washington, DC 20202, Phone: 202 • Encourage coordination of federally www.regulations.gov. 260–2274, Email: [email protected]. funded activities with State and local Agency Contact: Meredith Miller, RIN: 1810–AB33 reform activities. Department of Education, Office of BILLING CODE 4000–01–P • Ensure that the benefits justify the Elementary and Secondary Education, costs of regulating. 400 Maryland Avenue SW., 3C106, • To the extent possible, establish Washington, DC 20202, Phone: 202 401– performance objectives rather than 8368, Email: [email protected]. DEPARTMENT OF ENERGY specify compliance behavior. RIN: 1810–AB27 • Encourage flexibility, to the extent Statement of Regulatory and possible and as needed to enable Deregulatory Priorities institutional forces to achieve desired ED—OESE The Department of Energy results. (Department or DOE) makes vital 25. • Elementary and Secondary contributions to the Nation’s welfare Education Act of 1965, as Amended by through its activities focused on the Every Student Succeeds Act— improving national security, energy ED—OFFICE OF ELEMENTARY AND Supplement Not Supplant Under Title supply, energy efficiency, SECONDARY EDUCATION (OESE) I, Part A environmental remediation, and energy Final Rule Stage Priority: Economically Significant. research. The Department’s mission is to: 24. Title I of the Elementary and Major under 5 U.S.C. 801. Legal Authority: 20 U.S.C. 6321(b) • Promote dependable, affordable and Secondary Education Act of 1965— CFR Citation: 34 CFR 200. environmentally sound production and Accountability and State Plans Legal Deadline: None. distribution of energy; Priority: Economically Significant. Abstract: The Secretary proposes to • Advance energy efficiency and Major under 5 U.S.C. 801. establish regulations governing conservation;
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• Provide responsible stewardship of expected to save American consumers • Residential Non-Weatherized Gas the Nation’s nuclear weapons; billions of dollars in energy costs. Furnaces and Mobile Home Gas • Provide a responsible resolution to Estimate of Combined Aggregate Costs Furnaces (1904–AD20) the environmental legacy of nuclear and Benefits • Commercial Water Heaters (1904– weapons production; and AD34) • Strengthen U.S. scientific In 2015, the Department published • discovery, economic competitiveness, final rules that adopted new or amended Commercial Packaged Boilers (1904– and improve quality of life through energy conservation standards for 13 AD01) innovations in science and technology. different products, including, • General Service Fluorescent Lamps The Department’s regulatory activities commercial air-cooled air conditioners (1904–AD09) are essential to achieving its critical and heat pumps, ceiling fan light kits, • Dedicated Purpose Pool Pumps mission and to implementing major commercial pre-rinse spray valves, and (1904–AD52) initiatives of the President’s National beverage vending machines. The 13 • Energy Policy. Among other things, the standards finalized in 2015 are Manufactured Housing (1904–AC11) Regulatory Plan and the Unified Agenda estimated to reduce carbon dioxide For walk-in coolers and freezers, DOE contain the rulemakings the Department emissions by over 429 million metric estimates that energy savings from tons and save American families and will be engaged in during the coming electricity will be 0.90 quads over 30 businesses $84 billion in electricity bills year to fulfill the Department’s years and the net benefit to the Nation commitment to meeting deadlines for through 2030. will be between $1.8 billion and $4.3 issuance of energy conservation Since 2009, the Energy Department billion. For non-weatherized gas standards and related test procedures. has finalized new efficiency standards furnaces and mobile home gas furnaces, The Regulatory Plan and Unified for more than 45 household and Agenda also reflect the Department’s DOE estimates that energy savings will commercial products, including be 2.78 quads over 30 years and the net continuing commitment to cut costs, dishwashers, refrigerators and water benefit to the Nation will be between reduce regulatory burden, and increase heaters, which are estimated to save $3.1 billion and $16.1 billion. For responsiveness to the public. consumers $540 billion through 2030. commercial water heaters, DOE To build on this momentum, the Retrospective Review of Existing estimates that energy savings for Regulations Department is committed to continuing to establish new efficiency standards combined natural gas and electricity Pursuant to section 6 of Executive that—when combined with the progress will be 1.8 quads over 30 years and the Order 13563 ‘‘Improving Regulation and already made through previously net benefit to the Nation will be Regulatory Review’’ (Jan. 18, 2011), finalized standards—will reduce carbon between $2.26 billion and $6.75 billion. several regulations have been identified pollution by approximately 3 billion For commercial packaged boilers, DOE as associated with retrospective review metric tons in total by 2030, equal to estimates that energy savings will be and analysis in the Department’s more than a year’s carbon pollution 0.349 quads over 30 years and the net retrospective review of regulations plan. from the entire U.S. electricity system. benefits to the Nation will be between Some of the entries on this list may be As part of the President’s Climate $0,414 billion and $1,687 billion. For completed actions, which do not appear Action Plan, the Energy Department has general service fluorescent lamps, DOE in the Regulatory Plan. However, more committed to an ambitious goal of estimates that energy savings will be information can be found about these finalizing at least 14 additional energy 0.85 quads over 30 years and the net completed rulemakings in past efficiency standards by the end of 2016. benefit to the nation will be between publications of the Unified Agenda on The overall plan for implementing the $4.4 billion and $9.1 billion. For www.reginfo.gov in the Completed schedule is contained in the Report to manufactured housing, DOE estimates Actions section. These rulemakings can Congress pursuant to section 141 of that energy savings will be 0.884 quads also be found on www.regulations.gov. EPACT 2005, which was released on (Single-section) and 1.428 quads (Multi- The final agency plan can be found at January 31, 2006. This plan was last section) over 30 years and the net https://www.whitehouse.gov/sites/ updated in the August 2016 report to default/files/other/2011-regulatory- benefit to the Nation will be between Congress and now includes the action-plans/departmentofenergy $1.26 billion (Single-section) and $2.18 requirements of the Energy regulatoryreformplanaugust2011.pdf. billion (Multi-section) and $4.03 billion Independence and Security Act of 2007 DOE has published a number of (Single-section) and $6.75 billion (EISA 2007), the American Energy retrospective review update reports that (Multi-section). For dedicated purpose Manufacturing Technical Corrections are available at http://www.energy.gov/ pool pumps, DOE has not yet proposed Act (AEMTCA), and the Energy gc/services/open-government/ candidate standard levels and therefore, Efficiency Improvement Act of 2015. restrospective-regulatory-review. cannot provide an estimate of combined The reports to Congress are posted at: aggregate costs and benefits for this Energy Efficiency Program for Consumer http://energy.gov/eere/buildings/ action. DOE will, however, in Products and Commercial Equipment reports-and-publications. While each of compliance with all applicable law, these high priority rules will build on The Energy Policy and Conservation issue standards that provide the the progress made to date, and will Act (EPCA) requires DOE to set continue to move the U.S. closer to a maximum improvement in energy appliance efficiency standards at levels low carbon future, DOE believes that efficiency that is technologically that achieve the maximum improvement seven rulemakings are the most feasible and economically justified. in energy efficiency that is important of its significant regulatory Estimates of energy savings will be technologically feasible and actions and, therefore, comprise the provided when DOE issues the notice of economically justified. The Department Department’s Regulatory Plan. proposed rulemaking for dedicated continues to follow its schedule for purpose pool pumps. setting new appliance efficiency • Walk-In Coolers and Walk-In Freezers standards. These rulemakings are (1904–AD59)
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DOE—ENERGY EFFICIENCY AND Anticipated Cost and Benefits: DOE URL for Public Comments: RENEWABLE ENERGY (EE) finds that the benefits to the Nation of www.regulations.gov/ the proposed energy standards for #!docketDetail;D=EERE-2013-BT-STD- Proposed Rule Stage General Service Lamps outweigh the 0051. 26. Energy Conservation Standards for burdens. DOE estimates that energy Agency Contact: Lucy DeButts, Office General Service Lamps savings will be .85 quads over 30 years of Buildings Technologies Program, EE– Priority: Economically Significant. and the net benefit to the Nation will be 5B, Department of Energy, Energy Major under 5 U.S.C. 801. between $4.4 billion and $9.1 billion. Efficiency and Renewable Energy, 1000 Unfunded Mandates: This action may Risks: Independence Avenue SW., affect the private sector under Public Timetable: Washington, DC 20585, Phone: 202 287– Law 104–4. 1604, Email: [email protected]. Legal Authority: 42 U.S.C. Action Date FR Cite RIN: 1904–AD09 6295(i)(6)(A) and (B) CFR Citation: 10 CFR 429; 10 CFR Framework Docu- 12/09/13 78 FR 73737 430. ment Avail- ability; Notice of DOE—EE Legal Deadline: Final, Statutory, Public Meeting. January 1, 2017. Framework Docu- 01/23/14 27. Energy Conservation Standards for Abstract: Amendments to Energy ment Comment Residential Non-Weatherized Gas Policy and Conservation Act (EPCA) in Period End. Furnaces and Mobile Home Gas the Energy Independence and Security Framework Docu- 01/23/14 79 FR 3742 Furnaces Act of 2007 direct DOE to conduct two ment Comment Priority: Economically Significant. rulemaking cycles to evaluate energy Period Ex- Major under 5 U.S.C. 801. conservation standards for GSLs, the tended. Unfunded Mandates: This action may first of which must be initiated no later Framework Docu- 02/07/14 affect the private sector under Public than January 1, 2014 (42 U.S.C. ment Comment Law 104–4. 6295(i)(6)(A)–(B)). EPCA specifically Period Ex- tended End. Legal Authority: 42 U.S.C. states that the scope of the rulemaking Preliminary Anal- 12/11/14 79 FR 73503 6295(f)(4)(C); 42 U.S.C. 6295(m)(1); 42 is not limited to incandescent lamp ysis; Notice of U.S.C. 6295(gg)(3) technologies. EPCA also states that DOE Public Meeting. must consider in the first rulemaking CFR Citation: 10 CFR 430. Preliminary Anal- 02/09/15 Legal Deadline: NPRM, Judicial, April cycle the minimum backstop ysis Comment requirement of 45 lumens per watt for Period End. 24, 2015, The later of 4/24/2016 or one general service lamps (GSLs) effective Preliminary Anal- 01/30/15 80 FR 5052 year after the issuance of the proposed January 1, 2020. This rulemaking ysis Comment rule. Final, Judicial, April 24, 2016. constitutes DOE’s first rulemaking cycle. Period Ex- Abstract: The Energy Policy and Statement of Need: DOE is directed tended. Conservation Act of 1975 (EPCA), as under EPCA to establish standards for Preliminary Anal- 02/23/15 amended, prescribes energy ysis Comment conservation standards for various GSL’s, and that DOE complete the Period Ex- rulemaking by January 1, 2017. consumer products and certain tended End. commercial and industrial equipment, Summary of Legal Basis: Notice of Public 03/15/16 81 FR 13763 Amendments to EPCA in the Energy Meeting; including residential furnaces. EPCA Independence and Security Act of 2007 Webinar. also requires the DOE to periodically (EISA) directed DOE to conduct two NPRM ...... 03/17/16 81 FR 14528 determine every six years whether rulemaking cycles to evaluate energy NPRM Comment 05/16/16 more-stringent amended standards conservation standards got GSL’s (42 Period End. would be technologically feasible and U.S.C. 6295(i)(6)(A)–(B)). Furthermore, Notice of Public 10/05/16 81 FR 69009 economically justified and would save a pursuant to EPCA, any new or amended Meeting; significant amount of energy. DOE is energy conservation standard that the Webinar. considering amendments to its energy Proposed Defini- 10/18/16 81 FR 71794 conservation standards for residential Department of Energy (DOE) prescribes tion and Data for certain products, such as general Availability. non-weatherized gas furnaces and service lamps, shall be designed to Proposed Defini- 11/08/16 mobile home gas furnaces in partial achieve the maximum improvement in tion and Data fulfillment of a court-ordered remand of energy efficiency that is technologically Availability DOE’s 2011 rulemaking for these feasible and economically justified (42 Comment Pe- products. U.S.C. 6295(o)(2)(A)) and result in a riod End. Statement of Need: EPCA requires significant conservation of energy (42 minimum energy efficiency standards U.S.C. 6295(o)(3)(B)). Regulatory Flexibility Analysis for certain appliances and commercial Alternatives: The statute requires DOE Required: Yes. equipment, including residential to conduct rulemakings to review Small Entities Affected: Businesses. furnaces standards and to revise standards to Government Levels Affected: None. Summary of Legal Basis: Title III of achieve the maximum improvement in International Impacts: This regulatory the Energy Policy and Conservation Act energy efficiency that the Secretary action will be likely to have of 1975 (EPCA), Public Law 94–163 (42 determines is technologically feasible international trade and investment U.S.C. 6291–6300, as codified), and economically justified. In making effects, or otherwise be of international established the Energy Conservation this determination, DOE conducts a interest. Program for Consumer Products Other thorough analysis of the alternative URL for More Information: Than Automobiles. Pursuant to EPCA, standard levels, including the existing www1.eere.energy.gov/buildings/ any new or amended energy standard, based on the criteria specified appliance_standards/ conservation standard that the U.S. in the statute. rulemaking.aspx?ruleid=83. Department of Energy (DOE) prescribes
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for certain products, such as residential Action Date FR Cite the U.S. Court of Appeals for the Fifth furnaces, shall be designed to achieve Circuit. As a result of those negotiations, the maximum improvement in energy Supplemental 11/22/16 a Term Sheet was produced containing efficiency that is technologically NPRM Com- a series of recommendations to ASRAC feasible and economically justified (42 ment Period for its approval and submission to DOE End. U.S.C. 6295(o)(2)(A)) and result in a for the agency’s further consideration. Using the Term Sheet’s significant conservation of energy (42 Regulatory Flexibility Analysis U.S.C. 6295(o)(3)(B)). recommendations, DOE is proposing to Required: Yes. establish energy conservation standards Alternatives: The statute requires DOE Small Entities Affected: Businesses. for the six equipment classes of walk-in to conduct rulemakings to review Government Levels Affected: None. URL for More Information: coolers and walk-in freezers that were standards and to revise standards to vacated by the Fifth Circuit and www1.eere.energy.gov/buildings/ achieve the maximum improvement in remanded to DOE for further action. appliance_standards/product.aspx/ energy efficiency that the Secretary Those standards at issue involve: (1) productid/72. determines is technologically feasible The two standards applicable to and economically justified. In making URL for Public Comments: www.regulations.gov/ multiplex condensing refrigeration this determination, DOE conducts a #!docketDetail;D=EERE-2014-BT-STD- systems operating at medium and low thorough analysis of the alternative temperatures; and (2) the four standards 0031. standard levels, including the existing Agency Contact: John Cymbalsky, applicable to dedicated condensing standard, based on the criteria specified Office of Building Technologies refrigeration systems operating at low in the statute. Program, EE–5B, Department of Energy, temperatures. Also consistent with the Anticipated Cost and Benefits: DOE Energy Efficiency and Renewable settlement agreement, DOE will finds that the benefits to the Nation of Energy, 1000 Independence Avenue consider any comments (including any accompanying data) regarding any the proposed energy standards for SW., Washington, DC 20585, Phone: 202 potential impacts of these six standards Residential Non-Weatherized Gas 287–1692, Email: john.cymbalsky@ on installers. DOE will also consider Furnaces and Mobile Home Gas ee.doe.gov. RIN: 1904–AD20 and substantively address any potential Furnaces (such as energy savings, impacts of these six standards on consumer average lifecycle cost savings, installers in its Manufacturer Impact an increase in national net present Analysis, consistent with its regulatory value, and emission reductions) DOE—EE definition of ‘‘manufacturer,’’ and, as outweigh the burdens (such as loss of appropriate, in its analysis of impacts industry net present value). For non- 28. Energy Conservation Standards for Walk-In Coolers and Walk-In Freezers on small entities under the Regulatory weatherized gas furnaces and mobile Flexibility Act. As part of this home gas furnaces, DOE estimates that Priority: Economically Significant. rulemaking (and consistent with its energy savings will be 2.78 quads over Major under 5 U.S.C. 801. obligations under the settlement 30 years and the net benefit to the Unfunded Mandates: This action may agreement), DOE will provide an Nation will be between $3.1 billion and affect the private sector under Public opportunity for all interested parties to $16.1 billion. Law 104–4. submit comments concerning any Legal Authority: 42 U.S.C. 6311; 42 Risks: proposed standards. DOE will use its U.S.C. 6313(f) best efforts to issue a final rule Timetable: CFR Citation: 10 CFR 431.306. establishing the remanded standards by Legal Deadline: Final, Judicial, Best December 1, 2016. Action Date FR Cite efforts to complete the rulemaking by Statement of Need: DOE is required 12/01/2016. under 42 U.S.C. 6313(f) to establish Notice of Public 10/30/14 79 FR 64517 Abstract: In 2014, the Department of performance-based energy conservation Meeting. Energy (DOE) issued a rule setting NPRM and Notice 03/12/15 80 FR 13120 standards for walk-in coolers and performance-based energy conservation freezers. This rulemaking is being of Public Meet- standards for a variety of walk-in cooler ing. conducted to satisfy that requirement by and freezer (walk-in) components. See NPRM Comment 05/20/15 80 FR 28851 setting standards related to certain Period Ex- 79 FR 32050 (June 3, 2014). That rule classes of refrigeration systems used in tended. was challenged by a group of walk-in walk-in applications. NPRM Comment 07/10/15 refrigeration system manufacturers and Summary of Legal Basis: This Period Ex- walk-in installers, which led to a rulemaking is being conducted under tended End. settlement agreement regarding certain DOE’s authority pursuant to 42 U.S.C. Notice of Data 09/14/15 80 FR 55038 refrigeration equipment classes 6311, which establishes the agency’s Availability addressed in that 2014 rule and certain legal authority over walk-in coolers and (NODA). aspects related to that rule’s analysis. freezers as one type of covered NODA Comment 10/14/15 See Lennox Int’l v. DOE, Case No. 14– equipment that DOE may regulate, and Period End. 60535 (5th Cir. 2014). Consistent with 42 U.S.C. 6313(f), which requires DOE NODA Comment 10/23/15 80 FR 64370 the settlement agreement, and in to conduct a rulemaking to establish Period Re- accordance with the Federal Advisory opened. performance-based energy conservation Committee Act, a working group was NODA Comment 11/23/15 standards for this equipment. Period Re- established under the Appliance Alternatives: The statute requires DOE opened End. Standards and Rulemaking Advisory to conduct rulemakings to review Supplemental 09/23/16 81 FR 65720 Committee (ASRAC) to engage in a standards and to revise standards to NPRM and No- negotiated rulemaking to develop achieve the maximum improvement in tice of Public energy conservation standards to energy efficiency that the Secretary Meeting. replace those that had been vacated by determines is technologically feasible
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and economically justified. In making more stringent standard would be more Action Date FR Cite this determination, DOE conducts a cost effective, based on the impact of the thorough analysis of the alternative IECC on the purchase price of Extension of 10/01/14 79 FR 59154 standard levels, including the existing manufactured housing and on total life- Term; Notice of standard, based on the criteria specified cycle construction and operating costs. Public Meeting. by statute. DOE undertook a successful negotiated Request for Infor- 02/11/15 80 FR 7550 Anticipated Cost and Benefits: DOE mation. rulemaking under the Appliance RFI Comment Pe- 03/13/15 finds that the benefits to the Nation of Standards and Rulemaking Federal riod End. the proposed energy standards for walk- Advisory Committee in accordance with NPRM ...... 06/17/16 81 FR 39756 in coolers and freezers (such as energy the Federal Advisory Committee Act NPRM Comment 08/16/16 savings, consumer average lifecycle cost and the Negotiated Rulemaking Act to Period End. savings, an increase in national net negotiate proposed Federal standards Final Action ...... 11/00/16 present value, and emission reductions) for the energy efficiency of outweigh the burdens (such as loss of manufactured homes. As part of the Regulatory Flexibility Analysis industry net present value). DOE consensus reached, the negotiating Required: Undetermined. estimates that energy savings from group recommended that DOE conduct Government Levels Affected: None. electricity will be 0.90 quads over 30 additional analysis to inform the URL for More Information: years and the net benefit to the Nation selection of solar heat gain coefficient www1.eere.energy.gov/buildings/ will be between $1.8 billion to $4.3 requirements in certain climate zones appliance_standards/ billion. and seek information regarding window rulemaking.aspx?ruleid=97. Risks: fenestration pertaining to manufactured URL for Public Comments: Timetable: housing. A request for information was www.regulations.gov/ issued on these topics. #!docketDetail;D=EERE-2009-BT-BC- Action Date FR Cite Statement of Need: Section 413 of 0021. Agency Contact: Joseph Hagerman, NPRM and Notice 09/13/16 81 FR 62980 EISA requires that DOE establish energy of Public Meet- conservation standards for Office of Building Technologies, EE–2J, ing. manufactured housing. Department of Energy, Energy Efficiency NPRM Comment 11/14/16 Summary of Legal Basis: Section 413 and Renewable Energy, 1000 Period End. of EISA requires that DOE establish Independence Avenue SW., energy conservation standards for Washington, DC 20585, Phone: 202 586– Regulatory Flexibility Analysis manufactured housing. See 42 U.S.C. 4549, Email: joseph.hagerman@ Required: Yes. 17071(a)(1). ee.doe.gov. Small Entities Affected: Businesses. Alternatives: DOE is directed to base RIN: 1904–AC11 Government Levels Affected: None. the energy conservation standards on URL for More Information: the most recent version of the www1.eere.energy.gov/buildings/ _ International Energy Conservation Code DOE—EE appliance standards/standards.aspx? (IECC), except where DOE finds that the productid=56&action=viewlive. IECC is not cost effective, or a more 30. Energy Conservation Standards for Agency Contact: John Cymbalsky, stringent standard would be more cost Commercial Packaged Boilers Office of Building Technologies effective, based on the impact of the Priority: Economically Significant. Program, EE–5B, Department of Energy, IECC on the purchase price of Major under 5 U.S.C. 801. Energy Efficiency and Renewable manufactured housing and on total life- Unfunded Mandates: This action may Energy, 1000 Independence Avenue cycle construction and operating costs. affect the private sector under Public SW., Washington, DC 20585, Phone: 202 Anticipated Cost and Benefits: DOE Law 104–4. 287–1692, Email: john.cymbalsky@ finds that the benefits to the Nation of Legal Authority: 42 U.S.C. ee.doe.gov. the proposed energy conservation RIN: 1904–AD59 6313(a)(6)(C); 42 U.S.C. 6311(11)(B) standards for manufactured housing CFR Citation: 10 CFR 431.87(B). outweigh the burdens. For Legal Deadline: NPRM, Statutory, July manufactured housing, DOE estimates 22, 2015, Either propose rule or DOE—EE that energy savings will be 0.884 quads determination. (Single-section) and 1.428 quads (Multi- Final Rule Stage Abstract: EPCA, as amended by section) over 30 years and the net AEMTCA, requires the Secretary to 29. Energy Conservation Standards for benefit to the Nation will be between determine whether updating the Manufactured Housing $1.26 billion (Single-section) and $2.18 statutory energy conservation standards Priority: Other Significant. billion (Multi-section) and $4.03 billion for commercial packaged boilers is Legal Authority: 42 U.S.C. 17071 (Single-section) and $6.75 billion technically feasible and economically CFR Citation: 10 CFR 460. (Multi-section). justified and would save a significant Legal Deadline: Final, Statutory, Risks: amount of energy. If justified, the December 19, 2011. Timetable: Secretary will issue amended energy Abstract: Section 413 of EISA requires conservation standards for such that DOE establish energy conservation Action Date FR Cite equipment. standards for manufactured housing. Statement of Need: DOE is required to See 42 U.S.C. 17071(a)(1). DOE is ANPRM ...... 02/22/10 75 FR 7556 conduct an evaluation of its standards ANPRM Comment 03/24/10 directed to base the energy efficiency Period End. for commercial packaged boilers every 6 standards on the most recent version of Request for Infor- 06/25/13 78 FR 37995 years and to publish either a notice of the International Energy Conservation mation. determination that such standards do Code (IECC), except where DOE finds RFI Comment Pe- 07/25/13 not need to be amended or a NOPR that the IECC is not cost effective, or a riod End. including proposed amended standards,
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42 U.S.C. 6313(a)(6)(C)(i). This Action Date FR Cite type of covered equipment that DOE rulemaking fulfills that requirement. may regulate, and 42 U.S.C. Accordingly, DOE is proposing Final Action ...... 12/00/16 6313(a)(6)(C), which requires DOE to amended energy conservation standards conduct a rulemaking to establish for commercial packaged boilers. Regulatory Flexibility Analysis performance-based energy conservation Summary of Legal Basis: This Required: Yes. Standards for this equipment. rulemaking is being conducted pursuant Small Entities Affected: Businesses. Alternatives: Under EPCA, DOE shall to DOE’s authority under 42 U.S.C. Government Levels Affected: None. either establish an amended uniform 6313(a)(6)(C)(i). URL for More Information: national standard for this equipment at Alternatives: The statute requires DOE www1.eere.energy.gov/buildings/ the minimum level specified in the to conduct rulemakings to review appliance_standards/rulemaking.aspx/ amended ASHRAE/IES Standard 90.1, standards and to amend standards to ruleid/79. unless the Secretary determines, by rule achieve the maximum improvement in Agency Contact: James Raba, Office of published in the Federal Register, and energy efficiency that the Secretary Building Technologies Program, EE–5B, supported by clear and convincing determines is technologically feasible Department of Energy, Energy Efficiency evidence, that adoption of a uniform and economically justified. In making and Renewable Energy, 1000 national standard more stringent than this determination, DOE conducts a Independence Avenue SW., the amended ASHRAE/IES Standard thorough analysis of the alternative Washington, DC 20585, Phone: 202 586– 90.1 for this equipment would result in standard levels, including the existing 8654, Email: [email protected]. significant additional conservation of standard, based on the criteria specified RIN: 1904–AD01 energy and is technologically feasible by statute. and economically justified (42 U.S.C. Anticipated Cost and Benefits: DOE 6313(a)(6)(A)–(C)). finds that the benefits to the Nation of DOE—EE Anticipated Cost and Benefits: DOE the proposed energy conservation finds that the benefits to the Nation of standards for commercial packaged 31. Energy Conservation Standards for the proposed energy conservation boilers (such as energy savings, Commercial Water Heating Equipment standards for commercial water heating consumer average lifecycle cost savings, Priority: Economically Significant. equipment outweighs the burdens. DOE an increase in national net present Major under 5 U.S.C. 801. estimates that energy savings for value, and emission reductions) Unfunded Mandates: This action may combined natural gas and electricity outweigh the burdens (such as loss of affect the private sector under Public will be 1.8 quads over 30 years and the industry net present value). DOE Law 104–4. net benefit to the Nation will be estimates that energy savings will be Legal Authority: 42 U.S.C. between $2.26 billion and $6.75 billion. 0.39 quads over 30 years and the net 6313(a)(6)(C)(i) and (vi) Risks: benefits to the Nation will be between CFR Citation: 10 CFR 431. Timetable: $0.414 billion and $1.687 billion. Legal Deadline: NPRM, Statutory, Risks: December 31, 2013, Either proposed Action Date FR Cite Timetable: rule or determination not to amend Request for Infor- 10/21/14 79 FR 62899 Action Date FR Cite standards. mation (RFI). Abstract: Once completed, this RFI Comment Pe- 11/20/14 Notice of Pro- 08/13/13 78 FR 49202 rulemaking will fulfill DOE’s statutory riod End. posed Deter- obligation under EPCA to either propose NPRM ...... 05/31/16 81 FR 34440 mination amended energy conservation standards NPRM Comment 08/01/16 (NOPD). for commercial water heaters, hot water Period End. NOPD Comment 09/12/13 supply boilers, and unfired hot water NPRM Comment 08/05/16 81 FR 51812 Period End. storage tanks or determine that the Period Re- Notice of Public 09/03/13 78 FR 54197 opened. Meeting and existing standards do not need to be Comment Period 08/30/16 Framework amended. DOE must determine whether End. Document national standards more stringent than Final Action ...... 12/00/16 Availability. those that are currently in place would Framework Docu- 10/18/13 result in a significant additional amount Regulatory Flexibility Analysis ment Comment of energy savings and whether such Required: Yes. Period End. amended national standards would be Small Entities Affected: Businesses. Notice of Public 11/20/14 79 FR 69066 technologically feasible and Government Levels Affected: None. Meeting and economically justified. Preliminary URL for More Information: Statement of Need: DOE is required www1.eere.energy.gov/buildings/ Analysis. _ Preliminary Anal- 01/20/15 under 42 U.S.C. 6313(a)(6)(C) to appliance standards/product.aspx/ ysis Comment establish performance-based energy productid/51. Period End. conservation standards for commercial URL for Public Comments: Withdrawal of 08/25/15 80 FR 51487 water heaters. This rulemaking is being www.regulations.gov/ NOPD. conducted to satisfy that requirement by #!docketDetail;D=EERE–2014-BT-STD- NPRM ...... 03/24/16 81 FR 15836 setting standards related to certain 0042. NPRM Comment 05/23/16 classes of commercial water heating Agency Contact: Ashley Armstrong, Period End. equipment. General Engineer, EE–5B, Department of NPRM Comment 05/04/16 81 FR 26747 Period Ex- Summary of Legal Basis: This Energy, Energy Efficiency and tended. rulemaking is being conducted under Renewable Energy, 1000 Independence NPRM Comment 06/22/16 DOE’s authority pursuant to 42 U.S.C. Avenue SW., Washington, DC 20585, Period Ex- 6311, which establishes the agency’s Phone: 202 586–6590, Email: tended End. legal authority over water heaters as one [email protected].
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RIN: 1904–AD34 and benefits for this action. DOE will, that strengthen the health care system; however, in compliance with all advance scientific knowledge and applicable law, issue standards that innovation; and improve the health, provide the maximum improvement in safety, and well-being of the American DOE—EE energy efficiency that is technologically people. 32. Energy Conservation Standards for feasible and economically justified. The Department’s regulatory priorities Dedicated-Purpose Pool Pumps Risks: for Fiscal Year 2017 reflect this complex Priority: Economically Significant. Timetable: mission through planned rulemakings Major status under 5 U.S.C. 801 is structured to implement the Action Date FR Cite Department’s six arcs for undetermined. implementation of its strategic plan: Unfunded Mandates: Undetermined. Request for infor- 05/08/15 80 FR 26475 Leaving the Department Stronger; Legal Authority: 42 U.S.C. 6311(1)(A) mation (RFI). Keeping People Healthy and Safe; CFR Citation: 10 CFR 431. RFI Comment Pe- 06/22/15 Reducing the Number of Uninsured and Legal Deadline: None. riod End. Abstract: Under the Energy Policy and RFI Comment Pe- 07/02/15 80 FR 38032 Providing Access to Affordable Quality Conservation Act, DOE may set energy riod Reopened. Care; Leading in Science and conservation standards for types of RFI Comment Pe- 08/17/15 Innovation; Delivering High Quality riod Reopened Care and Spending Our Health Care pumps, including dedicated-purpose End. pool pumps (42 U.S.C. 3211(1)(A)). On Dollars More Wisely; and, Ensuring the Notice of Intent to 08/25/15 80 FR 51483 Building Blocks for Success at Every August 8, 2015, DOE announced its Start Negotiated intention to establish a negotiated Stage of Life. This overview highlights Rulemaking forthcoming rulemakings exemplifying rulemaking working group to negotiate Working Group. proposed federal standards for Notice of Public 10/15/15 80 FR 61996 these priorities. dedicated-purpose pool pumps. The Meetings for I. Leaving the Department Stronger DPPP Working working group presented a final term The Department’s work to improve its sheet to the Appliance Standards and Group. Notice of Public 02/29/16 81 FR 10152 efficiency and accountability includes Rulemaking Advisory Committee Meetings for its innovation agenda, program integrity (ASRAC) on December 8, 2015. DPPP Working and key human resources initiatives. In Statement of Need: Under 42 U.S.C. Group. particular, the Department plans to 6311(a), DOE has established Notice of Public 04/18/16 81 FR 22548 issue a final regulation revising performance-based energy conservation Meetings for administrative appeal procedures for standards for general-purpose pumps DPPP Working Medicare claims appeals to increase and created a separate category for Group. Direct Final Rule 12/00/16 efficiency in the Medicare claims review dedicated-purpose pool pumps. DOE is and appeals process. Additionally, now conducting this rulemaking to set Regulatory Flexibility Analysis consistent with the President’s energy conservation standards for Executive Order 13563, ‘‘Improving dedicated-purpose pool pumps. Required: Undetermined. Government Levels Affected: Regulation and Regulatory Review,’’ the Summary of Legal Basis: This Department remains committed to rulemaking is being conducted under Undetermined. Federalism: Undetermined. reducing regulatory burden on States, DOE’s authority pursuant to 42 U.S.C. URL for More Information: health care providers and suppliers, and 6311, which establishes the agency’s www1.eere.energy.gov/buildings/ other regulated entities by updating legal authority over pumps as one type appliance_standards/standards.aspx? current rules to align them with of covered equipment that DOE may productid=41&action=viewlive. emerging health and safety standards, regulate, and 42 U.S.C. 6311(a), which Agency Contact: John Cymbalsky, and by eliminating outdated procedural allows DOE to conduct a rulemaking to Office of Building Technologies provisions. A full listing of HHS’s establish performance-based energy Program, EE–5B, Department of Energy, retrospective review initiatives can be conservation standards for this Energy Efficiency and Renewable found at http://www.hhs.gov/ equipment. Energy, 1000 Independence Avenue retrospectivereview. Alternatives: The statute requires DOE SW., Washington, DC 20585, Phone: 202 II. Keeping People Healthy and Safe to conduct rulemakings to review 287–1692, Email: john.cymbalsky@ standards and to revise standards to ee.doe.gov. This HHS strategic priority achieve the maximum improvement in RIN: 1904–AD52 encompasses the Department’s work to energy efficiency that the Secretary enhance health, wellness and BILLING CODE 6450–01–P determines is technologically feasible prevention; detect and respond to a and economically justified. In making potential disease outbreak or public this determination, DOE is conducting a health emergency; and prevent the full analysis by evaluating a range of DEPARTMENT OF HEALTH AND spread of disease across borders. standard levels to determine whether HUMAN SERVICES potential standards for dedicated- Preventing and Reducing Tobacco- purpose pool pumps would save energy Statement of Regulatory Priorities for Related Death and Disease and whether such standards would be Fiscal Year 2017 In 2009, Congress enacted the Family technologically feasible and As the Federal agency with principal Smoking Prevention and Tobacco economically justified. responsibility for protecting the health Control Act, authorizing the U.S. Food Anticipated Cost and Benefits: DOE of all Americans and for providing & Drug Administration (FDA) to regulate has not yet proposed candidate standard essential human services, especially to the manufacture, marketing, and levels for dedicated purpose pool those least able to help themselves, the distribution of tobacco products, to pumps and therefore, cannot provide an Department of Health and Human protect the public health and to reduce estimate of combined aggregated costs Services (HHS) implements programs tobacco use by minors. Over the past
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year, FDA finalized the regulation Improving Substance Use Treatment other related administrative procedures deeming other tobacco products that and Research Opportunities with similar procedures used by the meet the statutory definition of ‘‘tobacco The Substance Abuse and Mental Exchanges. product’’ to also be subject to the Food, Health Services Administration Updating Organ Donation Authorities Drug and Cosmetic Act (FD&C Act). (SAMHSA) is working to finalize This final regulation, known as the The Health Resources and Services changes to 42 CFR 2, the Confidentiality Administration (HRSA) is undertaking a ‘‘deeming rule,’’ affords FDA the of Substance Use Disorder Patient authority to regulate additional products regulation to improve and streamline Records. The part 2 regulation protects the process for human organ donation. which include hookah, electronic the confidentiality of records that are HRSA is proposing a final rule that cigarettes, cigars, pipe tobacco, other maintained in connection with any clarifies that peripheral blood stem cells novel tobacco products, and future federally assisted program or activity are included in the definition of bone tobacco products. Over the next year, related to substance abuse education, marrow under section 30 of the National FDA plans to issue further procedural prevention, training, treatment, Organ Transplantation Act of 1984. and substantive augmentation of that rehabilitation, or research. Under the landmark regulation, designed to both part 2 statute and current regulations, a IV. Leading in Science and Innovation clarify the regulatory landscape for federally assisted substance abuse HHS continues to expand on early tobacco products and enhance program may only release patient successes of a number of initiatives, information available to consumers on identifying information related to including the Precision Medicine the health risks of tobacco use. substance abuse treatment services with Initiative, BRAIN Initiative, and the the individual’s written consent; Vice President’s Cancer Moonshot, Preventing the Spread of Disease Across pursuant to a court order; or under a few specifically by updating the rules that Borders other limited exceptions. These govern research with human protections are more stringent than most participants. In particular, HHS plans to Over the next year, the Centers for other privacy laws, including HIPAA. Disease Control and Prevention (CDC) finalize revisions to existing rules SAMHSA is updating the part 2 rule in governing research with human plans to finalize amendments to the order to make it more compatible with subjects, often referred to as the foreign and interstate quarantine new models of integrated care, which Common Rule. This rule would apply to regulations to more efficiently and are based on information sharing, institutions and researchers supported effectively respond to communicable participation of multiple healthcare by HHS as well as researchers disease threats to the public’s health. providers, and the development of an throughout much of the Federal The regulation adds requirements for electronic infrastructure for managing government who are conducting the collection of passenger and crew and exchanging patient data. Part 2 has research involving human subjects. The information, allows for the public health restricted the exchange of some of this final rule will aim to better protect screening of travelers, and revises and data, to the detriment of patient care human subjects while facilitating adds relevant definitions. and research. research, and also reducing burden, Drugs and Medical Devices III. Reducing the Number of Uninsured delay, and ambiguity for investigators. and Providing Access to Affordable Patient-Centered Improvements to FDA plans to issue a proposed rule Quality Care Health Technology addressing medication guide regulations The Affordable Care Act (ACA) to require a new form of patient HHS plans to undertake regulations expands access to health insurance designed to enhance both security and labeling, Patient Medication through improvements in Medicaid, the Information, for submission to and interoperability of electronic and other establishment of Affordable Insurance health records to improve access to care. review by FDA for human prescription Exchanges, and coordination between These initiatives include an update to drug products used, dispensed, or Medicaid, the Children’s Health the regulations regarding confidentiality administered on an outpatient basis. Insurance Program, and the Exchanges. of substance abuse treatment records to The proposed rule would include In implementing the ACA over the next align with advances in health requirements for Patient Medication fiscal year, HHS will pursue regulations information technology (health IT) Information development, consumer transforming the way our nation while maintaining appropriate patient testing, and distribution. The proposed delivers care. This includes creating privacy protections. rule would require clear and concise better ways to pay providers, incentivize written prescription drug product quality of care and distribute V. Delivering High Quality Care and information presented in a consistent information to build a health care Spending Our Health Care Dollars and easily understood format to help system that is better, smarter and More Wisely patients use their prescription drug healthier with an engaged, educated, HHS continues work to build a health products safely and effectively. FDA is and empowered consumer at the center. care delivery system that results in also proposing to amend its regulations Streamlining Medicaid Eligibility better care, smarter spending, and governing mammography. The Determinations healthier people by finding better ways amendments would update the to pay providers, deliver care, and Mammography Quality Standards Act of Forthcoming proposed and final rules distribute information all while keeping will bring to completion regulatory 1992. FDA is taking this action to the individual patient at the center. In provisions that support our efforts to address changes in mammography the coming fiscal year, the department assist states in implementing Medicaid technology and mammography will complete a number of regulations to eligibility and enrollment provisions accomplish this strategic objective: processes that have occurred since the stemming from the Affordable Care Act. regulations were published in 1997 and These changes provide states more Medicare Payment Rules to address breast density reporting to flexibility to coordinate Medicaid and Nine Medicare payment rules will be patient and health care providers. CHIP eligibility notices, appeals, and updated to better reflect the current
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state of medical practice and to respond HHS—SUBSTANCE ABUSE AND the individual’s written consent; to feedback from providers seeking MENTAL HEALTH SERVICES pursuant to a court order; or under a few financial predictability and flexibility to ADMINISTRATION (SAMHSA) other limited exceptions. Alternatives: Failure to finalize the better serve patients. In particular, the Final Rule Stage annual Hospital Inpatient Prospective rule would result in the existing Payment System for Acute Care 33. Confidentiality of Substance Use regulations staying in place, with none Hospitals and the Long-Term Care Disorder Patient Records of the changes proposed being adopted. Hospital Prospective Payment System Priority: Other Significant. Anticipated Cost and Benefits: Over and FY 2018 Rates proposed rule revises Legal Authority: 42 U.S.C. 290dd–2 the 10-year period of 2016–2025, the the Medicare hospital inpatient and CFR Citation: 42 CFR 2. total undiscounted cost of the part 2 long-term care hospital prospective Legal Deadline: None. changes will be about $241 million in payment systems for operating and Abstract: The final rule will amend 42 2016 dollars. When future costs are capital-related costs. This proposed rule CFR part 2 to update the regulations for discounted at 3 percent or 7 percent per would implement changes arising from the modern health care context with year, the total costs become our continuing experience with these respect to health information technology approximately $217,586,000 or systems. and new health care models. The goal $193,098,000, respectively. The benefits of this rule is to balance the need for would be improvements in the Improving the 340B Program information exchange in new health integration and coordination of care models and applications with substance use disorder treatment with HRSA plans to issue two regulations the broader health system and improved intended to improve transparency and appropriate privacy protections for those undergoing treatment for use of data to inform the development operation of its 340B Drug Pricing improvement of the substance use Program. These regulations include: substance use disorders. The revisions to the regulations would remain disorder treatment system. • 340B Drug Pricing Program Ceiling consistent with 42 U.S.C. 290dd–2 Risks: If this rule is not finalized, it Price and Manufacturer Civil Monetary (confidentiality of records). will result in significant scrutiny from a Penalties Regulation: HRSA plans to Statement of Need: The last variety of stakeholders, who have been finalize this rule, which defines substantive update to these regulations pushing for an update to the rule. It standards and methodology for the was in 1987. Over the last 29 years, would also inhibit integrated care for calculation of ceiling process for significant changes have occurred substance use disorders and prevent the purposes of the 340B Program and within the U.S. health care system that use of some data in research related to imposes monetary sanctions on drug were not envisioned by the current substance use disorder treatment at a manufacturers who intentionally charge regulations, including new models of time when the issue is a key priority to a covered entity a price above the integrated care that are built on a the Department as a result of the opioid ceiling price established for the 340B foundation of information sharing to crisis. Program; and support coordination of patient care, the Timetable: • development of an electronic 340B Drug Pricing Program Action Date FR Cite Omnibus Guidance: This guidance, infrastructure for managing and when finalized, sets forth the exchanging patient information, and a NPRM ...... 02/09/16 81 FR 6987 responsibilities of 340B covered entities new focus on performance measurement NPRM Comment 04/11/16 and drug manufacturers to ensure within the health care system. SAMHSA Period End. compliance with the statute establishing wants to ensure that patients with Final Action ...... 11/00/16 the 340B Program. substance use disorders have the ability to participate in, and benefit from new Regulatory Flexibility Analysis VI. Ensuring the Building Blocks for integrated health care models without Required: No. Success at Every Stage of Life fear of putting themselves at risk of Small Entities Affected: No. adverse consequences. These new Government Levels Affected: None. Over the coming year, the Department integrated models are foundational to Agency Contact: Kate Tipping, Public will continue its support at critical HHS’s triple aim of improving health Health Advisor, Department of Health stages of people’s lives, from infancy to care quality, improving population and Human Services, Substance Abuse old age, and its support of topics health, and reducing unnecessary health and Mental Health Services including early learning, Alzheimer’s care costs. Administration, 1 Choke Cherry Road, and dementia. ACF plans to finalize a Summary of Legal Basis: The statutory Rockville, MD 20850, Phone: 240 276– regulation making child support authority for the part 2 regulation is 1652. program operations and enforcement based on 42 U.S.C. 290dd–2, which RIN: 0930–AA21 procedures more efficient by protects the confidentiality of records recognizing advancements in with respect to the identity, diagnosis, technology and the move toward prognosis, or treatment of any patient HHS—CENTERS FOR DISEASE electronic communications and records that are maintained in CONTROL AND PREVENTION (CDC) document management. An additional connection with the performance of any Administration for Children and federally assisted program or activity Final Rule Stage Families rule, when finalized, amends relating to substance abuse education, the Adoption and Foster Care Analysis prevention, training, treatment, 34. Control of Communicable Diseases and Reporting Systems by modifying rehabilitation, or research.[1] Under the Priority: Other Significant. Major requirements for foster care agencies to part 2 statute and current regulations, a under 5 U.S.C. 801. collect and report data on children in federally assisted substance abuse Legal Authority: Sec. 361 of the Public out-of-home care and children under program may only release patient Health Service Act (42 U.S.C. 264 to adoption or guardianship agreements identifying information related to 265) with child welfare agencies. substance abuse treatment services with CFR Citation: 42 CFR 70; 42 CFR 71.
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Legal Deadline: None. current regulatory language will not be FDA is also proposing updates to Abstract: This rule clarifies data clarified; and there will be less modernize the regulations by collection requirements for airline transparency to the public regarding incorporating current science and passengers and crew, codifies current HHS/CDC’s response capabilities and mammography best practices. These practice, clarifies HHS/CDC’s authority practices. updates are intended to improve the to implement non-invasive public Timetable: delivery of mammography services. health screenings at U.S. ports of entry and other U.S. locations; and adds Action Date FR Cite Summary of Legal Basis: appeal provisions for persons served Mammography is an X-ray imaging with a Federal public health order (e.g., NPRM ...... 08/15/16 81 FR 54230 examination device that is regulated quarantine) with due process, including NPRM Comment 10/14/16 under the authority of the FD&C Act. Period End. FDA is proposing these amendments to clarification of reasons, processes, and Final Rule ...... 12/00/16 reassessments. the mammography regulations (set forth Statement of Need: The need for this Regulatory Flexibility Analysis in 21 CFR part 900) under section 354 proposed rulemaking was reinforced Required: No. of the Public Health Service Act (42 during HHS/CDC’s response to the Small Entities Affected: No. U.S.C. 263b), and sections 519, 537, and largest outbreak of Ebola virus disease Government Levels Affected: Federal. 704(e) of the FD&C Act (21 U.S.C. 360i, (Ebola) on record, followed by the International Impacts: This regulatory 360nn, and 374(e)). recent outbreak of Middle East action will be likely to have Alternatives: The Agency will Respiratory Syndrome (MERS) in South international trade and investment Korea, both quarantinable consider different options so that the effects, or otherwise be of international health benefits to patients are communicable diseases, and repeated interest. outbreaks and responses to measles, a Agency Contact: Ashley Marrone, maximized and the economic burdens non-quarantinable communicable Public Health Analyst, Department of to mammography facilities are disease of public health concern, in the Health and Human Services, Centers for minimized. United States. The provisions contained Disease Control and Prevention, 1600 Anticipated Cost and Benefits: The within this proposal will enhance HHS/ Clifton Road NE., MS–E03, Atlanta, GA primary public health benefits of the CDC’s ability to prevent the further 30329, Phone: 404 498–1600, Email: rule will come from the potential for importation and spread of [email protected]. earlier breast cancer detection, communicable diseases into the United RIN: 0920–AA63 improved morbidity and mortality, States and interstate by clarifying and resulting in reductions in cancer providing greater transparency treatment costs. The primary costs of the regarding its response capabilities and rule will come from industry labor costs practices. HHS—FOOD AND DRUG Summary of Legal Basis: The primary ADMINISTRATION (FDA) and costs associated with supplemental testing and biopsies. legal authority supporting this Proposed Rule Stage rulemaking is sections 361 and 362 of Risks: If a final regulation does not the Public Health Service Act (42 U.S.C. 35. Mammography Quality Standards publish, the potential reduction in 264, 265). Act; Regulatory Amendments fatalities and earlier breast cancer Alternatives: None. The main impact Priority: Other Significant. detection, resulting in reduction in of the proposals within this rule is to Legal Authority: 21 U.S.C. 360i; 21 cancer treatment costs, will not strengthen our regulations by codifying U.S.C. 360nn; 21 U.S.C. 374(e); 42 materialize to the detriment of public statutory language to describe HHS/ U.S.C. 263b health CDC’s authority to prevent the CFR Citation: 21 CFR 900. introduction, transmission, and spread Legal Deadline: None. Timetable: of communicable diseases. The intent of Abstract: FDA is proposing to amend these proposed updates is to best protect its regulations governing Action Date FR Cite mammography. The amendments would U.S. public health and to inform the NPRM ...... 02/00/17 regulated community of these updates. update the regulations issued under the Anticipated Cost and Benefits: The Mammography Quality Standards Act of analysis of estimated costs and benefits 1992 (MQSA). FDA is taking this action Regulatory Flexibility Analysis of this rule has 4 components: (1) Costs to address changes in mammography Required: Yes. and benefits for submitting passenger technology and mammography Small Entities Affected: Businesses. and crew information to CDC; (2) costs processes that have occurred since the Government Levels Affected: State. and benefits associated with improved regulations were published in 1997 and transparency of how HHS/CDC uses its to address breast density reporting to Federalism: This action may have regulatory authorities to protect public patient and health care providers. federalism implications as defined in health; (3) transfer payments by HHS/ Statement of Need: FDA is proposing E.O. 13132. CDC for treatment and care; and (4) the to update the mammography regulations Agency Contact: Nancy Pirt, impact of the proposed provision that were issued under the Regulatory Counsel, Department of suspending the entry of animals, Mammography Quality Standards Act of Health and Human Services, Food and articles, or things from designated 1992 (MQSA) and the Federal Food, Drug Administration, Center for Devices Drug, and Cosmetic Act (FD&C Act). foreign countries and places into the and Radiological Health, WO 66, Room FDA is taking this action to address United States. 4438, 10903 New Hampshire Avenue, Risks: If this regulation is not changes in mammography technology Silver Spring, MD 20993, Phone: 301 published, HHS/CDC’s ability to prevent and mammography processes, such as 796–6248, Fax: 301 847–8145, Email: the further importation and spread of breast density reporting, that have communicable diseases into the United occurred since the regulations were [email protected]. States and interstate will be limited; published in 1997. RIN: 0910–AH04
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HHS—FDA Information for certain prescription sanctions (not to exceed $5,000 per 36. Patient Medication Information drug products used, dispensed, or instance) on drug manufacturers who administered on an outpatient basis. intentionally charge a covered entity a Priority: Economically Significant. Alternatives: FDA evaluated various price above the ceiling price established Major status under 5 U.S.C. 801 is formats for patient medication under the procedures of the 340(B) undetermined. information. Program and also define standards and Legal Authority: 21 U.S.C. 321 et seq.; Anticipated Cost and Benefits: The methodology for the calculation of 42 U.S.C. 262; 42 U.S.C. 264 monetary benefit of the proposed rule ceiling prices for purposes of the 340(B) CFR Citation: 21 CFR 208; 21 CFR stems from an increase in medication Program. 310.501 and 310.515; 21 CFR adherence due to patients having more Statement of Need: The final rule 201.57(a)(18); 21 CFR 201.80(f)(2); 21 complete information about their provides a critical enforcement CFR 314.70(b)(2)(v)(B); 21 CFR prescription drug products. The mechanism for the Department when 610.60(a)(7); 21 CFR 201.100; . . . proposed rule would impose costs that drug manufacturers intentionally charge Legal Deadline: None. stem from developing, testing, and a covered entity a price above the Abstract: The proposed rule would approving Patient Medication ceiling price established under the amend FDA medication guide Information. procedures of the 340B Program. The regulations to require a new form of Risks: The current system does not rule also defines the standards and patient labeling, Patient Medication consistently provide patients with methodology for the calculation of Information, for submission to and useful written information to help them ceiling prices for purposes of the 340B review by the FDA for human use their prescription drug products Program. prescription drug products used, safely and effectively. The proposed Summary of Legal Basis: Sections dispensed, or administered on an rule would require consumer-tested and 340B(d)(1)(B)(vi) and 340B(d)(1)(B)(i)(I) outpatient basis. The proposed rule FDA-approved Patient Medication of the Public Health Service Act. would include requirements for Patient Information for certain prescription Alternatives: None. This rule Medication Information development, drug products used, dispensed, or implements a statutory requirement. consumer testing, and distribution. The administered on an outpatient basis. Anticipated Cost and Benefits: None. proposed rule would require clear and Timetable: Risks: This final rule enables the concise written prescription drug Department to meet its statutory product information presented in a Action Date FR Cite obligation under the Affordable Care consistent and easily understood format Act to finalize regulations in these areas, to help patients use their prescription NPRM ...... 02/00/17 which is expected to enhance the drug products safely and effectively. integrity of the 340B Program. Statement of Need: Patients may Regulatory Flexibility Analysis Timetable: currently receive one or more types of Required: Undetermined. written patient information regarding Small Entities Affected: Businesses. Action Date FR Cite prescription drug products. That Government Levels Affected: None. information is frequently duplicative, Agency Contact: Elisabeth Walther, ANPRM ...... 09/20/10 75 FR 57230 incomplete, conflicting, or difficult to Health Policy Analyst, Department of ANPRM Comment 11/19/10 read and understand and is not Period End. Health and Human Services, Food and NPRM ...... 06/17/15 80 FR 34583 sufficient to meet the needs of patients. Drug Administration, Building 50 Room NPRM Comment 08/17/15 Patient Medication Information is a new 6312, 10903 New Hampshire Ave., Period End. type of one-page Medication Guide that Silver Spring, MD 20993, Phone: 301 Final Rule ...... 11/00/16 FDA is proposing to require for certain 796–3913, Fax: 301 847–3529, Email: prescription drug products. Patient [email protected]. Regulatory Flexibility Analysis Medication Information is intended to RIN: 0910–AH33 Required: Undetermined. improve public health by providing Government Levels Affected: None. clear, concise, accessible, and useful Agency Contact: CAPT Krista Pedley, written prescription drug product Department of Health and Human HHS—HEALTH RESOURCES AND information, delivered in a consistent Services, Health Resources and Services SERVICES ADMINISTRATION (HRSA) and easily understood format, to help Administration, Phone: 301 443–5294, patients use prescription drug products Final Rule Stage Email: [email protected]. safely and effectively and potentially Related RIN: Merged with 0906–AA92 37. 340(B) Civil Monetary Penalties for reduce preventable adverse drug RIN: 0906–AA89 Manufacturers and Ceiling Price reactions and improve health outcomes. Summary of Legal Basis: FDA’s Regulations proposed revisions to the regulations Priority: Other Significant. HHS—HRSA regarding format and content Legal Authority: Sec. 7102 of the requirements for prescription drug Affordable Care Act; Pub. L. 111–148, 38. Definition of Human Organ Under labeling are authorized by the FD&C Act amending subsec(d); sec. 340(B) of the Section 301 of the National Organ (21 U.S.C. 321 et seq.) and by the Public PHS Act Transplant Act of 1984 Health Service Act (42 U.S.C. 262 and CFR Citation: None. Priority: Other Significant. 264). Legal Deadline: Other, Statutory, Legal Authority: Pub. L. 109–129; Risks: The current system does not September 20, 2010, ANPRM met Stem Cell Therapeutic and Research Act consistently provide patients with deadline for Civil Monetary Penalties of 2005, as amended in 2010 by Pub. L. useful written information to help them for Manufacturers. 111–264 use their prescription drug products Abstract: This final rule is required CFR Citation: Not Yet Determined. safely and effectively. The proposed under the Affordable Care Act. It Legal Deadline: Final, Statutory, rule would require consumer-tested and amends section 340(B) of the Public December 18, 2016, Congressional FDA-approved Patient Medication Health Service Act to impose monetary deadline.
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On December 18, 2015, Public Law as section 301 authorizes. Flynn v. Government Levels Affected: 114–104 was enacted and required the Holder, 684 F.3d 852 (9th Cir. 2012). On Undetermined. Secretary to issue a determination no December 18, 2015, Public Law 114–104 Agency Contact: Dr. James Bowman, later than December 18, 2016, as to was enacted, which required the Medical Director, Division of whether peripheral blood stem cells and Secretary to issue a determination as to Transplantation, Department of Health umbilical cord blood are ‘‘human whether peripheral blood stem cells and and Human Services, Health Resources organs’’ subject to NOTA section 301. umbilical cord blood are human organs and Services Administration, 5600 Abstract: This final rule clarifies that subject to NOTA section 301 no later Fishers Lane, Room 12C–06, Rockville, peripheral blood stem cells are included than December 18, 2016. MD 20857, Phone: 301 443–4861. in the definition of bone marrow under Alternatives: RIN: 0906–AB02 section 301 of the National Organ Anticipated Cost and Benefits: This Transplantation Act of 1984, as proposed rule is not expected to have amended and codified in 42 U.S.C. significant cost implications. HHS—HRSA 274e. Risks: Although the registry for HSC Statement of Need: donors administered under statute as 39. 340B Program Omnibus Guidelines • There are currently two methods to the C.W. Bill Young Cell Priority: Other Significant. collect hematopoietic stem cells (HSCs) Transplantation Program has continued from a donor: bone marrow aspiration, Legal Authority: Not Yet Determined to advise registrants that they will not CFR Citation: None. and apheresis following a drug regimen. be compensated for registering or In the second category, granulocyte- Legal Deadline: None. donating their HSCs, compensation may Abstract: This guidance addresses key colony-stimulating factors are become more common if we do not administered over 4–5 days to stimulate policy issues raised by stakeholders for complete this rulemaking. The which HHS does not have statutory the donor to produce and release HSCs implementation of payment for donors from the bone marrow into the rulemaking authority. of peripheral blood stem cells could Statement of Need: The Omnibus peripheral (circulating) blood, where adversely affect the safety of donors they are collected by apheresis in one or Guidance addresses key policy issues who may proceed with donation even raised by various stakeholders two sessions for a total of 8 hours. when they have concerns about the • A panel of the Ninth Circuit Court committed to ensuring the integrity of risks, as well as the safety of patients, of Appeals has held that HSCs collected the 340B Program and assisted covered if the lure of compensation leads donors from peripheral blood are not human entities and manufacturers in their to hide information about their organs subject to the prohibition against ability to satisfy 340B Program communicable disease risks. In transfer for valuable consideration requirements and expectations. addition, it may make donors less established in section 301 of the Summary of Legal Basis: HHS is willing to donate HSCs by bone marrow National Organ Transplant Act of 1984 interpreting section 340B of the Public (NOTA). aspiration, if by doing so they would Health Service Act and issuing final Should donors begin to be forego compensation for donating of guidance in critical areas. compensated, that decision creates the peripheral blood stem cells. It could Alternatives: None. potential for disparate compensation also foreclose access to international Anticipated Cost and Benefits: Some practices for HSCs collected by bone donors. Such access is currently covered entities and manufacturers may marrow aspiration and HSCs collected provided by reciprocal agreements with increase spending on 340B Program from peripheral blood. The disparity foreign registries, which require that compliance efforts, including could lead to fewer donations of HSCs donors of HSCs be uncompensated assessments of patients eligible for 340B by bone marrow aspiration, despite volunteers. drugs. HRSA does not expect any such clear clinical preferences for such HSCs In addition, disapproval of this action costs to be significant. for certain patients and conditions. It would mean that HHS would not meet Risks: Not issuing the final guidance could also lead to a foreclosure of access the December 18, 2016, deadline will result in a lack of clarity in some to international donor registries, which Congress set for completion. As drafted, 340B areas. continue to provide matched donors for the proposed rule elicited a few Timetable: patients in the United States. comments about the inclusion of Summary of Legal Basis: In 2011, a umbilical cord blood within the scope Action Date FR Cite panel of the Ninth Circuit Court of of the proposed rule. On December 18, Notice ...... 08/28/15 80 FR 52300 Appeals held that HSCs from peripheral 2015, Public Law 114–104 was enacted, which required the Secretary to issue a Notice Comment 10/27/15 blood are not bone marrow under the Period End. prohibition in NOTA section 301. Under determination as to whether peripheral Final Guidance 12/00/16 this ruling, the transfer of HSCs in bone blood stem cells and umbilical cord Action. marrow would be subject to the blood are human organs subject to prohibition in NOTA section 301, while NOTA section 301 no later than Regulatory Flexibility Analysis HSCs obtained by mobilizing the donor December 18, 2016. Required: No. to release HSCs from the bone marrow Timetable: Small Entities Affected: No. into the blood stream so that they may Government Levels Affected: None. be recovered within days from the Action Date FR Cite Agency Contact: Krista Pedley, donor’s peripheral blood would not be NPRM ...... 10/02/13 78 FR 60810 Director, Office of Pharmacy Affairs, subject to the prohibition. The court NPRM Comment 12/02/13 Department of Health and Human further observed that, although NOTA Period End. Services, Health Resources and Services section 301 authorized the Secretary to Final Rule ...... 11/00/16 Administration, Healthcare Systems issue a regulation identifying additional Bureau, 5600 Fishers Lane, Rockville, human organs subject to that provision, Regulatory Flexibility Analysis MD 20857, Phone: 301 443–5294, Email: HHS had not yet exercised its authority Required: No. [email protected]. to identify peripheral blood stem cells Small Entities Affected: No. RIN: 0906–AB08
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HHS—OFFICE OF ASSISTANT present value costs of $9,605 million Notices, Fair Hearing and Appeal SECRETARY FOR HEALTH (OASH) and annualized costs of $1,367 million Processes for Medicaid and Exchange are estimated using a 7 percent discount Eligibility Appeals and Other Provisions Final Rule Stage rate. Related to Eligibility and Enrollment for 40. Federal Policy for the Protection of Risks: If this regulation is not Exchanges, Medicaid and CHIP, and Human Subjects; Final Rules published, the rules overseeing federally Medicaid Premiums and Cost Sharing’’ Priority: Economically Significant. funded or conducted human subjects that proposed changes to provide states Major under 5 U.S.C. 801. research will not be modernized, more flexibility to coordinate Medicaid Unfunded Mandates: This action may strengthened or made more effective. and CHIP procedures related to Timetable: affect the private sector under PL 104– eligibility notices, appeals, and other related administrative actions with 4. Action Date FR Cite Legal Authority: 21 U.S.C. 289 similar procedures used by other health coverage programs authorized under the CFR Citation: 45 CFR 46. ANPRM ...... 07/26/11 76 FR 44512 Legal Deadline: None. ANPRM Comment 10/26/11 Affordable Care Act. We received a Abstract: The final rules would revise Period End. number of public comments on the current human subjects regulations in NPRM ...... 09/08/15 80 FR 53931 proposed rule suggesting alternatives order to strengthen protections for NPRM Comment 12/07/15 that we had not originally considered research subjects while facilitating Period End. and did not propose. To give the public valuable research and reducing burden, Final Action ...... 12/00/16 the opportunity to comment on those delay, and ambiguity for investigators. options, we are now proposing revisions Regulatory Flexibility Analysis Statement of Need: Since the Federal related to those comments. In addition, Required: Undetermined. Policy for the Protection of Human we propose to make other corrections Government Levels Affected: Subjects (often referred to as the and modifications related to delegations Undetermined. Common Rule) was promulgated by 15 of eligibility determinations and Additional Information: Includes appeals, and appeals procedures. We U.S. Federal departments and agencies Retrospective Review under E.O. 13563. in 1991, the volume and landscape of have developed these proposals through Agency Contact: Jerry Menikoff, our experiences working with states and research involving human subjects have Director, Office for Human Research changed considerably. Research with Exchanges, and Exchange appeals Protections, Office of the Assistant entities operationalizing fair hearings. human subjects has grown in scale and Secretary for Health, Department of become more diverse. Examples of Health and Human Services, Office of Summary of Legal Basis: The developments include: An expansion in Assistant Secretary for Health, 200 Affordable Care Act extends and the number and type of clinical trials, as Independence Avenue SW., simplifies Medicaid eligibility. The rule well as observational studies and cohort Washington, DC 20201, Phone: 240 453– proposes alternatives not included in studies; a diversification of the types of 6900, Email: [email protected]. the previously published January 22, social and behavioral research being RIN: 0937–AA02 2013 proposed rule, based on public used in human subjects research; comments received. increased use of sophisticated analytic Alternatives: The majority of techniques for use with human Medicaid and CHIP eligibility HHS—CENTERS FOR MEDICARE & biospecimens; and the growing use of provisions proposed in this rule serve to MEDICAID SERVICES (CMS) electronic health data and other digital implement the Affordable Care Act. records to enable very large data sets to Proposed Rule Stage Therefore, alternatives considered for be analyzed and combined in novel this rule were constrained due to the ways. Yet these developments have not 41. Eligibility Notices, Fair Hearing and statutory provisions. been accompanied by major change in Appeal Processes for Medicaid, and Anticipated Cost and Benefits: While the human subjects research oversight Other Provisions Related to Eligibility states will likely incur short-term system, which has remained largely and Enrollment for Medicaid and CHIP increases in administrative costs, we do unchanged over the last two decades. (CMS–2334–P2) not anticipate that this proposed rule The proposed revisions are needed to Priority: Other Significant. would have significant financial effects modernize, strengthen, and make more Legal Authority: 42 U.S.C. 1302; Pub. on state Medicaid programs. The extent effective the Federal Policy for the L. 111–148 of these initial costs will depend on Protection of Human Subjects. CFR Citation: 42 CFR 430; 42 CFR current state policy and practices, as Summary of Legal Basis: None. 431; 42 CFR 433; 42 CFR 435; 42 CFR many states have already adopted the Alternatives: None. 457. administrative simplifications Anticipated Cost and Benefits: The Legal Deadline: None. addressed in the rule. In addition, the quantified and non-quantified benefits Abstract: This proposed rule proposes administrative simplifications proposed and costs of all proposed changes to the to implement provisions of the in this rule may lead to savings as states Common Rule are the following: (1) Medicaid statute pertaining to Medicaid streamline their fair hearing processes, Over the 2016–2025 period, present eligibility and appeals. This proposed consistent with the processes used by value benefits of $2,629 million and rule continues our efforts to provide the Marketplace, and implement annualized benefits of $308 million are guidance to assist States in timeliness and performance standards. estimated using a 3 percent discount implementing Medicaid and CHIP rate; and, present value benefits of eligibility, appeals, and enrollment Risks: None. Delaying publication of $2,047 million and annualized benefits changes required by the Affordable Care this rule delays states from moving of $291 million are estimated using a 7 Act. forward with implementing changes to percent discount rate; (2) present value Statement of Need: On January 22, Medicaid and CHIP, and aligning costs of $13,342 million and annualized 2013, we published a proposed rule operations between Medicaid, CHIP and costs of $1,564 million are estimated entitled ‘‘Essential Health Benefits in the Exchanges. using a 3 percent discount rate; and, Alternative Benefit Plans, Eligibility Timetable:
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Action Date FR Cite be paid appropriately beginning October Action Date FR Cite 1, 2017. NPRM ...... 11/00/16 Timetable: NPRM ...... 04/00/17
Regulatory Flexibility Analysis Action Date FR Cite Regulatory Flexibility Analysis Required: No. Required: Undetermined. Government Levels Affected: State. NPRM ...... 04/00/17 Government Levels Affected: Federal, Agency Contact: Judith Cash, Division State. Director, Division of Eligibility, Regulatory Flexibility Analysis Agency Contact: Jana Lindquist, Enrollment & Outreach, Department of Required: Undetermined. Director, Division of Chronic Care Health and Human Services, Centers for Government Levels Affected: Management, Department of Health and Medicare & Medicaid Services, Center Undetermined. Human Services, Centers for Medicare & for Medicaid and CHIP Services, Mail Agency Contact: Bill Ullman, Medicaid Services, Center for Medicare, Stop S2–01–16, 7500 Security Technical Advisor, Department of MS: C5–05–27, 7500 Security Boulevard, Baltimore, MD 21244, Health and Human Services, Centers for Boulevard, Baltimore, MD 21244, Phone: 410 786–4473, Email: Medicare & Medicaid Services, Center Phone: 410 786–9374, Email: [email protected]. for Medicare, MS: C5–06–27, 7500 [email protected]. Related RIN: Split from 0938–AS27 Security Boulevard, Baltimore, MD RIN: 0938–AS97 RIN: 0938–AS55 21244, Phone: 410 786–5667, Fax: 410 786–0765, Email: [email protected]. HHS—CMS RIN: 0938–AS96 HHS—CMS 44. • FY 2018 Inpatient Rehabilitation 42. • FY 2018 Prospective Payment Facility (IRF) Prospective Payment System (CMS–1671–P) System and Consolidated Billing For HHS—CMS Skilled Nursing Facilities (SNFS) Priority: Economically Significant. (CMS–1679–P) 43. • FY 2018 Inpatient Psychiatric Major under 5 U.S.C. 801. Facilities Prospective Payment Priority: Economically Significant. Unfunded Mandates: Undetermined. System—Rate Update (CMS–1673–P) Legal Authority: 42 U.S.C. 1302; 42 Major under 5 U.S.C. 801. U.S.C. 1395hh Unfunded Mandates: Undetermined. Priority: Economically Significant. Major status under 5 U.S.C. 801 is CFR Citation: 42 CFR 412. Legal Authority: 42 U.S.C. 1302; 42 Legal Deadline: Final, Statutory, undetermined. U.S.C. 1395hh August 1, 2017. CFR Citation: 42 CFR 483. Legal Authority: 42 U.S.C. 1302; 42 Abstract: This annual proposed rule Legal Deadline: Final, Statutory, July U.S.C. 1395hh would update the prospective payment 31, 2017. CFR Citation: 42 CFR 412. rates for inpatient rehabilitation Abstract: This annual proposed rule Legal Deadline: Final, Statutory, facilities (IRFs) for fiscal year 2018. would update the payment rates used August 1, 2017. Statement of Need: This proposed under the prospective payment system Abstract: This annual proposed rule rule would update the prospective for SNFs for fiscal year 2018. would update the prospective payment payment rates for IRFs for as required Statement of Need: This proposed rates for inpatient psychiatric facilities under the Social Security Act (the Act). rule would update the SNF prospective with discharges beginning on October 1, As required by the Act, this rule payment rates as required under the 2017. includes the classification and Social Security Act (the Act). The Act Statement of Need: This rule is weighting factors for the IRF PPS’s case- requires the Secretary to provide, before required to update the prospective mix groups and a description of the the August 1 that precedes the start of payment rates and wage index values methodologies and data used in each FY, the unadjusted federal per for Medicare inpatient hospital services computing the prospective payment diem rates, the case-mix classification provided by inpatient psychiatric rates for FY 2018. This rule also system, and the factors to be applied in facilities (IPFs), which include proposes revisions and updates to the making the area wage adjustment. freestanding IPFs and psychiatric units quality measures and reporting Summary of Legal Basis: In of an acute care hospital or critical requirements under the IRF QRP. accordance with sections access hospital. Summary of Legal Basis: The IRF 1888(e)(4)(E)(ii)(IV) and 1888(e)(5) of Summary of Legal Basis: Under prospective payment rates are updated the Act, the federal rates in this section 1886 of the Act, rates are as required under section 1886(j)(3)(C) proposed rule would reflect an update adjusted based on the market basket of the Act. It responds to section to the rates that we published in the update. These changes would be 1886(j)(5) of the Act, which requires the SNF PPS final rule for FY 2017, which applicable to services furnished on or Secretary to, on or before the August 1 reflects the SNF market basket index, as after October 1, 2017. that precedes the start of each fiscal adjusted by the multifactor productivity Alternatives: None. This is a statutory year, publish the classification and (MFP) adjustment for FY 2018. These requirement. weighting factors for the IRF PPS’s case- changes would be applicable to services Anticipated Cost and Benefits: Total mix groups and a description of the furnished on or after October 1, 2017. expenditures will be adjusted for FY methodology and data used in Alternatives: None. This is a statutory 2018. computing the prospective payment requirement. Risks: If this regulation is not rates for that fiscal year. Anticipated Cost and Benefits: Total published timely, IPFs will not receive Alternatives: None. This is a statutory expenditures will be adjusted for FY accurate Medicare payments for requirement. 2018. furnishing inpatient psychiatric services Anticipated Cost and Benefits: Total Risks: If this regulation is not to beneficiaries in IPFs in FY 2018. expenditures will be adjusted for FY published timely, SNF services will not Timetable: 2018.
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Risks: If this regulation is not Action Date FR Cite inflation. CMS will issue a final rule published timely, IRF services will not containing the payment rates for the be paid appropriately beginning October NPRM ...... 04/00/17 2018 OPPS and ASC payment system at 1, 2017. least 60 days before January 1, 2018. Timetable: Regulatory Flexibility Analysis Summary of Legal Basis: Section 1833 Required: Undetermined. of the Social Security Act establishes Action Date FR Cite Government Levels Affected: Medicare payment for hospital Undetermined. outpatient services and ASC services. NPRM ...... 04/00/17 Agency Contact: Hillary Loeffler, The rule revises the Medicare hospital Director, Division of Home Health and OPPS and ASC payment system to Regulatory Flexibility Analysis Hospice, Department of Health and implement applicable statutory Required: Undetermined. Human Services, Centers for Medicare & requirements. In addition, the rule Government Levels Affected: Medicaid Services, Center for Medicare, describes changes to the outpatient APC Undetermined. MS: C5–07–22, 7500 Security Agency Contact: Gwendolyn Johnson, system, relative payment weights, Boulevard, Baltimore, MD 21244, Health Insurance Specialist, Department outlier adjustments, and other amounts Phone: 410 786–0456, Email: of Health and Human Services, Centers and factors used to determine the [email protected]. for Medicare & Medicaid Services, payment rates for Medicare hospital RIN: 0938–AT00 Center for Medicare, MS: C5–06–27, outpatient services paid under the 7500 Security Boulevard, Baltimore, MD prospective payment system as well as 21244, Phone: 410 786–6954, Email: changes to the rates and services paid [email protected]. HHS—CMS under the ASC payment system. These RIN: 0938–AS99 changes would be applicable to services 46. • CY 2018 Hospital Outpatient PPS furnished on or after January 1, 2018. Policy Changes and Payment Rates and Alternatives: None. This is a statutory Ambulatory Surgical Center Payment requirement. HHS—CMS System Policy Changes and Payment Anticipated Cost and Benefits: Total Rates (CMS–1678–P) (Section 610 45. • FY 2018 Hospice Rate Update expenditures will be adjusted for CY Review) (CMS–1675–P) 2018. Priority: Economically Significant. Risks: If this regulation is not Priority: Economically Significant. published timely, outpatient hospital Major under 5 U.S.C. 801. Major under 5 U.S.C. 801. Unfunded Mandates: Undetermined. and ASC services will not be paid Unfunded Mandates: Undetermined. appropriately beginning January 1, Legal Authority: 42 U.S.C. 1302 Legal Authority: 42 U.S.C. 1302; 42 U.S.C. 1395hh 2018. CFR Citation: 42 CFR 418. Timetable: Legal Deadline: Final, Statutory, CFR Citation: 42 CFR 416; 42 CFR August 1, 2017. 419. Action Date FR Cite Abstract: This annual proposed rule Legal Deadline: Final, Statutory, would update the hospice payment rates November 1, 2017. NPRM ...... 06/00/17 and the wage index for fiscal year 2018. Abstract: This annual proposed rule Statement of Need: We are required to would revise the Medicare hospital Regulatory Flexibility Analysis annually issue the hospice wage index outpatient prospective payment system Required: Yes. based on the most current available to implement statutory requirements Small Entities Affected: Businesses. CMS hospital wage data, including any and changes arising from our continuing Government Levels Affected: changes to the definitions of Core-Based experience with this system. The Undetermined. Statistical Areas (CBSAs) or previously proposed rule describes changes to the Agency Contact: Lela Strong, Health used Metropolitan Statistical Areas amounts and factors used to determine Insurance Specialist, Department of (MSAs). payment rates for services. In addition, Health and Human Services, Centers for Summary of Legal Basis: This rule the rule proposes changes to the Medicare & Medicaid Services, Center proposes updates to the hospice ambulatory surgical center payment for Medicare, MS: C4–05–13, 7500 payment rates for fiscal year as required system list of services and rates. Security Boulevard, Baltimore, MD under section 1814(i) of the Social Statement of Need: Medicare pays 21244, Phone: 410 786–3213, Email: Security Act (the Act). This rule also over 4,000 hospitals for outpatient [email protected]. proposes new quality measures and department services under the hospital RIN: 0938–AT03 provides an update on the hospice outpatient prospective payment system quality reporting program (HQRP) (OPPS). The OPPS is based on groups of consistent with the requirements of clinically similar services called HHS—CMS ambulatory payment classification section 1814(i)(5) of the Act, as added • by section 3004(c) of the Affordable groups (APCs). CMS annually revises 47. CY 2018 Changes to the End-Stage Care Act. the APC payment amounts based on the Renal Disease (ESRD) Prospective Alternatives: None. This is a statutory most recent claims data, proposes new Payment System, Quality Incentive requirement. payment policies, and updates the Program, and Durable Medical Anticipated Cost and Benefits: Total payments for inflation using the Equipment, Prosthetics, Orthotics, and expenditures will be adjusted for FY hospital operating market basket. Supplies (DMEPOS) (CMS–1674–P) 2018. Medicare pays roughly 5,000 Priority: Economically Significant. Risks: If this regulation is not Ambulatory Surgical Centers (ASCs) Major under 5 U.S.C. 801. published timely, Hospice services will under the ASC payment system. CMS Unfunded Mandates: Undetermined. not be paid appropriately beginning annually revises the payment under the Legal Authority: 42 U.S.C. 1302; 42 October 1, 2017. ASC payment system, proposes new U.S.C. 1395d(d); 42 U.S.C. 1395f(b); 42 Timetable: policies, and updates payments for U.S.C. 1395g; . . .
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CFR Citation: 42 CFR 413. Agency Contact: Michelle Cruse, Affordable Care Act; modernizes and Legal Deadline: Final, Statutory, Health Insurance Specialist, Department streamlines existing rules, eliminates November 1, 2017. of Health and Human Services, Centers obsolete rules, and updates provisions Abstract: This annual proposed rule for Medicare & Medicaid Services, to reflect Medicaid eligibility pathways; would update the bundled payment Center for Medicare, MS: C5–05–27, implements other CHIPRA eligibility- system for ESRD facilities by January 1, 7500 Security Boulevard, Baltimore, MD related provisions, including eligibility 2018. The rule would also update the 21244. for newborns whose mothers were quality incentives in the ESRD program Phone: 410 786–7540. eligible for and receiving Medicaid or and implement changes to the DMEPOS Email: [email protected]. CHIP coverage at the time of birth. With competitive bidding program. RIN: 0938–AT04 publication of this final rule, we desire Statement of Need: On January 1, to make our implementing regulations 2011, CMS implemented the ESRD available to States and the public as prospective payment system (PPS), a HHS—CMS soon as possible to facilitate continued case-mix adjusted, bundled prospective efficient operation of the State flexibility payment system for renal dialysis Final Rule Stage authorized under section 1937 of the services furnished by ESRD facilities. 48. Eligibility Notices, Fair Hearing and Act. Annually, we update and make Appeal Processes for Medicaid, and Summary of Legal Basis: The revisions to the ESRD PPS and Other Provisions Related to Eligibility Affordable Care Act extends and requirements for the ESRD Quality and Enrollment for Medicaid and CHIP simplifies Medicaid eligibility. In the Incentive Program (QIP). The ESRD QIP (CMS–2334–F2) July 15, 2013, Federal Register, we is the most recent step in fostering issued the ‘‘Medicaid and Children’s improved patient outcomes by Priority: Economically Significant. Health Insurance Programs: Essential establishing incentives for dialysis Major under 5 U.S.C. 801. Health Benefits in Alternative Benefit Legal Authority: Pub. L. 111–148, secs facilities to meet or exceed performance Plans, Eligibility Notices, Fair Hearing 1411, 1413, 1557, 1943, 2102, 2201, standards established by CMS. and Appeal Processes, and Premiums 2004, 2303, et al. Additionally, we annually adjust the and Cost Sharing; Exchanges: Eligibility methodology for adjusting DMEPOS fee CFR Citation: 42 CFR 430; 42 CFR 431; 42 CFR 433; 42 CFR 435; 42 CFR and Enrollment’’ final rule that finalized schedule amounts. certain key Medicaid and CHIP Summary of Legal Basis: Section 457. Legal Deadline: None. eligibility provisions included in the 1881(b)(14) of the Social Security Act Abstract: This final rule implements January 22, 2013, proposed rule. In this (the Act), as added by section 153(b) of provisions of the Affordable Care Act final rule, we are addressing the the Medicare Improvements for Patients that expand access to health coverage remaining provisions of the January 22, and Providers Act of 2008 (MIPPA) through improvements in Medicaid and 2013, proposed rule. (Public Law 110–275), and section coordination between Medicaid, Alternatives: The majority of 1881(b)(14)(F) of the Act, as added by Children’s Health Insurance Program Medicaid and CHIP eligibility section 153(b) of MIPPA and amended (CHIP), and Exchanges. This rule provisions proposed in this rule serve to by section 3401(h) of the Affordable finalizes the remaining provisions from implement the Affordable Care Act. All Care Act Public Law 111–148), the Medicaid, Children’s Health of the provisions in this final rule are a established that beginning CY 2012, and Insurance Programs, and Exchanges: result of the passage of the Affordable each subsequent year, the Secretary will Essential Health Benefits in Alternative Care Act and are largely self- annually increase payment amounts by Benefit Plans, Eligibility Notices, Fair implementing. Therefore, alternatives an ESRD market basket increase factor, Hearing and Appeal Processes for considered for this final rule were reduced by the productivity adjustment Medicaid and Exchange Eligibility constrained due to the statutory described in section 1886(b)(3)(B)(xi)(II) Appeals and Other Provisions Related to provisions. of the Act. Additionally, the QIP Eligibility and Enrollment for Anticipated Cost and Benefits: The program is authorized under section Exchanges, Medicaid and CHIP, and March 23, 2012, Medicaid eligibility 1881(h) of the Social Security Act (the Medicaid Premiums and Cost Sharing; final rule detailed the impact of the Act). Proposed Rule that we published in the Medicaid eligibility changes related to Alternatives: None. This is a statutory January 22, 2013, Federal Register. This implementation of the Affordable Care requirement. final rule continues our efforts to Act. The majority of provisions Anticipated Cost and Benefits: Total provide guidance to assist States in included in this final rule were expenditures will be adjusted for CY implementing Medicaid and CHIP described in detail in that rule, but in 2018. summary, we estimate a total savings of Risks: If this regulation is not eligibility, appeals, and enrollment changes required by the Affordable Care $465 million over 5 years, including published timely, ESRD facilities will $280 million in cost savings to the not receive accurate Medicare payment Act. Statement of Need: This final rule Federal Government and $185 million amounts for furnishing outpatient will implement provisions of the in savings to States. maintenance dialysis treatments Affordable Care Act and the Children’s Risks: None. Delaying publication of beginning January 1, 2018. Health Insurance Program this final rule delays States from moving Timetable: Reauthorization Act of 2009 (CHIPRA). forward with implementing changes to Medicaid and CHIP, and aligning Action Date FR Cite This rule reflects new statutory eligibility provisions; changes to operations between Medicaid, CHIP, NPRM ...... 06/00/17 provide States more flexibility to and the Exchanges. coordinate Medicaid and CHIP Timetable: Regulatory Flexibility Analysis eligibility notices, appeals, and other Required: Undetermined. related administrative procedures with Action Date FR Cite Government Levels Affected: similar procedures used by other health Final Action ...... 11/00/16 Undetermined. coverage programs authorized under the
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Regulatory Flexibility Analysis Anticipated Cost and Benefits: Total 1813(b)(2) of the Act requires us to Required: No. costs will be adjusted for CY 2017. determine and publish each year the Small Entities Affected: No. Risks: None. Notice informs the amount of the inpatient hospital Government Levels Affected: Federal, public of the 2017 premium. deductible and the hospital and Local, State, Tribal. Timetable: extended care services coinsurance Agency Contact: Sarah DeLone, amounts applicable for services Health Insurance Specialist, Department Action Date FR Cite furnished in the following calendar year of Health and Human Services, Centers (CY). Final Action ...... 11/00/16 for Medicare & Medicaid Services, Mail Alternatives: None. This notice Stop S2–01–16, 7500 Security Regulatory Flexibility Analysis implements a statutory requirement. Anticipated Cost and Benefits: Total Boulevard, Baltimore, MD 21244, Required: No. Phone: 410 786–0615, Email: Small Entities Affected: No. costs will be adjusted for CY 2018. [email protected]. Government Levels Affected: None. Risks: None. Notice informs the Related RIN: Related to 0938–AR04 Agency Contact: Clare McFarland, public of the 2018 premium. RIN: 0938–AS27 Deputy Director, Medicare and Timetable: Medicaid Cost Estimates Group, Action Date FR Cite Department of Health and Human HHS—CMS Services, Centers for Medicare & Final Action ...... 09/00/17 Medicaid Services, Office of the 49. CY 2017 Inpatient Hospital Actuary, MS: N3–26–00, 7500 Security Deductible and Hospital and Extended Regulatory Flexibility Analysis Boulevard, Baltimore, MD 21244, Required: No. Care Services Coinsurance Amounts Phone: 410 786–6390, Email: (CMS–8062–N) Government Levels Affected: None. [email protected]. Agency Contact: Clare McFarland, Priority: Economically Significant. RIN: 0938–AS70 Deputy Director, Medicare and Major under 5 U.S.C. 801. Medicaid Cost Estimates Group, Legal Authority: 42 U.S.C. 1395e– Department of Health and Human 2(b)(2); Social Security Act, sec. HHS—CMS Services, Centers for Medicare & 1813(b)(2) Medicaid Services, Office of the • CFR Citation: None. 50. CY 2018 Inpatient Hospital Actuary, MS: N3–26–00, 7500 Security Legal Deadline: Final, Statutory, Deductible and Hospital and Extended Boulevard, Baltimore, MD 21244, September 15, 2016. Care Services Coinsurance Amounts Phone: 410 786–6390, Email: Abstract: This annual notice (CMS–8065–N) [email protected]. announces the inpatient hospital Priority: Economically Significant. RIN: 0938–AT05 deductible and the hospital and Major under 5 U.S.C. 801. extended care services coinsurance Legal Authority: 42 U.S.C. 1395e– amounts for services furnished in 2(b)(2); Social Security Act, sec. 1813 calendar year 2017 under Medicare’s HHS—ADMINISTRATION FOR (b)(2) CHILDREN AND FAMILIES (ACF) Hospital Insurance program (Medicare CFR Citation: None. Part A). The Medicare statute specifies Legal Deadline: Final, Statutory, Final Rule Stage the formula used to determine these September 15, 2017. amounts. Abstract: This annual notice 51. Adoption and Foster Care Analysis Statement of Need: The Social announces the inpatient hospital and Reporting System (AFCARS) Security Act (the Act) requires the deductible and the hospital and Priority: Other Significant. Secretary to publish annually the extended care services coinsurance Legal Authority: 42 U.S.C. 620 et seq.; amounts of the inpatient hospital amounts for services furnished in 42 U.S.C. 670 et seq.; 42 U.S.C. 1302 deductible and hospital and extended calendar year 2018 under Medicare’s CFR Citation: 45 CFR 1355. care services coinsurance applicable for Hospital Insurance program (Medicare Legal Deadline: None. services furnished in the following CY. Part A). The Medicare statute specifies Abstract: This rule will amend the Summary of Legal Basis: Section 1813 the formula used to determine these Adoption and Foster Care Analysis and of the Act provides for an inpatient amounts. Reporting Systems (AFCARS). It will hospital deductible to be subtracted Statement of Need: The Social modify requirements for title IV–E foster from the amount payable by Medicare Security Act (the Act) requires the care agencies to collect and report data for inpatient hospital services furnished Secretary to publish, in September each on children in out-of-home care and to a beneficiary. It also provides for year, the amounts of the inpatient children under title IV–E adoption or certain coinsurance amounts to be hospital deductible and hospital and guardianship agreements with the title subtracted from the amounts payable by extended care services coinsurance IV–E agency. Medicare for inpatient hospital and applicable for services furnished in the Statement of Need: This rule will extended care services. Section following CY. amend the Adoption and Foster Care 1813(b)(2) of the Act requires us to Summary of Legal Basis: Section 1813 Analysis and Reporting Systems determine and publish each year the of the Act provides for an inpatient (AFCARS). It will modify requirements amount of the inpatient hospital hospital deductible to be subtracted for title IV–E foster care agencies to deductible and the hospital and from the amount payable by Medicare collect and report data on children in extended care services coinsurance for inpatient hospital services furnished out-of-home care and children under amounts applicable for services to a beneficiary. It also provides for title IV–E adoption or guardianship furnished in the following calendar year certain coinsurance amounts to be agreements with the title IV–E agency. (CY). subtracted from the amounts payable by Summary of Legal Basis: Section 479 Alternatives: None. This notice Medicare for inpatient hospital and of the Social Security Act (the Act) implements a statutory requirement. extended care services. Section mandates HHS regulate a data collection
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system for national adoption and foster the statutory penalty provisions. In technology and the move toward care data. Section 474(f) of the Act addition, we will not collect electronic communications and requires HHS to impose penalties for comprehensive national data on the document management. The regulation non-compliant AFCARS data. Section status of American Indian/Alaska Native will improve and simplify program 1102 of the Act instructs the Secretary children to whom the Indian Child operations, remove outmoded to promulgate regulations necessary for Welfare Act (ICWA) applies and limitations to program innovation to the effective administration of the historical data on children in foster care. better serve families, and clarify and functions for which HHS is responsible We can expect criticisms from federally correct technical provisions in existing under the Act. recognized Indian tribes and other regulations. Alternatives: stakeholders that the absence of ICWA Summary of Legal Basis: This final 1. ACF considered whether other data prevents understanding both how rule is published under the authority existing data sets could yield similar ICWA is implemented and how to granted to the Secretary of the information. ACF determined that address and reduce the disproportionate Department of Health and Human AFCARS is the only comprehensive number of American Indian/Alaska Services by section 1102 of the Social case-level data set on the incidence and Native children in foster care nationally. Security Act (Act), 42 U.S.C. 1302. experiences of children who are in out- Timetable: Section 1102 of the Act authorizes the of-home care under the placement and Secretary to publish regulations, not care of the title IV–E agency or who are Action Date FR Cite inconsistent with the Act, which may be adopted under a title IV–E adoption necessary for the efficient assistance agreement. NPRM ...... 02/09/15 80 FR 7131 administration of the functions for 2. We also received state comments to NPRM Comment 04/10/15 which the Secretary is responsible the 2016 SNPRM citing they have few Period End. under the Act. Indian children in foster care, if any. Final Action ...... 12/00/16 Additionally, the Secretary has ACF considered alternatives to authority under section 452(a)(1) of the collecting ICWA-related data through Regulatory Flexibility Analysis Act to establish such standards for State AFCARS, such as providing an Required: No. programs for locating noncustodial exemption from reporting but Small Entities Affected: No. parents, establishing paternity, and Government Levels Affected: State, alternative approaches are not feasible obtaining child support as he[she] Tribal. due to: determines to be necessary to assure Agency Contact: Joe Bock, Deputy • AFCARS data must be that such programs will be effective. Associate Commissioner, CB, comprehensive per section 479(c)(3) of Rules promulgated under section Department of Health and Human the Act and exempting some states from 452(a)(1) must meet two conditions. Services, Administration for Children reporting the ICWA-related data First, the Secretary’s designee must find elements is not consistent with this and Families, 330 C Street SW., that the rule meets one of the statutory statutory mandate, and would render it Washington, DC 20201, Phone: 202 205– objectives of locating noncustodial difficult to use this data for 8618, Email: [email protected]. parents, establishing paternity, and RIN: 0970–AC47 development of national policies. obtaining child support. Second, the • Section 474(f) of the Act provides Secretary’s designee must determine for mandatory penalties on the title IVE that the rule is necessary to assure that agency for non-compliance on AFCARS HHS—ACF such programs will be effective. data that is based on the total amount Section 454(13) requires a State plan 52. Flexibility, Efficiency, and expended by the title IV–E agency for to provide that the State will comply Modernization of Child Support administration of foster care activities. with such other requirements and Enforcement Programs Therefore, we are not authorized to standards as the Secretary determines to permit some states to be subject to a Priority: Other Significant. be necessary to the establishment of an penalty and not others. In addition, Legal Authority: Sec. 1102 of the effective program for locating allowing states an alternate submission Social Security Act noncustodial parents, establishing process would complicate and/or CFR Citation: 45 CFR 301 to 305; 45 paternity, obtaining support orders, and prevent the assessment of penalties per CFR 307. collecting support payments and 1355.47, including penalties for failure Legal Deadline: None. provide that information requests by to submit data files free of cross-file Abstract: This regulation will make parents who are residents of other States errors, missing, invalid, or internally child support program operations and be treated with the same priority as inconsistent data, or tardy transactions enforcement procedures more flexible requests by parents who are residents of for each data element of applicable and more efficient by recognizing the State submitting the plan. records. advancements in technology and the Alternatives: None. Anticipated Cost and Benefits: We move toward electronic Anticipated Cost and Benefits: While estimate that costs for the final rule will communications and document there are some costs associated with be approximately $36 million. Benefits management. The regulation will these regulations, they are not are that we will have an updated improve and simplify program economically significant as defined AFCARS regulation for the first time operations, remove outmoded under E.O. 12866. However, the since 1993 and we will have national limitations to program innovation to regulation is significant and has been data on Indian children as defined in better serve families, and clarify and reviewed by OMB. ICWA. correct technical provisions in existing An area with associated Federal costs Risks: If we do not implement this regulations. is modifying the child support statewide final rule, agencies will continue to Statement of Need: This regulation automated system for onetime system report information to AFCARS that is will make child support program enhancements to accommodate new not up to date with revisions to the operations and enforcement procedures requirements such as notices, statute over the years. Further, without more flexible and more efficient by applications, and identifying regulations, we are unable to implement recognizing advancements in noncustodial parents receiving SSI. This
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has a cost of approximate $26,484,000. Law 107–296. The DHS mission reviews each significant regulatory There is a cost of $26,460,000 to modify statement provides the following: ‘‘With project to ensure that the project fosters statewide IVD systems for the 54 States honor and integrity, we will safeguard and supports the Department’s mission. or Territories at a cost of $100 an hour the American people, our homeland, The Department is committed to (with an assumption that 27 States will and our values.’’ Fulfilling this mission ensuring that all of its regulatory implement the optional requirements). requires the dedication of more than initiatives are aligned with its guiding A cost of $35,044 is designated to CMS’ 225,000 employees in jobs that range principles to protect civil rights and costs for State plan amendments and from aviation and border security to civil liberties, integrate our actions, cooperative agreements. Another area emergency response, from cybersecurity build coalitions and partnerships, associated with Federal costs is that of analyst to chemical facility inspector. develop human resources, innovate, and job services. We allow FFP for certain Our duties are wide-ranging, but our be accountable to the American public. job services for noncustodial parents goal is clear—keeping America safe. DHS is also committed to the responsible for paying child support. Leading a unified national effort, DHS principles described in Executive The estimated total average annual net has five core missions: (1) Prevent Orders 13563 and 12866 (as amended). cost (over the first five years) of the job terrorism and enhance security, (2) Both Executive orders direct agencies to services proposal is $26,096,596 with secure and manage our borders, (3) assess the costs and benefits of available $18,592,939 as the Federal cost. Thus, enforce and administer our immigration regulatory alternatives and, if regulation the total net cost of the final rule is laws, (4) safeguard and secure is necessary, to select regulatory $52,591,640, and the total Federal costs cyberspace, and (5) ensure resilience to approaches that maximize net benefits is $36,074,061. These regulations will disasters. In addition, we must (including potential economic, improve the delivery of child support specifically focus on maturing and environmental, public health and safety services, support the efforts of strengthening the homeland security effects, distributive impacts, and noncustodial parents to provide for their enterprise itself. equity). Executive Order 13563 In achieving these goals, we are children, and improve the efficiency of emphasizes the importance of continually strengthening our operations. quantifying both costs and benefits, of partnerships with communities, first Risks: reducing costs, of harmonizing rules, responders, law enforcement, and Timetable: and of promoting flexibility. Government agencies—at the State, Finally, the Department values public Action Date FR Cite local, tribal, Federal, and international levels. We are accelerating the involvement in the development of its Final Action ...... 12/00/16 deployment of science, technology, and regulatory plan, agenda, and innovation in order to make America regulations, and takes particular Regulatory Flexibility Analysis more secure, and we are becoming concern with the impact its regulations Required: No. leaner, smarter, and more efficient, have on small businesses. DHS and its Small Entities Affected: No. ensuring that every security resource is components continue to emphasize the Government Levels Affected: Federal, used as effectively as possible. For a use of plain language in our regulatory Local, State. further discussion of our mission, see documents to promote a better Additional Information: Includes the DHS Web site at http:// understanding of regulations and to Retrospective Review under E.O. 13563. www.dhs.gov/our-mission. promote increased public participation Agency Contact: Yvette Riddick, The regulations we have summarized in the Department’s regulations. Director, Division of Policy, OCSE, below in the Department’s fall 2016 Retrospective Review of Existing Department of Health and Human regulatory plan and agenda support the Regulations Services, Administration for Children Department’s responsibility areas. These and Families, 330 C Street SW., regulations will improve the Pursuant to Executive Order 13563 Washington, DC 20201, Phone: 202 401– Department’s ability to accomplish its ‘‘Improving Regulation and Regulatory 4885, Email: [email protected]. mission. Also, the regulations we have Review’’ (Jan. 18, 2011), DHS identified RIN: 0970–AC50. identified in this year’s regulatory plan the following regulatory actions as continue to address legislative associated with retrospective review BILLING CODE 4150–03–P initiatives such as the Implementing and analysis. Some of the regulatory Recommendations of the 9/11 actions on the below list may be Commission Act of 2007 (9/11 Act), completed actions, which do not appear DEPARTMENT OF HOMELAND Public Law 110–53 (Aug. 3, 2007). in the regulatory plan. You can find SECURITY (DHS) DHS strives for organizational more information about these completed excellence and uses a centralized and rulemakings in past publications of the Fall 2016 Statement of Regulatory unified approach in managing its agenda (search the Completed Actions Priorities regulatory resources. The Office of the sections) on www.reginfo.gov. Some of The Department of Homeland General Counsel manages the the entries on this list, however, are Security (DHS or Department) was Department’s regulatory program, active rulemakings. You can find entries created in 2003 pursuant to the including the agenda and regulatory for these rulemakings on Homeland Security Act of 2002, Public plan. In addition, DHS senior leadership www.regulations.gov.
RIN Rule
1615–AB95 ...... Immigration Benefits Business Transformation, Increment II; Nonimmigrants Classes. 1615–AC00 ...... Enhancing Opportunities for H–1B1, CW–1, and E–3 Nonimmigrants and EB–1 Immigrants. 1615–AC03 ...... Expansion of Provisional Unlawful Presence Waivers of Inadmissibility. 1625–AB80 ...... Revision to Transportation Worker Identification Credential (TWIC) Requirements for Mariners. 1625–AC15 ...... Seafarers’ Access to Maritime Facilities. 1651–AA96 ...... Definition of Form I–94 to Include Electronic Format.
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RIN Rule
1651–AB05 ...... Freedom of Information Act (FOIA) Procedures.
Promoting International Regulatory following regulatory actions that have Completed Actions sections) on Cooperation significant international impacts. Some www.reginfo.gov. Some of the entries on of the regulatory actions on the below this list, however, are active Pursuant to sections 3 and 4(b) of list may be completed actions. You can rulemakings. You can find entries for Executive Order 13609 ‘‘Promoting find more information about these these rulemakings on International Regulatory Cooperation’’ completed rulemakings in past www.regulations.gov. (May 1, 2012), DHS identified the publications of the agenda (search the
RIN Rule
1625–AB38 ...... Updates to Maritime Security. 1651–AA70 ...... Importer Security Filing and Additional Carrier Requirements. 1651–AA98 ...... Amendments to Importer Security Filing and Additional Carrier Requirements. 1651–AA96 ...... Definition of Form I–94 to Include Electronic Format.
DHS participates in some Action Plan, and detailed work plans for the development of new technologies or international regulatory cooperation each included Action Plan item. the pursuit of cutting edge research. activities that are reasonably anticipated The fall 2016 regulatory plan for DHS Based on investment, job-creation, and to lead to significant regulations. For includes regulations from several DHS other factors, the entrepreneur may be example, the U.S. Coast Guard is the components, including U.S. Citizenship eligible for temporary parole. Upon primary U.S. representative to the and Immigration Services (USCIS), the reviewing the public comments received International Maritime Organization U.S. Coast Guard (Coast Guard), U.S. in response to the notice of proposed (IMO) and plays a major leadership role Customs and Border Protection (CBP), rulemaking (NPRM), USCIS will in establishing international standards the U.S. Immigration and Customs develop a final rule. Enforcement (ICE), the Federal in the global maritime community. Employment Creation (EB–5) IMO’s work to establish international Emergency Management Agency, the Immigrant Regulations DHS will standards for maritime safety, security, National Protection and Programs propose to amend its regulations and environmental protection closely Directorate (NPPD), and the governing the employment-based, fifth aligns with the U.S. Coast Guard Transportation Security Administration preference (EB–5) immigrant investor regulations. As an IMO member nation, (TSA). Below is a discussion of the category and EB–5 regional centers to the U.S. is obliged to incorporate IMO regulations that comprise the DHS fall treaty provisions not already part of U.S. 2016 regulatory plan. modernize the EB–5 program based on domestic policy into regulations for current economic realities and to reflect United States Citizenship and statutory changes made to the program. those vessels affected by the Immigration Services international standards. Consequently, DHS will propose to update the U.S. Citizenship and Immigration the U.S. Coast Guard initiates regulations to include the following Services (USCIS) administers rulemakings to harmonize with IMO areas: Priority date retention, increases immigration benefits and services while international standards such as treaty to the required investment amounts, protecting and securing our homeland. provisions and the codes, conventions, revision of the Targeted Employment USCIS has a strong commitment to resolutions, and circulars that Area requirements, clarification of the welcoming individuals who seek entry supplement them. regional center designation and through the U.S. immigration system, continued program participation Also, President Obama and Prime providing clear and useful information requirements, and further definition of Minister Harper created the Canada-U.S. regarding the immigration process, grounds for terminating regional Regulatory Cooperation Council (RCC) promoting the values of citizenship, and centers. in February 2011. The RCC is an assisting those in need of humanitarian initiative between both Federal protection. In the coming year, USCIS Improvements to the Immigration Governments aimed at pursuing greater will promulgate several regulations that System alignment in regulation, increasing directly support these commitments and mutual recognition of regulatory goals. Requirements for Filing Motions and practices and establishing smarter, more Administrative Appeals. USCIS will effective, and less burdensome Regulations To Facilitate Innovation propose to revise the procedural regulations in specific sectors. The and Employment Creation regulations governing appeals and Canada-U.S. RCC initiative arose out of International Entrepreneurs. USCIS motions to reopen or reconsider before the recognition that high level, focused, has proposed to establish a program that its Administrative Appeals Office. The and sustained effort would be required would allow for consideration of parole rule will also propose to require that to reach a more substantive level of into the United States, on case-by-case applicants and petitioners exhaust regulatory cooperation. Since its basis, of certain inventors, researchers, administrative remedies before seeking creation in early 2011, the U.S. Coast and entrepreneurs who will establish a judicial review of an unfavorable Guard has participated in stakeholder U.S. start-up entity, and who have been decision. This rule will streamline the consultations with their Transport awarded substantial U.S. investor procedures before the Administrative Canada counterparts and the public, financing or otherwise hold the promise Appeals Office and improve the drafted items for inclusion in the RCC of innovation and job creation through efficiency of the adjudication process.
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Regulatory Changes Involving regulation, enforcement, maritime 2016, and will consider all comments Humanitarian Benefits presence, and public and private when developing the final rule. partnership foster increased maritime ‘‘T’’ and ‘‘U’’ Nonimmigrants. USCIS United States Customs and Border safety, security, and stewardship. is working on regulatory initiatives Protection The statutory responsibilities of the related to T nonimmigrants (victims of U.S. Customs and Border Protection trafficking) and U nonimmigrants Coast Guard include ensuring marine safety and security, preserving maritime (CBP) is the Federal agency principally (victims of criminal activity). Through responsible for the security of our these initiatives, USCIS hopes to mobility, protecting the marine environment, enforcing U.S. laws and Nation’s borders, both at and between provide greater consistency in the ports of entry and at official eligibility, application, and procedural international treaties, and performing search and rescue. The Coast Guard crossings into the United States. CBP requirements for these vulnerable must accomplish its border security and groups, their advocates, and the supports the Department’s overarching goals of mobilizing and organizing our enforcement mission without stifling community. These regulations will the flow of legitimate trade and travel. contain provisions to adjust Nation to secure the homeland from terrorist attacks, natural disasters, and The primary mission of CBP is its documentary requirements for this homeland security mission, that is, to vulnerable population and provide other emergencies. The regulatory projects in this fall 2016 regulatory plan prevent terrorists and terrorist weapons greater clarity to the law enforcement from entering the United States. An community. and in the agenda contribute to the fulfillment of those responsibilities. important aspect of this priority mission Special Immigrant Juvenile Petitions. involves improving security at our Seafarers’ Access to Maritime This final rule makes procedural borders and ports of entry, but it also Facilities. This regulatory action is changes and resolves interpretive issues means extending our zone of security necessary to implement section 811 of following the amendments mandated by beyond our physical borders. Congress. It will enable child aliens who the Coast Guard Authorization Act of CBP is also responsible for have been abused, neglected, or 2010, which requires facility owners administering laws concerning the abandoned and placed under the and operators to ensure shore access for importation into the United States of jurisdiction of a juvenile court or placed seafarers and other individuals. This goods, and enforcing the laws with an individual or entity, to obtain regulation applies to owners and concerning the entry of persons into the classification as Special Immigrant operators of facilities regulated by the United States. This includes regulating Juvenile. Such classification can Coast Guard under the Maritime and facilitating international trade; regularize immigration status for these Transportation Safety Act of 2002. This collecting import duties; enforcing U.S. aliens and allow for adjustment of status regulation helps ensure that owners and trade, immigration and other laws of the to lawful permanent resident. operators provide seafarers assigned to United States at our borders; inspecting vessels moored at the facility, pilots, United States Coast Guard imports, overseeing the activities of and representatives of seamen’s welfare persons and businesses engaged in The U.S. Coast Guard (Coast Guard) is and labor organizations with the ability importing; enforcing the laws a military, multi-mission, maritime to board and depart vessels to access the concerning smuggling and trafficking in service of the United States and the only shore through the facility in a timely contraband; apprehending individuals military organization within DHS. It is manner and at no cost to the seafarer. attempting to enter the United States the principal Federal agency responsible Commercial Fishing Vessels— illegally; protecting our agriculture and for maritime safety, security, and Implementation of 2010 and 2012 economic interests from harmful pests stewardship and delivers daily value to Legislation. The Coast Guard is working and diseases; servicing all people, the nation through multi-mission to improve safety in the commercial vehicles, and cargo entering the United resources, authorities, and capabilities. fishing industry, which remains one of States; maintaining export controls; and Effective governance in the maritime the most hazardous occupations in the protecting U.S. businesses from theft of domain hinges upon an integrated United States. In 2016, the Coast Guard their intellectual property. approach to safety, security, and withdrew a rulemaking effort that had In carrying out its priority mission, stewardship. The Coast Guard’s policies been superseded by statute, and instead CBP’s goal is to facilitate the processing and capabilities are integrated and proposed a rule to implement relevant of legitimate trade and people efficiently interdependent, delivering results mandatory provisions of the Coast without compromising security. through a network of enduring Guard Authorization Act of 2010 and Consistent with its primary mission of partnerships. The Coast Guard’s ability Coast Guard and Maritime homeland security, CBP intends to issue to field versatile capabilities and highly- Transportation Act of 2012. The several regulations during the next fiscal trained personnel is one of the U.S. proposed rule would add new year that are intended to improve Government’s most significant and requirements for safety equipment, security at our borders and ports of important strengths in the maritime vessel examinations, vessel safety entry. CBP is also automating some environment. standards, the documentation of procedures that increase efficiencies America is a maritime nation, and our maintenance, and the termination of and reduce the costs and burdens to security, resilience, and economic unsafe operations. These requirements travelers. We have highlighted two of prosperity are intrinsically linked to the would affect an estimated 36,115 these regulations below. oceans. Safety, efficient waterways, and existing commercial fishing vessels. Air Cargo Advance Screening (ACAS). freedom of transit on the high seas are This rule is intended to reduce the risk The Trade Act of 2002, as amended, essential to our well-being. The Coast of future fishing vessel casualties and, if authorizes the Secretary of Homeland Guard is leaning forward, poised to a casualty does occur, to minimize the Security to promulgate regulations meet the demands of the modern adverse impacts to crew and enable providing for the transmission, through maritime environment. The Coast Guard them to have the maximum opportunity an electronic data interchange system, creates value for the public through to survive and to be rescued. he Coast of information to CBP pertaining to solid prevention and response efforts. Guard provided a public comment cargo to be brought into the United Activities involving oversight and period of 180 days, ending in December States or to be sent from the United
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States prior to the arrival or departure and the Department of State as well as finalizing that rule in the coming fiscal of the cargo. The cargo information through the inspection process. CBP year. required is that which the Secretary intends to publish a final rule during Federal Law Enforcement Training determines to be reasonably necessary the next fiscal year. Center to ensure cargo safety and security. In addition to the regulations that CBP CBP’s current Trade Act regulations issues to promote DHS’s mission, CBP The Federal Law Enforcement pertaining to air cargo require the also issues regulations related to the Training Center (FLETC) does not have electronic submission of various mission of the Department of the any significant regulatory actions advance data to CBP no later than either Treasury. Under section 403(1) of the planned for fiscal year 2017. the time of departure of the aircraft for Homeland Security Act of 2002, the United States Immigration and Customs the United States (from specified former-U.S. Customs Service, including Enforcement locations) or four hours prior to arrival functions of the Secretary of the U.S. Immigration and Customs in the United States for all other Treasury relating thereto, transferred to Enforcement (ICE) is the principal locations. CBP intends to propose the Secretary of Homeland Security. As criminal investigative arm of DHS and amendments to these regulations to part of the initial organization of DHS, one of the three Department implement the Air Cargo Advance the Customs Service inspection and components charged with the civil Screening (ACAS) program. To improve trade functions were combined with the enforcement of the Nation’s immigration CBP’s risk assessment and targeting immigration and agricultural inspection laws. Its primary mission is to protect capabilities and to enable CBP to target, functions and the Border Patrol and national security, public safety, and the and identify, risky cargo prior to transferred into CBP. The Department of integrity of our borders through the departure of the aircraft to the United the Treasury retained certain regulatory criminal and civil enforcement of States, ACAS would require the authority of the U.S. Customs Service Federal law governing border control, submission of certain of the advance relating to customs revenue function customs, trade, and immigration. During electronic information for air cargo (see the Department of the Treasury the coming year, ICE will focus its earlier in the process. In most cases, the Regulatory Plan). In addition to its plans rulemaking efforts on increasing information would have to be submitted to continue issuing regulations to security in the area of student and as early as practicable but no later than enhance border security, CBP, in the exchange visitor programs. prior to the loading of cargo onto an coming year, expects to continue to aircraft at the last foreign port of issue regulatory documents that will Eligibility Checks of Nominated and departure to the United States. CBP, in facilitate legitimate trade and Current Designated School Officials of conjunction with TSA, has been implement trade benefit programs. For a Schools That Enroll F and M operating ACAS as a voluntary pilot discussion of CBP regulations regarding Nonimmigrant Students and of program since 2010 and intends to the customs revenue function, see the Exchange Visitor Program-Designated publish a notice of proposed rulemaking regulatory plan of the Department of the Sponsors of J Nonimmigrants in the next fiscal year to implement Treasury. DHS will issue a rule proposing to ACAS as a regulatory program. Federal Emergency Management strengthen the mechanism for approving Definition of Form I–94 to Include Agency user access to one of its data- Electronic Format. DHS issues the Form management systems, the Student and I–94 to certain aliens and uses the Form The Federal Emergency Management Exchange Visitor Information System I–94 for various purposes such as Agency’s (FEMA’s) mission is to (SEVIS). DHS and the Department of documenting status in the United States, support our citizens and first responders State, rely on principal designated the approved length of stay, and to ensure that as a Nation we work school officials, designated school departure. DHS generally issues the together to build, sustain, and improve officials, responsible officers, and Form I–94 to aliens at the time they our capability to prepare for, protect alternate responsible officers lawfully enter the United States. On against, respond to, recover from and (collectively, P/DSOs, DSOs and ROs/ March 27, 2013, CBP published an mitigate all hazards. FEMA’s ethos is to AROs) as key links in the process to interim final rule amending existing serve the Nation by helping its people mitigate potential threats to national regulations to add a new definition of and first responders, especially when security and to ensure compliance with the term ‘‘Form I–94.’’ The new they are most in need. FEMA will immigration law by aliens admitted into definition includes the collection of promulgate several rulemakings to the United States in F, J, or M arrival/departure and admission or support its mission, one of which we nonimmigrant status. Through this rule, parole information by DHS, whether in highlight below. DHS would require that anyone paper or electronic format. The Updates to Floodplain Management nominated to serve as a P/DSO, DSO, or definition also clarified various terms and Protection of Wetlands Regulations RO/ARO receive a favorable SEVIS that are associated with the use of the to Implement Executive Order 13690 Access Approval Process assessment Form I–94 to accommodate an and the Federal Flood Risk Management prior to their appointment and electronic version of the Form I–94. The Standard (FFRMS). The rule proposes to subsequent approval for access to rule also added a valid, unexpired amend existing FEMA regulations to SEVIS. The primary benefit of this rule nonimmigrant DHS admission or parole implement Executive Order 13690, would be to reduce the potential for stamp in a foreign passport to the list of ‘‘Establishing a Federal Flood Risk fraud. documents designated as evidence of Management Standard and a Process for alien registration. These revisions Further Soliciting and Considering National Protection and Programs enabled DHS to transition to an Stakeholder Input.’’ FEMA is also Directorate automated process whereby DHS creates proposing a supplementary policy that The National Protection and Programs a Form I–94 in an electronic format would further clarify how FEMA Directorate’s (NPPD) vision is a safe, based on passenger, passport and visa applies the FFRMS. FEMA published a secure, and resilient infrastructure information that DHS obtains notice of proposed rulemaking on where the American way of life can electronically from air and sea carriers August 22, 2016 and will work on thrive. NPPD leads the national effort to
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protect and enhance the resilience of the (including rail mass transit and bus DHS—OFFICE OF THE SECRETARY Nation’s physical and cyber systems), railroad carriers (freight and (OS) infrastructure. passenger), and over-the-road bus Proposed Rule Stage Chemical Facility Anti-Terrorism (OTRB) owner/operators to conduct Standards. Recognizing both the security training for frontline 53. Chemical Facility Anti-Terrorism importance of the Nation’s chemical employees. This regulation will Standards (CFATS) facilities to the American way of life implement sections 1408 (public Priority: Other Significant. and the need to secure high-risk transportation), 1517 (railroads), and Legal Authority: Sec. 550 of the chemical facilities against terrorist 1531(e) and 1534 (OTRBs) of the 9/11 Department of Homeland Security attacks, in December 2014 Congress Act. In compliance with the definitions Appropriations Act of 2007 Pub. L. 109– passed, and the President signed into 295, as amended law, the Protecting and Securing of frontline employees in the pertinent CFR Citation: 6 CFR 27. Chemical Facilities from Terrorist provisions of the 9/11 Act, the notice of Legal Deadline: None. Attacks Act of 2014, Pub. L. 113–254. proposed rulemaking (NPRM) will Abstract: The Department of This legislation provides the include identification of which Homeland Security (DHS) previously Department continuing authority to employees are required to receive invited public comment on an advance implement the Chemical Facility Anti- security training and the content of that notice of proposed rulemaking Terrorism Standards (CFATS) regulatory training. The NPRM will also propose (ANPRM) for potential revisions to the program, a program mandating that definitions for transportation security- Chemical Facility Anti-Terrorism high-risk chemical facilities in the sensitive materials, as required by Standards (CFATS) regulations. The United States develop and implement section 1501 of the 9/11 Act. ANPRM provided an opportunity for the security plans satisfying risk-based Surface Transportation Vulnerability public to provide recommendations for performance standards established by Assessments and Security Plans. TSA DHS. possible program changes. DHS is will publish an advance notice of The CFATS regulations have been in reviewing the public comments received effect since 2007. On August 18, 2014, proposed rulemaking (ANPRM) in response to the ANPRM, after which the Department published an advance regarding a future rulemaking that will DHS intends to publish a Notice of notice of proposed rulemaking propose requiring higher-risk public Proposed Rulemaking. (ANPRM) seeking public comment on transportation agencies (including rail Statement of Need: DHS intends to ways to make the program more mass transit and bus systems), railroads propose several potential program effective. The Department will continue (freight and passenger), and OTRB changes to the CFATS regulation. These this rulemaking effort and intends to owner/operators to conduct changes have been identified in the nine publish a notice of proposed rulemaking vulnerability assessments and develop/ years since program implementation. In (NPRM). The NPRM will propose implement security plans. This addition, in December 2014, a new law modifications to CFATS based on the regulation will propose to implement (the Protecting and Securing Chemical public comments received in response sections 1405 (public transportation), Facilities From Terrorist Attacks Act of to the ANPRM and on program 1512 (railroads), and 1531 (OTRBs) of 2014) was enacted which provides DHS implementation experience. The NPRM the 9/11 Act. continuing authority to implement CFATS. DHS must make several will also propose modifications to Vetting of Certain Surface CFATS in order to align the existing modifications and additions to conform Transportation Employees. TSA will the CFATS regulation with the new law. regulation with the requirements of the propose regulations requiring security 2014 legislation. Through the rule, Summary of Legal Basis: The threat assessments for security NPPD seeks to harmonize the regulation Protecting and Securing Chemical coordinators and other frontline with its statutory authority and to make Facilities from Terrorist Attacks Act of employees of certain public the CFATS program more efficient and 2014 (Pub. L. 113–254) added Title XXI effective. transportation agencies (including rail to the Homeland Security Act of 2002 mass transit and bus systems), railroads (HSA) to authorize in permanent law a Transportation Security Administration (freight and passenger), and OTRB Chemical Facility Anti-terrorism The Transportation Security owner/operators. The NPRM will also Standards (CFATS) program. See 6 Administration (TSA) protects the include proposed provisions to U.S.C. 621 et seq. Title XXI supersedes Nation’s transportation systems to implement TSA’s statutory requirement section 550 of the Department of ensure freedom of movement for people to recover its cost of vetting through Homeland Security Appropriations Act and commerce. TSA is committed to user fees. This regulation will of 2007, Pub. L. 109–295, under which continuously setting the standard for implement sections 1414 (public the CFATS program was originally excellence in transportation security transportation), 1522 (railroads), and established in April 2007. Section through its people, processes, and 1531(e)(2) (over-the-road buses) of the 9/ 2107(a) of the HSA specifically technology as we work to meet the 11 Act. authorizes DHS to ‘‘promulgate immediate and long-term needs of the regulations or amend existing CFATS transportation sector. United States Secret Service regulations to implement the provisions For the coming fiscal year, TSA is under [Title XXI]. 6 U.S.C. 627(a). In The United States Secret Service does prioritizing regulations related to addition, section 2107(b)(2) of the HSA not have any significant regulatory requirements for surface transportation requires DHS to repeal any existing actions planned for fiscal year 2017. included in the 9/11 Act. These CFATS regulation that [DHS] rulemakings will include the following DHS Regulatory Plan for Fiscal Year determines is duplicative of, or conflicts ones: 2017 with, [Title XXI]. 6 U.S.C. 627(b)(2). Security Training for Surface Alternatives: Transportation Employees. TSA will A more detailed description of the Anticipated Cost and Benefits: The propose regulations requiring higher- priority regulations that comprise the ANPRM provided an opportunity for the risk public transportation agencies DHS fall regulatory plan follows. public to provide recommendations for
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possible program changes. DHS is and evidentiary guidance to assist in the submit the required forms, the reviewing the public comments received petitioning process. Eligible victims opportunity cost of time required and in response to the ANPRM, after which would be allowed to remain in the cost of traveling to visit a USCIS DHS intends to publish a Notice of United States if granted U Application Support Center. DHS is Proposed Rulemaking (NPRM). nonimmigrant status. The Trafficking currently in the process of updating our Risks: Victims Protection Reauthorization Act cost estimates since U nonimmigrant Timetable: of 2008, Public Law 110–457, and the visa petitioners are no longer required to Violence Against Women pay the biometric services fee. The Action Date FR Cite Reauthorization Act (VAWA) of 2013, anticipated benefits of these Public Law 113–4, made amendments to expenditures include assistance to ANPRM ...... 08/18/14 79 FR 48693 the U nonimmigrant status provisions of victims of qualifying criminal activity ANPRM Comment 10/17/14 the Immigration and Nationality Act. Period End. and their families and increases in NPRM ...... 12/00/16 The Department of Homeland Security arrests and prosecutions of criminals had issued an interim final rule in 2007. nationwide. Additional benefits include Statement of Need: This regulation is Regulatory Flexibility Analysis heightened awareness by law necessary to allow alien victims of Required: Yes. enforcement of victimization of aliens in certain crimes to petition for U Small Entities Affected: Businesses. their community, and streamlining the nonimmigrant status. U nonimmigrant Government Levels Affected: Federal, petitioning process so that victims may status is available to eligible victims of Local, State. benefit from this immigration relief. certain qualifying criminal activity who: URL for More Information: Risks: There is a statutory cap of (1) Have suffered substantial physical or www.regulations.gov. 10,000 principal U nonimmigrant visas mental abuse as a result of the URL for Public Comments: that may be granted per fiscal year at 8 qualifying criminal activity; (2) the alien U.S.C. 1184(p)(2). Eligible petitioners www.regulations.gov. possesses information about the crime; Agency Contact: Jon MacLaren, Chief, who are not granted principal U–1 (3) the alien has been, is being, or is nonimmigrant status due solely to the Rulemaking Section, Department of likely to be helpful in the investigation Homeland Security, National Protection numerical limit will be placed on a or prosecution of the crime; and (4) the waiting list maintained by U.S. and Programs Directorate, Infrastructure criminal activity took place in the Security Compliance Division (NPPD/ Citizenship and Immigration Services United States, including military (USCIS). To protect U–1 petitioners and ISCD), 245 Murray Lane, Mail Stop installations and Indian country, or the 0610, Arlington, VA 20528–0610, their families, USCIS will use various territories or possessions of the United means to prevent the removal of U–1 Phone: 703 235–5263, Fax: 703 603– States. This rule addresses the eligibility 4935, Email: jon.m.maclaren@ petitioners and their eligible family requirements that must be met for members on the waiting list, including hq.dhs.gov. classification as a U nonimmigrant alien RIN: 1601–AA69 exercising its authority to allow deferred and implements statutory amendments action, parole, and stays of removal, in to these requirements, streamlines the cooperation with other DHS procedures to petition for U components. DHS—U.S. CITIZENSHIP AND nonimmigrant status, and provides Timetable: IMMIGRATION SERVICES (USCIS) evidentiary guidance to assist in the petition process. Action Date FR Cite Proposed Rule Stage Summary of Legal Basis: Congress 54. New Classification for Victims of created the U nonimmigrant Interim Final Rule 09/17/07 72 FR 53013 classification in the Battered Immigrant Interim Final Rule 10/17/07 Criminal Activity; Eligibility for the U Effective. Nonimmigrant Status Women Protection Act of 2000 (BIWPA) to provide immigration relief for alien Interim Final Rule 11/17/07 Priority: Other Significant. victims of certain qualifying criminal Comment Pe- Legal Authority: 5 U.S.C. 552; 5 U.S.C. riod End. activity and who are helpful to law NPRM ...... 08/00/17 552a; 8 U.S.C. 1101; 8 U.S.C. 1101 enforcement in the investigation or (note); 8 U.S.C. 1102; Pub. L. 113–4 prosecution of these crimes. Regulatory Flexibility Analysis CFR Citation: 8 CFR 103; 8 CFR 204; Alternatives: To provide victims with Required: No. 8 CFR 212; 8 CFR 214; 8 CFR 299. immigration benefits and services and Small Entities Affected: No. Legal Deadline: None. keeping in mind the purpose of the U Government Levels Affected: Federal, Abstract: This rule proposes new visa as a law enforcement tool, DHS is Local, State. application and eligibility requirements considering and using suggestions from Additional Information: Transferred for U nonimmigrant status. The U stakeholders in developing this from RIN 1115–AG39. classification is for non-U.S. citizen/ regulation. These suggestions came in URL for More Information: lawful permanent resident victims of the form of public comment from the www.regulations.gov. certain crimes who cooperate with an 2007 interim final rule as well as USCIS’ URL for Public Comments: investigation or prosecution of those six years of experience with the U www.regulations.gov. crimes. There is a limit of 10,000 nonimmigrant status program, including Agency Contact: Maureen A. Dunn, principals per fiscal year. This rule regular meetings and outreach events Chief, Family Immigration and Victim would propose to establish new with stakeholders and law enforcement. Protection Division, Department of procedures to be followed to petition for Anticipated Cost and Benefits: DHS Homeland Security, U.S. Citizenship the U nonimmigrant classifications. estimated the total annual cost of the and Immigration Services, Office of Specifically, the rule would address the interim rule to petitioners to be $6.2 Policy and Strategy, Suite 1200, 20 essential elements that must be million in the interim final rule Massachusetts Avenue NW., demonstrated to receive the published in 2007. This cost included Washington, DC 20529, Phone: 202 272– nonimmigrant classification, procedures the biometric services fee, the 1470, Fax: 202 272–1480, Email: that must be followed to file a petition opportunity cost of time needed to [email protected].
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RIN: 1615–AA67 Alternatives: The alternative to this existing policies, more accurately reflect rule would be to continue under the existing and future economic realities, current process without change. improve operational efficiencies to Anticipated Cost and Benefits: As a provide stakeholders with a higher level DHS—USCIS result of streamlining the appeal and of predictability and transparency in the 55. Requirements for Filing Motions motion process, DHS anticipates adjudication process, and enhance and Administrative Appeals quantitative and qualitative benefits to program integrity by clarifying key Priority: Other Significant. DHS and the public. We also anticipate eligibility requirements for program Legal Authority: 5 U.S.C. 552; 5 U.S.C. cost savings to DHS and applicants as a participation and further detailing the 552a; 8 U.S.C. 1101; 8 U.S.C. 1103; 8 result of the proposed changes. processes required. Given the U.S.C. 1304; 6 U.S.C. 112 Risks: complexities involved in adjudicating CFR Citation: 8 CFR 103; 8 CFR 204; Timetable: benefit requests in the EB–5 program, 8 CFR 205; 8 CFR 210; 8 CFR 214; 8 CFR along with continued program integrity 245a; 8 CFR 320; 8 CFR 105 (new); . . . Action Date FR Cite concerns and increasing adjudication Legal Deadline: None. processing times, DHS has decided to Abstract: This proposed rule proposes NPRM ...... 06/00/17 revise the existing regulations to to revise the requirements and modernize key areas of the program. procedures for the filing of motions and Regulatory Flexibility Analysis Summary of Legal Basis: The appeals before the Department of Required: Yes. Immigration Act (INA) authorizes the Homeland Security (DHS), U.S. Small Entities Affected: Governmental Secretary of Homeland Security Citizenship and Immigration Services Jurisdictions. (Secretary) to administer and enforce Government Levels Affected: None. (USCIS), and its Administrative Appeals the immigration and nationality laws Additional Information: Previously Office (AAO). The proposed changes are including establishing regulations 1615–AB29 (CIS 2311–04), which was intended to streamline the existing deemed necessary to carry out his withdrawn in 2007. processes for filing motions and appeals authority, and section 102 of the Agency Contact: Charles ‘‘Locky’’ and will reduce delays in the review Homeland Security Act, 6 U.S.C. 112, Nimick, Deputy Chief, Department of and appellate process. This rule also authorizes the Secretary to issue Homeland Security, U.S. Citizenship proposes additional changes regulations. 8 U.S.C. 1103(a), INA and Immigration Services, necessitated by the establishment of section 103(a). INA section 203(b)(5), 8 Administrative Appeals Office, 20 DHS and its components. The proposed U.S.C. 1153(b)(5), also provides the Massachusetts Avenue NW., changes are intended to promote Secretary with authority to make visas Washington, DC 20529–2090, Phone: simplicity, accessibility, and efficiency available to immigrants seeking to 703 224–4501, Email: charles.nimick@ in the administration of USCIS appeals. engage in a new commercial enterprise The Department also solicits public usics.dhs.gov. in which the immigrant has invested Related RIN: Duplicate of 1615–AB29 comment on proposed changes to the and which will benefit the United States RIN: 1615–AB98 AAO’s appellate jurisdiction. economy and create full-time Statement of Need: This rule proposes employment for not fewer than 10 U.S. to make numerous changes to workers. Further, section 610 of Public streamline the current appeal and DHS—USCIS Law 102–395 (8 U.S.C. 1153 note) motion processes which: (1) Will result created the Immigrant Investor Pilot 56. Improvement of the Employment in cost savings to the Government, Program and authorized the Secretary to Creation Immigrant Regulations applicants, and petitioners; and (2) will set aside visas for individuals who provide for a more efficient use of Priority: Other Significant. Major invest in regional centers created for the USCIS officer and clerical staff time, as status under 5 U.S.C. 801 is purpose of concentrating pooled well as more uniformity with Board of undetermined. investment in defined economic zones, Immigration Appeals appeal and motion Legal Authority: 8 U.S.C. 1153(b)(5) and was last amended by Public Law processes. CFR Citation: 8 CFR 204.6. 107–273. Summary of Legal Basis: 5 U.S.C. 301; Legal Deadline: None. Alternatives: 5 U.S.C. 552; 5 U.S.C. 552a; 8 U.S.C. Abstract: DHS proposes to amend its Anticipated Cost and Benefits: As a 1101 and notes 1102, 1103, 1151, 1153, regulations governing the employment- result of these amendments and 1154, 1182, 1184, 1185 note (sec. 7209 based, fifth preference (EB–5) immigrant resulting modernized program, DHS of Pub. L. 108–458; title VII of Pub. L. entrepreneur category and EB–5 believes that regional centers, 110–229), 1186a, 1187, 1221, 1223, 1225 regional centers to modernize the EB–5 entrepreneurs, and the Federal each to 1227, 1255a, and 1255a note, 1281, program based on current economic benefit. This rule would benefit regional 1282, 1301 to 1305, 1324a, 1356, 1372, realities and to reflect statutory changes centers by clarifying the requirements 1379, 1409(c), 1443 to 1444, 1448, 1452, made to the program. DHS is proposing for designation and continued 1455, 1641, 1731 to 1732; 31 U.S.C. to update the regulations to include the participation in the EB–5 program, 9701; 48 U.S.C. 1901, 1931 note; section following areas: Priority date retention, making the application process more 643, Public Law 104–208, 110, Stat. increases to the required investment transparent for regional centers and 3009–708; section 141 of the Compacts amounts, revision of the Targeted streamlined to improve DHS operational of Free Association with the Federated Employment Area requirements, efficiencies. The rule would benefit States of Micronesia and the Republic of clarification of the regional center entrepreneurs seeking to participate in the Marshall Islands, and with the designation and continued program the program by providing the Government of Palau; title VII of Public participation requirements, and further opportunity to mitigate the harsh Law 110–229; Public Law 107–296, 116 definition of grounds for terminating consequences of unexpected changes to Stat. 2135 (6 U.S.C. 1 et seq.); Public regional centers. business conditions through priority Law 82–414, 66 Stat. 173, 238, 254, 264; Statement of Need: The proposed date retention in limited circumstances. title VII of Public Law 110–229; regulatory changes are necessary to This rule would also provide a more Executive Order 12356. reflect statutory changes and codify transparent process for entrepreneurs
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seeking to participate in the regional involving unusual and severe harm if maintained by U.S. Citizenship and center program by providing increased they were removed from the United Immigration Services (USCIS). To consistency and predictability of States. The rule streamlines application protect T–1 applicants and their adjudications through the clarified procedures and responsibilities for the families, USCIS will use various means regional center continued program Department of Homeland Security to prevent the removal of T–1 applicants participation requirements. These (DHS) and provides guidance to the on the waiting list, and their family changes will also streamline the public on how to meet certain members who are eligible for derivative adjudication process and improve DHS requirements to obtain T nonimmigrant T status, including its existing authority operational efficiencies, resulting in status. Several reauthorizations, to grant deferred action, parole, and improved adjudication times. Finally, including the Violence Against Women stays of removal, in cooperation with the Federal Government will benefit Reauthorization Act of 2013, Public Law other DHS components. from clarifications and enhancements to 113–4, have made amendments to the T Timetable: the EB–5 program to strengthen program nonimmigrant status provisions in the integrity, reducing the risk of fraud and Immigration and Nationality Act. This Action Date FR Cite national security concerns in the rule implements those amendments. program, as well as improving Statement of Need: This rule Interim Final Rule 01/31/02 67 FR 4784 Interim Final Rule 03/04/02 operational efficiencies to reduce addresses the essential elements that must be demonstrated for classification Effective. overall program costs. Interim Final Rule 04/01/02 Risks: as a T nonimmigrant alien and Comment Pe- Timetable: implements statutory amendments to riod End. these elements, streamlines the Interim Final Rule 01/00/17 Action Date FR Cite procedures to be followed by applicants to apply for T nonimmigrant status, and Regulatory Flexibility Analysis NPRM ...... 01/00/17 provides evidentiary guidance to assist Required: No. in the application process. Small Entities Affected: No. Regulatory Flexibility Analysis Summary of Legal Basis: Section Government Levels Affected: Federal, Required: No. 107(e) of the Victims of Trafficking and Local, State. Small Entities Affected: No. Violence Protection Act of 2000 Public Additional Information: Transferred Government Levels Affected: None. Law 106–386, as amended, established from RIN 1115–AG19. Agency Contact: Lori S. MacKenzie, the T classification to provide URL for More Information: Division Chief, Operations Policy & immigration relief for certain eligible www.regulations.gov. Performance, Immigrant Investor victims of severe forms of trafficking in URL for Public Comments: Program, Department of Homeland persons who assist law enforcement www.regulations.gov. Security, U.S. Citizenship and authorities in investigating and Agency Contact: Maureen A. Dunn, Immigration Services, 131 M Street NE., prosecuting the perpetrators of these Chief, Family Immigration and Victim Washington, DC 20529–2200, Phone: crimes. Protection Division, Department of 202 357–9214, Email: lori.s.mackenzie@ Alternatives: To provide victims with Homeland Security, U.S. Citizenship uscis.dhs.gov. immigration benefits and services, and Immigration Services, Office of Related RIN: Related to 1205–AB69 keeping in mind the purpose of the T Policy and Strategy, Suite 1200, 20 RIN: 1615–AC07 visa to also serve as a law enforcement Massachusetts Avenue NW., tool, DHS is considering and using Washington, DC 20529, Phone: 202 272– suggestions from stakeholders in 1470, Fax: 202 272–1480, Email: developing this regulation. These DHS—USCIS [email protected]. suggestions came in the form of public RIN: 1615–AA59 Final Rule Stage comment to the 2002 interim final rule, as well as from over 10 years of 57. Classification for Victims of Severe experience with the T nonimmigrant Forms of Trafficking in Persons; status program, including regular DHS—USCIS Eligibility for T Nonimmigrant Status meetings with stakeholders and regular 58. Special Immigrant Juvenile Priority: Other Significant. outreach events. Petitions Legal Authority: 5 U.S.C. 552; 5 U.S.C. Anticipated Cost and Benefits: 552a; 8 U.S.C. 1101 to 1104; 8 U.S.C. Applicants for T nonimmigrant status Priority: Other Significant. 1182; 8 U.S.C. 1184; 8 U.S.C. 1187; 8 do not pay application or biometric fees. Legal Authority: 8 U.S.C. 1101; 8 U.S.C. 1201; 8 U.S.C. 1224 to 1227; 8 The anticipated benefits of this rule U.S.C. 1103; 8 U.S.C. 1151; 8 U.S.C. U.S.C. 1252 to 1252a; 22 U.S.C. 7101; 22 include: Assistance to trafficked victims 1153; 8 U.S.C. 1154 U.S.C. 7105; Pub. L. 113–4 and their families; an increase in the CFR Citation: 8 CFR 204; 8 CFR 205; CFR Citation: 8 CFR 103; 8 CFR 212; number of cases brought forward for 8 CFR 245. 8 CFR 214; 8 CFR 274a; 8 CFR 299. investigation and/or prosecution of Legal Deadline: None. Legal Deadline: None. traffickers in persons; heightened Abstract: The Department of Abstract: The T nonimmigrant awareness by the law enforcement Homeland Security (DHS) is amending classification was created by the Victims community of trafficking in persons; its regulations governing the Special of Trafficking and Violence Protection and streamlining the application Immigrant Juvenile (SIJ) classification Act of 2000, Public Law 106–386. The process for victims. and related applications for adjustment classification was designed for eligible Risks: There is a 5,000-person limit to of status to permanent resident. Special victims of severe forms of trafficking in the number of individuals who can be Immigrant Juvenile classification is a persons who aid law enforcement with granted T–1 status per fiscal year. humanitarian-based immigration their investigation or prosecution of the Eligible applicants who are not granted protection for children who cannot be traffickers, and who can establish that T–1 status due solely to the numerical reunified with one or both parents they would suffer extreme hardship limit will be placed on a waiting list because of abuse, neglect, abandonment,
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or a similar basis found under State law. and consistent adjudications would be humanitarian reasons or significant This final rule implements updates to compromised. public benefit. INA section 212(d)(5), 8 eligibility requirements and other Timetable: U.S.C. 1182(d)(5). This regulation changes made by the Trafficking explains and clarifies how DHS Victims Protection Reauthorization Act Action Date FR Cite determines what provides, per the INA, of 2008, Pub. L. 110–457. DHS received a significant public benefit to the U.S. comments on the proposed rule in 2011 NPRM ...... 09/06/11 76 FR 54978 economy with respect to entrepreneur NPRM Comment 11/07/11 parolees. and intends to issue a final rule in the Period End. coming year. Final Rule ...... 05/00/17 This regulation focuses specifically on Statement of Need: This rule would the significant economic public benefit address the eligibility requirements that Regulatory Flexibility Analysis provided by foreign entrepreneurs must be met for SIJ classification and Required: No. because of the particular benefit they related adjustment of status, implement Small Entities Affected: No. bring to the U.S. economy. However, the statutory amendments to these Government Levels Affected: Federal, full potential of foreign entrepreneurs to requirements, and provide procedural State. benefit the U.S. economy is limited by and evidentiary guidance to assist in the URL for More Information: the fact that many foreign entrepreneurs petition process. www.regulations.gov. do not qualify under existing Summary of Legal Basis: Congress URL for Public Comments: nonimmigrant and immigrant established the SIJ classification in the www.regulations.gov. classifications. Given the technical Immigration Act of 1990 (IMMACT). Agency Contact: Maureen A. Dunn, nature of entrepreneurship, and the The 1998 Appropriations Act amended Chief, Family Immigration and Victim limited guidance to date on what the SIJ classification by limiting Protection Division, Department of constitutes a significant public benefit, eligibility to children declared Homeland Security, U.S. Citizenship DHS believes that it is necessary to dependent on a juvenile court because and Immigration Services, Office of establish the conditions of such an of abuse, abandonment, or neglect and Policy and Strategy, Suite 1200, 20 economically-based significant public creating consent functions. The Massachusetts Avenue NW., benefit parole by regulation. Combined Trafficking Victims Protection Washington, DC 20529, Phone: 202 272– with a unique application process, the Reauthorization Act of 2008 made many 1470, Fax: 202 272–1480, Email: goal is to ensure that the high standard changes to the SIJ classification [email protected]. set by the statute authorizing significant including: (1) Creating a requirement RIN: 1615–AB81 public benefit parole is uniformly met that the petitioner’s reunification with across adjudications. one or both parents not be viable due to In this rule, DHS is proposing to abuse, abandonment, neglect, or a establish the conditions for significant similar basis under State law; (2) DHS—USCIS public benefit parole with respect to expanding the population of children 59. International Entrepreneur certain entrepreneurs and start-up who may be eligible to include those founders backed by U.S. investors or placed by a juvenile court with an Priority: Other Significant. grants. DHS believes that this proposal, individual or entity; (3) modifying the Legal Authority: 8 U.S.C. once implemented, would encourage consent functions; (4) providing age-out 1182(d)(5)(A) entrepreneurs to create and develop protection; and (5) creating a timeframe CFR Citation: 8 CFR 212.5. start-up entities in the United States for adjudications. Legal Deadline: None. with high growth potential to create jobs Alternatives: DHS is considering and Abstract: The Department of for U.S. workers and benefit the U.S. using suggestions from stakeholders to Homeland Security (DHS) proposed to economy. U.S. competitiveness would keep in mind the vulnerable nature of amend its regulations implementing the increase by attracting more abused, abandoned and neglected Secretary of Homeland Security’s entrepreneurs to the United States. This children in developing this regulation. discretionary parole authority to proposal provides a fair, transparent, These suggestions came in the form of increase and enhance entrepreneurship, and predictable framework by which public comment from the 2011 innovation, and job creation in the DHS will exercise its discretion to proposed rule. United States. The rule would add new adjudicate, on a case-by-case basis, such Anticipated Cost and Benefits: In the regulatory provisions guiding the use of parole requests under the existing 2011 proposed rule, DHS estimated parole on a case-by-case basis with statutory authority at INA section there would be no additional regulatory respect to entrepreneurs of start-up 212(d)(5), 8 U.S.C. 1182(d)(5). compliance costs for petitioning entities whose entry into the United Lastly, this proposed rule provides a individuals or any program costs for the States would provide a significant pathway, based on authority currently Government as a result of the proposed public benefit through the substantial provided to the Secretary, for amendments. Qualitatively, DHS and demonstrated potential for rapid entrepreneurs to develop businesses in estimated that the proposed rule would business growth and job creation. Such the United States, create jobs for U.S. codify the practices and procedures potential would be indicated by, among workers, and, at the same time, establish currently implemented via internal other things, the receipt of significant a track record of experience and/or policy directives issued by USCIS, capital investment from U.S. investors accomplishments. Such a track record thereby establishing clear guidance for with established records of successful may lead to meeting eligibility petitioners. DHS is currently in the investments, or obtaining significant requirements for existing nonimmigrant process of updating our final cost and awards or grants from certain Federal, or immigrant classifications. benefit estimates. State or local government entities. Summary of Legal Basis: The Risks: The failure to promulgate a Statement of Need: The Immigration Secretary’s authority for this proposed final rule in this area presents and Nationality Act (INA) authorizes the regulatory amendment can be found in significant risk of further inconsistency Secretary, in the exercise of discretion, the Homeland Security Act of 2002, and confusion in the law. The to parole arriving aliens into the United Public Law 107–296, section 102, 116 Government’s interests in fair, efficient, States on a case-by-case basis for urgent Stat. 2135, 6 U.S.C. 112, and INA
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section 103, 8 U.S.C. 1103, which give RIN: 1615–AC04 this rulemaking would ensure that DHS the Secretary the authority to administer practice is consistent with statute. and enforce the immigration and Summary of Legal Basis: The nationality laws, as well as INA section authority of the Secretary of Homeland DHS—USCIS 212(d)(5), 8 U.S.C. 1182(d)(5), which Security (Secretary) for these regulatory refers to the Secretary’s discretionary 60. Retention of EB–1, EB–2, and EB–3 amendments can be found in section authority to grant parole and provides Immigrant Workers and Program 102 of the Homeland Security Act of DHS with regulatory authority to Improvements Affecting Highly-Skilled 2002, Public Law 107–296, 116 Stat. establish terms and conditions for H–1B Nonimmigrant Workers 2135, 6 U.S.C. 112, and section 103(a) parole once authorized. of the Immigration and Nationality Act Alternatives: Priority: Economically Significant. Major under 5 U.S.C. 801. (INA), 8 U.S.C. 1103(a), which authorize Anticipated Cost and Benefits: DHS the Secretary to administer and enforce estimates the costs of the rule are Legal Authority: 6 U.S.C. 112; 8 U.S.C. the immigration and nationality laws. In directly linked to the application fee 1154 and 1155; 8 U.S.C. 1184; 8 U.S.C. pertinent part, ACWIA authorized the and opportunity costs associated with 1255; 8 U.S.C. 1324a Secretary to impose a fee on certain H– requesting significant public benefit CFR Citation: 8 CFR 204 to 205; 8 1B petitioners which would be used to parole. DHS does not estimate there will U.S.C. 214; 8 CFR 245; 8 CFR 274a. train American workers, and AC21 be any negative impacts to the U.S. Legal Deadline: None. provides authority to increase access to economy as a result of this rule. Abstract: In December 2015, the foreign workers as well as to train U.S. Economic benefits can be expected from Department of Homeland Security workers. In addition, section this rule, because some number of new (DHS) proposed to amend its regulations 274A(h)(3)(B) of the INA, 8 U.S.C. ventures and research endeavors will be affecting certain employment-based 1324a(h)(3)(B), recognizes the conducted in the United States that immigrant and nonimmigrant Secretary’s authority to extend otherwise would not. It is reasonable to classifications. This rule proposes to employment to noncitizens in the assume that investment and research amend current regulations to provide United States, and section 205 of the spending on new firms associated with stability and job flexibility for the INA, 8 U.S.C. 1155, recognizes the this proposed rule will directly and beneficiaries of approved employment- Secretary’s authority to exercise indirectly benefit the U.S. economy and based immigrant visa petitions while discretion in determining the job creation. In addition, innovation and they wait to become lawful permanent revocability of any petition approved by research and development spending are residents. DHS is also proposing to him under section 204 of the INA. likely to generate new patents and new conform its regulations with the Alternatives: The alternative would be technologies, further enhancing American Competitiveness in the to continue under current procedures innovation. Some portion of the Twenty-First Century Act of 2000 without change. immigrant entrepreneurs likely to be (AC21) as amended by the Twenty-First Anticipated Cost and Benefits: The attracted to this parole program may Century Department of Justice proposed amendments would increase develop high impact firms that can be Appropriations Authorization Act (the the incentive of highly-skilled and other expected to contribute 21st Century DOJ Appropriations Act), foreign workers who have begun the disproportionately to job creation. as well as the American immigration process to remain in and Risks: Timetable: Competitiveness and Workforce contribute to the U.S. economy as they Improvement Act of 1998 (ACWIA). The complete the process to adjust status to Action Date FR Cite rule also seeks to clarify several or otherwise acquire lawful permanent interpretive questions raised by ACWIA resident status, thereby minimizing NPRM ...... 08/31/16 81 FR 60129 and AC21 regarding H–1B petitions, and disruptions to petitioning U.S. NPRM Comment 10/17/16 incorporate relevant AC21 policy employers. Attracting and retaining Period End. memoranda and an Administrative highly-skilled persons is important Final Action ...... 01/00/17 Appeals Office precedent decision, and when considering the contributions of would ensure that DHS practice is these individuals to the U.S. economy, Regulatory Flexibility Analysis consistent with them. including advances in entrepreneurial Required: No. and research and development Government Levels Affected: None. Statement of Need: This rule provides International Impacts: This regulatory needed stability and flexibility to endeavors, which are highly correlated action will be likely to have certain employment-based immigrants with overall economic growth and job international trade and investment while they wait to become lawful creation. effects, or otherwise be of international permanent residents. These Risks: interest. amendments would support U.S. Timetable: URL for More Information: employers by better enabling them to www.regulations.gov. hire and retain highly skilled and other Action Date FR Cite foreign workers. DHS proposes to URL for Public Comments: NPRM ...... 12/31/15 80 FR 81900 www.regulations.gov. accomplish this, in part, by NPRM Comment 02/29/16 Agency Contact: Kevin Cummings, implementing certain provisions of Period End. Division Chief, Business and Foreign ACWIA and AC21, as amended by the Final Rule ...... 11/00/16 Workers Division, Department of 21st Century DOJ Appropriations Act. Final Rule Effec- 01/00/17 Homeland Security, U.S. Citizenship The 21st Century DOJ Appropriations tive. and Immigration Services, Office of Authorization Act, which will impact Policy and Strategy, 20 Massachusetts certain foreign nationals seeking Regulatory Flexibility Analysis Avenue NW., Washington, DC 20529, permanent residency in the United Required: Yes. Phone: 202 272–8377, Fax: 202 272– States, as well as H–1B workers. Small Entities Affected: Businesses, 1480, Email: kevin.j.cummings@ Further, by clarifying interpretive Organizations. uscis.dhs.gov. questions related to these provisions, Government Levels Affected: None.
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International Impacts: This regulatory proposes to implement these legislative DHS—USCG action will be likely to have mandates, would exercise no Coast Final Rule Stage international trade and investment Guard regulatory discretion, and would effects, or otherwise be of international promote the Coast Guard’s maritime 62. Seafarers’ Access to Maritime interest. safety mission. Facilities Additional Information: 1615–AB97 Summary of Legal Basis: Priority: Other Significant. Alternatives: will be merged under this rule, 1615– Legal Authority: 33 U.S.C. 1226; 33 Anticipated Cost and Benefits: We AC05. U.S.C. 1231; Pub. L. 111–281, sec. 811 estimate that, as a result of this URL for More Information: CFR Citation: 33 CFR 101.112(b); 33 rulemaking, owners and operators of www.regulations.gov. CFR 105.200; 33 CFR 105.237; 33 CFR URL for Public Comments: certain commercial fishing vessels 105.405. www.regulations.gov. would incur additional annualized Legal Deadline: None. Agency Contact: Kevin Cummings, costs, discounted at 7 percent, of $34.2 Abstract: This regulatory action will Division Chief, Business and Foreign million. We estimate the annualized implement section 811 of the Coast Workers Division, Department of cost, discounted at 7 percent, to Guard Authorization Act of 2010 (Pub. Homeland Security, U.S. Citizenship government of $5.4 million, for a total L. 111–281), which requires the owner/ and Immigration Services, Office of annualized cost of $39.7 million. For operator of a facility regulated by the Policy and Strategy, 20 Massachusetts commercial fishing vessels that operate Coast Guard under the Maritime Avenue NW., Washington, DC 20529, beyond 3 nautical miles, the cost of this Transportation Security Act of 2002 Phone: 202 272–8377, Fax: 202 272– rulemaking would involve provisions (Pub. L. 107–295) (MTSA) to provide a 1480, Email: kevin.j.cummings@ for carriage of survival craft, system that enables seafarers and certain uscis.dhs.gov. recordkeeping of lifesaving and fire other individuals to transit between Related RIN: Related to 1615–AB97 equipment maintenance, and dockside vessels moored at the facility and the RIN: 1615–AC05 safety examinations once every 5 years. facility gate in a timely manner at no Also, certain newly built commercial cost to the seafarer or other individual. fishing vessels would have to undergo Ensuring that such access through a survey and classification. We believe DHS—U.S. COAST GUARD (USCG) facility is consistent with the security that the rule based on Congressional requirements in MTSA is part of the Proposed Rule Stage mandates will address a wide range of Coast Guard’s Ports, Waterways, and causes of commercial fishing vessel 61. Commercial Fishing Vessels— Coastal Security (PWCS) mission. Implementation of 2010 and 2012 accidents and supports the main goal of Statement of Need: The Coast Guard’s Legislation improving safety and survivability in final rule would require each owner or the commercial fishing industry. The Priority: Other Significant. operator of a facility regulated by the primary benefit of the proposed rule is Coast Guard to implement a system that Legal Authority: Pub. L. 111–281 an increase in safety and a resulting CFR Citation: 46 CFR 28; 46 CFR 42. provides seafarers and other individuals decrease in the risk of accidents and Legal Deadline: Other, Statutory, with access between vessels moored at their consequences, primarily fatalities. CGAA 2010 Requirements in effect the facility and the facility gate, in a We estimate an annualized benefit of since 10/15/2010. timely manner and at no cost to the Abstract: The Coast Guard proposes to $7.1 to $9.4 million from this rule, seafarer or other individual. Generally, implement those requirements of 2010 discounted at 7 percent. transiting through a facility is the only Risks: and 2012 legislation that pertain to way that a seafarer or other individual Timetable: uninspected commercial fishing can egress to shore beyond the facility industry vessels and that took effect Action Date FR Cite to access basic shoreside businesses and upon enactment of the legislation but services, and meet with family members that, to be implemented, require NPRM ...... 06/21/16 81 FR 40437 and other personnel that do not hold a amendments to Coast Guard regulations NPRM Comment 08/15/16 81 FR 53986 Transportation Worker Identification affecting those vessels. The applicability Period Ex- Credential. This proposed rule would of the regulations is being changed, and tended. help to ensure that no facility owner or new requirements are being added to NPRM Comment 10/19/16 operator denies or makes it impractical safety training, equipment, vessel Period End. for seafarers or other individuals to Second NPRM 12/18/16 examinations, vessel safety standards, Comment Pe- transit through the facility, and would the documentation of maintenance, and riod End. require them to document their access the termination of unsafe operations. procedures in their Facility Security This rulemaking promotes the Coast Regulatory Flexibility Analysis Plans. This final rule would implement Guard’s maritime safety mission. Required: Yes. section 811 of the Coast Guard Statement of Need: The Coast Guard Small Entities Affected: Businesses. Authorization Act of 2010. proposes to align its commercial fishing Government Levels Affected: None. Summary of Legal Basis: industry vessel regulations with the Additional Information: Docket ID Alternatives: mandatory provisions of 2010 and 2012 USCG–2012–0025. Anticipated Cost and Benefits: We legislation passed by Congress that took Agency Contact: Jack Kemerer, Project estimate that, as a result of this effect upon enactment. The alignments Manager, CG–CVC–3, Department of rulemaking, owners or operators of a would change the applicability of Homeland Security, U.S. Coast Guard, facility regulated by the Coast Guard current regulations, and add new 2703 Martin Luther King Jr. Avenue SE., would incur additional annualized requirements for safety equipment, STOP 7501, Washington, DC 20593– costs, discounted at 7 percent, of $2.82 vessel examinations, vessel safety 7501, Phone: 202 372–1249, Email: million. We estimate the annualized standards, the documentation of [email protected]. cost, discounted at 7 percent, to maintenance, and the termination of Related RIN: Related to 1625–AA77 government of $8,000 for a total unsafe operations. This rule only RIN: 1625–AB85 annualized cost of $2.83 million.
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Owners and operators of a facility Advance Screening (ACAS) program. Costs of this program to carriers include regulated by the Coast Guard will incur ACAS would require the submission of one-time costs to upgrade systems to costs to implement a system that certain advance electronic information facilitate transmission of these data to provides seafarers and other individuals for air cargo. This will allow CBP to CBP and recurring per transmission with access between the shore and better target and identify dangerous costs. Benefits of the program include vessels moored at the facility. We cargo and ensure that any risk improved security that will result from believe that the rule based on associated with such cargo is mitigated having these data further in advance. Congressional mandates will provide before the aircraft departs for the United Risks: access through facilities for an average States. CBP, in conjunction with Timetable: of 907 seafarers and other covered Transportation Security Administration, individuals that were otherwise denied has been operating ACAS as a voluntary Action Date FR Cite access annually, thus ensuring the pilot program since 2010 and would like NPRM ...... 12/00/16 safety, health and welfare of seafarers. to implement ACAS as a regulatory The rule will also reduce regulatory program. Regulatory Flexibility Analysis uncertainty by harmonizing regulations Statement of Need: DHS has Required: Undetermined. with Sec. 811 of Pub. L. 111281 and identified an elevated risk associated Government Levels Affected: conforms to the intent of the ISPS Code. with cargo being transported to the Undetermined. Risks: United States by air. This rule will help International Impacts: This regulatory Timetable: address this risk by giving DHS the data it needs to improve targeting of the action will be likely to have Action Date FR Cite cargo prior to takeoff. international trade and investment Summary of Legal Basis: The Trade effects, or otherwise be of international NPRM ...... 12/29/14 79 FR 77981 Act of 2002 authorizes CBP to interest. NPRM Comment 05/27/15 80 FR 30189 promulgate regulations providing for the Agency Contact: Craig Clark, Program Period Re- mandatory transmission of electronic Manager, Vessel Manifest & Importer opened. cargo information by way of a CBP- Security Filing, Office of Cargo and NPRM Comment 07/01/15 approved electronic data interchange Conveyance Security, Department of Period End. Homeland Security, U.S. Customs and Final Rule ...... 08/00/17 (EDI) system before the cargo is brought into or departs the United States by any Border Protection, 1300 Pennsylvania Regulatory Flexibility Analysis mode of commercial transportation. Avenue NW., Washington, DC 20229, Required: Yes. Under the Trade Act, the required cargo Phone: 202 344–3052, Email: Small Entities Affected: Businesses. information is that which is reasonably [email protected]. Government Levels Affected: None. necessary to ensure cargo safety and RIN: 1651–AB04 Additional Information: Includes security pursuant to the laws enforced Retrospective Review under Executive and administered by CBP. Order 13563. Alternatives: In addition to the DHS—USCBP URL for More Information: proposed rule, CBP analyzed two www.regulations.gov. alternatives—Requiring the data Final Rule Stage elements to be transmitted to CBP URL for Public Comments: 64. Definition of Form I–94 To Include further in advance than the proposed www.regulations.gov. Electronic Format Agency Contact: LCDR Kevin rule requires; and requiring fewer data McDonald, Project Manager, Department elements. CBP concluded that the Priority: Other Significant. of Homeland Security, U.S. Coast proposal rule provides the most Legal Authority: 8 U.S.C. 1101; 8 Guard, 2703 Martin Luther King, Jr. favorable balance between security U.S.C. 1103; 8 U.S.C. 1201; 8 U.S.C. Avenue SE., Commandant (CG–FAC–2), outcomes and impacts to air 1301; 8 U.S.C. 1303 to 1305; 5 U.S.C. STOP 7501, Washington, DC 20593– transportation. 301; Pub. L. 107–296, 116 stat 2135; 6 7501, Phone: 202 372–1168, Email: Anticipated Cost and Benefits: To U.S.C. 1 et seq. [email protected]. improve CBP’s risk assessment and CFR Citation: 8 CFR 1.4; 8 CFR RIN: 1625–AC15 targeting capabilities and to enable CBP 264.1(b). to target and identify risk cargo prior to Legal Deadline: None. departure of the aircraft to the United Abstract: The Form I–94 is issued to States, ACAS would require the certain aliens upon arrival in the United DHS—U.S. CUSTOMS AND BORDER submission of certain of the advance States or when changing status in the PROTECTION (USCBP) electronic information for air cargo United States. The Form I–94 is used to Proposed Rule Stage earlier in the process. In most cases, the document arrival and departure and information would have to be submitted provides evidence of the terms of 63. Air Cargo Advance Screening as early as practicable, but no later than admission or parole. Customs and (ACAS) prior to the loading of cargo onto an Border Protection (CBP) is transitioning Priority: Other Significant. aircraft at the last foreign port of to an automated process whereby it will Legal Authority: 19 U.S.C. 2071 note departure to the United States. CBP, in create a Form I–94 in an electronic CFR Citation: 19 CFR 122. conjunction with TSA, has been format based on passenger, passport, Legal Deadline: None. operating ACAS as a voluntary pilot and visa information currently obtained Abstract: U.S. Customs and Border program since 2010. CBP believes this electronically from air and sea carriers Protection (CBP) is proposing to amend pilot program has proven successful by and the Department of State as well as the implementing regulations of the not only mitigating risks to the United through the inspection process. Prior to Trade Act of 2002 regarding the States, but also minimizing costs to the this rule, the Form I–94 was solely a submission of advance electronic private sector. As such, CBP is paper form that was completed by the information for air cargo and other proposing to transition the ACAS pilot alien upon arrival. After the provisions to provide for the Air Cargo program into a permanent program. implementation of the Advance
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Passenger Information System (APIS) write the Form I–94 number on each would range from $110.7 million to following 9/11, CBP began collecting paper Form I–94 so that their paper $155.6 million, with a primary estimate information on aliens traveling by air or form matches the electronic record. As of benefits equal to $129.5 million. sea to the United States electronically noted in the analysis, 25.1 percent of Overall, this rule results in substantial from carriers in advance of arrival. For aliens are non-B–1/B–2 travelers. Filling cost savings (benefits) for foreign aliens arriving in the United States by out and processing this many paper travelers, carriers, and CBP. CBP air or sea, CBP obtains almost all of the Forms I–94 at airports and seaports anticipates a net benefit in 2013 of information contained on the paper would increase processing times between $59.7 million and $98.7 Form I–94 electronically and in advance considerably. At the same time, it would million for foreign travelers, $1.3 via APIS. The few fields on the Form I– only provide a small savings to the million for carriers, and $15.5 million 94 that are not collected via APIS are individual traveler. for CBP. Net benefits to U.S. entities either already collected by the Anticipated Cost and Benefits: With Department of State and transmitted to (carriers and CBP) in 2013 total $16.8 the implementation of this rule, CBP million. CBP anticipates the total net CBP or can be collected by the CBP will no longer collect Form I–94 officer from the individual at the time benefits to both domestic and foreign information as a matter of course entities in 2013 range from $76.5 of inspection. This means that CBP no directly from aliens traveling to the longer needs to collect Form I–94 million to $115.5 million. In our United States by air or sea. Instead, CBP primary analysis, the total net benefits information as a matter of course will create an electronic Form I–94 for are $92.8 million in 2013. For the directly from aliens traveling to the foreign travelers based on the primary estimate, annualized net United States by air or sea. At this time, information in its databases. This rule the automated process will apply only makes the necessary changes to the benefits range from $78.1 million to to aliens arriving at air and sea ports of regulations to enable CBP to transition $80.0 million, depending on the entry. to an automated process. Both CBP and discount rate used. More information on Statement of Need: This rule makes aliens would bear costs as a result of costs and benefits can be found in the the necessary changes to the regulations this rule. CBP would bear costs to link interim final rule. to enable CBP to transition to an its data systems and to build a Web site automated process whereby CBP will Risks: N/A. so aliens can access their electronic create an electronic Form I–94 based on Timetable: Forms I–94. CBP estimates that the total the information in its databases. Summary of Legal Basis: Section cost for CBP to link data systems, Action Date FR Cite 103(a) of the Immigration and develop a secure Web site, and fully Nationality Act (INA) generally automate the Form I–94 fully will equal Interim Final Rule 03/27/13 78 FR 18457 authorizes the Secretary of Homeland about $1.3 million in calendar year Interim Final Rule 04/26/13 Security to establish such regulations 2012. CBP will incur costs of $0.09 Comment Pe- and prescribe such forms of reports, million in subsequent years to operate riod End. entries, and other papers necessary to and maintain these systems. Aliens Interim Final Rule 04/26/13 Effective. carry out his or her authority to arriving as diplomats and students Final Action ...... 12/00/16 administer and enforce the immigration would bear costs when logging into the and nationality laws and to guard the Web site and printing electronic I–94s. borders of the United States against The temporary workers and aliens in the Regulatory Flexibility Analysis illegal entry of aliens. ‘‘Other/Unknown’’ category bear costs Required: No. Alternatives: CBP considered two when logging into the Web site, Government Levels Affected: None. alternatives to this rule: Eliminating the traveling to a location with public paper Form I–94 in the air and sea Internet access, and printing a paper International Impacts: This regulatory environments entirely and providing the copy of their electronic Form I–94. action will be likely to have paper Form I–94 to all travelers who are Using the primary estimate for a international trade and investment not B–1/B–2 travelers. Eliminating the traveler’s value of time, aliens would effects, or otherwise be of international paper Form I–94 option for refugees, bear costs between $36.6 million and interest. applicants for asylum, parolees, and $46.4 million from 2013 to 2016. Total Additional Information: Includes those travelers who request one would costs for this rule for 2013 would range Retrospective Review under E.O. 13563. not result in a significant cost savings to from $34.2 million to $40.1 million, URL for More Information: CBP and would harm travelers who with a primary estimate of costs equal have an immediate need for an to $36.7 million. CBP, carriers, and www.regulations.gov. electronic Form I–94 or who face foreign travelers would accrue benefits URL for Public Comments: obstacles to accessing their electronic as a result of this rule. CBP would save www.regulations.gov. Form I–94. A second alternative to the contract and printing costs of $15.6 Agency Contact: Suzanne Shepherd, rule is to provide a paper Form I–94 to million per year of our analysis. Carriers Director, Electronic System for Travel any travelers who are not B–1/B–2 would save a total of $1.3 million in Authorization, Department of Homeland travelers. Under this alternative, printing costs per year. All aliens would Security, U.S. Customs and Border travelers would receive and complete save the eight-minute time burden for Protection, 1300 Pennsylvania Avenue the paper Form I–94 during their filling out the paper Form I–94 and NW., Washington, DC 20229, Phone: inspection when they arrive in the certain aliens who lose the Form I–94 202 344–2073, Email: United States. The electronic Form I–94 would save the $330 fee and 25-minute would still be automatically created time burden for filling out the Form I– [email protected]. during the inspection, but the CBP 102. Using the primary estimate for a RIN: 1651–AA96 officer would need to verify that the traveler’s value of time, aliens would information appearing on the form obtain benefits between $112.6 million matches the information in CBP’s and $141.6 million from 2013 to 2016. systems. In addition, CBP would need to Total benefits for this rule for 2013
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DHS—TRANSPORTATION SECURITY within the United States and to reduce Legal Deadline: Final, Statutory, ADMINISTRATION (TSA) the vulnerability of the United States to November 1, 2007, Interim Rule for terrorism. By providing for vulnerability public transportation agencies is due 90 Prerule Stage assessments and security planning of days after date of enactment. 65. Surface Transportation higher-risk surface transportation Final, Statutory, August 3, 2008, Rule Vulnerability Assessments and Security operations, TSA intends in this for public transportation agencies is due Plans rulemaking to reduce the risk of a one year after date of enactment. Final, Statutory, February 3, 2008, Priority: Other Significant. Major terrorist attack on this transportation Rule for railroads and over-the-road status under 5 U.S.C. 801 is sector. buses is due six months after date of undetermined. Timetable: Legal Authority: 49 U.S.C. 114; Pub. L. enactment. According to sec. 1408 of Pub. L. 110– 110–53, secs. 1405, 1512, and 1531 Action Date FR Cite 53, Implementing Recommendations of CFR Citation: 49 CFR 1520; 49 CFR ANPRM ...... 12/00/16 1570; 49 CFR 1580; 49 CFR 1582 (new); the 9/11 Commission Act of 2007 (9/11 Act), (121 Stat. 266, Aug. 3, 2007), 49 CFR 1584 (new); . . . Regulatory Flexibility Analysis Legal Deadline: Final, Statutory, interim final regulations for public Required: Undetermined. transportation agencies are due 90 days August 3, 2008, Rule for freight Small Entities Affected: Businesses. railroads and passenger railroads is due after the date of enactment (Nov. 1, Government Levels Affected: Local. 2007), and final regulations are due 1 no later than 12 months after date of Federalism: Undetermined. enactment. URL for More Information: year after the date of enactment. Final, Statutory, February 3, 2009, www.regulations.gov. According to sec. 1517 of the 9/11 Act, Rule for over-the-road buses is due no URL for Public Comments: final regulations for railroads and over- later than 18 months after the date of www.regulations.gov. the-road buses are due no later than 6 enactment of the 9/11 Act. Agency Contact: Chandru (Jack) Kalro, months after the date of enactment. According to sec. 1512 of Pub. L. 110– Deputy Director, Surface Division, Abstract: This rule would require 53, Implementing Recommendations of Office of Security Policy and Industry security awareness training for front- the 9/11 Commission Act of 2007 (9/11 Engagement, Department of Homeland line employees for potential terrorism- Act), (121 Stat. 266, Aug. 3, 2007), a Security, Transportation Security related security threats and conditions final regulation for freight railroads and Administration, 601 South 12th Street, pursuant to the 9/11 Act. This rule passenger railroads is due no later than Arlington, VA 20598–6028, Phone: 571 would apply to higher-risk public 12 months after the date of enactment. 227–1145, Fax: 571 227–2935, Email: transportation, freight rail, and over-the- According to sec. 1531 of the 9/11 Act, [email protected]. road bus owner/operators and take into a final regulation for over-the-road buses Alex Moscoso, Lead Economist, consideration the many actions higher- is due no later than 18 months after the Economic Analysis Branch—Cross risk owner/operators have already taken date of enactment. Modal Division, Department of since 9/11 to enhance the baseline of Abstract: The Transportation Security Homeland Security, Transportation security through training of their Administration (TSA) will propose a Security Administration, Office of employees. The rulemaking will also new regulation to address the security of Security Policy and Industry propose extending security coordinator higher-risk freight railroads, public Engagement, 601 South 12th Street, and reporting security incident transportation agencies, passenger Arlington, VA 20598–6028, Phone: 571 requirements applicable to rail operators railroads, and over-the-road buses in 227–5839, Email: alex.moscoso@ under current 49 CFR part 1580 to the accordance with requirements of the tsa.dhs.gov. non-rail transportation components of Implementing Recommendations of the Traci Klemm, Assistant Chief Counsel covered public transportation agencies 9/11 Commission Act of 2007 (9/11 for Regulations and Security Standards, and over-the-road buses. Act). The regulation will take into Department of Homeland Security, Statement of Need: Employee training consideration any current security Transportation Security Administration, is an important and effective tool for assessment and planning requirements Office of the Chief Counsel, 601 South averting or mitigating potential attacks or best practices. 12th Street, Arlington, VA 20598–6002, by those with malicious intent who may Statement of Need: Vulnerability Phone: 571 227–3596, Email: target surface transportation and plan or assessments and security planning are [email protected]. perpetrate actions that may cause important and effective tools for Related RIN: Related to 1652–AA55, significant injuries, loss of life, or averting or mitigating potential attacks Merged with 1652–AA58, Merged with economic disruption. by those with malicious intent that may 1652–AA60 Summary of Legal Basis: 49 U.S.C. target surface transportation and plan or RIN: 1652–AA56 114; sections 1402, 1408, 1501, 1517, perpetrate actions that may cause 1531, and 1534 of Pub. L. 110–53, significant injuries, loss of life, or Implementing Recommendations of the economic disruption. 9/11 Commission Act of 2007 (Aug. 3, Summary of Legal Basis: 49 U.S.C. DHS—TSA 2007; 121 Stat. 266). 114; sections 1405, 1512, and 1531 of Proposed Rule Stage Alternatives: TSA is required by Pub. L. 110–53, Implementing statute to publish regulations requiring Recommendations of the 9/11 66. Security Training for Surface security training programs for these Commission Act of 2007 (121 Stat. 266, Transportation Employees owner/operators. As part of its notice of Aug. 3, 2007). Priority: Other Significant. proposed rulemaking, TSA will seek Alternatives: Legal Authority: 49 U.S.C. 114; Pub. L. public comment on the alternative ways Anticipated Cost and Benefits: TSA is 110–53, secs. 1402, 1408, 1501, 1517, in which the final rule could carry out in the process of determining the costs 1531, and 1534 the requirements of the statute. and benefits of this rulemaking. CFR Citation: 49 CFR 1500; 49 CFR Anticipated Cost and Benefits: Risks: The Department of Homeland 1520; 49 CFR 1570; 49 CFR 1580; 49 Owner/operators would incur costs Security aims to prevent terrorist attacks CFR 1582 (new); 49 CFR 1584 (new). training their employees, developing a
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training plan, maintaining training Office of the Chief Counsel, 601 South target surface transportation and plan or records, and participating in inspections 12th Street, Arlington, VA 20598–6002, perpetrate actions that may cause for compliance. Some owner/operators Phone: 571 227–3596, Email: significant injuries, loss of life, or would also incur additional costs [email protected]. economic disruption. Related RIN: Related to 1652–AA56, associated with assigning security Summary of Legal Basis: coordinators and reporting significant Merged with 1652–AA57, Merged with security incidents to TSA. TSA would 1652–AA59 Alternatives: incur costs associated with reviewing RIN: 1652–AA55 Anticipated Cost and Benefits: TSA is owner/operators’ training plans, in the process of determining the costs registering owner/operators’ security and benefits of this rulemaking. coordinators, responding to owner/ Risks: operators’ reported significant security DHS—TSA incidents, and conducting inspection for 67. • Vetting of Certain Surface Timetable: compliance with this rule. As part of Transportation Employees Action Date FR Cite TSA’s risk-based security, benefits Priority: Other Significant. Major include mitigating potential attacks by status under 5 U.S.C. 801 is NPRM ...... 09/00/17 heightening awareness of employees on undetermined. the frontline. In addition, by designating Unfunded Mandates: Undetermined. Regulatory Flexibility Analysis security coordinators and reporting Legal Authority: Pub. L. 110–53, secs significant security concerns to TSA, 1411, 1414, 1512, 1520, 1522, and 1531 Required: Undetermined. TSA has a direct line for communicating CFR Citation: Not Yet Determined. Government Levels Affected: threats and receiving information Legal Deadline: Other, Statutory, Undetermined. necessary to analyze trends and August 3, 2008, Background and potential threats across all modes of URL for More Information: immigration status check for all public www.regulations.gov. transportation. transportation frontline employees is Risks: The Department of Homeland due no later than 12 months after date URL for Public Comments: Security aims to prevent terrorist attacks of enactment. www.regulations.gov. within the United States and to reduce Other, Statutory, August 3, 2008, Agency Contact: Chandru (Jack) Kalro, the vulnerability of the United States to Background and immigration status Deputy Director, Surface Division, terrorism. By providing for security check for all railroad frontline Office of Security Policy and Industry training for personnel, TSA intends in employees is due no later than 12 Engagement, Department of Homeland this rulemaking to reduce the risk of a months after date of enactment. Security, Transportation Security terrorist attack on this transportation Sections 1411 and 1520 of Pub. L. Administration, 601 South 12th Street, sector. 110–53, Implementing Timetable: Arlington, VA 20598–6028, Phone: 571 Recommendations of the 9/11 227–1145, Fax: 571 227–2935, Email: Commission Act of 2007 (9/11 Act), [email protected]. Action Date FR Cite (121 Stat. 266, Aug. 3, 2007), require background checks of frontline public Michael J. Pickford, Lead Economist, NPRM ...... 11/00/16 Economic Analysis Branch—Cross NPRM Comment 02/00/17 transportation and railroad employees Period End. not later than 1 year from the date of Modal Division, Department of enactment. Requirement will be met Homeland Security, Transportation Regulatory Flexibility Analysis through regulatory action. Security Administration, Office of Required: Yes. Abstract: The Implementing Security Policy and Industry Small Entities Affected: Businesses. Recommendations of the 9/11 Engagement, 601 South 12th Street, Government Levels Affected: Local. Commission Act of 2007 (9/11 Act) Arlington, VA 20598–6028, Phone: 571 Agency Contact: Chandru (Jack) Kalro, requires vetting of certain railroad, 227–2268, Email: Deputy Director, Surface Division, public transportation, and over-the-road [email protected]. Office of Security Policy and Industry bus employees. Through this Laura Gaudreau, Attorney—Advisor, Engagement, Department of Homeland rulemaking, the Transportation Security Regulations and Security Standards, Security, Transportation Security Administration (TSA) intends to Department of Homeland Security, Administration, 601 South 12th Street, propose the mechanisms and Transportation Security Administration, Arlington, VA 20598–6028, Phone: 571 procedures to conduct this required 227–1145, Fax: 571 227–2935, Email: vetting. TSA previously intended to Office of the Chief Counsel, 601 South [email protected]. include vetting requirements for these 12th Street, Arlington, VA 20598–6002, Alex Moscoso, Lead Economist, populations in a related rulemaking Phone: 571 227–1088, Fax: 571 227– Economic Analysis Branch—Cross called Standardized Vetting, 1378, Email: Modal Division, Department of Adjudication, and Redress Services [email protected]. Homeland Security, Transportation (SVAR). However, TSA now plans to Related RIN: Split from 1652–AA61, Security Administration, Office of proceed with a separate rulemaking in Related to 1652–AA55 Security Policy and Industry order to provide vetting more RIN: 1652–AA69 Engagement, 601 South 12th Street, expediently for these populations. This Arlington, VA 20598–6028, Phone: 571 regulation is related to 1652–AA55, 227–5839, Email: alex.moscoso@ Security Training for Surface tsa.dhs.gov. Transportation Employees. Traci Klemm, Assistant Chief Counsel Statement of Need: Employee vetting for Regulations and Security Standards, is an important and effective tool for Department of Homeland Security, averting or mitigating potential attacks Transportation Security Administration, by those with malicious intent who may
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DHS—U.S. IMMIGRATION AND • Section 641 of the Illegal Agency Contact: Molly Stubbs, ICE CUSTOMS ENFORCEMENT (USICE) Immigration Reform and Immigrant Regulatory Coordinator, Department of Responsibility Act of 1996, 8 U.S.C. Homeland Security, U.S. Immigration Proposed Rule Stage 1372, which authorized the following: and Customs Enforcement, Office of the 68. Eligibility Checks of Nominated and • Creation of a program to collect Director, PTN—Potomac Center North, Current Designated School Officials of current and ongoing information 500 12th Street SW., Washington, DC Schools That Enroll F and M provided by schools and EVP sponsors 20536, Phone: 202 732–6202, Email: Nonimmigrant Students and of regarding F, J, or M nonimmigrants [email protected]. Exchange Visitor Program-Designated during their stays in the United States; Katherine H. Westerlund, Acting Unit Sponsors of J Nonimmigrants • Use of electronic reporting Chief, SEVP Policy, Student and technology where practicable; and Priority: Other Significant. Major Exchange Visitor Program, Department • DHS certification of schools to status under 5 U.S.C. 801 is of Homeland Security, U.S. Immigration participate in F–1 or M–1 student undetermined. and Customs Enforcement, Potomac enrollment. Legal Authority: 8 U.S.C. 1101; 8 Center North, STOP 5600, 500 12th • Homeland Security Presidential U.S.C. 1102; 8 U.S.C. 1003 Street SW., Washington, DC 20536– Directive No. 2 (HSPD–2), Combating CFR Citation: 8 CFR 214.3. 5600, Phone: 703 603–3400, Email: Legal Deadline: None. Terrorism Through Immigration [email protected]. Abstract: The rule would improve the Policies, which, following the USA Brad Tuttle, Attorney Advisor, capability of the Student and Exchange PATRIOT Act, requires DHS to conduct Department of Homeland Security, U.S. Visitor Program (SEVP) to oversee periodic reviews of all institutions Immigration and Customs Enforcement, access to the Student and Exchange certified to receive nonimmigrant 500 12th Street SW., Washington, DC Visitor Information System (SEVIS) for students and exchange visitor program 20536, Phone: 202 732–5000, Email: designated school officials (DSOs) at students that include checks for [email protected]. schools certified to enroll F and M compliance with recordkeeping and RIN: 1653–AA71 nonimmigrant students and for reporting requirements, and authorizes responsible officers (ROs) and alternate termination of certification for responsible officers (AROs) that oversee institutions that fail to comply. See 37 Weekly Comp. Pres. Docs. 1570, 1571– DHS—FEDERAL EMERGENCY designated sponsors’ J nonimmigrant MANAGEMENT AGENCY (FEMA) participants in exchange programs. 72 (October 29, 2001). • Section 502 of the Enhanced Border Establishment of an eligibility check Final Rule Stage Security and Visa Entry Reform Act of process for certain officials would 2002, 8 U.S.C. 1762, which directs DHS 69. Updates to Floodplain Management improve oversight prior to permitting to review compliance with and Protection of Wetlands Regulations access to SEVIS and prior to recordkeeping and reporting To Implement Executive Order 13690 appointment or continued eligibility as requirements under 8 U.S.C. 1372 and and the Federal Flood Risk such an official. This rule would better INA section 101(a)(15)(F), (J) and (M), 8 Management Standard position DHS to identify, intervene and U.S.C. 1101(a)(15)(F), (J) and (M), of all prevent possible criminal activities or Priority: Other Significant. schools approved to receive F, J or M threats to national security that could Legal Authority: E.O. 11988, as nonimmigrants within two years of result from non-compliance. amended; E.O. 13690 Statement of Need: The rule would enactment and every two years CFR Citation: 44 CFR 9. strengthen the mechanism for approving thereafter. Legal Deadline: None. Alternatives: user access to SEVIS. DHS, as well as Abstract: The Federal Emergency Anticipated Cost and Benefits: DHS is the Department of State (DOS), rely on Management Agency (FEMA) proposes in the process of determining the costs principal designated school officials, to amend its regulations at 44 CFR part and benefits which would be incurred designated school officials, responsible 9 ‘‘Floodplain Management and by regulated individuals with access to officers, and alternate responsible Protection of Wetlands’’ to implement SEVIS, as well as the costs and benefits officers (collectively, P/DSOs P/DSOs Executive Order 13690, which to DHS and DOS, to comply with the and ROs/AROs) as key links in the establishes the Federal Flood Risk requirements of this rule. The rule process to mitigate potential threats to Management Standard (FFRMS). 44 CFR would impose new vetting requirements national security and ensure compliance part 9 describes FEMA’s process for for individuals prior to permitting with immigration law from aliens determining whether the proposed access to SEVIS or continued eligibility admitted into the United States in F, J, location for an action falls within a for such access, which include an or M nonimmigrant status. Through this floodplain. In addition, for those application process for the individuals rule, DHS would require that anyone projects that would fall within a and an approval process for DHS and nominated to serve as a P/DSO or RO/ floodplain, part 9 describes FEMA’s DOS. The primary benefit of this rule ARO receive a favorable SEVIS Access framework for deciding whether and would be to reduce the potential for Approval Process (SAAP) assessment how to complete the action in the fraud. floodplain, in light of the risk of prior to their appointment and Risks: subsequent approval for access to Timetable: flooding. Consistent with Executive SEVIS. Order 13690 and the FFRMS, the Summary of Legal Basis: Action Date FR Cite proposed rule would change how FEMA • Sections 101(a)(15)(F), (J) and (M), defines a ‘‘floodplain’’ with respect to of the Immigration and Nationality Act NPRM ...... 04/00/17 certain actions. Additionally, under the of 1952, as amended (INA) 8 U.S.C. proposed rule, FEMA would use natural 1101(a)(15)(F), (J) and (M), which Regulatory Flexibility Analysis systems, ecosystem process, and nature- establish the F–1, J–1, and M–1 Required: Undetermined. based approaches, where practicable, classifications (and associated Government Levels Affected: when developing alternatives to locating derivative classifications). Undetermined. a proposed action in the floodplain.
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Statement of Need: It is the policy of $260 billion in flood damages across the available science taking criticality into the United States to improve the Nation since 1980, it is necessary to take account, and would provide a pathway resilience of communities and Federal action to responsibly use Federal funds, to relief for those areas that experience assets against the impacts of flooding. and FEMA must ensure it does not declining flood risks. These impacts are anticipated to needlessly make repeated Federal Anticipated Cost and Benefits: The increase over time due to the effects of investments in the same structures after anticipated costs of the proposed rule climate change and other threats. Losses flooding events. In addition, the FFRMS would be from FEMA’s Individual caused by flooding affect the will help support the thousands of Assistance, Public Assistance, and environment, our economic prosperity, communities across the Country that Hazard Mitigation Assistance grant and public health and safety, each of have strengthened their State and local programs, as well as administrative which affects our national security. floodplain management codes and costs. FEMA expects minimal costs The Federal Government must take standards to ensure that infrastructure associated with its Grants Program action, informed by the best-available and other community assets are resilient Directorate and Integrated Public Alert and actionable science, to improve the to flood risk. FEMA recognizes that the Warning System programs because these Nation’s preparedness and resilience need to make structures resilient also programs do not fund new construction against flooding. Executive Order 11988 requires a flexible approach to adapt for or substantial improvement projects as of May 24, 1977, Floodplain the needs of the Federal agency, local defined in 44 CFR part 9. These projects Management; requires executive community, and the circumstances are also by nature, typically resilient departments and agencies (agencies) to surrounding each project or action. from flooding. FEMA facilities may also avoid, to the extent possible, the long- Summary of Legal Basis: be subject to additional requirements and short-term adverse impacts Alternatives: FEMA proposes to use due to the implementation of the associated with the occupancy and the FFRMS–FVA to establish the proposed rule. modification of floodplains and to avoid floodplain for non-critical actions. For FEMA estimates that the total direct or indirect support of floodplain critical actions, FEMA would allow the additional grants costs as a result of the development wherever there is a use of the FFRMS–FVA floodplain or proposed rule would be between practicable alternative. FEMA has the FFRMS–CISA, but only if the $906,696 and $7.8 million per year for implemented Executive Order 11988 elevation established under the FFRMS– FEMA and between $301,906 and $2.6 through its regulations in 44 CFR part 9. CISA is higher than the elevation million per year for grant recipients due On January 30, 2015, the President established under the FFRMS–FVA. to the increased elevation or issued Executive Order 13690, FEMA considered proposing the use floodproofing requirements of FEMA Establishing a Federal Flood Risk of the FFRMS–CISA instead of FFRMS– Federally Funded Projects. Management Standard (FFRMS) and a FVA to reflect the FFRMS’s designation In addition, FEMA expects to incur Process for Further Soliciting and of the FFRMS–CISA as the preferred some administrative costs as a result of Considering Stakeholder Input. approach and to reflect that the FFRMS– this proposed rule. FEMA estimates Executive Order 13690 amended FVA sets a general level of protection, initial training costs of around $100,000 Executive Order 11988 and established whereas FFRMS–CISA uses a more site- the first two years after the rule is the FFRMS. The FFRMS is a flexible specific approach to predict flood risk implemented, and administrative and framework to increase resilience against based on future conditions. training costs of around $16,000 per flooding and help preserve the natural FEMA also considered whether it year thereafter. values of floodplains. Under the should alter its proposal for use of the FEMA estimates that the total annual FFRMS, an agency may establish the FFRMS–CISA in relation to the FFRMS– cost of this rule after year two would be floodplain for Federally Funded Projects FVA (or FFRMS–0.2PFA). FEMA could between $6.1 million and $39.5 million. using any of the following approaches: choose a more protective approach in FEMA estimates the quantified cost of (1) Climate-Informed Science Approach which it would determine the elevations this proposed rule over the next 10 (CISA): Utilizing the best-available, established under FFRMS–CISA, years would range between $60.1 actionable hydrologic and hydraulic FFRMS–FVA and the FFRMS–0.2PFA million and $394.7 million. The present data and methods that integrate current for critical actions and only allow the value (PV) of these estimated costs using and future changes in flooding based on applicant to use the highest of the three a 7 percent discount rate would range climate science; (2) Freeboard Value elevations. This approach would ensure between $42.9 million and $277.3 Approach (FVA): Freeboard (base flood that applicants were building to the million. The PV using a 3 percent elevation + X, where X is 3 feet for most protective level, would avoid discount rate would range between critical actions and 2 feet for other potential inconsistencies with FEMA’s $52.0 million and $336.7 million. These actions); (3) 0.2 percent annual chance policy to encourage adoption of costs would be split between FEMA (75 Flood Approach (0.2 PFA): 0.2 percent freeboard standards by local percent) and recipients (25 percent) of annual chance flood (also known as the communities, and would prevent a FEMA grants in the floodplain. 500-year flood); or (4) the elevation and scenario where an applicant was FEMA anticipates that the benefits of flood hazard area that result from using allowed to build to a lower elevation the proposed rule would justify the any other method identified in an than previously required for critical costs. FEMA is has provided qualitative update to the FFRMS. actions under FEMA’s implementation benefits, including the reduction in When Executive Order 13690 was of Executive Order 11988. damage to properties and contents from issued, FEMA evaluated the application Also alternatively, FEMA could future floods, potential lives saved, of Executive Order 13690 and the choose to allow use of the FFRMS– public health and safety benefits, FFRMS with respect to its existing CISA, even if the resulting elevation is reduced recovery time from floods, and authorities and programs. The FFRMS lower than the application of the increased community resilience to establishes a flexible standard to FFRMS–FVA. This approach would give flooding. improve resilience against the impact of FEMA and its grantees more flexibility FEMA believes this proposed rule flooding to design for the intended life in implementing the standard, would would result in savings in time and of the Federal investment. FEMA enable FEMA and its grantees to build money from a reduced recovery period supports this principle. With more than to an elevation based on the best after a flood and increased safety of
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individuals. Generally, if properties are hazards outside of a home.1 HUD’s to meet higher flood risk standards. In protected, there would be less damage, Regulatory Plan for Fiscal Year (FY the United States, floods caused 4,586 resulting in less cleanup time. In 2017) focuses on two regulatory actions; deaths from 1959 to 2005. With climate addition, higher elevations help to one to address lead-based paint hazards change and associated sea-level rise, protect people, leading to increased within homes subsidized by HUD and a flooding risks have increased over time, safety. FEMA is unable to quantify these second to require that building or and are anticipated to continue benefits, but improving the resiliency of substantially rehabilitating HUD increasing. The National Climate bridges has significant qualitative subsidized homes be at new Federal Assessment (May 2014), for example, benefits, including: Protecting Flood Risk Management Standards. projects that extreme weather events, evacuation and escape routes; limiting In 2012, the Centers for Disease such as severe flooding, will persist blockages of floodwaters passing under Control and Prevention (CDC) revised throughout the 21st century. Severe the bridge that may lead to more severe its guidance on childhood lead flooding can cause significant damage to flooding upstream; and, avoiding the poisoning in response to infrastructure, including buildings, cost of replacing the bridge again if it is recommendations by CDC’s Advisory roads, ports, industrial facilities, and damaged during a subsequent flood. Committee on Childhood Lead even coastal military installations. With Any estimates of these savings would be Poisoning Prevention (ACCLPP), which more than $260 billion in flood damage dependent on the specific concluded that a growing number of across the Nation since 1980, it is circumstances and FEMA is not able to scientific studies show that even low necessary to take action to responsibly provide a numeric value on these blood lead levels can cause lifelong use Federal funds, and HUD must savings. health effects. CDC accepted this ensure it does not wastefully make Risks: recommendation. The elevated blood Federal investments in the same Timetable: lead level, established in 2012 as part of structures after repeated flooding CDC’s response to ACCLPP, is lower events. Action Date FR Cite than CDC’s former blood lead level of In response to the President’s concern. HUD’s lead-based paint hazard Executive Order, HUD commenced NPRM ...... 08/22/16 81 FR 57401 control regulations, which address lead- work on a proposed rule to revise its NPRM Comment 10/21/16 based paint hazards in pre-1978 homes regulations governing floodplain Period End. management to require, as part of the Final Rule ...... 01/00/17 subsidized by HUD are based on the CDC’s former blood lead level of decision making process established to ensure compliance with applicable Regulatory Flexibility Analysis concern. With CDC’s issuance of new guidelines, HUD recognized that it was Executive Orders 11988 and 13690, that Required: Yes. HUD assisted or financed (including Small Entities Affected: Governmental necessary to update HUD’s lead-based paint regulations. HUD commenced mortgage insurance) project involving Jurisdictions, Organizations. new construction or substantial Government Levels Affected: Federal, working to update its regulations, but in the meantime, HUD revised its own improvement that is situated in an area Local, State, Tribal. subject to floods be elevated or Additional Information: Docket ID guidelines for evaluation and control of lead-based paint hazards in housing. floodproofed between 2 and 3 feet above FEMA–2015–0006. the base flood elevation (BFE), as URL for More Information: HUD also implemented CDC’s recommended revised elevated blood determined by best available www.regulations.gov. information. The proposed rule would URL for Public Comments: lead level in its lead hazard control programs—the Lead-Based Paint Hazard also revise HUD’s Minimum Property www.regulations.gov. Standards for one-to-four unit housing Agency Contact: Kristin Fontenot, Control grant program and the Lead Hazard Reduction Demonstration grant under HUD mortgage insurance and Office of Environmental and Historic low-rent public housing programs to program—in the annual notices of Preservation, Department of Homeland require that the lowest floor in both funding availability (NOFAs) issued for Security, Federal Emergency newly constructed and substantially these programs commencing in fiscal Management Agency, 400 C Street SW., improved structures be built at least 2 Washington, DC 20472, Phone: 202 646– year 2013. On September 1, 2016, (81 FR 60304), feet above the BFE base flood elevation 2741, Email: kristin.fontenot@ as determined by best available HUD issued its proposed rule that fema.dhs.gov. information. Building to these standards would formally adopt the approach RIN: 1660–AA85 will, consistent with the executive used by CDC in its definition of elevated BILLING CODE 9110–9B–P orders, increase resiliency to flooding, blood lead level, and provides for more reduce the risk of flood loss, minimize comprehensive testing and evaluation the impact of floods on human safety, where for housing where children under health, and welfare, and promote sound, DEPARTMENT OF HOUSING AND the age of 6 with an elevated blood lead sustainable, long-term planning URBAN DEVELOPMENT level reside. informed by a more accurate evaluation On January 30, 2015, President Fall 2016 Statement of Regulatory of flood risk that takes into account Obama issued an Executive Order Priorities for Fiscal Year 2017 possible sea level rise and increased (Executive Order 12690) establishing a development associated with Introduction flood management standard (the Federal population growth. As the nation’s housing agency, HUD Flood Risk-Management Standard) that On October 28, 2016 (81 FR 74967), is committed to promoting decent will reduce the risk and cost of future HUD issued its proposed rule that affordable housing and addressing flood disasters by requiring all Federal would revises its regulations governing housing conditions that threaten the investments in and affecting floodplains floodplain management to implement health of residents. There are still too the Federal Flood Risk Management many homes in the U.S. with hazards 1 Language modeled on language from page 4 of HUD’s 2009 Healthy Homes Strategic Plan. http:// Standard. that endanger the health and safety of www.hud.gov/offices/lead/library/hhi/hh_strategic_ This Statement of Regulatory occupants—hazards within a home and plan.pdf. Priorities highlights these two rules,
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which are HUD priority actions to and formally adopt the revised Through this rulemaking, HUD complete during FY 2017. definition of ‘‘elevated blood lead intends to formally adopt, through levels’’ in children under the age of 6 in regulation, the CDC’s approach to the Regulatory Priority: Responding To accordance with guidance of CDC, and definition of ‘‘elevated blood lead Elevated Blood Lead Levels in Children establish more comprehensive testing levels’’ in children under the age of 6 Under the Age of 6 and evaluation procedures for the and addresses the additional elements Childhood lead poisoning has long housing where such children with an of the CDC guidance pertaining to been recognized as causing reduced elevated blood lead level reside. assisted housing. The final rule takes intelligence, low attention span, reading HUD intends to complete this into consideration public comments and learning disabilities, and has been rulemaking in Fiscal Year 2017. received on HUD’s September 2016 linked to juvenile delinquency, proposed rule. behavioral problems, and many other Aggregate Costs and Benefits Statement of Need: Although HUD is adverse health effects. Current reviews Executive Order 12866, as amended, already applying the CDC’s 2012 revised by the U.S. Department of Health and requires the agency to provide its best definition of elevated blood level in its Human Services (HHS), including by its estimate of the combined aggregate costs lead hazard control notices of funding Agency for Toxic Substances and and benefits of all regulations included availability and in HUD guidelines, Disease Registry (ATSDR) and National in the agency’s Regulatory Plan that will HUD’s Lead Safe Housing rule has not Institute of Environmental Health be made pursued in FY 2016. HUD yet been updated to reflect the CDC’s Sciences (NIEHS) and by the U.S. expects that the neither the total revised definition of elevated blood lead Environmental Protection Agency (EPA) economic costs nor the total efficiency levels, and to mandate adherence to this Office of Research and Development gains will exceed $100 million. definition by owners and managers of have described these effects in detail. federally-owned or -assisted pre-1978 The removal of lead-based gasoline and Requirements for Notification, housing requires rulemaking. paint from commerce has drastically Evaluation and Reduction of Lead- Alternatives: Title X of the Housing reduced the number of children exposed Based Paint Hazards in Federally and Community Development Act of to levels of lead associated with the Owned Residential Property and 1992, also known as the Residential most significant among these problems. Housing Receiving Federal Assistance; Lead-Based Paint Hazard Reduction Act Data from the CDC’s National Center for Response to Elevated Blood Lead Levels of 1992 (the Act), prescribes specific Health Statistics show that mean blood HUD Office: Office of Lead Hazard lead-based paint hazard evaluation and lead levels among children ages 1 to 5 Control and Healthy Homes. reduction activities for federally- have dropped over the years. However, Rulemaking Stage: Final Rule. supported housing. To mandate national statistics mask the fact that Priority: Significant. compliance with revised elevated blood blood lead monitoring continues to find Legal Authority: 42 U.S.C. 3535(d), lead levels procedures requires some children exposed to elevated 4821, and 4851 rulemaking. While HUD issued updated blood lead levels due to their specific CFR Citation: 24 CFR 35. guidelines in 2012 to encourage housing environment Legal Deadline: None. compliance with CDC’s revised Continued progress in lead paint Abstract: This rule will amend HUD’s guidelines on elevated blood lead levels, abatement and interim control over the lead-based paint regulations on it takes rulemaking to require last decade, such as through HUD’s reducing blood lead levels in children compliance with CDC’s revised Lead Hazard Control Grant programs, under age 6 who reside in federally- definition of elevated blood lead levels and HUD’s enforcement of the Lead owned or -assisted pre-1978 housing in federally-supported housing. Disclosure statute has meant further and formally adopt the revised Anticipated Costs and Benefits: The significant decreases in lead exposure definition of ‘‘elevated blood lead costs and benefits associated with the among children. Even so, there are a levels’’ in children under the age of 6 in units affected during the first year of considerable number of assisted housing accordance with 2012 CDC guidance, hazard evaluation and reduction units that have lead-based paint in and establish more comprehensive activities under the final rule include which children under age 6 reside. In testing and evaluation procedures for the present value of future benefits 2012, the CDC issued guidance revising the housing where such children with associated with first year hazard its definition of elevated blood lead an elevated blood lead level reside. reduction activities. For example, the level in children under age 6 to be a Since CDC’s 2012 revision of its benefits from costs expended for first blood lead level based on the definition of elevated blood lead level in year activities include the present value distribution of blood lead levels in the children under the age of 6, and of lifetime earnings benefits for children national population. Since CDC’s pending HUD’s commencement and living in the affected unit during the revision of its definition, HUD has completion of rulemaking to formally first year, whether that child continues applied the revised definition to funds adopt CDC’s revised definition, HUD living in that unit during the second and awarded under its Lead-Based Paint applied the revised definition to funds subsequent years after hazard reduction Hazard Control grant program and its awarded under its Lead-Based Paint activities does not affect the benefit Lead Hazard Reduction Demonstration Hazard Control grant program and its calculation, because the lowered lead grant program, and has updated its Lead Hazard Reduction Demonstration exposure benefits all children under age Guidelines for the Evaluation and grant program, and HUD updated its 6 who reside there during the effective Control of Lead-Based Paint Hazards in own Guidelines for the Evaluation and period of the hazard control measures Housing to reflect this definition. Control of Lead-Based Paint Hazards in (as noted above, typically 6 or 12 or To further address this issue, as noted Housing to reflect this definition. CDC more years). The costs of ongoing lead- above, HUD issued a proposed rule on is continuing to consider, with respect based paint maintenance in units September 1, 2016 that would amend to evolution of scientific and medical covered by this rulemaking are not HUD’s lead-based paint regulations on understanding, how best to identify considered in this analysis, because it is reducing blood lead levels in children childhood blood lead levels for which already required by the original Lead under age 6 who reside in federally- environmental interventions are Safe Housing Rule for housing covered owned or -assisted pre-1978 housing recommended. by this rulemaking.
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Although many benefits of lead-based Healthy Homes, U.S. Department of reduce the risk of flood loss, minimize pain hazard reduction cannot be Housing and Urban Development, 451 the impact of floods on human safety, quantified or monetized, such as quality 7th Street SW., Washington, DC 20410, health, and welfare, and promote sound, of life considerations such as Phone: 202 402–7698. sustainable, long-term planning adolescents’ and adults’ dissatisfaction RIN: 2501–AD77 informed by a more accurate evaluation with lower intelligence, fewer skills, Floodplain Management and Protection of flood risk that takes into account reduced education and job potential, of Wetlands; Minimum Property possible sea level rise and increased criminal behavior, unwed pregnancies, Standards for Flood Hazard Exposure; development associated with etc., HUD does not address monetized Building to the Federal Flood Risk population growth. This rule also would revise a categorical exclusion available estimates of the cognitive benefits of Management Standard preventing children under age 6 from when HUD performs the environmental developing elevated blood lead levels. HUD Office: Office of the Secretary. review under the National Such benefits include avoiding the costs Rulemaking Stage: Final Rule. Environmental Policy Act and related of medical treatment for children with Priority: Significant. Federal laws by making it consistent elevated blood lead levels as well as Legal Authority: 42 U.S.C. 3535(d) with changes to a similar categorical increasing lifetime earnings associated and 4332; and Executive Order 11991, 3 exclusion that is available to HUD with higher IQs for children with lower CFR, 1977 Comp., p.123 grantees or other responsible entities CFR Citation: 24 CFR 50, 58, and 200. when they perform these environmental blood lead levels. In addition, blood Legal Deadline: None. lead levels of older children and adults Abstract: This rule will revise HUD’s reviews. This change will make the living in the affected housing units regulations governing floodplain review standard identical regardless of would be expected to fall as a result of management to require, as part of the whether HUD or a grantee is performing this rulemaking, although quantifying decision making process established to the review. Elevation standards for their blood lead changes is outside the ensure compliance with Executive manufactured housing receiving scope of analysis for this rulemaking. Order 11988 (Floodplain Management) mortgage insurance are not covered in Thus, the estimates of benefits represent as amended by Executive Order 13690 this rule. Statement of Need: This rule revises a lower bound on the economic benefits (Establishing a Federal Flood Risk of LBP hazard reduction because there HUD’s floodplain management Management Standard and a Process for are many other health impacts for both regulations in response to Executive Further Soliciting and Considering adults and children from lead exposure Order 13690 and recommendations of Stakeholder Input), that a HUD assisted that are not quantified or monetized the Mitigation Framework Leadership or financed (including mortgage here. The analysis of net benefits Group (MitFLG). Executive Order insurance) project involving new reflects benefits over time associated 13690, Establishing a Federal Flood Risk construction or substantial with the costs incurred in the first year Management Standard and a Process for improvement that is situated in an area of hazard evaluation and reduction Further Soliciting and Considering subject to floods be elevated or activities under the final rule. For Stakeholder Input, called for a new floodproofed between 2 and 3 feet above example, the benefits of costs incurred floodplain standard established with in first year activities include the the base flood elevation (BFE), as stakeholder input. In addition to present value of lifetime earnings determined by best available addressing risks identified by MitFLG benefits for children living in the information. The revision to 24 CFR part associated with the predicted sea level affected unit during that first year, and 55 uses the framework of E.O. 11988 rise, the standards presented in this rule for children living in that unit during which HUD has implemented for almost also address a market failure of the second and subsequent years after 40 years and does not change the information regarding flood risk and hazard reduction activities. requirements and guidance specifying moral hazard associated with flood HUD’s regulatory impact analysis which actions require elevation and insurance and federal disaster published with its September 2016 floodproofing of structures. Specifically, assistance. HUD is promulgating these proposed rule more fully addresses the the rule would require that non-critical new standards, which it must do costs and benefits of this rulemaking, as actions be elevated 2 feet above the BFE. through rulemaking, in order to protect of the proposed rulemaking stage. In addition, the rule would require that HUD’s investments and ensure Risks: While this rule addresses a critical actions be elevated above the uninterrupted provision of affordable public health issue, but poses no risk to greater of the 500-year floodplain or 3 housing. public health, safety, or the feet above the BFE. This rule also would Executive Order 13690 directed environment. enlarge the horizontal area of interest Federal agencies to avoid, to the extent Timetable: commensurate with the vertical possible, adverse impacts associated increase, but the rule does not change with floodplain development. Based on Action Date FR Cite the scope of actions to which the evidence from the National Climate floodplain review process or elevation Assessment and the Intergovernmental NPRM ...... 09/01/16 81 FR 60304 requirements in 24 CFR part 55 apply. Panel on Climate Change, MitFLG, Final ...... 12/00/ The rule would also revise HUD’s consisting of representatives from 2016 Minimum Property Standards for one- various federal agencies, proposed the Regulatory Flexibility Analysis to-four unit housing under HUD establishment of the Federal Flood Risk Required: No. mortgage insurance and low-rent public Management Standard (FFRMS). These Small Entities Affected: No. housing programs to require that the standards, at least two feet of freeboard Government Levels Affected: State, lowest floor in both newly constructed above base flood elevation for non- Local. and substantially improved structures critical actions and three feet of Federalism Affected: No. be built at least 2 feet above the BFE as freeboard for critical actions, address Energy Affected: No. determined by best available the Executive Order’s directive of International Impacts: No. information. Building to these standards reducing adverse impact development Agency Contact: Warren Friedman, will, consistent with the executive in floodplains which, as many studies Office of Lead Hazard Control and orders, increase resiliency to flooding, indicate, are expanding fairly rapidly.
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The explicit standards provided in this Anticipated Costs and Benefits: The Risks: While the rule addresses a rule, rule are needed because developers, standards provided under this rule, the rule poses no risk to public health, homeowners and renters do not fully requiring at least two feet of freeboard safety, or the environment. internalize the risk and costs of above base flood elevation, will increase Timetable: potential flooding. There is evidence the construction cost HUD’s assisted that many homeowners are either not and insured new construction and Action Date FR CITE fully aware of the risk of a flood substantially improved properties occurring or that they discount the cost located in the 1 percent annual chance NPRM ...... 10/28/ 81 FR 74967 of a flood if it occurs. In some cases, 2016 floodplain. This rule amends HUD’s Final ...... 12/00/ owners simply underestimate the risk of current standard which requires 2016 flooding. elevation to at least the base flood Alternatives: In developing new elevation. Thus, the elevation standards Regulatory Flexibility Analysis floodplain management standards, HUD are not new, but rather revised to an Required: No. considered several alternative increased height. In addition, 20 states, Small Entities Affected: No. approaches to establishing the standard: plus the District of Columbia and Puerto Government Levels Affected: State, Climate-informed science approach Rico, already require elevation Local. (CISA); freeboard value approach (FVA); exceeding HUD’s current standard of Federalism Affected: No. and the 0.2 percent annual chance flood elevation to the base flood level Energy Affected: Yes. approach (0.2PFA). HUD chose the FVA (BFE+1). Further, four states—Indiana, International Impacts: No. over the CISA and 0.2PFA for a variety Montana, New York and Wisconsin— Agency Contact: Danielle Schopp, of reasons. First, the FVA can be applied already require residential structures Director, Office of Environment and consistently to any area participating in elevated with a minimum of at least two Energy, Office of Community Planning the NFIP. The FVA can be calculated of freeboard (BFE+2). Thus, the cost of and Development, U.S. Department of using existing flood maps. This is not compliance in these states would be less true for the CISA standard unless HUD Housing and Urban Development, 451 than those that have no minimum 7th Street SW., Washington, DC 20410, were to establish criteria for every elevation requirements in the community regarding the application of Phone: (202) 708–1201. floodplain. RIN: 2501–AD62 particular climate and greenhouse gas Developers receiving HUD assistance scenarios and associated impacts. who are not currently building to the Rather than requiring this level of proposed standard of 2 feet above base review and analysis, HUD chose the flood elevation (BFE+2) can meet the HUD—OFFICE OF THE SECRETARY more direct FVA. Second, the two proposed standards by either elevating (HUDSEC) alternative approaches to FVA require the lowest floor of the structure or by expertise that may not be available to all Proposed Rule Stage floodproofing to the new standard and communities. The 0.2 Percent Flood is limiting the first floor to non-residential 70. Floodplain Management and not mapped in all communities and uses. Alternatively, developers could Protection of Wetlands; Minimum requires a significant degree of expertise choose to locate outside of the Property Standards for Flood Hazard to map over an area or for an individual floodplain and the affected horizontal Exposure; Building to the Federal Flood site. The same is also true for the CISA expansion, or reduce substantial Risk Management Standard (FR–5717) standard, which requires not just improvement projects to less than 50 historical analysis but a greater Priority: Other Significant. percent of the market or pre-disaster anticipation of trends and future Legal Authority: 42 U.S.C. 3535(d); 42 conditions. Third, HUD determined that value of the structure, which would no U.S.C. 3001, et seq., E.O. 11990; E.O. it is not practicable to establish the longer classify the project as 11988 CISA or the 0.2 Percent Flood for all ‘‘substantial’’. CFR Citation: 24 CFR 50; 24 CFR 55. projects. HUD funds or assists tens of The standards to be provide in this Legal Deadline: None. thousands of small projects each year. rule are intended to protect HUD- Abstract: As communities begin to For example, repaving a road or assisted and insured structures and the recover from the devastating effects of rehabilitating a single family home may owners and tenants in these units. Thus, Hurricane Sandy, HUD has determined not necessitate the extra amounts of cost the benefits of the rule include reduced that it is important to recognize lessons required by the CISA and 0.2 Percent building damage and decreased costs to learned to employ mitigation actions Flood approaches. Fourth, many states tenants temporarily displaced due to that ensure that structures located in and communities already have success flooding, including avoided search costs floodplains are built or rebuilt stronger, applying a freeboard approach to for temporary replacement housing and safer, and less vulnerable to future floodplains. Due to the familiarity that lost wages. The annual reduction in flooding events. This commitment to many communities have with freeboard, insurance premiums provides an resiliency is now required of all the FVA was seen as a very practical adequate measure of the reduction in agencies that use federal funds for approach with documented history of expected damages, assuming that the construction under Executive Order application. NFIP rates are calculated in order to 13690 (Establishing a Federal Flood In addition, HUD, as part of MitFLG maintain a non-negative balance. In this Risk Management Standard) and the working group, considered varying case, the premiums for catastrophic associated ‘‘Guidelines for levels of elevation above base flood insurance would be slightly higher than, Implementing Executive Order 11988 elevation, specifically 1, 2 and 3 feet but similar to, the expected value of the (Floodplain Management) and Executive above BFE. Based on expected sea level claim to pay for administrative costs. Order 13690.’’ rise and the cost of elevation, HUD is HUD’s regulatory impact analysis Based on Executive Order 13690 and providing the standard recommended published with its September 2016 the Guidelines, this proposed rule by MitFLG, which requires at least 2 feet proposed rule more fully addresses the would require, as part of the above freeboard, or for critical actions, costs and benefits of this rulemaking, as decisionmaking process established to at least 3 feet above freeboard. of the proposed rulemaking stage. ensure compliance with Executive
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Order 11988 (Floodplain Management) fully aware of the risk of a flood substantially improved properties that new construction or substantial occurring or that they discount the cost located in the 1 percent annual chance improvement in a floodplain be elevated of a flood if it occurs. In some cases, floodplain. This rule amends HUD’s or floodproofed 2 feet above the base owners simply underestimate the risk of current standard which requires flood elevation for non-critical actions flooding. elevation to at least the base flood and 3 feet above the base flood elevation Alternatives: In developing new elevation. Thus, the elevation standards for critical actions based on the Federal floodplain management standards, HUD are not new, but rather revised to an Emergency Management Agency’s best considered several alternative increased height. In addition, 20 states, available data. This rule also proposes approaches to establishing the standard: plus the District of Columbia and Puerto to revise a categorical exclusion Climate-informed science approach Rico, already require elevation available when HUD performs the (CISA); freeboard value approach (FVA); exceeding HUD’s current standard of environmental review by making it and the 0.2 percent annual chance flood elevation to the base flood level consistent with changes to a similar approach (0.2PFA). HUD chose the FVA (BFE+0). Further, four states—Indiana, categorical exclusion that is available to over the CISA and 0.2PFA for a variety Montana, New York and Wisconsin— HUD grantees or other responsible of reasons. First, the FVA can be applied already require residential structures entities when they perform the consistently to any area participating in elevated with a minimum of at least two environmental review. The rule is also the NFIP. The FVA can be calculated of freeboard (BFE+2). Thus, the cost of part of HUD’s commitment under the using existing flood maps. This is not compliance in these states would be less President’s Climate Action plan. true for the CISA standard unless HUD than those that have no minimum Statement of Need: This rule revises were to establish criteria for every elevation requirements in the HUD’s floodplain management community regarding the application of floodplain. regulations in response to Executive particular climate and greenhouse gas Developers receiving HUD assistance Order 13690 and recommendations of scenarios and associated impacts. who are not currently building to the the Mitigation Framework Leadership Rather than requiring this level of proposed standard of 2 feet above base Group (MitFLG). Executive Order review and analysis, HUD chose the flood elevation (BFE+2) can meet the 13690, Establishing a Federal Flood Risk more direct FVA. Second, the two proposed standards by either elevating Management Standard and a Process for alternative approaches to FVA require the lowest floor of the structure or by Further Soliciting and Considering expertise that may not be available to all floodproofing to the new standard and Stakeholder Input, called for a new communities. The 0.2 Percent Flood is limiting the first floor to non-residential floodplain standard established with not mapped in all communities and uses. Alternatively, developers could stakeholder input. In addition to requires a significant degree of expertise choose to locate outside of the addressing risks identified by MitFLG to map over an area or for an individual floodplain and the affected horizontal associated with the predicted sea level site. The same is also true for the CISA expansion, or reduce substantial rise, the standards presented in this rule standard, which requires not just improvement projects to less than 50 also address a market failure of historical analysis but a greater percent of the market or pre-disaster information regarding flood risk and anticipation of trends and future value of the structure, which would no moral hazard associated with flood conditions. Third, HUD determined that longer classify the project as substantial. insurance and federal disaster it is not practicable to establish the The standards to be provide in this assistance. HUD is promulgating these CISA or the 0.2 Percent Flood for all rule are intended to protect HUD- new standards, which it must do projects. HUD funds or assists tens of assisted and insured structures and the through rulemaking, in order to protect thousands of small projects each year. owners and tenants in these units. Thus, HUD’s investments and ensure For example, repaving a road or the benefits of the rule include reduced uninterrupted provision of affordable rehabilitating a single family home may building damage and decreased costs to housing. not necessitate the extra amounts of cost tenants temporarily displaced due to Summary of Legal Basis: Executive required by the CISA and 0.2 Percent flooding, including avoided search costs Order 13690 directed Federal agencies Flood approaches. Fourth, many states for temporary replacement housing and to avoid, to the extent possible, adverse and communities already have success lost wages. The annual reduction in impacts associated with floodplain applying a freeboard approach to insurance premiums provides an development. Based on evidence from floodplains. Due to the familiarity that adequate measure of the reduction in the National Climate Assessment and many communities have with freeboard, expected damages, assuming that the the Intergovernmental Panel on Climate the FVA was seen as a very practical NFIP rates are calculated in order to Change, MitFLG, consisting of approach with documented history of maintain a non-negative balance. In this representatives from various federal application. case, the premiums for catastrophic agencies, proposed the establishment of In addition, HUD, as part of MitFLG insurance would be slightly higher than, the Federal Flood Risk Management working group, considered varying but similar to, the expected value of the Standard (FFRMS). These standards, at levels of elevation above base flood claim to pay for administrative costs. least two feet of freeboard above base elevation, specifically 1, 2 and 3 feet HUD’s regulatory impact analysis flood elevation for non-critical actions above BFE. Based on expected sea level published with its September 2016 and three feet of freeboard for critical rise and the cost of elevation, HUD is proposed rule more fully addresses the actions, address the Executive Order’s providing the standard recommended costs and benefits of this rulemaking, as directive of reducing adverse impact by MitFLG, which requires at least 2 feet of the proposed rulemaking stage. development in floodplains which, as above freeboard, or for critical actions, Risks: While the rule addresses a rule, many studies indicate, are expanding at least 3 feet above freeboard. the rule poses no risk to public health, fairly rapidly. The explicit standards Anticipated Cost and Benefits: The safety, or the environment. provided in this rule are needed because standards provided under this rule, Timetable: developers, homeowners and renters do requiring at least two feet of freeboard not fully internalize the risk and costs above base flood elevation, will increase Action Date FR Cite of potential flooding. There is evidence the construction cost HUD’s assisted NPRM ...... 12/00/16 that many homeowners are either not and insured new construction and
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Regulatory Flexibility Analysis lead hazard control notices of funding Anticipated Cost and Benefits: The Required: No. availability and in HUD guidelines, costs and benefits associated with the Small Entities Affected: No. HUD’s Lead Safe Housing rule has not units affected during the first year of Government Levels Affected: None. yet been updated to reflect the CDC’s hazard evaluation and reduction Agency Contact: Danielle Schopp, revised definition of elevated blood lead activities under the final rule include Director, Office of Environment and levels, and to mandate adherence to this the present value of future benefits Energy, Office of Community Planning definition by owners and managers of associated with first year hazard and Development, Department of federally-owned or -assisted pre-1978 reduction activities. For example, the Housing and Urban Development, Office housing requires rulemaking. benefits from costs expended for first of the Secretary, 451 7th Street SW., Summary of Legal Basis: Codified in year activities include the present value Washington, DC 20410, Phone: 202 708– Title 24 of the Code of Federal of lifetime earnings benefits for children 1201. Regulations (CFR) part 35, HUD’s Lead- living in the affected unit during the RIN: 2501–AD62 Based Paint regulation, commonly first year, whether that child continues referred to as the Lead Safe Housing living in that unit during the second and Rule (LSHR), is designed to reduce lead subsequent years after hazard reduction HUD—HUDSEC exposure in federally-owned and activities does not affect the benefit federally-assisted housing (or assisted calculation, because the lowered lead Final Rule Stage housing). The LSHR implements exposure benefits all children under age sections 1012 and 1013 of the 71. Notification, Evaluation and 6 who reside there during the effective Residential Lead-Based Paint Hazard Reduction of Lead-Based Paint Hazards period of the hazard control measures Reduction Act of 1992, which is Title X in Federally Owned Residential (as noted above, typically 6 or 12 or of the Housing and Community Property and Housing Receiving more years). The costs of ongoing lead- Development Act of 1992 (Public Law Federal Assistance; Response To based paint maintenance in units 102–550, approved October 28, 1992), Elevated Blood Lead Level (FR–5816) covered by this rulemaking are not codified at 42 U.S.C. 4822. Under Title considered in this analysis, because it is Priority: Other Significant. X, HUD has specific authority to control already required by the original Lead Legal Authority: 42 U.S.C. 3535(d); 42 lead-based paint and lead-based paint Safe Housing Rule for housing covered U.S.C. 4821; 42 U.S.C. 4851 hazards in HUD-assisted target housing. by this rulemaking. CFR Citation: 24 CFR 35. The LSHR aims in part to ensure that Legal Deadline: None. federally-owned or federally-assisted Although many benefits of lead-based Abstract: This proposed rule would housing that may have lead-based pain hazard reduction cannot be amend HUD’s lead-based paint paint—most housing constructed prior quantified or monetized, such as quality regulations on reducing blood-lead to 1978, called target housing does not of life considerations such as levels in children under age 6 who have lead-based paint hazards. Lead- adolescents’ and adults’ dissatisfaction reside in federally-owned or assisted based paint hazards are lead-based paint with lower intelligence, fewer skills, housing constructed prior to 1978. and all residential lead-containing dusts reduced education and job potential, Specifically, the rule would formally and soils, regardless of the source of the criminal behavior, unwed pregnancies, adopt the revised definition of elevated lead, which, due to their condition and etc., HUD does not address monetized blood lead levels in children under the location, would result in adverse human estimates of the cognitive benefits of age of 6 based on the definition issued health effects. As reflected in the LSHR, preventing children under age 6 from by the Centers for Disease Control and and consistent with Title X, HUD’s developing elevated blood lead levels. Prevention (CDC). The rule would also primary focus is on minimizing Such benefits include avoiding the costs establish more comprehensive testing childhood lead exposures, rather than of medical treatment for children with and evaluation procedures for the on waiting until children have elevated elevated blood lead levels as well as housing where such children reside. In blood lead levels to undertake actions to increasing lifetime earnings associated 2012, the CDC issued guidance revising eliminate the lead-based paint hazards. with higher IQs for children with lower its definition of elevated blood lead This rule continues HUD’s efforts to blood lead levels. In addition, blood level in children under age 6 to be a spearhead major efforts in lead lead levels of older children and adults blood lead level based on the poisoning prevention by taking all living in the affected housing units distribution of blood lead levels in the actions feasible and authorized by law would be expected to fall as a result of national population. Since CDC revised to reduce lead exposure in children. this rulemaking, although quantifying its definition, HUD has applied it to Alternatives: Title X of the Housing their blood lead changes is outside the funds awarded under its Lead-Based and Community Development Act of scope of analysis for this rulemaking. Paint Hazard Control grant program and 1992, also known as the Residential Thus, the estimates of benefits represent its Lead Hazard Reduction Lead-Based Paint Hazard Reduction Act a lower bound on the economic benefits Demonstration grant program, and has of 1992 (the Act), prescribes specific of LBP hazard reduction because there updated its Guidelines for the lead-based paint hazard evaluation and are many other health impacts for both Evaluation and Control of Lead-Based reduction activities for federally- adults and children from lead exposure Paint Hazards in Housing to reflect this supported housing. To mandate that are not quantified or monetized definition. Through this rule, HUD compliance with revised elevated blood here. The analysis of net benefits formally adopts in regulation the CDC’s lead levels procedures requires reflects benefits over time associated definition on elevated blood lead levels rulemaking. While HUD issued updated with the costs incurred in the first year in children under the age of 6 and guidelines in 2012 to encourage of hazard evaluation and reduction addresses the additional elements of the compliance with CDC’s revised activities under the final rule. For CDC guidance pertaining to assisted guidelines on elevated blood lead levels, example, the benefits of costs incurred housing. it takes rulemaking to require in first year activities include the Statement of Need: Although HUD is compliance with CDC’s revised present value of lifetime earnings already applying the CDC’s 2012 revised definition of elevated blood lead levels benefits for children living in the definition of elevated blood level in its in federally-supported housing. affected unit during that first year, and
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for children living in that unit during surface coal mining operations; reclaims efficiently, and cooperatively while the second and subsequent years after abandoned coal mines; educates maximizing protection of our land, hazard reduction activities. children in Indian schools; and provides resources, and environment in a fiscally HUD’s regulatory impact analysis recreational opportunities for over 400 responsible way by: published with its September 2016 million visitors annually in the Nation’s (1) Protecting Natural, Cultural, and proposed rule more fully addresses the national parks, public lands, national Heritage Resources. costs and benefits of this rulemaking, as wildlife refuges, and recreation areas. Interior’s mission includes protecting of the proposed rulemaking stage. Interior will continue to review and and providing access to our Nation’s Risks: While this rule addresses a update its regulations and policies to natural and cultural heritage and public health issue, but poses no risk to ensure that they are effective and honoring our trust responsibilities to public health, safety, or the efficient, and that they promote Indian tribes. We are committed to this environment. accountability and sustainability. mission, and to applying laws and Timetable: Interior will emphasize regulations and regulations fairly and effectively. Our policies that: priorities include protecting public Action Date FR Cite • Promote environmentally health and safety, restoring and responsible, safe, and balanced NPRM ...... 09/01/16 81 FR 60304 maintaining public lands, protecting Comment Due 10/31/16 development of renewable and threatened and endangered species, Deadline. conventional energy on our public lands ameliorating land- and resource- Final Rule ...... 03/00/17 and the OCS; management problems on public lands, • Use the best available science to and ensuring accountability and Regulatory Flexibility Analysis ensure that public resources are compliance with Federal laws and Required: No. protected, conserved, and used wisely; regulations. • Small Entities Affected: No. Preserve America’s natural (2) Sustainably Using Energy, Water, Government Levels Affected: None. treasures for future generations; and Natural Resources. • Agency Contact: Warren Friedman, Improve the nation-to-nation Since the beginning of the Obama Office of Lean Hazard Control and relationship with American Indian Administration, Interior has focused on Healthy Homes, Department of Housing tribes and promote tribal self- renewable energy issues and has and Urban Development, Office of the determination and self-governance; • established priorities for Secretary, 451 Seventh Street SW., Promote partnerships with states, environmentally responsible Washington, DC 20410, Phone: 202 402– tribes, local governments, other groups, development of renewable energy on 7698, TDD Phone: 800 877–8339, Fax: and individuals to achieve common public lands and the OCS. Industry has 202 708–0014, Email: warren.friedman@ goals; and • responded by investing in the hud.gov. Promote transparency, fairness, development of wind farms off the RIN: 2501–AD77 accountability, and the highest ethical Atlantic seacoast and solar, wind, and BILLING CODE 4210–67–P standards while maintaining geothermal energy facilities throughout performance goals. the West. Power generation from these Major Regulatory Areas new energy sources produces virtually no greenhouse gases and, when done in DEPARTMENT OF THE INTERIOR Interior’s bureaus implement an environmentally responsible manner, congressionally mandated programs Statement of Regulatory Priorities harnesses with minimum impact through their regulations. Some of these abundant renewable energy. Interior The Department of the Interior regulatory programs include: (Interior) is the principal Federal • Overseeing the development of will continue its intra- and inter- steward of our Nation’s public lands onshore and offshore energy, including departmental efforts to move forward and resources, including many of our renewable, mineral, oil and gas, and with the environmentally responsible cultural treasures. Interior serves as other energy resources; review and permitting of renewable trustee to American Indians’ and Alaska • Regulating surface coal mining and energy projects on public lands and the Natives’ trust assets and is responsible reclamation operations on public and Outer Continental Shelf, and will for relations with the island territories private lands; identify how its regulatory processes under United States jurisdiction. The • Managing migratory birds and can be improved to facilitate the Department of the Interior manages preserving marine mammals and responsible development of these more than 500 million acres of Federal endangered species; resources. lands, including 412 park units and 563 • Managing dedicated lands such as In implementing these priorities wildlife refuges, and more than a billion national parks, wildlife refuges, through its regulations, Interior will submerged offshore acres. On public National Conservation Lands, and create jobs and contribute to a healthy lands and the Outer Continental Shelf American Indian trust lands; economy while protecting our signature (OCS), Interior provides access for • Managing public lands open to landscapes, natural resources, wildlife, renewable and conventional energy multiple use; and cultural resources. development and manages the • Managing revenues from American (3) Empowering People and protection and restoration of surface- Indian and Federal minerals; Communities. mined lands. • Fulfilling trust and other Interior strongly encourages public Interior protects and recovers responsibilities pertaining to American participation in the regulatory process endangered species; protects natural, Indians and Alaska Natives; and and will continue to actively engage the historic, and cultural resources; • Managing natural resource damage public in the implementation of priority manages water projects that are a assessments. initiatives. Throughout Interior, lifeline and economic engine for many individual bureaus and offices are communities in the West; manages Regulatory Policy ensuring that the American people have forests and fights wildfires; manages Interior’s regulatory programs seek to an active role in managing our Nation’s Federal energy resources; regulates operate programs transparently, public lands and resources.
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For example, every year the U.S. Fish Bureaus and Offices Within the • Revise regulations to reflect and Wildlife Service (FWS) establishes Department of the Interior updated statutory provisions and migratory bird hunting seasons in increase transparency. The following sections give an partnership with Flyway Councils BIA is making a concentrated effort to overview of some of the major composed of state fish and wildlife improve the readability and precision of regulatory priorities of DOI bureaus and agencies. The FWS also holds a series of its regulations. Because trust offices. public meetings to provide interested beneficiaries often turn to the parties, including hunters and other Indian Affairs regulations for guidance on how a given groups, opportunities to participate in BIA process works, BIA is ensuring that Indian Affairs, including the Bureau establishing the upcoming season’s each revised regulation is written as of Indian Affairs (BIA) and the Bureau regulations. Similarly, the Bureau of clearly as possible and accurately of Indian Education (BIE), provides Land Management (BLM) uses Resource reflects the current organization of the services to approximately 1.9 million Advisory Councils to provide advice on Bureau. The BIA is also simplifying American Indians and Alaska Natives, the management of public lands and language and eliminating obsolete and maintains a government-to- resources. These citizen-based groups provisions. In the past year, the BIA has government relationship with the 567 allow individuals from all backgrounds finalized revisions to regulations federally recognized tribes. Indian regarding rights-of-way (25 CFR 169); and interests to have a voice in Affairs also administers and manages 55 management of public lands. Secretarial elections (25 CFR 81); the million acres of surface land and 57 Housing Improvement Program (25 CFR Retrospective Review of Regulations million acres of subsurface minerals 256); Indian Reservation Roads (25 CFR held in trust by the United States for 170); and Indian Child Welfare Act President Obama’s Executive Order American Indians and tribes. Indian proceedings (25 CFR 23). In the coming 13563 directs agencies to make the Affair’s mission is to enhance the year, the BIA also plans to finalize regulatory system work better for the quality of life, promote economic revisions to regulations regarding the American public. Regulations should opportunity, and protect and improve Tribal Transportation Program (formerly ‘‘. . . protect public health, welfare, the trust assets of Indian tribes, known as Indian Reservation Roads) (25 safety, and our environment while American Indians, and Alaska Natives, CFR 170). promoting economic growth, as well as to provide quality education • Solicit comment on potential innovation, competitiveness, and job opportunities to students in Indian regulatory changes to Indian trader creation.’’ Interior’s plan for schools. regulations. retrospective regulatory review In the coming year, BIA will continue BIA is considering whether to propose identifies specific efforts to relieve its focus on improved management of an administrative rule that would regulatory burdens, add jobs to the trust responsibilities with each comprehensively update 25 CFR part economy, and make regulations work regulatory review and revision. The 140 (Licensed Indian Traders) in an better for the American public while Bureau will also continue to promote effort to modernize the implementation protecting our environment and economic development in Indian of the Indian Trader statutes consistent resources. communities by ensuring the with the Federal policies of tribal self- determination and self-governance. The Interior routinely meets with regulations support, rather than hinder, current regulations were promulgated in stakeholders to solicit feedback and productive land management and 1957 and have not been input on ways to modernize our businesses. In addition, Indian Affairs comprehensively updated since 1965. regulatory programs, through efforts will focus on updating Indian education BIA will solicit comments on its Indian such as incorporating performance regulations and on other regulatory Trader regulations including how the based standards and removing outdated changes to increase transparency in regulations could be improved, who and unnecessary requirements. Interior support of the President’s Open should be permitted to trade on Indian bureaus continue efforts to make our Government Initiative. land, and what may be traded on Indian regulations easier to comply with and In the coming year, Indian Affairs land, in a manner more consistent with understand. Our regulatory process regulatory priorities are to: tribal self-governance and self- ensures that bureaus share ideas to • Develop regulatory changes determination. reduce regulatory burdens while necessary for improved Indian meeting the requirements of the laws education. Bureau of Land Management they enforce and improving their Indian Affairs is reviewing regulations The Bureau of Land Management stewardship of the environment and that require the Bureau of Indian manages the 245-million-acre National resources. Results include: Education to follow adequate yearly System of Public Lands, located • Effective stewardship of our progress standards for 23 different primarily in the Western States, Nation’s resources that is responsive to states. The review will determine including Alaska, and the 700 million the needs of small businesses; whether a uniform standard would acre subsurface mineral estate located • Increased benefits per dollar spent better meet the needs of students at BIE- throughout the Nation. In doing so, BLM by careful evaluation of the economic funded schools. With regard to manages such varied uses as energy and effects of planned rules; and undergraduate education, the BIE plans mineral development, outdoor to finalize regulations that address recreation, livestock grazing, and • Improved compliance and grants to tribally controlled community forestry and woodlands products. BLM’s transparency by use of plain language in colleges and other Indian education complex multiple-use mission affects our regulations and guidance regulations. These reviews identify the lives of millions of Americans, documents. provisions that need to be updated to including those who live near or visit The Department of the Interior’s Final comply with applicable statutes and the public lands, as well as those who Plan for Retrospective Review and ensure that the proper regulatory benefit from the commodities, such as biannual status reports can be viewed at framework is in place to support minerals, energy, or timber, produced http://www.doi.gov/open/regsreview. students in BIE-funded schools. from the lands’ rich resources. In
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undertaking its management minimum bids. There were a few energy and the underlying mineral responsibilities, BLM seeks to conserve comments on bonding and very few on resources of the OCS in an efficient and our public lands’ natural and cultural civil penalties. effective manner, balancing the need for resources, and sustain the health and With respect to royalties rates economic growth with the protection of productivity of the public lands for the generally, based on comments received the environment. BOEM oversees the use and enjoyment of present and future on the ANPRM, the BLM proposed an expansion of domestic energy generations. amendment to its regulations governing production, enhancing the potential for The BLM is updating and improving royalty rates as part of its ‘‘Waste domestic energy independence and the the current versions of Onshore Oil and Prevention, Production Subject to generation of revenue to support the Gas Orders (Orders) for Site Security Royalties, and Resource Conservation’’ economic development of the country. (Order 3), Oil Measurement (Order 4), rulemaking, 81 FR 6616 (Feb. 8, 2016). BOEM thoughtfully considers and and Gas Measurement (Order 5). These The proposed regulatory amendment, if balances the potential environmental Orders were last updated in 1989. The adopted, would give the Secretary impacts associated with exploring and primary purpose for these updates is to flexibility to adjust onshore oil and gas extracting OCS resources with the keep pace with changing industry royalty rates in response to market critical need for domestic energy practices, emerging and new conditions. production. BOEM’s near-term technologies, respond to Regarding financial measures to regulatory agenda will focus on a recommendations from the Government address risks, on June 28, 2016, the BLM number of issues, including: Accountability Office (GAO), the published a rule to adjust civil monetary • Enhancing the regulatory efficiency Department of the Interior Office of the penalties contained in the Bureau of of the offshore renewables program. Inspector General, and the Department Land Management’s regulations BOEM is finalizing two rules to of the Interior’s Subcommittee on governing onshore oil and gas address this goal. In consultation with Royalty Management. The proposed operations. This rule responded to the stakeholders, a proposed rule would changes address findings and requirements of the Federal Civil update, simplify, and clarify BOEM’s recommendations that in part formed Penalties Inflation Adjustment Act current regulations for awarding the basis for the GAO’s inclusion of Improvements Act of 2015. The renewable energy leases and grants. It Interior’s oil and gas program on the adjustments made by this interim final would reorganize, simplify, and clarify GAO’s High Risk List in 2011 (GAO–11– rule constitute the initial catch-up BOEM’s pre- and post-auction 278) and for its continuing to keep the adjustments contemplated by the Act, procedures and better describe the use program on the list in the 2013 and 2015 and are consistent with applicable of bidding credits. It also would deter updates. The Orders will be published Office of Management and Budget bidder collusion and provide incentives as proposed rules in 43 Code of Federal (OMB) guidance. The initial to encourage a provisional winner to Regulations (CFR) 3173, 3174, and 3175, adjustments will be followed by annual fulfill its obligations. The second is a respectively. adjustments for inflation thereafter. The final rule that reassigns current safety • Preventing waste of produced purpose of these adjustments is to and environmental oversight and natural gas and ensuring fair return to maintain the deterrent effect of civil enforcement responsibilities for off- the taxpayer. penalties found in existing regulations. shore renewable energy projects from BLM’s current requirements regarding • Creating a competitive process for BOEM to the Bureau of Safety and venting and flaring of natural gas from offering lands for solar and wind energy Environmental Enforcement. The oil and gas operations are over 3 development. Secretary of the Interior and the decades old. The agency intends to The BLM will finalize a rule to Assistant Secretary for Land and finalize a rule to address emissions establish an efficient competitive Mineral Management mandated this reductions and minimize waste through process for leasing public lands for solar administrative reassignment to ensure improved standards for venting, flaring, and wind energy development. The that safety and environmental oversight and fugitive losses of methane from oil regulations will establish competitive of offshore renewable energy activities and gas production facilities on Federal bidding procedures for lands within is independent of program management and Indian lands. designated solar and wind energy and leasing functions. BOEM is • Ensuring that taxpayers receive a development leasing areas, define proposing to amend the scope of an fair return from energy resources qualifications for potential bidders, and existing proposed rulemaking that developed on the public lands, those structure the financial arrangements remains in early development. The resources are diligently and responsibly necessary for the process. The rule will amended scope will incorporate developed, and that adequate financial enhance BLM’s ability to capture fair changes to the offshore renewable measures exist to address the risks. market value for the use of public lands, regulatory framework suggested by the The GAO recommended that BLM ensure fair access to leasing public and the regulated community take necessary steps to revise its opportunities for renewable energy and may include provisions addressing regulations regarding onshore royalty development, and foster the growth and regulatory gaps and inconsistencies rates to provide flexibility to change development of the renewable energy arising from the Title 30 reorganization. those rates. On April 21, 2015, the BLM sector of the economy. • Updating BOEM’s Air Quality issued an Advance Notice of Proposed Program. Rulemaking (ANPRM) seeking public Bureau of Ocean Energy Management BOEM’s original air quality rules date comment on potential updates to BLM The Bureau of Ocean Energy largely from 1980 and have not been rules governing oil and gas royalty rates, Management (BOEM) promotes energy updated substantially since that time. rental payments, lease sale minimum independence, environmental From 1990 to 2011, Interior exercised bids, civil penalty caps, and financial protection, and economic development jurisdiction only for OCS sources assurances. Over 82,000 comments were through responsible, science-based operating in the Gulf of Mexico. In received during the comment period management of offshore conventional Fiscal Year 2011, Congress expanded ending on June 19, 2015. Most of the and renewable energy resources. It is Interior’s authority by transferring to it comments focused on fiscal lease dedicated to offering opportunities to responsibility for monitoring OCS air terms—royalty rates, rentals, and develop the conventional and renewable quality off the North Slope Borough of
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the State of Alaska, including the BSEE will update regulations for directed OSMRE to ‘‘strike a balance Beaufort Sea, and the Chukchi Sea. offshore oil spill response plans by between protection of the environment BOEM intends to finalize updated incorporating requirements for and agricultural productivity and the regulations to reflect changes that have improved procedures. The procedures Nation’s need for coal as an essential occurred over the past 34 years and the that will be required are based on source of energy.’’ In response to its new regulatory jurisdiction. lessons learned from the Deepwater statutory mandate, OSMRE has sought • Promoting Effective Financial Horizon spill, as well as nearly two to develop and maintain a stable Assurance and Risk Management. decades of agency oversight and regulatory program that is safe, cost- BOEM has the responsibility to ensure applicable BSEE research. effective, and environmentally sound. A • that lessees and operators on the OCS Updating Cost Reporting and Cost stable regulatory program ensures that do not engage in activities that could Recovery Rules the coal mining industry has clear generate an undue risk of financial loss BSEE expects to finalize its proposal guidelines for operation and to the Government. BOEM formally for expanding the existing requirements reclamation, and that citizens know established a program office to review for reporting of actual decommissioning how the program is being implemented. these issues, and is working with costs to include the costs of OSMRE’s Federal regulatory program industry and others to determine how to decommissioning pipelines subject to sets minimum requirements for improve the regulatory regime to better BSEE’s authority. The Bureau will use obtaining a permit for surface and align with the realities of aging offshore that information to estimate future underground coal mining operations, infrastructure, hazard risks, and decommissioning costs. BSEE will also sets performance standards for those increasing costs of decommissioning. In propose, and expects to finalize, operations, requires reclamation of order to minimize the potential adverse updates to the existing regulations for lands and waters disturbed by mining, impact of any proposed regulations, and recovery of the costs of services and requires enforcement to ensure that in an effort to take all issues and views provided by BSEE (such as reviewing the standards are met OSMRE is the into proper account, BOEM published permit applications) to reflect increases primary regulatory authority for SMCRA an Advance Notice of Proposed in those costs. enforcement until a State or Indian tribe Rulemaking (ANPRM) in 2014, and has Office of Natural Resources Revenue develops its own regulatory program, engaged with industry on the subject. which is no less effective than the The Office of Natural Resources Federal program. When a State or Indian BOEM has since issued a Notice to Revenue (ONRR) will continue to Lessees to its stakeholders, effective tribe achieves ‘‘primacy,’’ it assumes collect, account for, and disburse direct responsibility for permitting, September 12, 2016, to address the revenues from Federal offshore energy concerns. inspection, and enforcement activities and mineral leases and from onshore under its federally approved regulatory Bureau of Safety and Environmental mineral leases on Federal and Indian program. The regulatory standards in Enforcement lands. The program operates nationwide Federal program States and in primacy and is primarily responsible for timely The Bureau of Safety and States are essentially the same with only and accurate collection, distribution, minor, non-substantive differences. Environmental Enforcement (BSEE) and accounting for revenues associated mission is to regulate safety, emergency Today, 24 States have primacy, with mineral and energy production. including 23 of the 24 coal producing preparedness, environmental ONRR’s regulatory plan for October responsibility and appropriate States. OSMRE’s regulatory priorities for 2016 through March 2017 includes the coming year will focus on: development and conservation of proposing new regulations to implement • offshore oil and natural gas resources. Stream Protection. the provisions of the Energy Policy Act Protect streams and related BSEE’s priorities in fulfillment of its of 2005 (EPAct) governing the payment mission are to: (1) Regulate, enforce, and environmental resources from the of advance royalty on coal resources adverse effects of surface coal mining respond to OCS development using the produced from Federal leases. ONRR is full range of authorities, policies, and operations. OSMRE plans to finalize also adding information collection regulations to improve the balance tools to compel safety and requirements that are applicable to all environmental responsibility and between environmental protection and solid minerals leases and also are the Nation’s need for coal by better appropriate development of offshore oil necessary to implement the EPAct and natural gas resources; and (2) build protecting streams from the adverse Federal coal advance royalty provisions. impacts of surface coal mining and sustain the organizational, Additionally, ONRR expects to issue a technical, and intellectual capacity operations. proposed rulemaking to amend ONRR’s • Coal Combustion Residues. within and across BSEE’s key service of official correspondence Establish Federal standards for the functions—capacity that keeps pace regulations, providing necessary beneficial use of coal combustion with OCS industry technology clarifications and a simpler process for residues on active and abandoned coal improvements, innovates in regulation the service of official correspondence. mines. and enforcement, and reduces risk • Cost Recovery. through systemic assessment and Office of Surface Mining Reclamation Revise OSMRE existing permit fees regulatory and enforcement actions. and Enforcement and impose new fees to recover BSEE has identified the following The Office of Surface Mining OSMRE’s costs for permit areas of regulatory priorities: Reclamation and Enforcement (OSMRE) administration and enforcement • Improving Crane and Helicopter was created by the Surface Mining services provided to the coal industry. Safety on Offshore Facilities Control and Reclamation Act of 1977 The proposed fees would be applicable BSEE will finalize a rule regarding (SMCRA). Under SMCRA, OSMRE has to permits for mining on lands where crane safety on fixed offshore platforms two principal functions—the regulation regulatory jurisdiction has not been and will propose a rule for helicopter/ of surface coal mining and reclamation delegated to the States and would helideck safety. operations, and the reclamation and include OSMRE’s Federal program, • Improving Oil Spill Response Plans restoration of abandoned coal mine States, and Indian lands. and Procedures lands. In enacting SMCRA, Congress • Bond Requirements.
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Update OSMRE bonding regulations In carrying out our responsibility to State and Federal partners. We will also to ensure there are sufficient funds to manage migratory bird populations, we expand on existing regulations that complete all of the required reclamation issue annual migratory bird hunting prescribe processes that applicants and in the reclamation plan if the regulatory regulations, which establish the grantees must follow when applying for authority has to perform the work in the frameworks (outside limits) for States to and managing grants from FWS. event of forfeiture. establish season lengths, bag limits, and • Regulations to carry out the areas for migratory game bird hunting. Convention on International Trade in U.S. Fish and Wildlife Service Additionally, FWS is considering Endangered Species of Wild Fauna and The mission of the U.S. Fish and whether to issue a proposed rulemaking Flora (CITES) and the Lacey Act. Wildlife Service (FWS) is to work with to address various approaches to In accordance with section 3(a) of others to conserve, protect, and enhance regulating incidental take of migratory Executive Order 13609 (Promoting fish, wildlife, and plants and their birds, including issuing individual International Regulatory Cooperation), habitats for the continuing benefit of the permits, general permits, and Federal we will update our CITES regulations to American people. FWS also provides agency authorizations. The rulemaking incorporate provisions resulting from opportunities for Americans to enjoy the would establish appropriate standards the 16th Conference of the Parties to outdoors and our shared natural for any such regulatory approach to CITES. The revisions will help us more heritage. ensure that incidental take of migratory effectively promote species conservation FWS fulfills its responsibilities birds is appropriately mitigated, which and help U.S. importers and exporters through a diverse array of programs that: may include requiring measures to of wildlife products understand how to • Protect and recover endangered and avoid or minimize take or securing conduct lawful international trade. threatened species; compensation. • Monitor and manage migratory The FWS is also refining its National Park Service birds; management objectives for bald eagles • The National Park Service (NPS) Restore native aquatic populations and golden eagles and revising the preserves unimpaired the natural and and nationally significant fisheries; regulations pertaining to issuing permits • cultural resources and values within Enforce Federal wildlife laws and for nonpurposeful take of eagles and more than 400 units of the National Park regulate international trade; eagle nest take. The revisions will add • System encompassing nearly 84 million Conserve and restore wildlife clarity to the eagle permit regulations, acres of lands and waters for the habitat such as wetlands; improve their implementation, and enjoyment, education, and inspiration • Help foreign governments conserve increase compliance, while providing of this and future generations. The NPS wildlife through international strong protection for eagles. also cooperates with partners to extend conservation efforts; • Regulations to administer the the benefits of natural and resource • Distribute Federal funds to States, National Wildlife Refuge System conservation and outdoor recreation territories, and tribes for fish and (NWRS). throughout the United States and the wildlife conservation projects; and In carrying out our statutory world. • Manage the more than 150 million responsibility to provide wildlife- acre National Wildlife Refuge System, dependent recreational opportunities on To achieve this mission NPS adheres to the following guiding principles: which protects and conserves fish and NWRS lands, we issue an annual rule to • wildlife and their habitats, and allows update the hunting and fishing Excellent Service: Providing the the public to engage in outdoor regulations on specific refuges. To best possible service to park visitors and protect NWRS resources, we will issue partners. recreational activities. • During the next year, FWS regulatory a rule to ensure that businesses Productive Partnerships: priorities will include: conducting oil or gas operations on Collaborating with Federal, State, tribal, • Regulations under the Endangered NWRS lands do so in a manner that and local governments, private Species Act (ESA). prevents or minimizes damage to the organizations, and businesses to work We will issue multiple rules under lands, visitor values, and management toward common goals. • the ESA to conserve both domestic and objectives. Citizen Involvement: Providing foreign animal and plant species. • Regulations to carry out the opportunities for citizens to participate Accordingly, we will add species to, Pittman-Robertson Wildlife Restoration in the decisions and actions of the remove species from, and reclassify and Dingell-Johnson Sport Fish National Park Service. species on the Lists of Endangered and Restoration Acts (Acts). • Heritage Education: Educating park Threatened Wildlife and Plants and Under the Acts, the FWS distributes visitors and the general public about designate critical habitat for certain annual apportionments to States from their history and common heritage. listed species. We will issue a trust funds derived from excise tax • Outstanding Employees: comprehensive compensatory revenues and fuel taxes. We continue to Empowering a diverse workforce mitigation policy that sets standards for direct state fish and wildlife agencies on committed to excellence, integrity, and compensatory mitigation and minimum how to use these funds to implement quality work. criteria that should provide better conservation projects. To strengthen our • Employee Development: Providing ecological outcomes for listed and at- partnership with State conservation developmental opportunities and risk species through effective organizations, we are working on training so employees have the ‘‘tools to management of the risks associated with several rules to update and clarify our do the job’’ safely and efficiently. compensatory mitigation. The policy regulations. Planned regulatory • Wise Decisions: Integrating social, will encourage a proactive approach revisions will help to reflect several new economic, environmental, and ethical that will take advantage of economies of decisions agreed upon by state considerations into the decisionmaking scale and provide greater regulatory conservation organizations, we are process. certainty and predictability for the working on several rules to update and • Effective Management: Instilling a regulated community. clarify our regulations. Planned performance management philosophy • Regulations under the Migratory regulatory revision will help to reflect that fosters creativity, focuses on results, Bird Treaty Act (MBTA). several new decisions agreed upon by and requires accountability at all levels.
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• Research and Technology: Animal regulations of 2011 (28 CFR DEPARTMENT OF JUSTICE (DOJ)— Incorporating research findings and new 36.104). FALL 2016 • technologies to improve work practices, Managing Subsistence Collection— Statement of Regulatory Priorities products, and services. NPS Units—Alaska Region. The NPS regulatory priorities for the The rule will allow qualified The mission of the Department of coming year include: subsistence users to collect and use non- Justice is to enforce the law and defend • Managing Off-Road Vehicle Use. edible fish and wildlife parts and plant the interests of the United States Rules for Fire Island National materials for the creation and according to the law, to ensure public Seashore, Glen Canyon National subsequent disposition (use, barter, or safety against foreign and domestic Recreation Area, and Cape Lookout sale) of handicrafts. The rule will also threats, to provide Federal leadership in National Seashore would allow for (1) clarify that collecting or possessing preventing and controlling crime, to management of off-road vehicle (ORV) living wildlife is generally prohibited, seek just punishment for those guilty of use, to protect and preserve natural and and (2) limit the types of bait that may unlawful behavior, and to ensure the cultural resources, and provide a variety be used to take bears for subsistence fair and impartial administration of of visitor use experiences while uses. justice for all Americans. In carrying out its mission, the Department is guided by minimizing conflicts among user • Managing Sale and Distribution of four core values: (1) Equal justice under groups. Further, the rules would Printed Matter and Other Message the law; (2) honesty and integrity; (3) designate ORV routes and establish Bearing Items—NPS Units Nationwide. operational requirements and commitment to excellence; and (4) The rule would allow the free restrictions. respect for the worth and dignity of each distribution of message-bearing items • Managing Disposition of human being. The Department of Justice that do not meet the definition of Archeological Materials. is primarily a law enforcement agency, ‘‘printed matter’’ in existing regulations. The rule will establish definitions, not a regulatory agency; it carries out its These items include readable electronic standards, procedures, and guidelines to principal investigative, prosecutorial, media, clothing and accessories, be followed by Federal agencies to and other enforcement activities buttons, pins, and bumper stickers. The dispose of particular archeological through means other than the regulatory rule would implement current NPS material remains that are in collections process. policy. recovered during Federal projects and The regulatory priorities of the programs under certain Federal statutes. Bureau of Reclamation Department include initiatives in the This rule is necessary because, at areas of civil rights, criminal law The Bureau of Reclamation’s mission present, there is no procedure to dispose enforcement and immigration. These is to manage, develop, and protect water of material remains that are determined initiatives are summarized below. In and related resources in an to be of insufficient archeological addition, several other components of environmentally and economically interest. the Department carry out important sound manner in the interest of the • Implementing the Native American responsibilities through the regulatory American public. To accomplish this Graves Protection and Repatriation Act process. Although their regulatory mission, we employ management, (NAGPRA). efforts are not separately discussed in engineering, and science to achieve A rule revising the existing this overview of the regulatory effective and environmentally sensitive regulations would describe the priorities, those components have key solutions. NAGPRA process in plain language, roles in implementing the Department’s eliminate ambiguity, clarify terms, and Reclamation projects provide: anti-terrorism and law enforcement include Native Hawaiians in the Irrigation water service, municipal and priorities. process. The rule would eliminate industrial water supply, hydroelectric Civil Rights unnecessary requirements for museums power generation, water quality and would not add processes or collect improvement, groundwater The Department is planning to additional information. management, fish and wildlife publish a rule amending the • Regulating Non-Federal Oil and Gas enhancement, outdoor recreation, flood Department’s section 504 regulations for Activity on NPS Lands. control, navigation, river regulation and federally assisted programs and NPS will revise its existing control, system optimization, and activities to incorporate changes regulations to account for new related uses. We have continued to adopted by the ADA Amendments Act technology and industry practices, focus on increased security at our of 2008 and other legal developments eliminate regulatory exemptions, update facilities. (RIN 1105–AB50). In addition, the Civil new legal requirements, remove caps on Our regulatory program focus in Rights Division is including the bond amounts, and allow the NPS to Fiscal Year 2017 is to publish a following disability nondiscrimination recover compliance costs associated proposed minor amendment to 43 CFR rulemaking initiatives in the with administering the regulations. part 429 to bring it into compliance with Department’s Regulatory Plan: (1) • Managing Service Animals. the requirements of 43 CFR part 5, Nondiscrimination on the Basis of The rule will define and differentiate Commercial Filming and Similar Disability by Public Accommodations: service animals from pets, and will Projects and Still Photography on Movie Captioning and Audio describe the circumstances under which Certain Areas under Department Description (RIN 1190–AA63); (2) service animals would be allowed in a Jurisdiction. Publishing this rule will Accessibility of Web Information and park area. The rule will ensure NPS implement the provisions of Public Law Services of State and Local compliance with section 504 of the 106–206, which directs the Governments (RIN 1190–AA65); and (3) Rehabilitation Act of 1973 (28 U.S.C. establishment of permits and reasonable Implementation of the ADA 794) and better align NPS regulations fees for commercial filming and certain Amendments Act of 2008 in the with the Americans with Disabilities still photography activities on public Department’s section 504 Federal Act of 1990 (42 U.S.C. 1211 et seq.) and lands. Coordination regulation (RIN 1190– the Department of Justice Service BILLING CODE 4334–63–P AA72).
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The Civil Rights Division will also be movies by providing a spoken narration The ADA’s expansive revising its regulations for Coordination of key visual elements of a visually nondiscrimination mandate reaches of Enforcement of Non-Discrimination delivered medium, such as actions, public entities’ programs, services, or in Federally Assisted Programs under settings, facial expressions, costumes, activities offered on or through their title VI of the Civil Rights Act (RIN and scene changes. Web sites. Being unable to access Web 1190–AA70), as well as revising Since 1991, there have been many sites puts individuals at a great regulations implementing section 274B technological advances in the area of disadvantage in today’s society, which of the Immigration and Nationality Act closed captioning and audio description is driven by a dynamic electronic with respect to unfair immigration- for first-run movies. In June 2008, the marketplace and unprecedented access related employment practices (RIN Department issued an NPRM to revise to information. For individuals with 1190–AA71). the ADA title III regulation, 73 FR disabilities who experience barriers to Other disability nondiscrimination 34466, in which the Department stated their ability to travel or to leave their rulemaking initiatives, while important that it was considering options for homes, the Internet may be their only priorities for the Department’s requiring that movie theater owners or way to access certain government rulemaking agenda, will be included in operators exhibit movies that are programs and services. In this regard, the Department’s long-term actions for captioned or that provide video the Internet is dramatically changing the fiscal years 2017 and 2018. As will be (narrative) description. The Department way that governmental entities serve the discussed more fully below, these issued an ANPRM on July 26, 2010, to public. Public entities are increasingly initiatives include: (1) Next Generation obtain more information regarding providing their constituents access to 9–1–1 Services (RIN 1190–AA62); (2) issues raised by commenters; to seek government services and programs Accessibility of Web Information and comment on technical questions that through their Web sites. Information Services of Public Accommodations arose from the Department’s research; available on the Internet has become a (RIN 1190–AA61); (3) Accessibility of and to learn more about the status of gateway to education and participation Equipment and Furniture (RIN 1190– digital conversion. In addition, the in many other public programs and AA64), including Accessibility of Department sought information activities. Through Government Web Medical Equipment and Furniture (RIN regarding whether other technologies or sites, the public can obtain information 1190–AA66), and Accessibility of Beds areas of interest (e.g., 3D) have or correspond with local officials in Guestrooms with Mobility Features in developed or are in the process of without having to wait in line or be Places of Lodging (RIN 1190–AA67); development that would either replace placed on hold. They can also pay fines, and (4) Implementation of the ADA or augment digital cinema or make any apply for benefits, renew State-issued Amendments Act of 2008 in the regulatory requirements for captioning identification, register to vote, file taxes, Department’s section 504 regulation and audio description more difficult or request copies of vital records, and with respect to federally conducted expensive to implement. The complete numerous other everyday programs and activities (RIN 1190– Department received approximately tasks. The availability of these services AA73). 1,171 public comments in response to and information online not only makes its movie captioning and video Regulatory Plan Initiatives life easier for the public but also often description ANPRM. On August 1, 2014, enables governmental entities to operate Captioning and Audio Description in the Department published its NPRM more efficiently and at a lower cost. Movie Theaters (RIN 1190–AA63). Title proposing to revise the ADA title III The ADA’s promise to provide an III of the ADA requires public regulation to require movie theaters to equal opportunity for individuals with accommodations to take ‘‘such steps as have the capability to exhibit movies disabilities to participate in and benefit may be necessary to ensure that no with closed movie captioning and audio from all aspects of American civic and individual with a disability is treated description (which was described in the economic life will be achieved in differently because of the absence of ANPRM as video description) for all today’s technologically advanced auxiliary aids and services, unless the showings of movies that are available society only if it is clear to State and covered entity can demonstrate that with closed captioning or audio Local governments that their Web sites taking such steps would cause a description, to require theaters to must be accessible. Consequently, the fundamental alteration or would result provide notice to the public about the Department is planning to amend its in an undue burden.’’ 42 U.S.C. availability of these services, and to regulation implementing title II of the 12182(b)(2)(A)(iii). Both open and ensure that theaters have staff available ADA to require public entities that closed captioning and audio recordings who can provide information to patrons provide services, programs or activities are examples of auxiliary aids and about the use of these services. In to the public through Internet Web sites services that should be provided by response to a request for an extension of to make their sites accessible to and places of public accommodations, 28 the public comment period, the usable by individuals with disabilities. CFR 36.303(b)(1)–(2). The Department Department issued a notice extending The Department, in its 2010 ANPRM stated in the preamble to its 1991 rule the comment period for 60 days until on Web site accessibility, indicated that that ‘‘[m]ovie theaters are not required December 1, 2014. The Department it was considering amending its . . . to present open-captioned films,’’ received approximately 435 public regulations implementing titles II and III 28 CFR part 36, app. C (2011), but did comments in response to the movie of the ADA to require Web site not address closed captioning and audio captioning and audio description NPRM accessibility and it sought public description in movie theaters. In the and expects to publish a final rule comment regarding what standards, if movie theater context, ‘‘closed during fiscal year 2016. any, it should adopt for Web site captioning’’ refers to captions that only Web site Accessibility: State and Local accessibility, whether the Department the patron requesting the closed Governments (RIN 1190–AA65). The should adopt coverage limitations for captions can see because the captions Internet as it is known today did not certain entities, and what resources and are delivered to the patron at or near the exist when Congress enacted the ADA, services are available to make existing patron’s seat. Audio description is a yet today the Internet plays a critical Web sites accessible to individuals with technology that enables individuals who role in the daily personal, professional, disabilities. The Department also are blind or have low vision to enjoy civic, and business lives of Americans. solicited comments on the costs of
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making Web sites accessible and on the (3) expand the definition of ‘‘major life for filing and processing charges of existence of any other effective and activities’’ by providing a non- discrimination, ensure effective reasonably feasible alternatives to exhaustive list of ‘‘major life activities’’ investigations of unfair immigration- making Web sites accessible. The that includes the operation of ‘‘major related employment practices, and Department received approximately 440 bodily functions;’’ and (4) modify the update outdated references. public comments and is in the process ‘‘regarded as’’ prong of the definition of Long-Term Actions of reviewing these comments. The disability by stating that an individual Department will be publishing separate may be ‘‘regarded as’’ having an The remaining disability NPRMs addressing Web site impairment even if that impairment nondiscrimination rulemaking accessibility pursuant to titles II and III does not limit or is not perceived to initiatives from the 2010 ANPRMs are of the ADA. limit a major life activity, and clarifying included in the Department’s long-term On May 9, 2016 the Department that individuals covered only under the priorities projected for fiscal years 2017 published a Supplemental Advance ‘‘regarded as’’ prong are not entitled to and 2018: Notice of Proposed Rulemaking reasonable modifications. An update to Next Generation 9–1–1 (RIN 1190– (SANPRM) titled Nondiscrimination on 28 CFR part 42, subpart G, would, AA62). This ANPRM sought information the Basis of Disability; Accessibility of therefore, incorporate these changes and on possible revisions to the Web Information and Services of State harmonize the regulation with the ADA Department’s regulation to ensure direct and Local Government Entities Amendments Act and the revisions to access to Next Generation 9–1–1 (NG 9– addressing the potential application of title V of the Rehabilitation Act. 1–1) services for individuals with technical accessibility requirements to Implementation of the ADA disabilities. In 1991, the Department of the Web sites of title II entities. 81 FR Amendments Act of 2008: Federal Justice published a regulation to 28657. Through the SANPRM, the Coordination (Section 504 of the implement title II of the Americans with Department intends to solicit additional Rehabilitation Act of 1973) (RIN 1190– Disabilities Act of 1990 (ADA). That public comment on various issues to AA72). Executive Order 12250 delegated regulation requires public safety help the Department shape and further the authority to coordinate the answering points (PSAPs) to provide its rulemaking efforts. The SANPRM enforcement and implementation of direct access to persons with disabilities asks 123 multipart questions, seeking section 504 of the Rehabilitation Act by who use analog telecommunication public comment on a wide range of Executive agencies to the Attorney devices for the deaf (TTYs), 28 CFR complex issues related to the potential General. Pursuant to this authority, the 35.162. Since that rule was published, technical accessibility requirements as Department proposes to revise its there have been major changes in the well as any proposed title II web rule’s regulation implementing Executive types of communications technology costs and benefits. Order 12250, 28 CFR part 41, to reflect used by the general public and by Implementation of the ADA statutory amendments to section 504 of people who have disabilities that affect Amendments Act of 2008: Federally the Rehabilitation Act made by the ADA their hearing or speech. Many Assisted Programs (Section 504 of the Amendments Act of 2008. The proposed individuals with disabilities now use Rehabilitation Act of 1973) (RIN 1105– revisions to the Department’s Federal the Internet and wireless text devices as AB50). Section 504 of the Rehabilitation Coordination regulation would be their primary modes of Act of 1973, as amended (29 U.S.C. consistent with the proposed revisions telecommunications. At the same time, 794), prohibits discrimination on the to the Department’s Federally Assisted PSAPs are planning to shift from analog basis of disability in programs and regulation discussed above. telecommunications technology to new activities receiving Federal financial Coordination of Enforcement of Non- Internet-Protocol (IP)-enabled NG 9–1–1 assistance or in programs and activities Discrimination in Federally Assisted services that will provide voice and data conducted by an Executive agency. This Programs (RIN 1190–AA70). In addition, (such as text, pictures, and video) rule would propose to revise the the Department is planning to revise the capabilities. As PSAPs transition from Department’s regulation implementing coordination regulations implementing the analog systems to the new section 504 of the Rehabilitation Act title VI of the Civil Rights Act, which technologies, it is essential that people with respect to recipients of Federal have not been updated in over 30 years. with communication disabilities be able financial assistance from the Among other things, the updates will to use the new systems. Therefore, the Department, 28 CFR part 42, subpart G, revise outdated provisions, streamline Department published this ANPRM to to reflect statutory amendments made procedural steps, streamline and clarify begin to develop appropriate regulatory by the ADA Amendments Act of 2008, provisions regarding information and guidance for PSAPs that are making this Public Law 110–325, 122 Stat. 3553 data collection, promote opportunities transition. The Department is in the (Sep. 25, 2008), and other legal to encourage public engagement, and process of completing its review of the developments since the current incorporate current law regarding approximately 146 public comments it regulations were adopted. meaningful access for individuals who received in response to its NG 9–1–1 The ADA Amendments Act, which are limited English proficient. ANPRM. took effect on January 1, 2009, revised Implementation of Section 274B of Web Site Accessibility: Public 29 U.S.C. 705 to make the definition of the Immigration and Nationality Act Accommodations (RIN 1190–AA61). disability used in the nondiscrimination (RIN 1190–AA71). The Department also The ADA’s expansive provisions in title V of the proposes to revise regulations nondiscrimination mandate reaches the Rehabilitation Act consistent with the implementing section 274B of the goods and services provided by public amended ADA requirements. Immigration and Nationality Act, and to accommodations using Internet Web Specifically, these amended ADA reflect the new name of the office within sites. The inability to access Web sites requirements: (1) Clarify that the term the Department charged with enforcing puts individuals at a great disadvantage ‘‘disability’’ shall be interpreted broadly this statute. The proposed revisions are in today’s society, which is driven by a and without extensive analysis; (2) add appropriate to conform the regulations dynamic electronic marketplace and rules of construction to be applied when to the statutory text as amended, unprecedented access to information. determining whether an impairment simplify and add definitions of statutory On the economic front, electronic substantially limits a major life activity; terms, update and clarify the procedures commerce, or ‘‘e-commerce,’’ often
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offers consumers a wider selection and ATMs, washing machines, dryers, Department is also planning to finalize lower prices than traditional, ‘‘brick- tables, benches and vending machines) a proposed rule to codify regulations (27 and-mortar’’ storefronts, with the added and the Department plans to look to CFR part 771) governing the procedure convenience of not having to leave one’s these standards for guidance, where and practice for proposed denial of home to obtain goods and services. And, applicable, when it proposes applications for explosives licenses or for individuals with disabilities who accessibility standards for equipment permits and proposed revocation of experience barriers to their ability to and furniture that is not fixed. The such licenses and permits (RIN 1140– travel or to leave their homes, the ANPRM sought information about other AA38). As proposed, this rule would Internet may be their only way to access categories of equipment, including beds clarify the administrative hearing certain goods and services. Beyond in accessible guest rooms, and medical processes for explosives licenses and goods and services, information equipment and furniture. The permits. available on the Internet has become a Department received approximately 420 ATF also has begun a rulemaking gateway to education, socializing, and comments in response to its ANPRM process that amends 27 CFR part 447 to entertainment. and is in the process of reviewing these update the terminology in the ATF The Department’s 2010 ANPRM on comments. The Department plans to regulations based on similar Web site accessibility sought public publish an NPRM pursuant to title III of terminology amendments made by the comment regarding what standards, if the ADA on beds in accessible guest Department of State on the U.S. any, it should adopt for Web site rooms (RIN 1190–AA67), and also a Munitions List in the International accessibility, whether the Department separate NPRM pursuant to titles II and Traffic in Arms Regulations, and the should adopt coverage limitations for III of the ADA that focuses solely on Department of Commerce on the certain entities, including small accessible medical equipment and Commerce Control List in the Export businesses, and what resources and furniture (RIN 1190–AA66). The Administration Regulations (RIN 1140– services are available to make existing remaining items of equipment and AA49). Web sites accessible to individuals with furniture addressed in the 2010 ANPRM Drug Enforcement Administration disabilities. The Department also will be the subject of a subsequent (DEA) solicited comments on the costs of NPRM. making Web sites accessible and on the Implementation of the ADA DEA is the primary agency existence of any other effective and Amendments Act of 2008: Federally responsible for coordinating the drug reasonably feasible alternatives to Conducted Programs (Section 504 of the law enforcement activities of the United making Web sites accessible. The Rehabilitation Act of 1973) (RIN 1190– States and also assists in the Department is reviewing the public AA73). As noted above, section 504 of implementation of the President’s comments received in response to the the Rehabilitation Act of 1973, as National Drug Control Strategy. DEA ANPRM and, as noted above, plans to amended (29 U.S.C. 794), prohibits implements and enforces titles II and III publish the title II NPRM on Web site discrimination on the basis of disability of the Comprehensive Drug Abuse accessibility in fiscal year 2017. The in programs and activities conducted by Prevention and Control Act of 1970 and Department believes that the title II Web an Executive agency. The Department the Controlled Substances Import and site accessibility rule will facilitate the plans to revise its 504 federally Export Act (21 U.S.C. 801–971), as creation of an important infrastructure conducted regulation at 28 CFR part 39 amended, and collectively referred to as for web accessibility that will be very to update outdated terminology and the Controlled Substances Act (CSA). important in the Department’s reflect statutory amendments to the DEA’s mission is to enforce the CSA and preparation of the title III Web site definition of disability applicable to its regulations and bring to the criminal accessibility NPRM. Consequently, the section 504 of the Rehabilitation Act, as and civil justice system those Department has decided to extend the made by the ADA Amendments Act of organizations and individuals involved time period for development of the 2008, Public Law 110–325, 122 Stat. in the growing, manufacture, or proposed title III Web site accessibility 3553 (Sep. 25, 2008). distribution of controlled substances rule and include it among its long-term and listed chemicals appearing in or Bureau of Alcohol, Tobacco, Firearms rulemaking priorities. destined for illicit traffic in the United Equipment and Furniture. Both title II and Explosives (ATF) States. DEA promulgates the CSA and title III of the ADA require covered ATF issues regulations to enforce the implementing regulations in title 21 of entities to make reasonable Federal laws relating to the manufacture the Code of Federal Regulations (CFR), modifications in their programs or and commerce of firearms and parts 1300 to 1321. The CSA and its services to facilitate participation by explosives. ATF’s mission and implementing regulations are designed persons with disabilities. In addition, regulations are designed to, among other to prevent, detect, and eliminate the covered entities are required to ensure objectives, curb illegal traffic in, and diversion of controlled substances and that people are not excluded from criminal use of, firearms and explosives, listed chemicals into the illicit market participation because facilities are and to assist State, local, and other while providing for the legitimate inaccessible or because the entity has Federal law enforcement agencies in medical, scientific, research, and failed to provide auxiliary aids. The use reducing crime and violence. ATF will industrial needs of the United States. of accessible equipment and furniture is continue, as a priority during fiscal year Pursuant to its statutory authority, often critical to an entity’s ability to 2017, to seek modifications to its DEA continuously evaluates new and provide a person with a disability equal regulations governing commerce in emerging substances to determine access to its services. Changes in firearms and explosives. whether such substances should be technology have resulted in the ATF plans to issue regulations to controlled under the CSA. During fiscal development and improved availability finalize the current interim rules year 2016, in addition to initiating of accessible equipment and furniture implementing the provisions of the Safe temporary scheduling actions to prevent that benefit individuals with Explosives Act, title XI, subtitle C, of imminent hazard to the public safety, disabilities. The 2010 ADA Standards Public Law 107–296, the Homeland DEA will also consider petitions to include accessibility requirements for Security Act of 2002 (enacted Nov. 25, control or reschedule various some types of fixed equipment (e.g., 2002) (RIN 1140–AA00). The substances. Among other regulatory
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reviews and initiatives, DEA plans to Executive Office for Immigration adjudication of motions to reopen update its regulations for the import and Review (EOIR) removal, deportation, and exclusion export of tableting and encapsulating On March 1, 2003, pursuant to the proceedings based upon a claim of machines, controlled substances, and Homeland Security Act of 2002 (HSA), ineffective assistance of counsel (1125– listed chemicals, and its regulations the responsibility for immigration AA68); a final regulation to improve the relating to reports required for domestic enforcement and border security and for recognition and accreditation process transactions in listed chemicals, providing immigration-related services for organizations and representatives gammy-hydroxybutyric acid, and and benefits, such as naturalization, that appear in immigration proceedings tableting and encapsulating machines. immigrant petitions, and work before EOIR (RIN 1125–AA72); and a In accordance with Executive Order authorization, was transferred from the proposed regulation to implement 13563, the DEA has published an NPRM Justice Department’s former procedures that address the specialized proposing to amend these regulations Immigration and Naturalization Service needs of unaccompanied alien children and plans to finalize these proposals (INS) to the Department of Homeland in removal proceedings pursuant to the promptly (RIN 1117–AB41). Security (DHS). However, the William Wilberforce Trafficking Victims immigration judges and the Board of Protection Reauthorization Act of 2008 Bureau of Prisons Immigration Appeals (Board) in EOIR (RIN 1125–AA70). In response to remain part of the Department of Justice. Executive Order 13653, the Department The Federal Bureau of Prisons issues The immigration judges adjudicate is retrospectively reviewing EOIR’s regulations to enforce the Federal laws approximately 300,000 cases each year regulations to eliminate regulations that relating to its mission: To protect to determine whether aliens should be unnecessarily duplicate DHS’s society by confining offenders in the ordered removed from the United States regulations and update outdated controlled environments of prisons and or should be granted some form of relief references to the pre-2003 immigration community-based facilities that are safe, from removal. The Board has system (RIN 1125–AA71). humane, cost-efficient, and jurisdiction over appeals from the appropriately secure, and that provide decisions of immigration judges, as well Retrospective Review of Existing work and other self-improvement as other matters. Accordingly, the Regulations opportunities to assist offenders in Attorney General has a continued role Pursuant to section 6 of Executive becoming law-abiding citizens. During in the conducting of immigration Order 13563 ‘‘Improving Regulation and the next 12 months, in addition to other proceedings, including removal proceedings and custody determinations Regulatory Review’’ (Jan. 18, 2011), the regulatory objectives aimed at following Regulatory Identifier Numbers accomplishing its mission, the Bureau regarding the detention of aliens pending completion of removal (RINs) have been identified as will continue its ongoing efforts to: associated with retrospective review Streamline regulations, eliminating proceedings. The Attorney General also is responsible for civil litigation and and analysis in the Department’s final unnecessary language and improving criminal prosecutions relating to the retrospective review of regulations plan. readability; improve disciplinary immigration laws. Some of these entries on this list may procedures through a revision of the In several pending rulemaking be completed actions, which do not subpart relating to the disciplinary actions, the Department is working to appear in The Regulatory Plan. process (RIN 1120–AB71); improve revise and update the regulations However, more information can be safety in facilities through the use of relating to immigration proceedings in found about these completed less-than-lethal force instead of order to further EOIR’s primary mission rulemakings in past publications of the traditional weapons (RIN 1120–AB67); to adjudicate immigration cases by Unified Agenda on Reginfo.gov in the and provide effective literacy fairly, expeditiously, and uniformly Completed Actions section for that programming which serves both general interpreting and administering the agency. These rulemakings can also be and specialized inmate needs (RIN Nation’s immigration laws. These found on Regulations.gov. The final 1120–AB64). pending regulations include but are not Justice Department plan can be found at: limited to: A final regulation to establish http://www.justice.gov/open/doj-rr- procedures for the filing and final-plan.pdf.
RIN Title Description
1125–AA62 ...... List of Pro Bono Legal Service Providers for The Department has published a Final rule amending the EOIR regu- Aliens in Immigration Proceedings. lations to enhance the eligibility requirements for organizations, pri- vate attorneys, and referral services to be included on the List of Pro Bono Legal Service Providers. 1125–AA71 ...... Retrospective Regulatory Review Under E.O. Advance notice of future rulemaking concerning appeals of DHS de- 13563 of 8 CFR parts 1003, 1103, 1211, cisions (8 CFR part 1103), documentary requirements for aliens (8 1212, 1215, 1216, 1235. CFR parts 1211 and 1212), control of aliens departing from the United States (8 CFR part 1215), procedures governing conditional permanent resident status (8 CFR part 1216), and inspection of in- dividuals applying for admission to the United States (8 CFR part 1235). A number of attorneys, firms, and organizations in immigra- tion practice are small entities. EOIR believes this rule will improve the efficiency and fairness of adjudications before EOIR by, for ex- ample, eliminating duplication, ensuring consistency with the De- partment of Homeland Security’s regulations in chapter I of title 8 of the CFR, and delineating more clearly the authority and jurisdic- tion of each agency. The ANPRM was published on 9/28/2012. The comment period closed on 11/27/2012. EOIR is currently in the process of reviewing the comments received and drafting two follow-up NPRMs.
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RIN Title Description
1125–AA72 ...... Recognition of Organizations and Accredita- This rule amends the regulations governing the requirements and tions of Non- Attorney Representatives. procedures for authorizing representatives of non-profit religious, charitable, social service, or similar organizations to represent per- sons in proceedings before the Executive Office for Immigration Review (EOIR) and the Department of Homeland Security (DHS). 1125–AA78 ...... Separate Representation for Custody and The Department has published a Final rule amending the Executive Bond Proceedings. Office for Immigration Review (EOIR) regulations relating to the representation of aliens in custody and bond proceedings by allow- ing a representative to enter an appearance in custody and bond proceedings before EOIR without committing to appear on behalf of the alien for all proceedings before the Immigration Court. 1117–AB37 ...... Transporting to Dispense Controlled Sub- DEA proposes to amend its regulations to clearly delineate how to stances on an As-Needed and Random transport, dispense, and store controlled substances away from Basis. registered locations when such activities are for the purpose of dis- pensing controlled substances on an as-needed and random basis. These proposed amendments include changes necessary to imple- ment the Veterinary Medicine Mobility Act of 2014 and to clarify controlled substance handling requirements for emergency re- sponse operations. 1117–AB41 ...... Implementation of the International Trade DEA plans to update its regulations for the import and export of Data System. tableting and encapsulating machines, controlled substances, and listed chemicals, and its regulations relating to reports required for domestic transactions in listed chemicals, gammy-hydroxybutyric acid, and tableting and encapsulating machines. In accordance with Executive Order 13563, the DEA has plans to review its im- port and export regulations and reporting requirements for domes- tic transactions in listed chemicals (and gammy-hydroxybutyric acid) and tableting and encapsulating machines, and evaluate them for clarity, consistency, continued accuracy, and effective- ness. The proposed amendments would clarify certain policies and reflect current procedures and technological advancements. The amendments would also allow for the implementation, as applica- ble to tableting and encapsulating machines, controlled sub- stances, and listed chemicals, of the President’s Executive Order 13659 on streamlining the export/import process and requiring the government-wide utilization of the International Trade Data Sys- tem. 1121–AA85; 1121–AA86 Public Safety Officers’ Benefits (PSOB) Pro- These two related rules are a priority because certain key provisions gram. of the PSOB rule have been superseded by statutory change, a need exists to improve the overall efficiency of the program, and the last significant update to the rules was in 2008. The first rule proposes to update the existing regulation to address issues re- lated to injuries and deaths of public safety officers asserted to have been caused by 9/11 services, and offset issues with the 9/ 11 Victim Compensation Fund. The second rule proposes a more comprehensive update of the PSOB regulation. These revisions are necessary as a result of significant changes to the Program following the enactment of the Dale Long Public Safety Officers’ Benefits Improvements Act of 2012 (signed into law in January 2013), as well as recommendations from an OIG Audit finalized in July 2015, and other internal reviews that identified the need to streamline the claims review process to reduce delays and in- crease transparency.
Executive Order 13609—Promoting required by participating agencies for application and filing processes will International Regulatory Cooperation the importation or exportation of cargo. continue to remain separate from (and The Department is not currently At the Department of Justice, in advance of) the ITDS single window. engaged in international regulatory stakeholders must obtain pre-import Entities will continue to use the DEA cooperation activities that are and pre-export authorizations from the application and filing processes; reasonably anticipated to lead to Drug Enforcement Administration however, the processes will be significant regulations. (DEA) (relating to controlled substances electronic rather than paper. After and listed chemicals), or from the DEA’s approval or notification of receipt Executive Order 13659 Bureau of Alcohol, Tobacco, Firearms as appropriate, the DEA will transmit Executive Order 13659, ‘‘Streamlining and Explosives (ATF) (relating to the necessary information electronically the Export/Import Process for America’s firearms, ammunition, and explosives). to the ITDS and the registrant or Businesses,’’ provided new directives The ITDS ‘‘single window’’ will work in regulated person. for agencies to improve the conjunction with these pre-import and Pursuant to section 6 of E.O. 13659, technologies, policies, and other pre-export authorizations. Because the DEA and ATF have consulted with U.S. controls governing the movement of ITDS excludes applications for permits, Customs and Border Protection (CBP) goods across our national borders. This licenses, or certifications, the ITDS and are continuing to study what includes additional steps to implement single window will not be used by DEA modifications and technical changes to registrants, regulated persons, or brokers the International Trade Data System as their existing regulations and an electronic information exchange or traders applying for permits or filing operational systems are needed to capability, or ‘‘single window,’’ through import/export declarations, notifications achieve the goals of E.O. 13659. which businesses will transmit data or reports. The DEA import/export
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DOJ—CIVIL RIGHTS DIVISION (CRT) Government services and administering increasing number of State and local programs; reduce the amount of Governments are making efforts to Proposed Rule Stage paperwork; and expand the possibilities provide accessible Web sites, because 72. Nondiscrimination on the Basis of of reaching new sectors of the there are no specific ADA standards for Disability: Accessibility of Web community or offering new programs or Web site accessibility, these Web sites Information and Services of State and services. Many States and localities vary in actual usability. Local Governments have begun to improve the accessibility Summary of Legal Basis: The ADA Priority: Economically Significant. of portions of their Web sites. However, requires that State and local Major under 5 U.S.C. 801. full compliance with the ADA’s promise Governments provide qualified Legal Authority: 42 U.S.C. 12101 et to provide an equal opportunity for individuals with disabilities equal seq. individuals with disabilities to access to their programs, services, or CFR Citation: 28 CFR 35. participate in and benefit from all activities unless doing so would Legal Deadline: None. aspects of the programs, services, and fundamentally alter the nature of their Abstract: The Department published activities provided by State and local programs, services, or activities or an ANPRM on July 26, 2010, RIN 1190– governments in today’s technologically would impose an undue burden. 42 AA61, that addressed issues relating to advanced society will only occur if it is U.S.C. 12132. clear to public entities that their Web proposed revisions of both the title II Alternatives: The Department intends sites must be accessible. Consequently, and title III ADA regulations in order to to consider various alternatives for the Department intends to publish a provide guidance on the obligations of ensuring full access to Web sites of State Notice of Proposed Rulemaking (NPRM) covered entities to make programs, and local Governments and will solicit to amend its title II regulations to services and activities offered over the public comment addressing these expressly address the obligations of Web accessible to individuals with alternatives. disabilities. The Department has now public entities to make the Web sites Anticipated Cost and Benefits: The divided the rulemakings in the next step they use to provide programs, activities, Department anticipates that this rule of the rulemaking process so as to or services or information to the public will be ‘‘economically significant,’’ that proceed with separate notices of accessible to and usable by individuals is, that the rule will have an annual proposed rulemakings for title II and with disabilities under the legal effect on the economy of $100 million, title III. The title III rulemaking on Web framework established by the ADA. The or adversely affect in a material way the accessibility will continue under RIN proposed regulation will propose the economy, a sector of the economy, the 1190–AA61 and the title II rulemaking scope of the obligation to provide environment, public health or safety or will continue under the new RIN 1190– accessibility when persons with State, local or tribal Governments or AA65. This rulemaking will provide disabilities access public Web sites, as communities. However, the Department specific guidance to State and local well as propose the technical standards believes that revising its title II rule to governments in order to make services, necessary to comply with the ADA. clarify the obligations of State and local programs, or activities offered to the Statement of Need: Many people with Governments to provide accessible Web public via the Web accessible to disabilities use ‘‘assistive technology’’ to sites will significantly increase the individuals with disabilities. The ADA enable them to use computers and opportunities for citizens with requires that State and local access the Internet. Individuals who are disabilities to participate in, and benefit governments provide qualified blind or have low vision who cannot see from, State and local Government individuals with disabilities equal computer monitors may use screen programs, activities, and services. It will access to their programs, services, or readers-devices that speak the text that also ensure that individuals have access activities unless doing so would would normally appear on a monitor. to important information that is fundamentally alter the nature of their People who have difficulty using a provided over the Internet, including programs, services, or activities or computer mouse can use voice emergency information. The Department would impose an undue burden. 42. recognition software to control their also believes that providing accessible U.S.C. 12132. The Internet as it is computers with verbal commands. Web sites will benefit State and local known today did not exist when People with other types of disabilities Governments as it will increase the Congress enacted the ADA; yet today may use still other kinds of assistive numbers of citizens who can use these the Internet is dramatically changing the technology. New and innovative Web sites, and thus improve the way that governmental entities serve the assistive technologies are being efficiency of delivery of services to the public. Taking advantage of new introduced every day. Web sites that do public. In drafting this NPRM, the technology, citizens can now use State not accommodate assistive technology, Department will attempt to minimize and local government Web sites to for example, can create unnecessary the compliance costs to State and local correspond online with local officials; barriers for people with disabilities, just Governments while ensuring the obtain information about government as buildings not designed to benefits of compliance to persons with services; renew library books or driver’s accommodate people with disabilities disabilities. licenses; pay fines; register to vote; prevent some individuals from entering obtain tax information and file tax and accessing services. Web designers Risks: If the Department does not returns; apply for jobs or benefits; and may not realize how simple features revise its ADA title II regulations to complete numerous other civic tasks. built into a Web site will assist someone address Web site accessibility, persons These Government Web sites are who, for instance, cannot see a with disabilities in many communities important because they allow programs computer monitor or use a mouse. In will continue to be unable to access and services to be offered in a more addition, in many cases, these Web sites their State and local governmental dynamic, interactive way in order to do not provide captioning for videos or services in the same manner available to increase citizen participation; increase live events streamed over the web, citizens without disabilities, and in convenience and speed in obtaining leaving persons who are deaf or hard of some cases will not be able to access information or services; reduce costs in hearing unable to access the information those services at all. providing information about that is being provided. Although an Timetable:
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Action Date FR Cite disabilities in the full and equal Federal ADA requirement for captioning enjoyment of the goods, services, and audio description is necessary to ANPRM ...... 07/26/10 75 FR 43460 facilities, privileges, advantages, or ensure that access to movies for persons ANPRM Comment 01/21/11 accommodations of a place of public with hearing and vision disabilities is Period End. accommodation (42 U.S.C. 12182[a]). not dictated by the individual’s Supplemental 05/09/16 81 FR 28657 Moreover, title III prohibits places of residence or the presence of litigation in ANPRM. Supplemental 07/29/16 81 FR 49908 public accommodation from affording their locality. In addition, the movie ANPRM Com- an unequal or lesser service to theater industry is in the process of ment Period Ex- individuals or classes of individuals converting its movie screens to use tended. with disabilities than is offered to other digital technology, and the Department Supplemental 08/08/16 individuals (42 U.S.C. believes that it will be extremely helpful ANPRM Com- 12182(b)(1)(A)(ii)). Title III requires to provide timely guidance on the ADA ment Period places of public accommodation to take requirements for captioning and audio End. ‘‘such steps as may be necessary to description so that the industry may Supplemental 10/07/16 ensure that no individual with a factor this into its conversion efforts and ANPRM Ex- tended Com- disability is excluded, denied services, minimize costs. ment Period segregated or otherwise treated Summary of Legal Basis: The End. differently because of the absence of summary of the legal basis of authority NPRM ...... 07/00/17 auxiliary aids and services, such as for this regulation is set forth above in NPRM Comment 09/00/17 captioning and video description, the abstract. Period End. unless the entity can demonstrate that Alternatives: The Department will taking such steps would fundamentally consider any public comments that Regulatory Flexibility Analysis alter the nature of the good, service, propose achievable alternatives that will Required: Yes. facility, privilege, advantage, or still accomplish the goal of providing Small Entities Affected: Governmental accommodation being offered or would access to movies for persons with Jurisdictions. result in an undue burden,’’ (42 U.S.C. hearing and vision disabilities. Government Levels Affected: Local, 12182(b)(2)(A)(iii)). However, the Department believes that State. the baseline alternative of not providing Additional Information: Split from Statement of Need: A significant-and increasing-proportion of Americans such access would be inconsistent with RIN 1190–AA61. the provisions of title III of the ADA. Agency Contact: Rebecca B. Bond, have hearing or vision disabilities that prevent them from fully and effectively Anticipated Cost and Benefits: The Chief, Department of Justice, Civil Department’s preliminary analysis Rights Division, Disability Rights understanding movies without captioning or audio description. For indicates that the proposed rule would Section, 950 Pennsylvania Avenue NW., not be ‘‘economically significant,’’ that Washington, DC 20530, Phone: 800 514– persons with hearing and vision disabilities, the unavailability of is, that the rule will not have an annual 0301. effect on the economy of $100 million, RIN: 1190–AA65 captioned or audio-described movies inhibits their ability to socialize and or adversely affect in a material way the fully take part in family outings and economy, a sector of the economy, the deprives them of the opportunity to environment, public health or safety or DOJ—CRT meaningfully participate in an State, local or tribal governments or communities. In the NPRM, the Final Rule Stage important aspect of American culture. Many individuals with hearing or vision Department solicited public comment in 73. Nondiscrimination on the Basis of disabilities who commented on the response to its preliminary analysis Disability; Movie Captioning and Audio Department’s 2010 ANPRM remarked regarding the costs imposed by the rule. Risks: Without the proposed changes Description that they have not been able to enjoy a to the Department’s title III regulation, commercial movie unless they watched Priority: Other Significant. persons with hearing and vision it on TV, or that when they took their Legal Authority: 42 U.S.C. 12101, et disabilities will continue to be denied children to the movies they could not seq. access to movies shown in movie understand what they were seeing or CFR Citation: 28 CFR 36. theaters and movie theater owners and Legal Deadline: None. discuss what was happening with their operators will not understand what they Abstract: Following its advance notice children. Today, more and more movies are required to do in order to provide of proposed rulemaking published on are produced with captions and audio auxiliary aids and services to patrons July 26, 2010, the Department plans to description. However, despite the with hearing and vision disabilities. publish a proposed rule addressing the underlying ADA obligation, the Timetable: requirements for captioning and video advancement of digital technology and description of movies exhibited in the availability of captioned and audio- Action Date FR Cite movie theatres under title III of the described films, many movie theaters Americans with Disabilities Act of 1990 are still not exhibiting captioned or ANPRM ...... 07/26/10 75 FR 43467 (ADA). Title III prohibits discrimination audio-described movies, and when they ANPRM Comment 01/24/11 on the basis of disability in the activities do exhibit them, they are only for a few Period End. of places of public accommodation showings of a movie, and usually at off- NPRM ...... 08/01/14 79 FR 44975 (private entities whose operations affect times. Recently, a number of theater NPRM Comment 09/08/14 79 FR 53146 commerce and that fall into one of companies have committed to provide Period Ex- tended. twelve categories listed in the ADA). 42 greater availability of captioning and NPRM Comment 09/30/14 U.S.C. 12181–12189. Title III makes it audio description. In some cases, these Period End. unlawful for places of public have been nationwide commitments; in NPRM Extended 12/01/14 accommodation, such as movie theaters, other cases it has only been in a Comment Pe- to discriminate against individuals with particular State or locality. A uniform riod End.
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Action Date FR Cite revisions. Issuing this NPRM is Government Levels Affected: None. necessary to correct outdated regulatory Agency Contact: Alberto Ruisanchez, Final Action ...... 11/00/16 provisions and incorporate statutory Deputy Special Counsel, OSC, changes to section 274B of the INA. Department of Justice, Civil Rights Regulatory Flexibility Analysis Likewise, revising the regulations to be Division, 1425 New York Avenue NW., Required: Yes. consistent with longstanding agency Suite 9000, Washington, DC 20530, Small Entities Affected: Businesses. guidance and relevant case law is Phone: 202 616–5594, Fax: 202 616– Government Levels Affected: None. appropriate and will reduce potential 5509, Email: [email protected]. Agency Contact: Rebecca B. Bond, confusion about the law. Further, RIN: 1190–AA71 Chief, Department of Justice, Civil because the regulations already include Rights Division, Disability Rights procedures for filing and processing Section, 950 Pennsylvania Avenue NW., charges, it is appropriate to revise the DOJ—EXECUTIVE OFFICE FOR Washington, DC 20530, Phone: 800 514– regulations to reflect updates to these IMMIGRATION REVIEW (EOIR) 0301. processes and procedures. Finally, it is RIN: 1190–AA63 appropriate to update the regulations to Final Rule Stage reflect the new name of the office 75. Motions To Reopen Removal, charged with enforcing the statute. Deportation, or Exclusion Proceedings DOJ—CRT Anticipated Cost and Benefits: The Based Upon a Claim of Ineffective Department has determined that this Assistance of Counsel 74. Revision of Standards and rule is not economically significant, that Procedures for the Enforcement of is, that the rule will not have an annual Priority: Other Significant. Section 274B of the Immigration and effect on the economy of $100 million, Legal Authority: 5 U.S.C. 301; 6 U.S.C. Nationality Act or adversely affect in a material way the 521; 8 U.S.C. 1101, 1103, 1154, 1155, economy, a sector of the economy, the 1158, 1182, 1226, 1229, 1229a, 1229b, Priority: Other Significant. 1229c, 1231, 1252, 1254a, 1255, 1282, Legal Authority: 5 U.S.C. 301; 8 U.S.C. environment, public health or safety or State, local or tribal governments or 1324d, 1330, 1361, 1362; 28 U.S.C. 509, 1103(a)(1); 8 U.S.C. 1103(g); 8 U.S.C. 510, 1746; sec. 2 Reorg Plan No 2 of 1324b; 28 U.S.C. 509; 28 U.S.C. 510; 28 communities. Any estimated costs to the public relate to costs employers may 1950; 3 CFR, 1949–1953, Comp, p 1002; U.S.C. 515–519 sec. 203 of Pub. L. 105–100, 111 Stat CFR Citation: 28 CFR 0; 28 CFR 44 incur familiarizing themselves with the rule, updating their relevant policies if 2196–200; sec. 1506 and 1510 of Pub. L. Legal Deadline: None. 106–386, 114 Stat 1527–29, 1531–32; Abstract: The Department of Justice needed, and participating in a voluntary training webinar. In the NPRM, the sec. 1505 of Pub. L. 106–554, 114 Stat proposes to revise regulations 2763A–326–328; title VII of Pub. L. 110– implementing section 274B of the Department will be soliciting public comment in response to its preliminary 229 Immigration and Nationality Act and to CFR Citation: 8 CFR 1003; 8 CFR analysis regarding the costs imposed by reflect the new name of the office within 1208. the Department charged with enforcing the rule. While not easily quantifiable Legal Deadline: None. this statute. The proposed revisions are due to data limitations, the Department Abstract: The Department of Justice appropriate to conform the regulations identified several benefits of the rule, (Department) is planning to amend the to the statutory text as amended, including: (1) Helping employers regulations of the Executive Office for simplify and add definitions of statutory understand the law more efficiently, (2) Immigration Review (EOIR) by terms, update and clarify the procedures increasing public access to government establishing procedures for the filing for filing and processing charges of services, and (3) eliminating public and adjudication of motions to reopen discrimination, ensure effective confusion regarding two offices in the removal, deportation, and exclusion investigations of unfair immigration- Federal government with the same proceedings based upon a claim of related employment practices, and name. ineffective assistance of counsel. This update outdated references. Risks: Failure to update the proposed rule is in response to Matter Statement of Need: The regulatory regulations to conform to the statutory of Compean, Bangaly & J–E–C–, 25 I&N revisions are necessary to conform the amendments will interfere with the Dec. 1 (A.G. 2009), in which the regulations to section 274B of the Department’s enforcement efforts. Attorney General directed EOIR to Immigration and Nationality Act (INA), Further, failure to revise the regulations develop such regulations. The as amended. The regulatory revisions to reflect changes to the filing and Department is also planning to propose also simplify and add definitions of processing of charges and the new name to amend the EOIR regulations to statutory terms, update and clarify the of the office charged with enforcing the provide that ineffective assistance of procedures for filing and processing law will lead to confusion among the counsel may constitute extraordinary charges of discrimination, ensure public, most specifically employers circumstances that may excuse the effective investigations of unfair subject to the law’s requirements and failure to file an asylum application immigration-related employment workers whose rights are guaranteed by within one year after the date of arrival practices, replace outdated references, the law. in the United States. and reflect the new name of the office Timetable: Statement of Need: This regulation is within the Department charged with necessary to comply with Matter of enforcing this statute. Action Date FR Cite Compean, Bangaly & J–E–C–, 25 I&N Summary of Legal Basis: Statutory NPRM ...... 08/15/16 81 FR 53965 Dec. 1 (A.G. 2009), in which the Authority: 8 U.S.C. 1324b; 8 U.S.C. NPRM Comment 09/14/16 Attorney General directed EOIR to 1103(a)(1), (g). Period End. develop regulations governing claims of Alternatives: The Department believes Final Action ...... 09/00/17 ineffective assistance of counsel in that an NPRM is the most appropriate, proceedings before the immigration and for some revisions a necessary, Regulatory Flexibility Analysis judges and the Board of Immigration method for achieving the goals of the Required: No. Appeals. The purpose of this proposed
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rule is to establish uniform procedural DOJ—EOIR rule also imposes greater oversight over and substantive requirements for the 76. Recognition of Organizations and recognized organizations and their filing of motions to reopen based upon Accreditation of Non-Attorney representatives in order to protect a claim of ineffective assistance of Representatives against potential abuse of vulnerable counsel and to provide a uniform immigrant populations by unscrupulous Priority: Other Significant. standard for adjudicating such motions. organizations and individuals. Legal Authority: 5 U.S.C. 301; 6 U.S.C. Summary of Legal Basis: The Summary of Legal Basis: The 521; 8 U.S.C. 1101; 8 U.S.C. 1103; 8 proposed rule is a revision of current summary of the legal basis for the U.S.C. 1154; 8 U.S.C. 1155; 8 U.S.C. regulations that are authorized under 8 authority for this regulation is set forth 1158; 8 U.S.C. 1182; 8 U.S.C. 1226; 8 U.S.C. 292, regarding authorization to in the above abstract. U.S.C. 1229; 8 U.S.C. 1229a; 8 U.S.C. practice before the immigration courts Alternatives: The Department will 1229b; 8 U.S.C. 1229c; 8 U.S.C. 1231; 8 and the Board. U.S.C. 1232; 8 U.S.C. 1252b; 8 U.S.C. consider any public comments it may Alternatives: The R&A regulations 1254a; 8 U.S.C. 1255; 8 U.S.C. 1324d; 8 receive regarding achievable alternatives have been comprehensively examined U.S.C. 1330; 8 U.S.C. 1361; 8 U.S.C. that will still accomplish the goal of in light of various issues that have 1362; 28 U.S.C. 509; 28 U.S.C. 510; 28 setting forth a framework for claims of arisen and input has been solicited from U.S.C. 1746; sec. 2 Reorg Plan No 2 of ineffective assistance of counsel that the public on how to address in 1950; 3 CFR, 1949–1953 Comp, 1002; supports the integrity of immigration amended regulations various sec. 203 of Pub. L. 105–100, 111 Stat proceedings. developments over the past 30 years. 2196–200; sec. 1506 and 1510 of Pub. L. The proposed rule is the product of both Anticipated Cost and Benefits: The 106–386, 114 Stat 1527–29, 1531–1532; internal and external deliberations, and Department’s preliminary analysis sec. 1505 of Pub. L. 106–554, 114 Stat the proposed rule directly addresses indicates that the proposed rule would 2763 A–326 to –328 not be economically significant, that is, CFR Citation: 8 CFR 1001; 8 CFR alternatives approaches to the current that the rule will not have an annual 1003; 8 CFR 1292. regulations that the Department has effect on the economy of $100 million, Legal Deadline: None. either decided to adopt or reject in the proposed rule. The Department will or adversely affect in a material way the Abstract: This rule would amend the consider any public comments that economy, a sector of the economy, the regulations governing the requirements propose achievable alternatives that will environment, public health or safety or and procedures for authorizing the still accomplish the goals of this State, local or tribal governments or representatives of nonprofit religious, proposed rule. communities. charitable, social service, or similar organizations to represent aliens in Anticipated Cost and Benefits: The Risks: Without the proposed changes proceedings before the Executive Office Department’s preliminary analysis to the Department’s regulations, the for Immigration Review and the indicates that the proposed rule would Department will not have complied Department of Homeland Security. not be economically significant, that is, with the Attorney General’s directive in Statement of Need: The Recognition that the rule will not have an annual Matter of Compean, Bangaly & J–E–C–, and Accreditation (R&A) program effect on the economy of $100 million, 25 I&N Dec. 1 (A.G. 2009) and the addresses the critical and ongoing or adversely affect in a material way the procedural and substantive shortage of qualified legal economy, a sector of the economy, the requirements for filing—and the representation for underserved environment, public health or safety or standards for adjudicating—motions to populations in immigration cases before State, local or tribal governments or reopen based upon a claim of ineffective federal administrative agencies. communities. The proposed rule, like assistance of counsel will lack Through the R&A program, EOIR the current regulations, does not assess uniformity. permits qualified non-attorneys to any fees on an organization to apply for Timetable: represent persons before the DHS, the initial recognition or accreditation, to immigration courts, and the Board of renew recognition or accreditation, or to Action Date FR Cite Immigration Appeals (Board). For over extend recognition. 30 years, the R&A regulations have Risks: The purpose of this proposed NPRM ...... 07/28/16 81 FR 49556 remained largely unchanged, despite rule is to promote effective and efficient NPRM Comment 09/26/16 structural changes in the government, administration of justice before DHS Period End. the changing realities of the immigration and EOIR by increasing the availability Final Action ...... 05/00/17 system, the inability of non-profit of competent non-lawyer representation organizations to meet the increased for underserved immigrant populations. Regulatory Flexibility Analysis need for legal representation under the The proposed rule seeks to accomplish Required: No. current regulations, and the surge in this goal by amending the requirements fraud and abuse by unscrupulous for recognition and accreditation to Government Levels Affected: None. organizations and individuals preying increase the availability of qualified URL for More Information: on indigent and vulnerable populations. representation for primarily low-income www.regulations.gov. The proposed rule seeks to address and indigent persons while protecting URL for Public Comments: the critical and ongoing shortage of the public from fraud and abuse by www.regulations.gov. qualified legal representation for unscrupulous organizations and underserved populations in immigration individuals. Without the proposed Agency Contact: Jean King, General cases before federal administrative changes, the Department will be limited Counsel, Department of Justice, agencies by revising the eligibility in its ability to expand the availability Executive Office for Immigration requirements and procedures for of non-lawyer representation and to Review, 5107 Leesburg Pike, Suite 2600, recognizing organizations and provide increased oversight over Falls Church, VA 22041, Phone: 703 accrediting their representatives to recognized organizations and their 305–0470. provide immigration legal services to representatives. RIN: 1125–AA68 underserved populations. The proposed Timetable:
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Action Date FR Cite nonsubstantive clarifying edits, Action Date FR Cite including updating outdated NPRM ...... 10/01/15 80 FR 59514 terminology and references that NPRM ...... 11/00/16 NPRM Comment 11/30/15 currently exist in 28 CFR part 42, such NPRM Comment 01/00/17 Period End. as changing the word handicapped and Period End. Final Action ...... 11/00/16 similar variations of that word to language referencing individuals with Regulatory Flexibility Analysis Regulatory Flexibility Analysis disabilities, modifying the order of the Required: No. Required: No. regulatory provisions to group like Small Entities Affected: Businesses, Small Entities Affected: No. provisions together, and adding some Governmental Jurisdictions. Government Levels Affected: None. headings to make the regulation more Government Levels Affected: Local, International Impacts: This regulatory user-friendly. State. action will be likely to have Federalism: Undetermined. Statement of Need: This rule is international trade and investment Additional Information: Transferred necessary to bring the Department’s effects, or otherwise be of international from RIN 1190–AA60. prior section 504 regulations into interest. Agency Contact: Rebecca B. Bond, compliance with the ADA Amendments Additional Information: Public Chief, Department of Justice, Civil Act of 2008, which became effective on Meeting notice 77 FR 9590 (Feb. 17, Rights Division, Disability Rights January 1, 2009. 2012). Section, 950 Pennsylvania Avenue NW., URL for More Information: Summary of Legal Basis: The Washington, DC 20530, Phone: 800 514– www.regulations.gov. summary of the legal basis of authority 0301. URL for Public Comments: for this regulation is set forth above in Michael Alston, Director, Office for www.regulations.gov. the abstract. Agency Contact: Jean King, General Civil Rights, Office of Justice Programs, Counsel, Department of Justice, Alternatives: Because this NPRM Department of Justice, 800 K Street NW., Executive Office for Immigration implements statutory changes to the Room 2327, (Techworld), Washington, Review, 5107 Leesburg Pike, Suite 2600, section 504 definition of disability, DC 20530, Phone: 202 307–0692. Falls Church, VA 22041, Phone: 703 there are no appropriate alternatives to RIN: 1105–AB50 issuing this NPRM. 305–0470. BILLING CODE 4410–BP–P RIN: 1125–AA72 Anticipated Cost and Benefits: The Department’s preliminary assessment in this early stage of the rulemaking U.S. DEPARTMENT OF LABOR process is that this rule will not be DOJ—LEGAL ACTIVITIES (LA) ‘‘economically significant,’’ that is, that Fall 2016 Statement of Regulatory Proposed Rule Stage the rule will not have an annual effect Priorities on the economy of $100 million, or • Introduction 77. Implementation of the ADA adversely affect in a material way the Amendments Act of 2008 Federally economy, a sector of the economy, the The Department’s Fall 2016 Assisted Programs (Section 504 of the environment, public health or safety or Regulatory Agenda continues to Rehabilitation Act of 1973) State, local or tribal Governments or advance the Department’s mission to Priority: Other Significant. communities. The Department’s section foster, promote, and develop the welfare Legal Authority: Pub. L. 110–325; 29 504 rule for federally assisted programs of wage earners, job seekers, and U.S.C. 794 (sec. 504 of the will incorporate the same changes made retirees; improve working conditions; Rehabilitation Act of 1973, as amended); by the ADA Amendments Act to the advance opportunities for profitable E.O. 12250 (45 FR 72855); 11/04/1980 definition of disability as are included employment; and assure work-related CFR Citation: 28 CFR 42, subpart G. in the proposed changes to the ADA benefits and rights. These rules will Legal Deadline: None. title II and title III rules (1190–AA59), provide greater opportunity for workers Abstract: The Department of Justice is was published in the Federal Register to acquire the skills they need to issuing this notice of proposed on August 11, 2016. 81 FR 53203. succeed, to earn a fair day’s pay for a rulemaking to revise its regulation Because most public and private fair day’s work, for veterans to thrive in implementing section 504 of the entities that receive federal financial the civilian economy, for workers to Rehabilitation Act of 1973, as applicable assistance from the Department are also retire with dignity, for workers and to programs and activities receiving likely to be subject to titles II or III of employers to compete on a level playing financial assistance from the the ADA we do not believe that the field, and for people to work in a safe Department, in order to: (1) Incorporate revisions to the Department’s existing environment with the full protection of amendments to the statute, including section 504 federally assisted our anti-discrimination laws. the changes in the meaning and regulations will have a significant Since the beginning of the Obama interpretation of the applicable economic impact. Administration, the Department of definition of disability required by the Labor has completed historic ADA Amendments Act of 2008; (2) Risks: Failure to update the rulemakings on issues that are central to incorporate requirements stemming Department’s section 504 regulations to America’s workers and their families: from judicial decisions; (3) update conform to statutory changes will Worker safety, wages, and retirement accessibility standards applicable to interfere with the Department’s security. new construction and alteration of enforcement efforts and lead to We finalized regulations to limit buildings and facilities; (4) update confusion about the law’s requirements worker exposure to deadly silica dust certain provisions to promote among entities that receive Federal that can lead to lung cancer, silicosis, consistency with comparable provisions financial assistance from the chronic obstructive pulmonary disease implementing title II of the Americans Department. and kidney disease, providing important with Disabilities Act; and (5) make other Timetable: new protections to 2.3 million workers
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and preventing hundreds of deaths each employers and other apprenticeship major reform to Federal job training year. sponsors attract a larger and more programs in almost 20 years, building We finalized updates to our overtime diverse applicant pool and provide new partnerships, engaging employers, regulations to ensure that middle class greater opportunities to women, people emphasizing proven strategies like jobs pay middle class wages, extending of color, and other individuals apprenticeship and preparing people for important overtime pay protections to regardless of disability, age, sexual the demands of the 21st century over 4.2 million workers and raising orientation, or gender identity, to take economy. The Department’s regulatory their pay by an estimated $12 billion in part in Registered Apprenticeship priorities reflect the Secretary’s vision the next 10 years. programs. And, we finalized regulations for a modern job-driven workforce We issued final regulations that will clarifying how states can establish system that helps businesses stay on the enable employees of Federal contractors retirement savings arrangements to competitive cutting edge and helps to earn seven days of paid sick and safe automatically enroll employees, and workers punch their ticket to the middle leave per year, for the first time offer coverage that is consistent with class. guaranteeing these workers have paid Federal laws governing employee • The Department’s Civil Rights leave to care for themselves, family benefit plans. Center (CRC) will issue a final rule to members, or loved ones, without fear of The 2016 Regulatory Plan highlights implement the nondiscrimination losing their paychecks or their jobs. the Labor Department’s most provisions in section 188 of WIOA. The We finalized our Conflict of Interest noteworthy and significant rulemaking rule will update nondiscrimination and Rule, establishing a fundamental efforts, with each addressing the top equal opportunity provisions to be principle of consumer protection in the priorities of its regulatory agencies: consistent with current law and address American retirement marketplace—that Employee Benefits Security its application to current workforce retirement advisors must put their Administration (EBSA), Employment development and workplace practices clients’ interests before their own and Training Administration (ETA), and issues. To ensure no gap in profits. Mine Safety and Health Administration coverage between the effective date of Along with the Department of (MSHA), Office of Federal Contract WIOA and this rulemaking, CRC issued Education, we finalized regulations to Compliance Programs (OFCCP), a final rule that makes only technical implement the Workforce Innovation Occupational Safety and Health revisions to the WIA section 188 rule, and Opportunity Act—the most Administration (OSHA), Office of changing references from ‘‘WIA’’ to significant legislative reform to the Workers’ Compensation Programs ‘‘WIOA.’’ 2 public workforce system in nearly 20 The current final rule (OWCP), and Wage and Hour Division ultimately will be superseded by the years—that will expand workers’ (WHD). These regulatory priorities opportunities to develop the skills they final rule arising from the earlier NPRM. exemplify the five components of the To further meet the demands of the need and provide employers with the Secretary’s opportunity agenda: skilled workforce they need to succeed • 21st century workforce, the Department Training more people, including will also explore options to modernize in the 21st century economy. veterans and people with disabilities, to We finalized new regulations that and provide flexibilities to employers have the skills they need for the in- and workers, without sacrificing establish equity and transparency in demand jobs of the 21st century; employer/consultant reporting • important worker protections in the ensuring that individuals have the permanent labor certification program. requirements when employers engage peace of mind that comes with access to • The permanent labor certification consultants to persuade employees on health care, retirement, and Federal requirements and process have not been their rights to organize and bargain workers’ compensation benefits when comprehensively examined or modified collectively. they need them; Working with the Federal Acquisition • safeguarding a fair day’s pay for a since 2004. ETA proposes to consider Regulatory Council, we finalized fair day’s work for all hardworking options to modernize the PERM regulations and guidance implementing Americans, regardless of race, gender, program to be more responsive to the President’s Fair Pay and Safe religion, disability, national origin, changes in the national workforce in Workplaces Executive Order, holding veteran’s status, sexual orientation, or order to further align the program Federal contractors accountable when gender identity; design with the objectives of the U.S. they put workers’ safety, hard-earned • giving workers a voice in their Immigration system, and needs of wages and basic workplace rights at workplaces; and workers and employers, and to enhance risk. The rule ensures that taxpayer • protecting the safety and health of the integrity of the labor certification dollars do not reward companies that workers so they do not have to risk their process.3 break the law and that contractors who lives for a paycheck. • ETA also proposes to engage the meet their legal responsibilities do not Under Secretary Perez’s leadership, public on whether the Schedule A of the have to compete with those who do not. the Department continues its permanent labor certification process We updated sex discrimination commitment to ensuring that serves as an effective tool for addressing regulations for Federal contractors for collaboration, consensus-building, current labor shortages, and how the the first time in 40 years, to reflect the strong foundation of evidence, and Department may create a timely, current state of the law and the reality extensive stakeholder outreach, are coherent, and transparent methodology of a modern and diverse workforce. integral to all of our regulatory efforts. for identifying occupations that are Updated rules on workplace sex Successful rulemaking requires that we experiencing labor shortages.4 discrimination will mean clarity for build a big table and keep an open Federal contractors and subcontractors mind. 2 Implementation of the Nondiscrimination and and equal opportunities for both men Equal Opportunity Provisions of the Workforce and women applying for jobs with, or Training More Workers and Job-Seekers Innovation Act of 2014 (RIN: 1291–A37). 3 already working for, these employers. for 21st Century Jobs Modernizing the Permanent Labor Certification The Department continues to Program (PERM) (RIN: 1205–AB76). We will update and simplify the equal 4 Labor Certification for Permanent Employment opportunity regulations implementing implement the Workforce Innovation of Foreign Workers in the United States; Revising the National Apprenticeship Act to help and Opportunity Act (WIOA), the first Schedule A (RIN: 1205–AB77).
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Ensuring Access to Health Care, Safeguarding Fair Pay for All Americans infectious diseases in healthcare and Retirement, and Workers’ Compensation other related high risk environments.10 The Department’s regulatory agenda Benefits • prioritizes ensuring that all Americans OSHA will finalize regulations that Workplace benefits ensure that receive a fair day’s pay for a fair day’s address occupational exposure to 11 workers have the opportunity to remain work, and are not discriminated against beryllium in the workplace. • in the middle class if they face a health with respect to hiring, employment, or Building upon its history of and welfare challenge, retire from their benefits on the basis of race, gender, addressing workplace violence in health jobs, or experience a workplace accident religion, disability, national origin, care facilities, OSHA will solicit or illness. In addition, a financially veteran’s status, sexual orientation, or information from health care employers, secure retirement is a fundamental gender identity. The Department workers and other experts on preventing pillar of the middle class. The continues to take a robust approach to workplace violence in the workplace. Department has a regulatory program implementing its wage-and-hour and The request for information will seek designed to improve health benefits and nondiscrimination regulations through public input on the impacts of violence, retirement security for all workers. prevention strategies, and other • education, outreach and strategic EBSA plans to finalize regulations enforcement across industries. The information that will be useful to that describe how political subdivisions regulations in this area are grounded in OSHA.12 (e.g. cities and counties) may design and a commitment to an inclusive and • After more than 25 years, OSHA operate payroll deduction savings diverse workforce and rewarding hard will update and finalize regulations that programs, using automatic enrollment, work with a fair wage to provide address slip, trip and fall hazards and for private-sector employees without workers with a real pathway to middle establish requirements for personal fall causing the political subdivisions or class jobs. protection systems. Slips, trips and falls private-sector employers to establish • WHD will propose revisions to its are among the leading causes or work- employee pension benefit plans under 13 regulations implementing section 14(c) related injuries and fatalities. the Employee Retirement Income of the Fair Labor Standards Act to Security Act of 1974.5 Regulatory Review and Burden • EBSA plans to finalize regulations reflect the changes in employment laws Reduction affecting workers with disabilities.8 that strengthen, improve and update the On January 18, 2011, the President current disability benefit claims and Protecting the Safety and Health of issued Executive Order (E.O.) 13563, appeals process under section 503 of Workers entitled ‘‘Improving Regulation and ERISA.6 Regulatory Review.’’ The Department is EBSA will also continue to issue The Department’s safety and health committed to smart regulations that guidance implementing the health regulatory proposals are based on the coverage provisions of Parts 6 and 7 of responsibility of employers to provide ensure the health, welfare and safety of ERISA, including the provisions of workers with workplaces that do not all working Americans and foster COBRA, HIPAA, GINA, mental health threaten their safety or health. We reject economic growth, job creation, and parity, the Newborns’ and Mothers’ the false choice between worker safety competitiveness of American business. Health Protection Act, the Women’s and economic growth. Through our The Department’s Fall 2016 Regulatory Health and Cancer Rights Act, and the rulemakings, we are committed to Agenda also aims to achieve more Affordable Care Act group market protecting workers in all kinds of efficient and less burdensome protections. Much of this guidance workplaces, including above- and regulations through a retrospective involves joint work with the below-ground coal and metal/nonmetal review of the Labor Department Departments of Health and Human mines. So many workplace injuries, regulations. Services and Treasury. illnesses and fatalities are preventable. In August 2011, as part of a The Department also promulgates They not only put workers in harm’s government-wide response to the E.O., regulations to ensure that Federal way, they jeopardize their economic the Department published its ‘‘Plan for workers’ compensation benefits security, often forcing families out of the Retrospective Analysis of Existing programs are fairly administered: middle class and into poverty. Our Rules.’’ (This plan, and each subsequent • OWCP will issue an NPRM under efforts are to prevent workers from update, can be found at www.dol.gov/ the Black Lung Benefits Act to address having to choose between their lives regulations/.) The current regulatory how medical providers are reimbursed and their livelihood. agenda includes 14 retrospective review for covered services rendered to coal • MSHA will build on the knowledge projects, which are listed below miners totally disabled by gained through the OSHA silica pursuant to section 6 of E.O. 13563. pneumoconiosis, including the rulemaking process to develop More information about completed possibility of modernizing and regulations that would provide essential rulemakings no longer included in the standardizing payment methodologies protections to miners from silica plan can be found on www.reginfo.gov. and fee schedules.7 exposure in mines.9 • OSHA is developing an NPRM that 10 Infectious Diseases (RIN: 1218–AC46). 5 Savings Arrangements Established by Political will look at how to provide stronger 11 Occupational Exposure to Beryllium (RIN: Subdivisions for Non-Governmental Employees protections for workers exposed to 1218–AB76). (RIN: 1210–AB76). 12 Preventing Violence in Healthcare (RIN: 1218– 6 Amendment to Claims Procedure Regulation AD08). (RIN: 1210–AB39). 8 Employment of Workers with Disabilities under 13 Walking Working Surfaces and Personal Fall 7 Black Lung Benefits Act: Benefit Payments (RIN: Special Certificates (RIN: 1235–AA14). Protection Systems (Slips, Trips, and Fall 1240–AA11). 9 Respirable Crystalline Silica (RIN: 1219–AB36). Prevention) (RIN: 1218–AA11).
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Whether it is expected Regulatory to significantly reduce Agency Identifier No. Title of rulemaking burdens on small (RIN) businesses
EBSA ...... 1210–AB47 Amendment of Abandoned Plan Program ...... Yes. EBSA ...... 1210–AB63 21st Century Initiative to Modernize the Form 5500 Series and Implementing and Re- To Be Determined. lated Regulations. ETA ...... 1205–AB59 Equal Employment Opportunity in Apprenticeship and Training, Amendment of Regu- To Be Determined. lations. ETA ...... 1205–AB75 Modernizing the Permanent Labor Certification Program (PERM) ...... To Be Determined. OSHA ...... 1218–AC34 Bloodborne Pathogens...... To Be Determined. OSHA ...... 1218–AC67 Standard Improvement Project—Phase IV (SIP IV) ...... To Be Determined. OSHA ...... 1218–AC74 Chemical Management and Permissible Exposure Limits (PELs) ...... To Be Determined. OSHA ...... 1218–AC81 Cranes and Derricks in Construction: Amendments ...... Yes. OSHA ...... 1218–AC82 Process Safety Management and Flammable Liquids ...... To Be Determined. OSHA ...... 1218–AD01 Revocation of Obsolete PELs ...... To Be Determined. OSHA ...... 1218–AC99 Powered Industrial Trucks ...... To Be Determined. OSHA ...... 1218–AC98 Mechanical Power Presses Update ...... To Be Determined. OSHA ...... 1218–AD00 Lock-Out/Tag-Out Update...... To Be Determined. OSHA ...... 1218–AD12 Technical Correction to 16 OSHA Standards ...... To Be Determined. OWCP ...... 1240–AA11 Black Lung Benefits Act: Medical Benefit Payments ...... To Be Determined. WHD ...... 1235–AA17 Updating Regulations Issued Under Various Wage and Hour Division Statutes Con- To be Determined. sistent with Rosa’s Law. WHD ...... 1235–AA18 Technical Updates to Regulations Issued Under Various Wage and Hour Division To Be Determined. Statutes.
DOL—WAGE AND HOUR DIVISION certain new conditions on the payment Agency Contact: Melissa Smith, (WHD) of subminimum wages by section 14(c) Director, Regulations, Legislation and certificate holders. The current section Interpretations, Department of Labor, Proposed Rule Stage 14(c) regulations are in need of Wage and Hour Division, 200 78. Employment of Workers With improvement. The regulations have not Constitution Avenue NW., Room S3502, Disabilities Under Special Certificates been updated since 1989 and lack Washington, DC 20210, Phone: 202 693– Priority: Other Significant. comprehensive, detailed information 0406, Fax: 202 693–1387. Unfunded Mandates: Undetermined. regarding the issuance, renewal, and RIN: 1235–AA14 Legal Authority: 29 U.S.C. 201 et seq.; revocation of 14(c) certificates as well as 29 U.S.C. 214; Pub. L. 113–128 WHD’s enforcement of the program. The CFR Citation: 29 CFR 525. regulations will be updated as the DOL—EMPLOYMENT AND TRAINING Legal Deadline: None. Department considers the new ADMINISTRATION (ETA) Abstract: Section 14(c) of the FLSA, requirements of WIOA, and suggestions 29 U.S.C. 214(c), provides that the from workers with disabilities and their Final Rule Stage Secretary of Labor may, to the extent advocates. 79. Equal Employment Opportunity in necessary to prevent the curtailment of Summary of Legal Basis: These opportunities for employment, issue Apprenticeship Amendment of regulations are authorized by section Regulations certificates to permit the payment of 14(c) of the Fair Labor Standards Act, 29 subminimum wages to individuals with U.S.C. 214. Priority: Other Significant. disabilities whose earring or productive Legal Authority: Sec. 1, 50 stat 664, as Alternatives: Alternatives will be capacities are affected by their amended (29 U.S.C. 50; 40 U.S.C. 276c; developed in considering proposed disability. The Department is proposing 5 U.S.C. 301); Reorganization Plan No revisions to the current regulations. The to revise the regulations implementing 14 of 1950, 64 stat 1267 (5 U.S.C. app public will be invited to provide section 14(c) to reflect changes in p 534) comments on the proposed revisions employment laws affecting workers CFR Citation: 29 CFR 30 (revision). with disabilities enacted since the and possible alternatives. Legal Deadline: None. Department’s last update to the Anticipated Cost and Benefits: The Abstract: Revisions to the equal regulations. Department will prepare estimates of opportunity regulatory framework for Statement of Need: For some time, the anticipated costs and benefits the National Apprenticeship Act are a WHD has been conducting a associated with the proposed rule. critical element in the Department’s comprehensive review of the section Risks: This action does not affect vision to promote and expand 14(c) program. This review was public health, safety, or the Registered Apprenticeship designed to develop strategies to better environment. opportunities in the 21st century while protect workers in the program, to Timetable: continuing to safeguard the welfare and promote WHD’s vision of supporting safety of apprentices. In October 2008, competitive and integrated employment Action Date FR Cite the Agency issued a Final Rule updating of individuals with disabilities, and to regulations for Apprenticeship Programs assist with efforts to make section 14(c) NPRM ...... 04/00/17 and Labor Standards for Registration. employment an option of last resort for These regulations, codified at title 29 workers where feasible. The Workforce Regulatory Flexibility Analysis CFR 29, have not been updated since Innovation and Opportunity Act Required: No. 1977. The companion regulations, 29 (WIOA) created a new section 511 of the Government Levels Affected: CFR 30, Equal Employment Opportunity Rehabilitation Act, which imposes Undetermined. (EEO) in Apprenticeship and Training,
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have not been amended since 1978. The Regulatory Flexibility Analysis the current claims procedure rules Agency proposes to update 29 CFR 30 Required: No. primarily by adopting certain to ensure that the National Registered Small Entities Affected: No. procedural protections and safeguards Apprenticeship System is consistent Government Levels Affected: Federal, for disability benefit claims that are and in alignment with EEO law, as it State, Tribal. currently applicable to claims for group has developed since 1978, and recent Federalism: This action may have health benefits pursuant to the revisions to 29 CFR 29. This second federalism implications as defined in Affordable Care Act (ACA). phase of regulatory updates ensures that E.O. 13132. Summary of Legal Basis: Section 503 Registered Apprenticeship is positioned Agency Contact: John V. Ladd, Office of ERISA, 29 U.S.C. 1133, requires every to continue to provide economic of Apprenticeship, Department of Labor, employee benefit plan to provide opportunity for millions of Americans Employment and Training adequate notice in writing to any while keeping pace with these new Administration, FP Building, Room C– participant or beneficiary whose claim requirements. 5311, 200 Constitution Avenue NW., for benefits under the plan has been Statement of Need: Federal Washington, DC 20210, Phone: 202 693– denied, setting forth the specific reasons regulations for Equal Employment 2796, Fax: 202 693–3799, Email: for such denial, written in a manner Opportunity (EEO) in Apprenticeship [email protected]. calculated to be understood by the RIN: 1205–AB59 have not been updated since 1978. participant and to afford a reasonable Updates to these regulations are opportunity to any participant whose necessary to ensure that DOL regulatory claim for benefits has been denied for a requirements governing the National DOL—EMPLOYEE BENEFITS full and fair review by the appropriate Registered Apprenticeship System are SECURITY ADMINISTRATION (EBSA) named fiduciary of the decision denying consistent with the current state of EEO the claim. Section 503 also provides the Final Rule Stage law and recent revisions to 29 CFR 29. Secretary of Labor with broad authority to prescribe regulations governing a 80. Amendment to Claims Procedure Summary of Legal Basis: These plan’s claims procedure. regulations are authorized by the Regulation Alternatives: On November 18, 2015, National Apprenticeship Act of 1937 (29 Priority: Other Significant. the Department published in the U.S.C. 50) and the Copeland Act (40 Legal Authority: 29 U.S.C. 1135; Federal Register a proposed rule U.S.C. 276(c). These regulations will set ERISA sec. 505; 29 U.S.C. 1133 revising the claims procedure forth policies and procedures to CFR Citation: 29 CFR 2550.503–1. regulations for plans providing promote equality of opportunity in Legal Deadline: None. disability benefits under ERISA. The apprenticeship programs registered with Abstract: Section 503 of the Employee Department received 145 public the U.S. Department of Labor or in State Retirement Income Security Act comments in response to the proposed Apprenticeship Agencies recognized by (ERISA), 29 U.S.C. 1133, provides that, rule from plan participants, consumer the U.S. Department of Labor. in accordance with regulations groups representing disability benefit Alternatives: The public was afforded promulgated by the Secretary of Labor, claimants, employer groups, individual an opportunity to provide comments on each employee benefit plan must insurers and trade groups representing the proposed amendment to provide ‘‘adequate notice in writing to disability insurance providers. In Apprenticeship EEO regulations when any participant or beneficiary whose addition to the approach set forth in the the Department published a Notice of claim for benefits under the plan has proposal, the Department will consider Proposed Rulemaking (NPRM) in the been denied.’’ The notice must set forth all meaningful alternative rules and Federal Register. A Final Rule was the specific reasons for the denial and standards presented in these comment issued after analysis and incorporation must be written in a manner calculated letters. of public comments to the NRPM. to be understood by the claimant. Each Anticipated Cost and Benefits: The Anticipated Cost and Benefits: The plan must also afford ‘‘a reasonable Department expects that these final proposed changes are thought to raise opportunity’’ for any participant or regulations will improve the procedural ‘‘novel legal or policy issues’’ but are beneficiary whose claim has been protections for workers who become not economically significant within the denied to obtain ‘‘full and fair review’’ disabled and make claims for disability context of Executive Order 12866 and of the denial by the ‘‘appropriate named benefits from ERISA-covered employee are not a ‘‘major rule’’ under section 804 fiduciary of the plan.’’ The Department benefit plans. This would result in some of the Small Business Regulatory has issued a regulation pursuant to the participants receiving benefits they Enforcement Fairness Act. above authority that establishes the might otherwise have been denied minimum requirements for benefit absent the fuller protections provided Risks: This action does not affect the claims procedures of employee benefit by the final regulations. In other public health, safety, or the plans covered by title 1 of ERISA. See circumstances, expenditures by plans environment. 29 CFR 2560.503–1. This rulemaking is may be reduced as a fuller and fairer Timetable: intended to strengthen, improve, and disability claims processing helps update the current disability benefit facilitate participant acceptance of cost Action Date FR Cite claims and appeals process under the management efforts. Greater certainty NPRM ...... 11/06/15 80 FR 68908 section 503 regulations. and consistency in the handling of NPRM Comment 01/05/16 Statement of Need: Because of the disability benefit claims and appeals Period End. volume and constancy of disability and improved access to information NPRM Comment 12/24/15 benefits litigation, the Department about the manner in which claims and Period Ex- recognizes a need to revisit, reexamine, appeals are adjudicated may lead to tended. and revise the current regulations to efficiency gains in the system, both in NPRM Comment 01/20/16 ensure that disability claimants receive terms of the allocation of spending at a Period Ex- a fair review of denied claims as macro-economic level as well as tended End. Final Rule ...... 12/00/16 provided by section 503 of ERISA. The operational efficiencies among rulemaking would revise and strengthen individual plans.
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The Department believes that these as amended (ERISA). Several Department will consider other requirements have modest costs commenters on that proposal asserted alternatives presented by commenters. associated with them, since many that the scope of the safe harbor Anticipated Cost and Benefits: In chiefly clarify provisions of the current regulation was too narrow and analyzing benefits and costs associated requested that the Department broaden claims procedure regulations or require with this proposed rule, the Department provision of notices to plan participants. it beyond states to cover payroll focuses on the direct effects, which Risks: Undetermined. deduction savings programs of state Timetable: political subdivisions, such as counties include both benefits and costs directly and cities. These commenters asserted attributable to the rule. These benefits Action Date FR Cite that such an expansion would promote and costs are limited, because as stated broader access to workplace retirement above, the proposed rule would merely NPRM ...... 11/18/15 80 FR 72014 savings opportunities for employees, establish a safe harbor describing the NPRM Comment 01/19/16 especially in states that do not circumstances under which a qualified Period End. political subdivision with authority Final Rule ...... 12/00/16 themselves establish state-level programs but do have political under state law could establish payroll Regulatory Flexibility Analysis subdivisions that would be willing to do deduction savings programs that would Required: Undetermined. so. The Department agrees with not give rise to ERISA-covered Government Levels Affected: commenters that there may be good employee pension benefit plans. It does Undetermined. reasons for expanding the safe harbor to not require qualified political Agency Contact: Jeffrey J. Turner, cover political subdivisions. subdivisions to take any actions nor Deputy Director, Office of Regulations Accordingly, on August 30, 2016, the employers to provide any retirement and Interpretations, Department of Department published a notice of savings programs to their employees. Labor, Employee Benefits Security proposed rulemaking soliciting further The Department also addresses indirect Administration, 200 Constitution comments on whether and how the safe effects associated with the proposed Avenue NW., FP Building, Room harbor should be expanded to state rule, which include: (1) Potential N–5655, Washington, DC 20210, Phone: political subdivisions. Summary of Legal Basis: Section 505 benefits and costs directly associated 202 693–8500, Fax: 202 219–7291. with the requirements of qualified RIN: 1210–AB39 of ERISA, 29 U.S.C. 1135, provides the Secretary of Labor with broad authority political subdivision payroll deduction to prescribe such regulations as he finds savings programs; and (2) the potential necessary and appropriate to carry out increase in retirement savings and DOL—EBSA the provisions of Title I of the Act. potential cost burden imposed on covered employers to comply with the 81. • Savings Arrangements Section 3(2) of ERISA, 29 U.S.C. 1002, Established by Political Subdivisions defines the term employee pension requirements of such programs. Indirect for Non-Governmental Employees benefit plan. The Department’s effects vary by qualified political regulations at 29 CFR 2510.3–2 clarify subdivisions depending on their Priority: Other Significant. the term employee pension benefit plan program requirements and the degree to Legal Authority: 29 U.S.C. 1135 by identifying certain specific plans, which the proposed rule might (ERISA sec. 505); 29 U.S.C. 1002 (ERISA funds and programs that do not influence political subdivisions to sec. 3(2)) constitute employee pension benefit design their payroll deduction savings CFR Citation: 29 CFR 2510.3–2. plans. programs. Legal Deadline: None. Alternatives: The notice of proposed Abstract: The Department proposes to rulemaking would expand the safe Risks: Undetermined. amend a regulation (29 CFR 2510.3– harbor to cover payroll deduction Timetable: 2(h)) that describes how states may savings programs of a limited number of design and operate payroll deduction large (in terms of population) cities and Action Date FR Cite savings programs, using automatic other political subdivisions. The enrollment, for private-sector employees Department considered three alternative NPRM ...... 08/30/16 81 FR 59581 without causing the states or private- criteria suggested by commenters that it NPRM Comment 09/29/16 sector employers to establish employee could use to narrow the universe of Period End. pension benefit plans under the eligible political subdivisions. The first Final Rule ...... 12/00/16 Employee Retirement Income Security suggested alternative criterion is that a Act of 1974. The proposed amendments political subdivision would have a Regulatory Flexibility Analysis would expand the current regulation to population equal to or greater than the Required: No. cover programs of political subdivisions population of the least populous state. Government Levels Affected: of states that otherwise comply with the The second suggested alternative Undetermined. current regulation. criterion is that the state in which the Statement of Need: On November 18, political subdivision exists does not Agency Contact: Jeffrey J. Turner, 2015, the Department published in the have a state-wide retirement savings Deputy Director, Office of Regulations Federal Register a proposed safe harbor program for private-sector employees. and Interpretations, Department of regulation describing specific The third suggested alternative criterion Labor, Employee Benefits Security circumstances in which state (but not is that a political subdivision would Administration, 200 Constitution state political subdivisions, such as have demonstrated capacity to design Avenue NW., FP Building, Room cities and counties) payroll deduction and operate a payroll deduction savings N–5655, Washington, DC 20210, Phone: savings programs with automatic program, such as by maintaining a 202 693–8500, Fax: 202 219–7291. enrollment would not give rise to the pension plan with substantial assets for RIN: 1210–AB76 establishment of employee pension employees of the political subdivision. benefit plans under the Employee All of these alternatives are under Retirement Income Security Act of 1974, consideration. In addition, the
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DOL—MINE SAFETY AND HEALTH adverse health effects include simple debilitating injuries and accidental ADMINISTRATION (MSHA) silicosis and progressive massive death. fibrosis (lung scarring). Evidence Summary of Legal Basis: Proposed Rule Stage indicates that exposure to silica may Promulgation of this standard is 82. Respirable Crystalline Silica cause cancer. MSHA believes that the authorized by section 101(a) of the Priority: Other Significant. health evidence forms a reasonable basis Federal Mine Safety and Health Act of Legal Authority: 30 U.S.C. 811 for reducing miners’ exposures to 1977, as amended by the Mine CFR Citation: 30 CFR 58. respirable crystalline silica. Improvement and New Emergency Legal Deadline: None. Timetable: Response Act of 2006. Abstract: Current MSHA standards Alternatives: No reasonable Action Date FR Cite limit exposures to quartz (crystalline alternatives to this regulation would be as comprehensive or as effective in silica) in respirable dust. Overexposure NPRM ...... 04/00/17 to crystalline silica can result in some eliminating hazards and preventing injuries. miners developing silicosis, an Regulatory Flexibility Analysis irreversible but preventable lung Anticipated Cost and Benefits: Required: Undetermined. MSHA’s proposed rule included an disease, which ultimately may be fatal. Small Entities Affected: Businesses, estimate of the anticipated cost and The metal and nonmetal mining Governmental Jurisdictions. benefits. industry standard is based on the 1973 Government Levels Affected: Local, Risks: The lack of proximity detection American Conference of Governmental State. systems on mobile equipment in Industrial Hygienists (ACGIH) URL for More Information: underground mines contributes to a Threshold Limit Values formula: 10 mg/ www.msha.gov/regsinfo.htm. higher incidence of debilitating injuries m3 divided by the percentage of quartz URL for Public Comments: and accidental deaths. plus 2. The formula is designed to limit www.regulations.gov. Timetable: exposures to 0.1 mg/m3 (100 ug/m3) of Agency Contact: Sheila McConnell, Director, Office of Standards, silica. The National Institute for Action Date FR Cite Occupational Safety and Health Regulations, and Variances, Department (NIOSH) recommends a 50 ug/m3 of Labor, Mine Safety and Health Request for Infor- 02/01/10 75 FR 5009 exposure limit for respirable crystalline Administration, 201 12th Street South, mation (RFI). silica. MSHA will publish a proposed Room 4E401, Arlington, VA 22202– RFI Comment Pe- 04/02/10 rule to address miners’ exposure to 5452, Phone: 202 693–9440, Fax: 202 riod End. respirable crystalline silica. 693–9441, Email: mcconnell.sheila.a@ NPRM ...... 09/02/15 80 FR 53070 Statement of Need: MSHA standards dol.gov. Scheduling of 09/28/15 80 FR 58229 RIN: 1219–AB36 Public Hearing. have not been updated since 1985; Public Hearing— 10/06/15 current regulations may not protect Denver, Colo- workers from developing silicosis. rado 10/06/ Evidence indicates that miners continue DOL—MSHA 2015. to develop silicosis. MSHA’s proposed Public Hearing— 10/08/15 regulatory action exemplifies the 83. Proximity Detection Systems for Birmingham, Agency’s commitment to protecting the Mobile Machines in Underground Alabama 10/08/ most vulnerable populations while Mines 2015. assuring broad-based compliance. Public Hearing— 10/19/15 Priority: Other Significant. Beaver, West MSHA will regulate based on sound Legal Authority: 30 U.S.C. 811 Virginia 10/19/ science to eliminate or reduce the CFR Citation: 30 CFR 75. 2015. hazards with the broadest and most Legal Deadline: None. Public Hearing— 10/29/15 serious consequences. MSHA intends to Abstract: This final rule addresses Indianapolis, In- use OSHA’s work on the health effects hazards miners face when working near diana 10/29/ and risk assessment of silica, adapting it mobile equipment in underground 2015. as necessary for the mining industry. mines. MSHA has concluded, from NPRM Comment 11/30/15 80 FR 74740 Summary of Legal Basis: investigations of accidents involving Period Ex- Promulgation of this standard is mobile equipment and other reports, tended. authorized by section 101 of the Federal that action is needed to protect miner NPRM Comment 12/15/15 Period Ex- Mine Safety and Health Act of 1977. safety. Mobile equipment can pin, tended End. Alternatives: This rulemaking would crush, or strike a miner working near Reopening of 11/00/16 improve health protection from that the equipment. Proximity detection Record. afforded by the existing standards. technology can prevent these types of MSHA will consider alternative accidents. The proposed rule would Regulatory Flexibility Analysis methods of addressing miners’ strengthen the protection for Required: No. exposures based on the capabilities of underground miners by reducing the Small Entities Affected: Businesses. the sampling and analytical methods. potential of pinning, crushing, or Government Levels Affected: None. Anticipated Cost and Benefits: MSHA striking hazards associated with URL for More Information: will prepare estimates of the anticipated working close to mobile equipment. www.msha.gov/regsinfo.htm. costs and benefits associated with the Statement of Need: Mining is one of URL for Public Comments: proposed rule. the most hazardous industries in this www.regulations.gov. Risks: For over 70 years, toxicology country. Miners continue to be injured Agency Contact: Sheila McConnell, information and epidemiological studies or killed from pinning, crushing, or Director, Office of Standards, have shown that exposure to respirable striking accidents involving mobile Regulations, and Variances, Department crystalline silica presents potential equipment. Equipment is available to of Labor, Mine Safety and Health health risks to miners. These potential help prevent accidents that cause Administration, 201 12th Street South,
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Room 4E401, Arlington, VA 22202– Some medical professions and settings workers in related occupations, or who 5452, Phone: 202 693–9440, Fax: 202 are more at risk than others. According are exposed in other high-risk 693–9441, Email: mcconnell.sheila.a@ to the Bureau of Labor Statistics, in 2013 environments, are at increased risk of dol.gov. psychiatric aides experienced the contracting TB, SARS, Methicillin- Related RIN: Related to 1219–AB65 highest rate of violent injuries that resistant Staphylococcus aureus RIN: 1219–AB78 resulted in days away from work, at (MRSA), and other infectious diseases approximately 590 injuries per 10,000 that can be transmitted through a variety full-time employees (FTEs). This rate is of exposure routes. OSHA is concerned DOL—OCCUPATIONAL SAFETY AND more than 10 times higher than the next about the ability of employees to HEALTH ADMINISTRATION (OSHA) group, nursing assistants (about 55 continue to provide health care and violent injuries per 10,000 FTEs, and other critical services without Prerule Stage registered nurses (about 14 violent unreasonably jeopardizing their health. OSHA is developing a standard to 84. Preventing Workplace Violence in injuries per 10,000 FTEs), compared ensure that employers establish a Healthcare with a rate of 4.2 violent injuries per 10,000 FTEs in U.S. private industry as comprehensive infection control Priority: Other Significant. Major a whole. High-risk areas include program and control measures to protect status under 5 U.S.C. 801 is emergency departments, geriatrics, and employees from infectious disease undetermined. behavioral health, among others. exposures to pathogens that can cause Unfunded Mandates: Undetermined. Summary of Legal Basis: significant disease. Workplaces where Legal Authority: Not Yet Determined Alternatives: such control measures might be CFR Citation: Not Yet Determined. Anticipated Cost and Benefits: necessary include: Health care, Legal Deadline: None. emergency response, correctional Abstract: The RFI will provide Risks: Timetable: facilities, homeless shelters, drug OSHA’s history with the issue of treatment programs, and other workplace violence in healthcare, Action Date FR Cite occupational settings where employees including a discussion of the Guidelines can be at increased risk of exposure to that were initially published in 1996, a Request For Infor- 11/00/16 potentially infectious people. A 2014 update to the Guidelines, and the mation (RFI). standard could also apply to recently published tools and strategies laboratories, which handle materials that were shared with OSHA by Regulatory Flexibility Analysis that may be a source of pathogens, and healthcare facilities with effective Required: Undetermined. to pathologists, coroners’ offices, violence prevention programs. It will Government Levels Affected: medical examiners, and mortuaries. also discuss the Agency’s use of 5(a)(1) Undetermined. Statement of Need: OSHA is in enforcement cases in healthcare. The Federalism: Undetermined. considering the need for regulatory RFI solicits information primarily from Agency Contact: William Perry, action to address the risk to workers health care employers, workers and Director, Directorate of Standards and exposed to infectious diseases in other subject matter experts on impacts Guidance, Department of Labor, healthcare and other related high-risk of violence, prevention strategies, and Occupational Safety and Health environments. Especially given recent other information that will be useful to Administration, 200 Constitution events necessitating the careful the Agency if it decides to move forward Avenue NW., FP Building, Room treatment of individuals with life- in rulemaking. OSHA will also solicit N–3718, Washington, DC 20210, Phone: threatening infectious diseases, OSHA is information from stakeholders, 202 693–1950, Fax: 202 693–1678, concerned about the risk posed to including state officials, employers and Email: [email protected]. healthcare workers with the movement workers, in the nine states that require RIN: 1218–AD08 of healthcare delivery from the certain health healthcare facilities to traditional hospital setting into more have some type of workplace violence diverse and smaller workplace settings. prevention program. DOL—OSHA The Agency initiated the Small Business Statement of Need: Workplace Regulatory Enforcement Fairness Act violence is a widespread problem, and Proposed Rule Stage (SBREFA) Panel process in the spring of there is growing recognition that 85. Infectious Diseases 2014. workers in healthcare occupations face Summary of Legal Basis: 5 U.S.C. 533; unique risks and challenges. In 2013, Priority: Economically Significant. 29 U.S.C. 657 and 658; 29 U.S.C. 666; the rate of serious workplace violence Major status under 5 U.S.C. 801 is 29 U.S.C. 669; 29 U.S.C. 673. incidents (those requiring days off for an undetermined. Alternatives: OSHA offered several injured worker to recuperate) was more Legal Authority: 5 U.S.C. 533; 29 alternatives to the SBREFA panel when than four times greater in healthcare U.S.C. 657 and 658; 29 U.S.C. 660; 29 presenting the proposed Infectious than in private industry on average. U.S.C. 666; 29 U.S.C. 669; 29 U.S.C. 673 Disease (ID) rule. OSHA considered a Healthcare accounts for nearly as many CFR Citation: 29 CFR 1910. specification oriented rule rather than a serious violent injuries as all other Legal Deadline: None. performance oriented rule, but this type industries combined. Workplace Abstract: Employees in health care of rule would provide less flexibility violence comes at a high cost. It harms and other high-risk environments face and would likely fail to anticipate all of workers often both physically and long-standing infectious disease hazards the potential hazards and necessary emotionally and makes it more difficult such as tuberculosis (TB), varicella controls for every type and every size of for them to do their jobs. disease (chickenpox, shingles), and facility and would under-protect In 2013, 80 percent of serious violent measles (rubeola), as well as new and workers. Exempting small entities from incidents reported in healthcare settings emerging infectious disease threats, the rule was considered, but were caused by interactions with such as Severe Acute Respiratory approximately 1.5 million of the patients. Other incidents were caused Syndrome (SARS) and pandemic estimated 9 million workers affected by by visitors, coworkers, or other people. influenza. Health care workers and the rule as outlined in the regulatory
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framework work in very small entities, occurring in various countries, unnecessary or duplicative provisions leaving these workers under-protected. including the U.S. Workers in or paperwork requirements that are OSHA also considered changing the laboratories are tasked with the focused primarily on its construction scope of the rule restricting the ID rule identification of infectious agents standards in 29 CFR 1926, as long as to workers who have occupational causing outbreaks and are similarly they do not diminish employee exposure during the provision of direct susceptible to exposures. OSHA protections. patient care in institutional settings but believes that the 1998 and 2007 CDC/ Statement of Need: OSHA’s Standard based on the evidence thus far analyzed, HICPAC guidelines, along with other Improvement Projects (SIPs) are those workers performing other covered authoritative guidance documents (e.g., intended to remove or revise tasks in both institutional and non- CDC/NIH, 2009), and hundreds of peer- duplicative, unnecessary, and institutional settings face a risk of reviewed publications, demonstrate a inconsistent safety and health infection because of their occupational well-recognized risk of occupational standards. The Agency has published exposure. Per the proposed rule, exposure to infectious agents for three earlier final standards to remove employers would be required to provide workers providing direct patient care unnecessary provisions, thus reducing medical removal protection (MRP) and/or performing other covered tasks. costs or paperwork burden on affected benefits. If OSHA eliminated the Timetable: employers. The Agency is initiating a requirement for MRP benefits, workers fourth rulemaking effort to identify might be deterred from reporting signs Action Date FR Cite unnecessary or duplicative provisions and symptoms that could be indicative or paperwork requirements that are of infection and might work while sick Request for Infor- 05/06/10 75 FR 24835 focused primarily on its construction (due to concerns about loss of pay or mation (RFI). standards in 29 CFR 1926, as long as other such punitive consequences), RFI Comment Pe- 08/04/10 they do not diminish employee riod End. potentially resulting in further Analyze Com- 12/30/10 protections. infections to co-workers and/or patients. ments. Summary of Legal Basis: OSHA is OSHA also considered the option of not Stakeholder Meet- 07/05/11 76 FR 39041 conducting Phase IV of the Standards requiring employers to make ings. Improvement Project (SIP–IV) in vaccinations available to workers. Initiate SBREFA .. 06/04/14 response to the President’s Executive Vaccination is generally considered an Complete 12/22/14 Order 13563, Improving Regulations important component of an effective SBREFA. and Regulatory Review (76 FR 38210). infection control program, as it protects NPRM ...... 10/00/17 SIP–IV will update three standards to inoculated workers from infections, align with current medical practice, lessens chances of outbreaks by Regulatory Flexibility Analysis including a reduction to the number of minimizing transmission of infections Required: Yes. necessary employee x-rays, updates to from workers to other workers and Small Entities Affected: Businesses, requirements for pulmonary function patients, and may also lessen the Governmental Jurisdictions. testing, and updates to the table used for duration and severity of infections, Government Levels Affected: Local, decompression of employees during depending on the efficacy of the State. underground construction. vaccine. Federalism: Undetermined. Additionally, the proposed revisions Anticipated Cost and Benefits: Agency Contact: William Perry, include an update to the consensus Undetermined. Director, Directorate of Standards and standard incorporated by reference for Risks: During provision of direct Guidance, Department of Labor, signs and devices used to protect patient care and the performance of Occupational Safety and Health workers near automobile traffic, a other covered tasks as outlined in the Administration, 200 Constitution revision to the requirements for roll- scope of the proposed rule, workers are Avenue NW., FP Building, Room N– over protective structures to comply at risk for exposure to infections agents. 3718, Washington, DC 20210, Phone: with current consensus standards, The peer-reviewed literature suggests 202 693–1950, Fax: 202 693–1678, updates for storage of digital x-rays and that HCWs are especially susceptible to Email: [email protected]. the method of calling emergency exposures during the early stages of the RIN: 1218–AC46 services to allow for use of current emergence of novel infectious agents or technology, and a revision to lockout/ novel strains of known infectious tagout requirements in response to a agents. While the patients who are the DOL—OSHA court decision, among others. OSHA is most ill with infectious diseases are also proposing to remove from its most likely being treated in hospitals, 86. Standards Improvement Project IV standards the requirements that many patients with infectious diseases Priority: Other Significant. employers include an employee’s social are treated in ambulatory care settings Legal Authority: 29 U.S.C. 655(b) security number (SSN) on exposure during the early stages of the disease CFR Citation: 29 CFR 1926. monitoring, medical surveillance, and while they are asymptomatic or have Legal Deadline: None. other records in order to protect mild symptoms. An increasing number Abstract: OSHA’s Standards employee privacy and prevent identity of patients who are ill and symptomatic Improvement Projects (SIPs) are fraud. with an infectious disease are getting intended to remove or revise Alternatives: The main alternative initial treatment at clinics that have duplicative, unnecessary, and OSHA considered for all of the urgent care or immediate care services, inconsistent safety and health proposed changes contained in the SIP– rather than being treated at hospital standards. The Agency has published IV rulemaking was retaining the existing emergency rooms. Many patients with three earlier final standards to remove regulatory language, i.e., retaining the childhood illnesses such as measles, unnecessary provisions (63 FR 33450, status quo. In each instance, OSHA has mumps and pertussis are being treated 70 FR 1111, 76 FR 33590), thus reducing concluded that the benefits of the at clinics, not hospitals, unless they costs or paperwork burden on affected proposed regulatory change outweigh have severe cases. Currently, outbreaks employers. The Agency is initiating a the costs of those changes. In a few of of measles, mumps and pertussis are fourth rulemaking effort to identify the items, such as the proposed changes
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to the decompression requirements DOL—OSHA Alternatives: OSHA also proposed applicable to employees working in regulatory alternatives to its proposed Final Rule Stage compressed air environments, OSHA beryllium rule. These include: Scope has requested public comment on 87. Occupational Exposure to Beryllium alternatives to address exposures in the feasible alternatives to the Agency’s Priority: Economically Significant. construction and maritime industries; proposal. Major under 5 U.S.C. 801. changes to the proposed PEL and STEL; Anticipated Cost and Benefits: The Unfunded Mandates: This action may and changes to the proposed ancillary Agency has estimated that one revision affect the private sector under PL 104– provisions for exposure assessment, (updating the method of identifying and 4. personal protective clothing and calling emergency medical services) Legal Authority: 29 U.S.C. 655(b); 29 equipment, medical surveillance, and may increase construction employers U.S.C. 657 medical removal. costs by about $28,000 per year while CFR Citation: 29 CFR 1910. Anticipated Cost and Benefits: The two provisions (reduction in the number Legal Deadline: None. proposed rule for beryllium covers of necessary employee x-rays and Abstract: In 1999 and 2001, OSHA approximately 35,000 workers in elimination of posting requirements for was petitioned to issue an emergency General Industry, and OSHA estimated residential construction employers) temporary standard for permissible that the proposed rule when fully provide estimated costs savings of $3.2 exposure limit (PEL) to beryllium by the implemented would produce $575.8 million annually. The Agency has not United Steel Workers (formerly the million in annualized benefits over 60 estimated or quantified benefits to Paper Allied-Industrial, Chemical, and years, far outweighing the expected cost employees from reduced exposure to x- Energy Workers Union), Public Citizen of $37.6 million annually for ray radiation or to employers for the Health Research Group, and others. The workplaces in General Industry. reduced cost of storing digital x-rays Agency denied the petitions but stated Risks: Prevent 92 deaths from chronic rather than x-ray films, among others. its intent to begin data gathering to beryllium disease, 4 deaths from lung The Agency has preliminarily collect needed information on cancer, and 50 non-fatal cases of chronic concluded that the proposed revisions beryllium’s toxicity, risks, and patterns beryllium disease each year. are economically feasible and do not of usage. On November 26, 2002, OSHA Timetable: have any significant economic impact published a Request for Information on small businesses. The Preliminary (RFI) (67 FR 70707) to solicit Action Date FR Cite Economic Analysis in this preamble information pertinent to occupational provides an explanation of the exposure to beryllium, including: Request for Infor- 11/26/02 67 FR 70707 economic effects of the proposed Current exposures to beryllium; the mation (RFI). revisions. relationship between exposure to RFI Comment Pe- 02/24/03 Risks: SIP rulemakings do not address beryllium and the development of riod End. new significant risks or estimate adverse health effects; exposure SBREFA Report 01/23/08 benefits and economic impacts of Completed. assessment and monitoring methods; Initiated Peer Re- 03/22/10 reducing such risks. Overall, SIP exposure control methods; and medical view of Health rulemakings are reasonably necessary surveillance. In addition, the Agency Effects and under the OSH Act because they conducted field surveys of selected Risk Assess- provide cost savings, or eliminate worksites to assess current exposures ment. unnecessary requirements. and control methods being used to Complete Peer 11/19/10 Timetable: reduce employee exposures to Review. beryllium. OSHA convened a Small NPRM ...... 08/07/15 80 FR 47565 Action Date FR Cite Business Advocacy Review Panel under NPRM Comment 11/05/15 Period End. the Small Business Regulatory Request for Infor- 12/06/12 77 FR 72781 Notice of Public 12/30/15 80 FR 81475 mation (RFI). Enforcement Fairness Act (SBREFA) Hearing; Date RFI Comment Pe- 02/04/13 and completed the SBREFA Report in 02/29/2016. riod End. January 2008. OSHA also completed a Notice of Public 02/16/16 81 FR 7717 NPRM ...... 10/04/16 81 FR 68504 scientific peer review of its draft risk Hearing; Date NPRM Comment 12/05/16 assessment. Change 03/21/ Period End. Statement of Need: Exposure to 2016. Analyze Com- 06/00/17 beryllium causes a disabling and Final Rule ...... 01/00/17 ments. potentially fatal chronic lung disease called Chronic Beryllium Disease (CBD). Regulatory Flexibility Analysis Regulatory Flexibility Analysis Exposure to beryllium has also been Required: Yes. Required: No. linked to lung cancer. OSHA proposed Small Entities Affected: Businesses. Small Entities Affected: No. to reduce the permissible exposure limit Government Levels Affected: None. Government Levels Affected: (PEL) by 10 times to 0.2 micrograms of Agency Contact: William Perry, Undetermined. beryllium per cubic meter of air (mg/m3 ) Director, Directorate of Standards and Agency Contact: Dean McKenzie, over an 8-hour time weighted average Guidance, Department of Labor, Director, Directorate of Construction, (TWA) and a short term exposure limit Occupational Safety and Health Department of Labor, Occupational m 3 (STEL) of 2.0 g/m over 15 minutes. Administration, 200 Constitution Safety and Health Administration, The proposal also included important Avenue NW., FP Building, Room Room N–3468, FP Building, 200 requirements such as medical N–3718, Washington, DC 20210, Phone: Constitution Avenue NW., Washington, surveillance, medical removal 202 693–1950, Fax: 202 693–1678, DC 20210, Phone: 202 693–2020, Fax: protection, regulated areas, training, and Email: [email protected]. 202 693–1689, Email: mckenzie.dean@ engineering controls. dol.gov. Summary of Legal Basis: 29 U.S.C. RIN: 1218–AB76 RIN: 1218–AC67 655(b); 29 U.S.C. 657. BILLING CODE 4510–HL–P
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DEPARTMENT OF TRANSPORTATION transportation policies, plans, with important regulatory initiatives of OST (DOT) coordinated housing and economic and of each of the Department’s Introduction: Department Overview development policies to increase components. Since each transportation and Summary of Regulatory Priorities transportation choices and access to ‘‘mode’’ within the Department has its transportation services for all.’’ own area of focus, we summarize the The Department of Transportation • Environmental Sustainability: regulatory priorities of each mode and (DOT) consists of nine operating Advance ‘‘environmental sustainable of OST, which supervises and administrations and the Office of the policies and investments that reduce coordinates modal initiatives and has its Secretary, each of which has statutory carbon and other harmful emissions own regulatory responsibilities, such as responsibility for a wide range of from transportation sources.’’ consumer protection in the aviation regulations. DOT regulates safety in the In identifying our regulatory priorities industry. aviation, motor carrier, railroad, motor for the next year, the Department vehicle, commercial space, public The Department’s Regulatory considered its mission and goals and Philosophy and Initiatives transportation, and pipeline focused on a number of factors, transportation areas. DOT also regulates including the following: The Department has adopted a aviation consumer and economic issues • The relative risk being addressed regulatory philosophy that applies to all and provides financial assistance for • Requirements imposed by law its rulemaking activities. This programs involving highways, airports, • Actions on the National philosophy is articulated as follows: public transportation, the maritime Transportation Safety Board ‘‘Most DOT regulations must be clear, simple, industry, railroads, and motor vehicle Wanted List’’ timely, fair, reasonable, and necessary. safety. In addition, the Department • The costs and benefits of the They will be issued only after an writes regulations to carry out a variety regulations appropriate opportunity for public of statutes ranging from the Americans • The advantages of nonregulatory comment, which must provide an equal With Disabilities Act to the Uniform alternatives chance for all affected interests to Time Act. Finally, DOT develops and • Opportunities for deregulatory action participate, and after appropriate implements a wide range of regulations • The enforceability of any rule, consultation with other governmental that govern internal DOT programs such including the effect on agency entities. The Department will fully as acquisitions and grants, access for the resources consider the comments received. It will disabled, environmental protection, assess the risks addressed by the rules energy conservation, information This regulatory plan identifies the and their costs and benefits, including technology, occupational safety and Department’s regulatory priorities—the the cumulative effects. The Department health, property asset management, 19 pending rulemakings chosen, from will consider appropriate alternatives, seismic safety, and the use of aircraft among the dozens of significant including nonregulatory approaches. It and vehicles. rulemakings listed in the Department’s will also make every effort to ensure broader regulatory agenda, that the that regulation does not impose The Department’s Regulatory Priorities Department believes will merit special unreasonable mandates. The Department’s regulatory priorities attention in the upcoming year. The The Department stresses the respond to the challenges and rules included in the regulatory plan importance of conducting high-quality opportunities we face. Our mission embody the Department’s focus on our rulemakings in a timely manner and generally is as follows: strategic goals. reducing the number of old The national objectives of general The regulatory plan reflects the rulemakings. To implement this, the welfare, economic growth and stability, Department’s primary focus on safety— Department has required the following and the security of the United States a focus that extends across several actions: (1) Regular meetings of senior require the development of modes of transportation. For example: DOT officials to ensure effective policy • transportation policies and programs The Federal Aviation leadership and timely decisions, (2) that contribute to providing fast, safe, Administration (FAA) will continue its effective tracking and coordination of efficient, and convenient transportation efforts to implement safety management rulemakings, (3) regular reporting, (4) at the lowest cost consistent with those systems. early briefings of interested officials, (5) • and other national objectives, including The Federal Motor Carrier Safety regular training of staff, and (6) adequate the efficient use and conservation of the Administration (FMCSA) continues its allocations of resources. The resources of the United States. work to strengthen the requirements for Department has achieved significant To help us achieve our mission, we Electronic Logging Devices and revise success because of this effort. It allows have five goals in the Department’s motor carrier safety fitness the Department to use its resources Strategic Plan for Fiscal Years 2014– determination procedures. more effectively and efficiently. • 2018: The National Highway Traffic The Department’s regulatory policies • Safety: Improve public health and Safety Administration (NHTSA) will and procedures provide a safety by ‘‘reducing transportation- continue its rulemaking efforts to reduce comprehensive internal management related fatalities, injuries, and crashes.’’ death and injury resulting from motor and review process for new and existing • State of Good Repair: Ensure the vehicle crashes. regulations and ensure that the U.S. ‘‘proactively maintains critical Each of the rulemakings in the Secretary and other appropriate transportation infrastructure in a state of regulatory plan is described below in appointed officials review and concur in good repair.’’ detail. In order to place them in context, all significant DOT rules. DOT • Economic Competitiveness: we first review the Department’s continually seeks to improve its Promote ‘‘transportation policies and regulatory philosophy and our regulatory process. A few examples investments that bring lasting and initiatives to educate and inform the include: The Department’s development equitable economic benefits to the public about transportation safety of regulatory process and related Nation and its citizens.’’ issues. We then describe the role of the training courses for its employees; • Quality of Life: Foster quality of life Department’s retrospective reviews and creation of an electronic rulemaking in communities by ‘‘integrating its regulatory process and other tracking and coordination system; the
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use of direct final rulemaking; the use The Department’s Retrospective Review to section 6 of E.O. 13563, the following of regulatory negotiation; a continually of Existing Regulations Regulatory Identifier Numbers (RINs) expanding and improved Internet page In accordance with Executive Order have been identified as associated with that provides important regulatory (E.O.) 13563 (Improving Regulation and retrospective review and analysis in the information, including ‘‘effects’’ reports Regulatory Review), the Department Department’s final retrospective review and status reports (http://www.dot.gov/ actively engaged in a special of regulations plan. Some of these regulations); and the continued retrospective review of our existing entries on this list may be completed exploration and use of Internet blogs rules to determine whether they need to actions, which do not appear in The and other Web 2.0 technology to be revised or revoked. This review was Regulatory Plan. If a retrospective increase and enhance public in addition to those reviews in review action has been completed it will participation in its rulemaking process. accordance with section 610 of the no longer appear on the list below. In addition, the Department continues Regulatory Flexibility Act, E.O. 12866, However, more information can be to engage in a wide variety of activities and the Department’s Regulatory found about these completed to help cement the partnerships Policies and Procedures. As part of this rulemakings on the Unified Agenda between its agencies and its customers effort, we also reviewed our processes publications at Reginfo.gov in the that will produce good results for for determining what rules to review Completed Actions section for that transportation programs and safety. The and ensuring that the rules are agency. These rulemakings can also be Department’s agencies also have effectively reviewed. As a result of the found on Regulations.gov. The final established a number of continuing review, we identified many rules for agency retrospective review plan can be partnership mechanisms in the form of expedited review and changes to our found at http://www.dot.gov/ rulemaking advisory committees. retrospective review process. Pursuant regulations.
RETROSPECTIVE REVIEW OF EXISTING REGULATIONS
Significantly RIN Rulemaking title reduces costs on small businesses
1. 2105–AE29 ...... Transportation Services for Individuals with Disabilities: Over-the-Road Buses (RRR) ...... TBD. 2. 2120–AJ94 ...... Enhanced Flight Vision System (EFVS) (RRR) ...... 3. 2120–AK24 ...... Fuel Tank and System Lightning Protection (RRR) ...... 4. 2120–AK28 ...... Aviation Training Devices; Pilot Certification, Training, and Pilot Schools; Other Provisions (RRR). 5. 2120–AK32 ...... Acceptance Criteria for Portable Oxygen Concentrators Used Onboard Aircraft (RRR) ...... 6. 2120–AK34 ...... Flammability Requirements for Transport Category Airplanes (RRR) ...... 7. 2120–AK44 ...... Reciprocal Waivers of Claims for Non-Party Customer Beneficiaries, Signature of Waivers of Claims by Commercial Space Transportation Customers. And Waiver of Claims and As- sumption of Responsibility for Permitted Activities with No Customer (RRR). 8. 2125–AF62 ...... Acquisition of Right-of-Way (RRR) (MAP–21) ...... N. 9. 2125–AF65 ...... Buy America (RRR) ...... TBD. 10. 2126–AB46 ...... Inspection, Repair, and Maintenance; Driver-Vehicle Inspection Report (RRR) ...... 11. 2126–AB47 ...... Electronic Signatures and Documents (E-Signatures) (RRR) ...... 12. 2126–AB49 ...... Elimination of Redundant Maintenance Rule (RRR) ...... 13. 2127–AK98 ...... Pedestrian Safety Global Technical Regulation (RRR) ...... 14. 2127–AL03 ...... Part 571 FMVSS No. 205, Glazing Materials, GTR (RRR) ...... 15. 2127–AL05 ...... Amend FMVSS No. 210 to Incorporate the Use of a New Force Application Device (RRR) ...... Y. 16. 2127–AL20 ...... Upgrade of LATCH Usability Requirements (MAP–21) (RRR) ...... 17. 2127–AL24 ...... Rapid Tire Deflation Test in FMVSS No. 110 (RRR) ...... 18. 2127–AL58 ...... Upgrade of Rear Impact Guard Requirements for Trailers and Semitrailers (RRR) ...... 19. 2130–AC40 ...... Qualification and Certification of Locomotive Engineers; Miscellaneous Revisions (RRR) ...... 20. 2130–AC41 ...... Hours of Service Recordkeeping; Electronic Recordkeeping Amendments (RRR) ...... 21. 2130–AC43 ...... Safety Glazing Standards; Miscellaneous Revisions (RRR) ...... 22. 2137–AE72 ...... Pipeline Safety: Gas Transmission (RRR) ...... Y. 23. 2137–AE80 ...... Hazardous Materials: Miscellaneous Pressure Vessel Requirements (DOT Spec Cylinders) Y. (RRR). 24. 2137–AE81 ...... Hazardous Materials: Reverse Logistics (RRR) ...... Y. 25. 2137–AE86 ...... Hazardous Materials: Requirements for the Safe Transportation of Bulk Explosives (RRR) ...... 26. 2137–AE94 ...... Pipeline Safety: Operator Qualification, Cost Recovery, Accident and Incident Notification, and Other Changes (RRR). 27. 2137–AF00 ...... Hazardous Materials: Adoption of Special Permits (MAP–21) (RRR) ...... Y. 28. 2137–AF04 ...... Hazardous Materials: Miscellaneous Amendments (RRR) ...... 29. 2137–AF09 ...... Hazardous Materials: Miscellaneous Petitions for Rulemaking (RRR) ...... 30. 2137–AF10 ...... Hazardous Materials: Revision of the Requirements for Carriage by Aircraft (RRR) ...... 31. 2137–AF18 ...... Hazardous Materials: Harmonization with International Standards (RRR) ...... 32. 2137–AF19 ...... Hazardous Materials: Revisions to Hazardous Materials Emergency Preparedness Grants Re- quirements (RRR).
International Regulatory Cooperation stresses that ‘‘[i]n an increasingly global policy, can be an important means of economy, international regulatory promoting the goals of’’ Executive Order Executive Order 13609 (Promoting cooperation, consistent with domestic 13563 to ‘‘protect public health, welfare, International Regulatory Cooperation) law and prerogatives and U.S. trade safety, and our environment while
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promoting economic growth, regulatory cooperation can identify transparency in trade and investment innovation, competitiveness, and job approaches that are at least as protective regulation, while maintaining high creation.’’ DOT has long recognized the as those that are or would be adopted in levels of health, safety, and value of international regulatory the absence of such cooperation’’ and environmental protection.’’ NHTSA is cooperation and has engaged in a ‘‘can also reduce, eliminate, or prevent seeking to build on existing levels of variety of activities with both foreign unnecessary differences in regulatory safety and lay the groundwork for future governments and international bodies. requirements.’’ cooperation in addressing emerging These activities have ranged from As the representative, for vehicle safety issues and technologies. safety matters, of the United States, one cooperation in the development of PHMSA’s hazardous material group particular standards to discussions of of 33 contracting parties to the 1998 Agreement on the Harmonization of works with ICAO, the UN necessary steps for rulemakings in Subcommittee of Experts on Dangerous general, such as risk assessments and Vehicle Regulations, NHTSA is an active participant in the World Forum Goods, and the International Maritime cost-benefit analyses of possible Organization. Through participation in standards. Since the issuance of for Vehicle Regulations (WP.29) at the UN. Under that umbrella, NHTSA is these international bodies, PHMSA is Executive Order 13609, we have able to advocate on behalf of U.S. safety increased our efforts in this area. For currently working on the development and commercial interests to guide the example, many of DOT’s Operating of harmonized regulations for the safety development of international standards Administrations are active in of electric vehicles; hydrogen and fuel with which U.S. businesses have to groundbreaking government-wide cell vehicles; advanced head restraints; comply when shipping in international Regulatory Cooperation Councils (RCC) pole side impact test procedures; commerce. PHMSA additionally with Canada, Mexico, and the European pedestrian protection; the safety risks participates in the RCC with Canada and Union. These RCC working groups are associated with quieter vehicles, such as has a Memorandum of Cooperation in setting a precedent in developing and electric and hybrid electric vehicles; place to ensure that cross-border testing approaches to international and advancements in tires. shipments are not hampered by coordination of rulemaking to reduce In recognition of the large cross- conflicting regulations. The pipeline barriers to international trade. We also border market in motor vehicles and group at PHMSA incorporates many have been exploring innovative motor vehicle equipment, NHTSA is standards by reference into the Pipeline approaches to ease the development working bilaterally with Transport Safety Regulations, and the process. Canada under the Motor Vehicles Working Group of the U.S.-Canada development of these standards benefit Examples of the many cooperative Regulatory Cooperation Council (RCC) from the participation of experts from efforts we are engaged in include the to facilitate implementation of the around the world. following: initial RCC Joint Action Plan. Under this The FAA maintains ongoing efforts In the areas of airline consumer Plan, NHTSA and Transport Canada are with foreign civil aviation authorities, protection and civil rights regulation, working on the development of OST is particularly conscientious in including in particular the European international standards on quieter Aviation Safety Agency and Transport seeking international regulatory vehicles, electric vehicle safety, and cooperation. For example, the Canada, to harmonize standards and hydrogen and fuel cell vehicles. practices where doing so will improve Department participates in the standard- Building on the initial Joint Action setting activities of ICAO and meets and the safety of aviation and aviation- Plan, the U.S. and Canada issued a Joint related activities. The FAA also plays an works with other governments and Forward Plan on August 29, 2014. The international airline associations on the active role in the standard-setting work Forward Plan provided that regulators of the International Civil Aviation implementation of U.S. and foreign would develop Regulatory Partnership aviation rules. Organization (ICAO), particularly on the Statements (RPSs) outlining the Air Navigation Commission and the framework for how cooperative For a number of years the Department Legal Committee. In doing so, the FAA activities will be managed between has also provided information on which works with other Nations to shape the agencies. Since that time, regulators of its rulemaking actions have standards and recommended practices have been developing and completing international effects. This information, adopted by ICAO. The FAA’s detailed work plans to address the updated monthly, is available at the rulemaking actions related to safety commitments in the Forward Plan. To Department’s regulatory information management systems are examples of facilitate future cooperation, the RCC Web site, http://www.dot.gov/ the FAA’s harmonization efforts. will continue to work on cross-cutting regulations, under the heading ‘‘Reports NHTSA is actively engaged in issues in areas such as: ‘‘sharing on Rulemakings and Enforcement.’’ international regulatory cooperative information with foreign governments, (The reports can be found under efforts on both a multilateral and a joint funding of new initiatives and our headings for ‘‘EU,’’ ‘‘NAFTA’’ (Canada bilateral basis, exchanging information respective rulemaking processes.’’ and Mexico) and ‘‘Foreign.’’) A list of on best practices and otherwise seeking To broaden and deepen its our significant rulemakings that are to leverage its resources for addressing cooperative efforts with the European expected to have international effects vehicle issues in the U.S. As noted in Union, NHTSA is participating in follows; the identifying RIN provided Executive Order 13609: ‘‘(i)n meeting ongoing negotiations regarding the below can be used to find summary and shared challenges involving health, Transatlantic Trade and Investment other information about the rulemakings safety, labor, security, environmental, Partnership which is ‘‘aimed at in the Department’s Regulatory Agenda and other issues, international providing greater compatibility and published along with this Plan:
RIN Rulemaking title
2105–AD91 ...... Accessibility of Airports. 2105–AE06 ...... E-Cigarette. 2120–AJ38 ...... Airport Safety Management System.
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RIN Rulemaking title
2120–AJ60 ...... Small Unmanned Aircraft. 2120–AJ69 ...... Prohibition Against Certain Flights Within the Territory and Airspace of Afghanistan. 2120–AK09 ...... Drug & Alcohol Testing for Repair Stations. 2120–AK65 ...... Revision of Airworthiness Standards for Normal, Utility, Acrobatic, and Commuter Category Airplanes. 2126–AA34 ...... Mexico-Domiciled Motor Carriers. 2126–AA35 ...... Safety Monitoring System and Compliance Initiative for Mexico-Domiciled Motor Carriers Operating in the United States. 2124–AA70 ...... Limitations on the Issuance of Commercial Driver Licenses with a Hazardous Materials Endorsement. 2126–AB56 ...... MAP–21 Enhancements and Other Updates to the Unified Registration System. 2127–AK76 ...... Tire Fuel Efficiency Part 2. 2127–AK93 ...... Quieter Vehicles Sound Alert. 2133–AB74 ...... Cargo Preference. 2137–AF18 ...... Hazardous Materials: Harmonization with International Standards (RRR).
As we identify rulemakings arising other legal and policy requirements OST will also continue its efforts to out of our ongoing regulatory affecting rulemaking. Although OST’s help coordinate the activities of several cooperation activities that we principal role concerns the review of the operating administrations that advance reasonably anticipate will lead to Department’s significant rulemakings, various departmental efforts that significant regulations, we will add this office has the lead role in the support the Administration’s initiatives them to our Web site report and substance of such projects as those on promoting safety, stimulating the subsequent Agendas and Plans. concerning aviation economic rules, the economy and creating jobs, sustaining The Department’s Regulatory Process Americans with Disabilities Act, and and building America’s transportation rules that affect multiple elements of the infrastructure, and improving quality of The Department will also continue its Department. life for the people and communities efforts to use advances in technology to OST provides guidance and training who use transportation systems subject improve its rulemaking management regarding compliance with regulatory to the Department’s policies. It will also process. For example, the Department requirements and process for personnel continue to oversee the Department’s created an effective tracking system for throughout the Department. OST also rulemaking actions to implement the significant rulemakings to ensure that plays an instrumental role in the ‘‘Moving Ahead for Progress in the 21st either rules are completed in a timely Department’s efforts to improve our Century Act’’ (MAP–21). manner or delays are identified and economic analyses; risk assessments; Federal Aviation Administration (FAA) fixed. Through this tracking system, a regulatory flexibility analyses; other monthly status report is generated. To related analyses; retrospective reviews The Federal Aviation Administration make its efforts more transparent, the of rules; and data quality, including is charged with safely and efficiently Department has made this report peer reviews. operating and maintaining the most Internet accessible at http:// OST also leads and coordinates the complex aviation system in the world. www.dot.gov/regulations. By doing this, Department’s response to the Office of Destination 2025, an FAA initiative that the Department is providing valuable Management and Budget’s (OMB) captures the agency’s vision of information concerning our rulemaking intergovernmental review of other transforming the Nation’s aviation activity and is providing information agencies’ significant rulemaking system by 2025, has proven to be an necessary for the public to evaluate the documents and to Administration and effective tool for pushing the agency to Department’s progress in meeting its congressional proposals that concern think about longer-term aspirations; commitment to completing quality the regulatory process. The General FAA has established a vision that rulemakings in a timely manner. Counsel’s office works closely with defines the agency’s priorities for the The Department continues to place representatives of other agencies, OMB, next five years. The changing great emphasis on the need to complete the White House, and congressional technological and industry environment high-quality rulemakings by involving staff to provide information on how senior departmental officials in regular compels us to transform the agency. various proposals would affect the meetings to resolve issues And the challenging fiscal environment ability of the Department to perform its expeditiously. we face only increases the need to safety, infrastructure, and other prioritize our goals. Office of the Secretary of Transportation missions. We have identified four major (OST) During Fiscal Year 2017, OST will strategic initiatives where we will focus The Office of the Secretary (OST) focus its efforts on voice our efforts (1) Risk-based Decision oversees the regulatory process for the communications on passengers´ mobile Making—Build on safety management Department. OST implements the wireless devices on scheduled flights principles to proactively address Department’s regulatory policies and within, to and from the United States emerging safety risk by using consistent, procedures and is responsible for (2105–AE30). data-informed approaches to make ensuring the involvement of top OST will also continue its efforts on smarter, system-level, risk-based management in regulatory the following rulemaking initiatives: decisions; (2) NAS Initiative—Lay the decisionmaking. Through the General • Airline Passenger Protections III foundation for the National Airspace Counsel’s office, OST is also responsible (2105–AE11) System of the future by achieving for ensuring that the Department • In-Flight Medical Oxygen and other prioritized NextGen benefits, enabling complies with the Administrative ACAA issues (2105–AE12) the safe and efficient integration of new Procedure Act, Executive Order 12866 • In-Flight Entertainment (2105–AE32) user entrants including Unmanned (Regulatory Planning and Review), • Reporting of Statistics for Mishandled Aircraft Systems (UAS) and Commercial Executive Order 13563, DOT’s Baggage and Wheelchairs (2105– Space flights, and deliver more efficient, Regulatory Policies and Procedures, and AE41) streamlined air traffic management
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services; (3) Global Leadership— direct, and control activities in a result of cooperative rulemaking Improve safety, air traffic efficiency, and manner that enhances safety. between the U.S. and other countries. environmental sustainability across the • Respond to the Small Airplane FAA top regulatory priorities for globe through an integrated, data-driven Revitalization Act of 2013 (H.R. 1848), Fiscal Year 2017 include: approach that shapes global standards, which requires the FAA adopt the • Revision of Airworthiness Standards enhances collaboration and recommendations from part 23 for Normal, Utility, Acrobatic, and harmonization, and better targets FAA Reorganization Aviation Rulemaking Commuter Category Airplanes (2120– resources and efforts; and (4) Workforce Aviation Rulemaking Committee (ARC) AK65) of the Future—Prepare FAA’s human for improving safety and reducing • Airport Safety Management System capital for the future, by identifying, certification costs for general aviation. (2120–AJ38) recruiting, and training a workforce The ARC recommendations include a • Flight Crewmember Mentoring, with the leadership, technical, and broad range of policy and regulatory Leadership and Professional functional skills to ensure the U.S. has changes that it believes could Development (2120–AJ87) the world’s safest and most productive significantly improve the safety of The Revision of Airworthiness aviation sector. general aviation aircraft while FAA activities that may lead to simultaneously reducing certification Standards for Normal, Utility, rulemaking in Fiscal Year 2017 include and modification costs for these aircraft. Acrobatic, and Commuter Category Airplanes rulemaking would: continuing to: Among the ARC’s recommendations is a • • Promote and expand safety suggestion that compliance with part 23 Reorganize part 23 into information-sharing efforts, such as requirements be performance-based, performance-based requirements by FAA-industry partnerships and data- focusing on the complexity and removing the detailed design requirements from part 23; driven safety programs that prioritize performance of an aircraft instead of the • and address risks before they lead to current regulations based on weight and Promote the adoption of the newly accidents. Specifically, FAA will type of propulsion. In announcing the created performance-based continue implementing Commercial ARC’s recommendations, the Secretary airworthiness design standard as an Aviation Safety Team projects related to of Transportation said ‘‘Streamlining the internationally accepted standard by the controlled flight into terrain, loss of design and certification process could majority of other civil aviation control of an aircraft, uncontained authorities; provide a cost-efficient way to build • engine failures, runway incursions, simple airplanes that still incorporate Re-align the part 23 requirements to weather, pilot decision making, and the latest in safety initiatives. These promote the development of entry-level cabin safety. Some of these projects may changes have the potential to save airplanes similar to those certified result in rulemaking and guidance money and maintain our safety under Certification Specification for materials. standing—a win-win situation for Very Light Aircraft (CS–VLA); • • Respond to the FAA Modernization manufacturers, pilots and the general Enhance the FAA’s ability to and Reform Act of 2012 (the Act), which aviation community as a whole.’’ address new technology; • directed the FAA to initiate a Further, these changes are consistent Increase the general aviation (GA) rulemaking proceeding to issue with directions to agencies in Executive level of safety provided by new and guidelines and regulations relating to Order 13610 ‘‘Identifying and Reducing modified airplanes; • ADS–B In technology and Regulatory Burdens,’’ we continue to Amend the stall, stall warning, and recommendations from an Aviation find ways to make our regulatory spin requirements to reduce fatal Rulemaking Committee on ADS–B In program more effective or less accidents and increase crashworthiness capabilities in consideration of the burdensome; provide quantifiable by allowing new methods for occupant FAA’s evolving thinking on how to monetary savings or quantifiable protection; and provide an integrated suite of reductions in paperwork burdens, and • Address icing conditions that are communication, navigation, and modify and streamline regulations in currently not included in part 23 surveillance (CNS) capabilities to light of changed circumstances. regulations. achieve full NextGen performance. • Work cooperatively to harmonize The Airport Safety Management • Respond to the Act, which also the U.S. aviation regulations with those System rulemaking would: recommended we complete the of other countries, without • Require certain airport certificate rulemaking for small Unmanned compromising rigorous safety standards, holders to develop, implement, Aircraft Systems, and consider how to or our requirements to develop cost maintain, and adhere to a safety fully integrate UAS operations in the benefit analysis. The differences management system (SMS) for its NAS, which will require future worldwide in certification standards, aviation related activities. rulemaking. practice and procedures, and operating The Flight Crewmember Mentoring, • Respond to the Airline Safety and rules must be identified and minimized Leadership and Professional Federal Aviation Administration to reduce the regulatory burden on the Development rulemaking would: Extension Act of 2010 (H.R. 5900), international aviation system. The • Ensure air carriers establish or which requires the FAA to develop and differences between the FAA modify training programs to address implement Safety Management Systems regulations and the requirements of mentoring, leadership and professional (SMS) where these systems will other nations impose a heavy burden on development of flight crewmembers in improve safety of aviation and aviation- U.S. aircraft manufacturers and part 121 operations. related activities. An SMS proactively operators, some of which are small identifies potential hazards in the businesses. Standardization should help Federal Highway Administration operating environment, analyzes the the U.S. aerospace industry remain (FHWA) risks of those hazards, and encourages internationally competitive. The FAA The Federal Highway Administration mitigation prior to an accident or continues to publish regulations based (FHWA) carries out the Federal highway incident. In its most general form, an on internal analysis, public comment, program in partnership with State and SMS is a set of decision-making tools and recommendations of Aviation local agencies to meet the Nation’s that can be used to plan, organize, Rulemaking Committees that are the transportation needs. The FHWA’s
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mission is to improve continually the Performance of Interstate/Non-Interstate requiring employers and service agents quality and performance of our Nation’s NHS) (RIN: 2125–AF54). to report information about current and highway system and its intermodal prospective employees’ drug and Federal Motor Carrier Safety connectors. alcohol test results. It would require Administration (FMCSA) Consistent with this mission, the employers and certain service agents to FHWA will continue: The mission of the Federal Motor search the Clearinghouse for current and • With ongoing regulatory initiatives Carrier Safety Administration (FMCSA) prospective employees’ positive drug in support of its surface transportation is to reduce crashes, injuries, and and alcohol test results as a condition of programs; fatalities involving commercial trucks permitting those employees to perform • To implement legislation in the and buses. A strong regulatory program safety-sensitive functions. This would most cost-effective way possible; and is a cornerstone of FMCSA’s compliance provide FMCSA and employers the • To pursue regulatory reform in and enforcement efforts to advance this necessary tools to identify drivers who areas where project development can be safety mission. FMCSA develops new are prohibited from operating a CMV streamlined or accelerated, duplicative and more effective safety regulations based on DOT drug and alcohol program requirements can be consolidated, based on three core priorities: Raising violations and ensure that such drivers recordkeeping requirements can be the safety bar for entry, maintaining receive the required evaluation and reduced or simplified, and the high standards, and removing high-risk treatment before resuming safety- decisionmaking authority of our State behavior. In addition to Agency-directed sensitive functions. and local partners can be increased. regulations, FMCSA develops MAP–21 authorizes the Federal regulations mandated by Congress, National Highway Traffic Safety surface transportation programs for through legislation such as MAP–21. Administration highways, highway safety, and transit FMCSA regulations establish standards The statutory responsibilities of the for the two-year period from 2012–2014. for motor carriers, commercial drivers, National Highway Traffic Safety The FHWA has analyzed MAP–21 to commercial motor vehicles, and State Administration (NHTSA) relating to identify Congressionally directed agencies receiving certain motor carrier motor vehicles include reducing the rulemakings. These rulemakings will be safety grants and issuing commercial number, and mitigating the effects, of the FHWA’s top regulatory priorities for drivers’ licenses. motor vehicle crashes and related the coming year. FMCSA’s regulatory plan for FY 2017 fatalities and injuries; providing safety Additionally, the FHWA is in the includes completion of a number of performance information to aid process of reviewing all FHWA rulemakings that are high priorities for prospective purchasers of vehicles, regulations to ensure that they are the Agency because they would have a child restraints, and tires; and consistent with MAP–21 and will positive impact on safety. Among the improving automotive fuel efficiency. update those regulations that are not rulemakings included in the plan are: NHTSA pursues policies that encourage consistent with the recently enacted (1) Carrier Safety Fitness Determination the development of nonregulatory legislation. (RIN 2126–AB11), (2) Entry Level Driver approaches when feasible in meeting its The Fixing America’s Surface Training (RIN 2126–AB66), and (3) statutory mandates. It issues new Transportation (FAST) Act authorizes Commercial Driver’s License Drug and standards and regulations or the Federal surface transportation Alcohol Clearinghouse (RIN 2126– amendments to existing standards and programs for highways, highway safety, AB18). regulations when appropriate. It ensures and transit for the five-year period from Together, these priority rules could that regulatory alternatives reflect a 2016–2020. The FHWA has analyzed improve substantially commercial motor careful assessment of the problem and a the FAST Act to identify vehicle (CMV) safety on our Nation’s comprehensive analysis of the benefits, Congressionally directed rulemakings. highways by increasing FMCSA’s ability costs, and other impacts associated with These rulemakings will be the FHWA’s to provide safety oversight of motor the proposed regulatory action. Finally, top regulatory priorities for the coming carriers and commercial drivers. it considers alternatives consistent with year. In FY 2017, FMCSA plans to issue a the Administration’s regulatory Additionally, the FHWA is in the final rule on Carrier Safety Fitness principles. process of reviewing all FHWA Determination (RIN 2126–AB11) to NHTSA plans to issue a final rule on regulations to ensure that they are establish a new safety fitness vehicle-to-vehicle (V2V) consistent with the FAST Act and will determination standard that will enable communications in Fiscal Year 2017. update those regulations that are not the Agency to prohibit ‘‘unfit’’ carriers V2V communications are currently consistent with the recently enacted from operating on the Nation’s perceived to become a foundational legislation. highways and contribute to the aspect of vehicle automation. NHTSA During Fiscal Year 2017, FHWA will Agency’s overall goal of decreasing will publish a final rule on heavy continue its focus on improving the CMV-related fatalities and injuries. vehicle speed limiters in response to quality and performance of our Nation’s In FY 2017, FMCSA plans to issue a petitions for rulemaking and highway systems by creating national final rule on Entry Level Driver Training recommendations from the National performance management measures and (RIN 2126–AB66). This rule would Transportation Safety Board. In Fiscal standards to be used by the States to establish training requirements for Year 2017 NHTSA will also finalize meet the national transportation goals individuals before they can obtain their rulemaking for Tire Fuel Efficiency in identified in section 1203 of MAP–21 CDL or certain endorsements. It will response to requirements of the Energy under the following rulemaking define curricula for training providers Independence & Security Act of 2007. In initiatives: and establish requirements and response to requirements in MAP–21, • National Goals and Performance procedures for the schools. NHTSA plans to continue work toward Management Measures (Bridges and Also in FY 2017, FMCSA plans to a final rule that would require Pavement) (RIN: 2125–AF53) issue a final rule on the Commercial automobile manufacturers to install a • National Goals and Performance Driver’s License Drug and Alcohol seat belt reminder system for the front Management Measures (Congestion Clearinghouse (RIN 2126–AB18). The passenger and rear designated seating Reduction, CMAQ, Freight, and rule would establish a clearinghouse positions in passenger vehicles. The seat
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belt reminder system is intended to reduction programs (RIN 2130–AC11). and complexity often requiring increase belt usage and thereby improve FRA is finalizing initial rulemaking implementation through the rulemaking the crash protection of vehicle documents based on the process. FTA is currently implementing occupants who would otherwise have recommendations of a Railroad Safety many of its public transportation been unbelted. Advisory Committee (RSAC) working programs authorized under MAP–21 In addition to numerous programs group containing the fatigue through the regulatory process. To that that focus on the safe performance of management provisions related to risk end, FTA’s regulatory priorities include motor vehicles, the Agency is engaged reduction and system safety programs. implementing the newly authorized in a variety of programs to improve FRA is also in the process of producing Public Transportation Safety Program driver and occupant behavior. These a final regulatory action related to the (49 U.S.C. 5329), such as the Public programs emphasize the human aspects transportation of crude oil and ethanol Transportation Safety Plan and updating of motor vehicle safety and recognize by rail, focusing on the appropriate crew the State Safety Oversight rule, as well the important role of the States in this size requirements when transporting as, implementing requirements for common pursuit. NHTSA has identified such commodities. FRA’s crew size Transit Asset Management Systems (49 two high-priority areas: Safety belt use activity will also address other freight U.S.C. 5326). The joint FTA/FHWA and impaired driving. To address these and passenger operations to ensure FRA planning rule which will be merged issue areas, the Agency is focusing will have appropriate oversight if a with FTA/FHWA’s Additional especially on three strategies— railroad chooses to alter its standard Authorities for Planning and conducting highly visible, well- method of operation. FRA continues its Environmental Linkages rule and FTA’s publicized enforcement; supporting work to produce a rulemaking Bus Testing rule round out its regulatory prosecutors who handle impaired containing RSAC-supported actions that priorities. driving cases and expanding the use of advance high-performing passenger rail DWI/Drug Courts, which hold offenders to propose standards for alternative Maritime Administration (MARAD) accountable for receiving and compliance with FRA’s Passenger The Maritime Administration completing treatment for alcohol abuse Equipment Safety Standards for the (MARAD) administers Federal laws and and dependency; and adopting alcohol operation of Tier III passenger screening and brief intervention by equipment (RIN 2130–AC51). Through programs to improve and strengthen the medical and health care professionals. RSAC, FRA is developing maritime transportation system to meet Other behavioral efforts encourage child recommendations for proposed rules the economic, environmental, and safety-seat use; combat excessive speed, regarding track inspections aimed at security needs of the Nation. To that driver distraction, and aggressive improving rail integrity to allow end, MARAD’s efforts are focused upon driving; improve motorcycle, bicycle, continuous rail integrity testing and to ensuring a strong American presence in and pedestrian safety; and provide address rail head wear. Finally, FRA is the domestic and international trades consumer information to the public. developing proposed rules related to the and to expanding maritime opportunities for American businesses Federal Railroad Administration (FRA) use of inward and outward facing and workers. FRA’s current regulatory program locomotive-mounted cameras and other MARAD’s regulatory objectives and reflects a number of pending recording devices in response to a FAST priorities reflect the agency’s proceedings to satisfy mandates Act mandate for such devices on responsibility for ensuring the resulting from the Rail Safety passenger locomotives. availability of water transportation Improvement Act of 2008 (RSIA08), the Federal Transit Administration (FTA) services for American shippers and Passenger Rail Investment and FTA helps communities support consumers and, in times of war or Improvement Act of 2008 (PRIIA), and public transportation by making grants national emergency, for the U.S. armed the Fixing America’s Surface of Federal funding for transit vehicles, forces. Major program areas include the Transportation Act of 2015 (FAST Act), construction of transit facilities, and following: Maritime Security, Voluntary as well as actions under its general planning and operation of transit and safety rulemaking authority and actions Intermodal Sealift Agreement, National other transit-related purposes. FTA supporting a high-performing passenger Defense Reserve Fleet and the Ready regulatory activity implements the laws rail network and to address the safe and Reserve Force, Cargo Preference, that apply to recipients’ uses of Federal effective movement of energy products, Maritime Guaranteed Loan Financing, funding and the terms and conditions of particularly crude oil. RSIA08 alone has United States Merchant Marine FTA grant awards. FTA policy regarding required 21 rulemaking actions, 19 of Academy, Mariner Education and regulations is to: Training Support, Deepwater Port which have been completed. The FAST • Ensure the safety of public Act requires an additional 13 Licensing, and Port and Intermodal transportation systems. Development. Additionally, MARAD rulemaking actions, 4 of which are • Provide maximum benefit to the administers the Small Shipyard Grants complete and 6 others are in the Nation’s mobility through the developmental or proposal stage. FRA Program through which equipment and connectivity of transportation technical skills training are provided to continues to prioritize its rulemakings infrastructure; according to the greatest effect on safety • America’s maritime workforce, with the Provide maximum local discretion; aim of helping businesses to compete in while promoting economic growth, • Ensure the most productive use of innovation, competitiveness, and job the global marketplace while creating limited Federal resources; well-paying jobs at home. creation, as well as expressed • Protect taxpayer investments in congressional interest, while working to public transportation; MARAD’s primary regulatory complete as many mandated • Incorporate principles of sound activities in Fiscal Year 2017 will be to rulemakings as quickly as possible. management into the grant management continue the update of existing FRA is working to complete its on- process. regulations as part of the Department’s going development of requirements As the needs for public transportation Retrospective Regulatory Review effort, related to the creation and have changed over the years, the Federal and to propose new regulations where implementation of railroad risk transit programs have grown in number appropriate.
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Pipeline and Hazardous Materials Safety PHMSA recently issued a final rule to community preparedness. PHMSA will Administration (PHMSA) expand requirements for the use of the continue to take regulatory actions to The Pipeline and Hazardous Materials DOT Specification 117 tank car to all enhance the safe transportation of Safety Administration (PHMSA) has flammable liquids, regardless of train energy products. responsibility for rulemaking under two make-up. This change will promote PHMSA is also looking to reduce the programs. Through the Associate consistency for all flammable liquid risk of transporting lithium batteries by Administrator for the Office of tank cars and simplify compliance for air. The safe transport of lithium Hazardous Materials Safety (OHMS), shippers and carriers. As a result of batteries by air has been an ongoing PHMSA administers regulatory these actions, all retrofitted and newly concern due to the unique challenges programs under Federal hazardous constructed DOT Specification 117 tank they pose to safety in a transportation materials transportation law and the cars will be equipped with top fittings environment. Unlike other hazardous Federal Water Pollution Control Act, as protection, jackets, thermal protection materials, lithium batteries contain both amended by the Oil Pollution Act of systems, full height head shields, and a chemical and an electrical hazard. 1990. Through the Associate better outlet valves. The expanded use This combination of hazards, when Administrator for the Office of Pipeline of the enhanced tank car will reduce the involved in a fire encompassing Safety (OPS), PHMSA administers likelihood of a flammable liquid release significant quantities of lithium regulatory programs under the Federal in the event of a derailment. batteries, may exceed the fire pipeline safety laws and the Federal PHMSA will continue to focus on the suppression capability of the aircraft Water Pollution Control Act, as streamlining of its regulatory system and lead to a catastrophic lithium amended by the Oil Pollution Act of and reducing regulatory burdens. battery event. PHMSA is developing 1990. The Pipeline Safety, Regulatory PHMSA will evaluate existing rules to regulatory actions that will: (1) Prohibit Certainty, and Job Creation Act of 2011 examine whether they remain justified; the transport of lithium ion cells and included a number of rulemaking should be modified to account for batteries as cargo on passenger aircraft; studies and mandates and additional changing circumstances and (2) require all lithium ion cells and enforcement authorities that continue to technologies; or should be streamlined batteries to be shipped at not more than or even repealed. PHMSA will continue a 30 percent state of charge on cargo- impact PHMSA’s regulatory activities in to evaluate, analyze, and be responsive only aircraft; and (3) limits the use of Fiscal Year 2016.14 PHMSA will continue to work toward to petitions for rulemaking. PHMSA will alternative provisions for small lithium improving safety related to review regulations, letters of cell or battery shipments under 49 CFR transportation of hazardous materials by interpretation, petitions for rulemaking, 173.185(c). These amendments will all transportation modes, including special permits, enforcement actions, predominately affect air carriers (both pipeline, while promoting economic approvals, and international standards passenger and cargo-only) and shippers growth, innovation, competitiveness, to identify inconsistencies, outdated offering lithium ion cells and batteries provisions, and barriers to regulatory for transport as cargo by aircraft. The and job creation. We will concentrate on compliance. amendments will not restrict passengers the prevention of high-risk incidents PHMSA aims to reduce the risks or crew members from bringing personal identified through the findings of the related to the transportation of items or electronic devices containing National Transportation Safety Board hazardous materials by rail. Preventing lithium batteries aboard aircraft in (NTSB) and PHMSA’s evaluation of tank car incidents and minimizing the carry-on or checked baggage. transportation incident data. PHMSA consequences when an incident does will use all available Agency tools to occur are not only DOT priorities, but OPS assess data; evaluate alternative safety are also shared by our Federal and President Obama signed the strategies, including regulatory international partners, the NTSB, Protecting our Infrastructure of strategies as necessary and appropriate; industry, and the general public. Pipelines and Enhancing Safety Act of target enforcement efforts; and enhance Expansion in United States energy 2016 (or the ‘‘PIPES Act of 2016’’) on outreach, public education, and training production has led to significant June 22, 2016. The 2016 Act to promote safety outcomes. challenges in the transportation system. reauthorizes the pipeline safety program OHMS Expansion in oil production has led to and requires a number of reports and increasing volumes of energy products mandates. Under the 2016 Act, PHMSA On December 4, 2015, President transported to refineries. With a growing is required to take regulatory actions to Barack Obama signed legislation domestic supply, rail transportation, in establish minimum safety standards for entitled, ‘‘Fixing America’s Surface particular, has emerged as an alternative underground natural gas storage Transportation Act of 2015,’’ or the to transportation by pipeline or vessel. facilities, and to update the minimum ‘‘FAST Act.’’ See Public Law 114–94. The growing reliance on trains to safety standards for liquefied natural gas The FAST Act includes the ‘‘Hazardous transport large volumes of flammable pipeline facilities for permanent, small Materials Transportation Safety liquids raises risks that have been scale liquefied natural gas pipeline Improvement Act of 2015’’ (Sections highlighted by the recent instances of facilities. The Act also contains 7001 through 7311) which instructs the trains carrying crude oil that have regulatory mandates regarding Secretary of Transportation derailed. PHMSA issued a Notice of emergency order authority, unusually (‘‘Secretary’’) to make specific Proposed Rulemaking on July 29, 2016 sensitive areas, and hazardous materials regulatory amendments to the (81 FR 50067), seeking comment on identification numbers. PHMSA is in Hazardous Materials Regulations (HMR; potential revisions to its regulations that the process of taking the necessary steps 49 CFR parts 171–180). PHMSA has would expand the applicability of to address these mandates. been very effective in implementing the comprehensive oil spill response plans On October 13, 2015 [80 FR 61609], FAST Act provisions. For example, (OSRPs) for crude oil trains and require PHMSA issued an NPRM proposing railroads to share information about changes to the regulations covering 14 http://www.phmsa.dot.gov/pv_obj_cache/pv_ obj_id_7FD46010F0497123865 high-hazard flammable train operations hazardous liquid onshore pipelines. B976479CFF3952E990200/filename/ with state and tribal emergency Specifically, the agency proposed Pipeline%20Reauthorization%20Bill%202011.pdf. response commissions to improve regulatory changes relative to High
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Consequence Areas (HCAs) for integrity Also, on April 8, 2016 [81 FR 20722], non-HCA areas, assessment methods, management (IM) protections, repair PHMSA proposed to revise the validating and integrating pipeline data, timeframes, and reporting for all requirements in the Pipeline Safety risk assessments, knowledge gained hazardous liquid gathering lines. The Regulations to address integrity through the IM program, corrosion agency also addressed public safety and management principles for Gas control, management of change, environmental aspects of any new Transmission pipelines. In particular, gathering lines, and safety features on requirements, as well as the cost PHMSA proposed requirements to launchers and receivers. implications and regulatory burden. address repair criteria for both HCA and
QUANTIFIABLE COSTS AND BENEFITS OF RULEMAKINGS ON THE 2016 TO 2017 DOT REGULATORY PLAN [This chart does not account for benefits and costs that could not be monetized, which may be substantial]
Quantifiable costs Quantifiable benefits Agency/RIN No. Title Stage discounted 2013 discounted 2013 $ (millions) $ (millions)
FAA
2120–AJ38 ...... Airport Safety Management Sys- SNPRM (Analyzing Comments $157.5 ...... $225.9. tem. 12/16). 2120–AJ87 ...... Pilot Professional Development ... Published: Comment Period End 46.8 ...... 46.3. 01/05/17. 2120–AK65 ...... Revision of Airworthiness Stand- FR 12/16 ...... 3.9 ...... 11.6. ards for Normal, Utility, Acro- batic, and Commuter Category Airplanes.
FHWA
2125–AF53 ...... Performance Management 2 ...... FR 11/16 ...... 21.2 ...... Breakeven Analysis. Note: These are pre- liminary agency es- timates only. They have not been re- viewed by others outside of DOT. The estimates could change after inter- agency review. 2125–AF54 ...... Performance Management 3 ...... NPRM (Analyzing Comments 08/ 15.3–21.1 ...... Breakeven Analysis. 16) FR TBD. Note: These are pre- liminary agency es- timates only. They have not been re- viewed by others outside of DOT. The estimates could change after inter- agency review.
FMCSA
2126–AB11 ...... Carrier Safety Fitness Determina- NPRM (Analyzing Comments) FR TBD ...... TBD. tion. TBD. 2126–AB66 ...... Entry Level Driver Training ...... FR 11/16 ...... TBD ...... TBD.
NHTSA
2127–AL55 ...... Light Vehicle V2V Communica- FR 10/17 ...... TBD ...... TBD. tions. 2127–AK92 ...... Heavy Vehicle Speed Limiters ..... FR 10/17 ...... TBD ...... TBD. 2127–AK76 ...... Tire Fuel Efficiency Part 2 ...... FR10/17 ...... 10.6 ...... 21.5.
FRA
2130–AC11 ...... Risk Reduction Program ...... FR 12/16 ...... TBD ...... TBD. 2130–AC51 ...... Locomotive Recording Devices .... NPRM 11/16 ...... TBD ...... TBD.
PHMSA
2137–AE66 ...... Pipeline Safety: Safety of On- FR 12/16 ...... TBD ...... TBD. Shore Liquid Hazardous Pipe- lines. 2137–AE72 ...... Pipeline Safety: Gas Trans- NPRM (Analyzing Comments) ..... TBD ...... TBD. mission (RRR). FR TBD
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QUANTIFIABLE COSTS AND BENEFITS OF RULEMAKINGS ON THE 2016 TO 2017 DOT REGULATORY PLAN—Continued [This chart does not account for benefits and costs that could not be monetized, which may be substantial]
Quantifiable costs Quantifiable benefits Agency/RIN No. Title Stage discounted 2013 discounted 2013 $ (millions) $ (millions)
2137–AF08 ...... Hazardous Materials: Oil Spill Re- FR 07/17 ...... 2.9m per year ...... Breakeven Analysis. sponse Plans and Information Cost-effective if this Sharing for High-Hazard Flam- requirement re- mable Trains. duces risk by 3.7%. Notes: Costs and benefits of rulemakings may be forecast over varying periods. Although the forecast periods will be the same for any given rulemaking, comparisons between proceedings should be made cautiously. Costs and benefits are generally discounted at a 7 percent discount rate over the period analyzed. The Department of Transportation generally assumes that there are economic benefits to avoiding a fatality of $9.4 million. That economic value is included as part of the benefits estimates shown in the chart. As noted above, we have not included the non-quantifiable benefits.
DOT—FEDERAL AVIATION proposes to require an SMS be international standards and ADMINISTRATION (FAA) developed, implemented, maintained, recommended practices. To that end, and adhered to at any certificated the FAA developed the following Proposed Rule Stage airport that is: (i) Classified as a Small, alternatives for additional analysis: (i) 88. +Airport Safety Management Medium, or Large hub airport in the All part 139 airports (as originally System National Plan of Integrated Airport proposed); (ii) airport operators holding Priority: Other Significant. Systems; (ii) identified by the U.S. a Class I airport operating certificate; Legal Authority: 49 U.S.C. 44706; 49 Customs and Border Protection as a (iii) certificated international airports U.S.C. 106(g); 49 U.S.C. 40113; 49 port-of-entry, designated international regardless of certificate class; (iv) Large, U.S.C. 44701 to 44706; 49 U.S.C. 44709; airport, landing rights airport, or user Medium, and Small hub airports (as 49 U.S.C. 44719 fee airport; or (iii) identified as having identified in the National Plan of CFR Citation: 14 CFR 139. more than 100,000 total annual Integrated Airport Systems) and Legal Deadline: Final, Statutory, operations (according to best available certificated airports with more than November 5, 2012, Final rule. data). 100,000 total annual operations; and (v) Abstract: This rulemaking would Summary of Legal Basis: The FAA’s Large, Medium, and Small hub airports, require certain airport certificate holders authority to issue rules regarding certificated airports with more than to develop, implement, maintain, and aviation safety is found in title 49 of the 100,000 total annual operations, and adhere to a safety management system United States Code. Subtitle I, section certificated international airports. (SMS) for its aviation-related activities. 106 describes the authority of the FAA Anticipated Cost and Benefits: An SMS is a formalized approach to Administrator. Subtitle VII, Aviation Benefits are estimated at $370,788,457 managing safety by developing an Programs, describes in more detail the ($225,850,869 present value) and total organization-wide safety policy, scope of the agency’s authority. The costs are estimated at $238,865,692 developing formal methods of FAA is proposing this rulemaking under ($157,496,312 present value), with identifying hazards, analyzing and the authority described in subtitle VII, benefits exceeding costs. These are mitigating risk, developing methods for part A, subpart III, section 44706, preliminary estimates subject to change ensuring continuous safety ‘‘Airport operating certificates.’’ Under based on further review and analysis. improvement, and creating that section, Congress charges the FAA Risks: An SMS is a formalized organization-wide safety promotion with issuing airport operating approach to managing safety by strategies. certificates (AOC) that contain terms developing an organization-wide safety Statement of Need: In the NPRM that the Administrator finds necessary policy, developing formal methods of published on October 7, 2010, the FAA to ensure safety in air transportation. identifying hazards, analyzing and proposed to require all part 139 This proposed rule is within the scope mitigating risk, developing methods for certificate holders to develop and of that authority because it requires ensuring continuous safety implement an SMS to improve the certain certificated airports to develop improvement, and creating safety of their aviation-related activities. and maintain an SMS. The development organization-wide safety promotion The FAA received 65 comment and implementation of an SMS ensures strategies. An SMS provides an documents from a variety of safety in air transportation by assisting organization’s management with a set of commenters. Because of the complexity these airports in proactively identifying decisionmaking tools that can be used to of the issues and concerns raised by the and mitigating safety hazards. plan, organize, direct, and control its commenters, the FAA began to Alternatives: The FAA explored business activities in a manner that reevaluate whether deployment of SMS various alternatives to determine how to enhances safety and ensures compliance at all certificated airports was the most apply an SMS requirement to a group of with regulatory standards. Adherence to effective approach. The FAA continues airports that gains the most benefit in a standard operating procedures, to believe that an SMS can address cost-effective manner. The FAA focused proactive identification and mitigation potential safety gaps that are not on airports with the highest passenger of hazards and risks, and effective completely eliminated through effective enplanements and largest total communications are crucial to FAA regulations and technical operating operations so that safety benefits would continued operational safety. The FAA standards. While the comments flow to the overwhelming majority of envisions an SMS would provide an generated some changes to the proposal aircraft operations in the United States. airport with an added layer of safety to in this document, most of the proposed The FAA also focused on incorporating help reduce the number of near-misses, core elements of the SMS program airports with international passenger incidents, and accidents. An SMS also remain in the SNPRM. The FAA now operations to ensure conformity with would ensure that all levels of airport
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management understand safety Abstract: This rulemaking would Risks: As recognized by the National implications of airfield operations. amend the regulations for air carrier Transportation Safety Board (NTSB), the Timetable: training programs under part 121. The overall safety and reliability of the action is necessary to ensure that air National Airspace System demonstrates Action Date FR Cite carriers establish or modify training that most pilots conduct operations with programs to address mentoring, a high degree of professionalism. NPRM ...... 10/07/10 75 FR 62008 leadership and professional Nevertheless, a problem still exists in NPRM Comment 12/10/10 75 FR 76928 Period Ex- development of flight crewmembers in the aviation industry with some pilots tended. part 121 operations. This rulemaking is acting unprofessionally and not NPRM Comment 01/05/11 required by the Airline Safety and adhering to standard operating Period End. Federal Aviation Administration Act of procedures, including sterile cockpit. End of Extended 03/07/11 2010. The NTSB has continued to cite Comment Pe- Statement of Need: On August 1, inadequate leadership in the flight deck, riod. 2010, the President signed the Airline pilots’ unprofessional behavior, and Second Extension 03/07/11 76 FR 12300 Safety and Federal Aviation pilots’ failure to comply with the sterile of Comment cockpit rule as factors in multiple Period. Administration Extension Act of 2010 End of Second 07/05/11 (Public Law 111–216). Section 206 of accidents and incidents including Extended Com- Public Law 111–216 directed the FAA Pinnacle Airlines flight 3701 and Colgan ment Period. to convene an aviation rulemaking Air, Inc. flight 3407. The FAA intends Second NPRM .... 07/14/16 81 FR 45871 committee (ARC) to develop procedures for this proposal to mitigate Second NPRM 09/12/16 for each part 121 air carrier pertaining unprofessional pilot behavior which Comment Pe- to mentoring, professional development, would reduce pilot errors that can lead riod End. and leadership and command training to a catastrophic event. Analyzing Com- 12/00/16 for pilots serving in part 121 operations Timetable: ments. and to issue a Notice of Proposed Rulemaking (NPRM) based on the ARC Action Date FR Cite Regulatory Flexibility Analysis recommendations. This NPRM is Required: Yes. necessary to satisfy a requirement of NPRM ...... 10/07/16 81 FR 69908 Small Entities Affected: Businesses. NPRM Comment 01/05/17 Government Levels Affected: State. section 206 of Public Law 111–216. Period End. Additional Information: The Summary of Legal Basis: The FAA estimated costs of this rule do not authority to issue rules on aviation Regulatory Flexibility Analysis include the costs of mitigations that safety is found in title 49 of the United Required: No. operators could incur as a result of States Code. Subtitle I, Section 106 Small Entities Affected: Businesses. conducting the risk analysis proposed in describes the authority of the FAA Government Levels Affected: None. this rule. Given the range of mitigation Administrator. Subtitle VII, Aviation URL for More Information: actions possible, it is difficult to provide Programs, describes in more detail the www.regulations.gov. a quantitative estimate of both the costs scope of the agency’s authority. This URL for Public Comments: and benefits of such mitigations. rulemaking is promulgated under the www.regulations.gov. However, we anticipate that operators general authority described in 49 U.S.C. Agency Contact: Sheri Pippin, will only implement mitigations where 106(f) and 44701(a) and the specific Department of Transportation, Federal benefits exceeded costs. As such, the authority found in section 206 of Public Aviation Administration, 15000 FAA believes that the costs of this rule Law 111–216, the Airline Safety and Aviation Boulevard, Lawndale, CA would be justified by the anticipated Federal Aviation Administration 90261, Phone: 310 725–7342, Email: benefits of the rule, if adopted as Extension Act of 2010 (49 U.S.C. 44701 [email protected]. proposed. note), which directed the FAA to Related RIN: Related to 2120–AJ00 URL for More Information: convene an aviation rulemaking RIN: 2120–AJ87 www.regulations.gov. committee (ARC) and conduct a URL for Public Comments: rulemaking proceeding based on this ARC’s recommendations pertaining to www.regulations.gov. DOT—FAA Agency Contact: Keri Lyons, mentoring, professional development, Department of Transportation, Federal and leadership and command training Final Rule Stage Aviation Administration, 800 for pilots serving in part 121 operations. Section 206 further required that the 90. +Revision of Airworthiness Independence Avenue SW., Standards for Normal, Utility, Washington, DC 20591, Phone: 202 267– FAA include in leadership and command training, instruction on Acrobatic, and Commuter Category 8972, Email: [email protected]. Airplanes (RRR) Related RIN: Related to 2120–AJ15 compliance with flightcrew member RIN: 2120–AJ38 duties under 14 CFR 121.542. Priority: Other Significant. Alternatives: The Flight Crewmember Legal Authority: 49 U.S.C. 106(g); 49 Mentoring, Leadership, and Professional U.S.C. 40113; 49 U.S.C. 44701; 49 U.S.C. DOT—FAA Development ARC presented 44702; 49 U.S.C. 44704 recommendations to the FAA in its CFR Citation: 14 CFR 23. 89. +Pilot Professional Development report dated November 2, 2010. Legal Deadline: Final, Statutory, Priority: Other Significant. Anticipated Cost and Benefits: For the December 15, 2015, NPRM (Pub. L. 113– Legal Authority: 49 U.S.C. 44701(a)(5); timeframe 2015 to 2024 (Millions of 53). P.L. 111–216, sec. 206. 2013 Dollars), the total cost saving Abstract: This rulemaking would CFR Citation: 14 CFR 121. benefits is $72.017 ($46.263 present revise Title 14, Code of Federal Legal Deadline: NPRM, Statutory, value) and the total compliance costs is Regulations (14 CFR) part 23 as a set of April 20, 2015, NPRM. $67.632 ($46.774 present value). performance based regulations for the
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design and certification of small small airplanes are being built, many are Administration shall issue a final transport category aircraft. This certified to the Civil Air Regulations rule-’’ rulemaking would: (1) Reorganize part (CAR 3) part 3, or very early amendment URL for More Information: 23 into performance-based requirements levels of part 23, and reflect the level of www.regulations.gov. by removing the detailed design safety technology available when they URL for Public Comments: requirements from part 23. The detailed were designed decades ago. Without www.regulations.gov. design provisions that would assist new airplanes and improved existing Agency Contact: Lowell Foster, applicants in complying with the new airplanes, we will not see the safety Department of Transportation, Federal performance-based requirements would improvements in GA that are possible Aviation Administration, 901 Locust St., be identified in means of compliance with the technology developed since the Kansas City, MO 64106, Phone: 816– (MOC) documents to support this effort; 1970’s. This rulemaking effort targets: 329–4125, Email: [email protected]. (2) promote the adoption of the newly Increasing the safety level in new Analiese Marchesseault, Department created performance-based airplanes; reducing the cost of of Transportation, Phone: 202–366– airworthiness design standard as an certification to encourage newer and 1675, Email: analiese.marchesseault@ internationally accepted standard by the safer airplane development; and create dot.gov. majority of other civil aviation new opportunities to address safety RIN: 2120–AK65. authorities; (3) re-align the part 23 related issues, not just in new airplanes, requirements to promote the but eventually with the existing fleet. development of entry-level airplanes Summary of Legal Basis: Authority: DOT—FEDERAL HIGHWAY similar to those certified under 49 U.S.C. 106(g), 40113, 44701–44702, ADMINISTRATION (FHWA) Certification Specification for Very 44704. Additionally, Public Law 113– Light Aircraft (CS–VLA); (4) enhance 53, Small Airplane Revitalization Act of Final Rule Stage the FAA’s ability to address new 2013 (Nov. 27, 2013), requires that the 91. +National Goals and Performance technology; (5) increase the general FAA issue a final rule revising these Management Measures 2 (MAP–21) aviation (GA) level of safety provided by standards by December 15, 2015. Priority: Other Significant. new and modified airplanes; (6) amend Alternatives: Several alternatives are Legal Authority: Sec. 1203 P.L. 112– the stall, stall warning, and spin considering. 1. Retaining part 23 in its 141; 49 CFR 1.85 current form without adopting the requirements to reduce fatal accidents CFR Citation: Not Yet Determined. and increase crashworthiness by recommendations of the ARC and the Legal Deadline: NPRM, Statutory, allowing new methods for occupant CPS. 2. Revising part 23 using a tiered April 1, 2014, NPRM. protection; and (7) address icing approach and adopting a performance Section 1203 of MAP–21 requires the conditions that are currently not and complexity tiering structure instead Secretary to promulgate a rulemaking included in part 23 regulations. of the propulsion and weight-based within 18 months after the date of Statement of Need: The FAA’s approach used today, but retaining the enactment. strategic vision—Destination 2025, detailed design requirements in the rule. Abstract: This rulemaking would communicates FAA goals to increase 3. Allowing an industry standard for create national performance safety throughout general aviation by part 23 entry-level airplanes as an management measures and standards to enabling and facilitating innovation and alternative to part 23. Airplanes other be used by the States to meet the development of safety enhancing than entry-level would still be regulated national transportation goals identified products. This project intends to within the confines of the existing part in section 1203 of MAP–21. This provide an appropriate and globally 23. rulemaking would also establish the competitive regulatory structure that Anticipated Cost and Benefits: For the process to be used by States to set allows small transport category timeframe 2017 to 2036 (2014 $ performance targets that reflect their airplanes to achieve FAA safety goals Millions), the total costs are $3.9 ($3.9 performance measures. The FHWA through innovation and compliance present value) and the total benefits are anticipates issuing up to three with performance-based safety $30.8 ($11.6 present value). rulemakings in this area. This standards. One focus area is Loss of Risks: To be determined. rulemaking, number two, will cover the Control (LOC) accidents, which Timetable: bridges and pavement. continues to be the largest source of Statement of Need: The Moving fatal GA accidents. To address LOC Action Date FR Cite Ahead for Progress in the 21st Century accidents, the Small Airplane NPRM ...... 03/14/16 81 FR 13452 Act (MAP–21) transforms the Federal- Directorate is focused on establishing NPRM Comment 05/13/16 aid highway program by establishing standards based on a safety continuum Period End. new requirements for performance that balances the level of certitude, Final Rule ...... 12/00/16 management to ensure the most efficient appropriate level of safety, and investment of Federal transportation acceptable risk for each segment of GA. Regulatory Flexibility Analysis funds. Performance management This risk-based approach to certification Required: Yes. refocuses attention on national has already served the FAA and public Small Entities Affected: Businesses. transportation goals, increases the well, with the application of section Government Levels Affected: accountability and transparency of the 23.1309 to avionics equipment in part Undetermined. Federal-aid highway program, and 23 airplanes, leading to the successful Additional Information: Additionally, improves project decisionmaking introduction of glass cockpits in small Public Law 113–53, Small Airplane through performance-based planning GA airplanes. To improve the GA fleet’s Revitalization Act of 2013 states: ‘‘SEC. and programming. This rulemaking is safety level over that of today’s aging 3. SAFETY AND REGULATORY the second of three that would propose fleet, the FAA needs to allow industry IMPROVEMENTS FOR GENERAL the establishment of performance to build new part 23 certificated AVIATION. (a) IN GENERAL.—Not later measures for State DOTs and MPOs to airplanes with today’s safety enhancing than December 15, 2015, the use to carry out Federal-aid highway technologies. Although a number of new Administrator of the Federal Aviation programs and to assess performance in
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each of the 12 areas mandated by MAP– Timetable: refocuses attention on national 21. This rulemaking would establish transportation goals, increases the performance measures for State DOTs to Action Date FR Cite accountability and transparency of the use to carry out the National Highway Federal-aid highway program, and Performance Program (NHPP) and to NPRM ...... 01/05/15 80 FR 326 improves project decisionmaking assess: Condition of pavements on the NPRM Comment 02/17/15 80 FR 8250 Period Ex- through performance-based planning National Highways System (NHS) tended. and programming. This rulemaking is (excluding the Interstate System), NPRM Comment 04/06/15 the third of three that would propose condition of pavements on the Interstate Period End. the establishment of performance System, and condition of bridges on the NPRM Extended 05/08/15 measures for State DOTs and MPOs to NHS. This rulemaking would also Comment Pe- use to carry out Federal-aid highway propose: The definitions that will be riod End. programs and to assess performance in applicable to the new 23 CFR 490; the Final Rule ...... 11/00/16 each of the 12 areas mandated by MAP– process to be used by State DOTs and 21. This rulemaking would establish MPOs to establish performance targets Regulatory Flexibility Analysis performance measures for State DOTs to that reflect the measures proposed in Required: No. use in the areas of Congestion this rulemaking; a methodology to be Small Entities Affected: No. Reduction, Congestion mitigation and Government Levels Affected: Federal, used to assess State DOTs compliance air quality improvement program with the target achievement provision State. URL for More Information: (CMAQ), Freight, and Performance of specified under 23 U.S.C. 119(e)(7); and Interstate/Non-Interstate National the process to be followed by State www.regulations.gov. URL for Public Comments: Highway System. DOTs to report on progress towards the Summary of Legal Basis: Section 1203 achievement of pavement and bridge www.regulations.gov. Agency Contact: Francine Shaw- of MAP–21 requires the Secretary of condition-related performance targets. Transportation to establish performance Summary of Legal Basis: Section 1203 Whitson, Department of Transportation, Federal Highway Administration, 1200 measures and standards through a of MAP–21 requires the Secretary of rulemaking to assess performance in 12 Transportation to establish performance New Jersey Avenue SE., Washington, DC 20590, Phone: 202 366–8028, Email: areas. measures and standards through a Alternatives: N/A. [email protected]. rulemaking to assess performance in 12 Anticipated Cost and Benefits: Not yet RIN: 2125–AF53 areas. determined. Alternatives: N/A. Risks: N/A. Anticipated Cost and Benefits: The Timetable: FHWA estimated the incremental costs DOT—FHWA associated with the new requirements Action Date FR Cite proposed in this regulatory action that 92. +National Goals and Performance represent a change to current practices Management Measures 3 (MAP–21) NPRM ...... 04/22/16 81 FR 23806 for State DOTs and MPOs. Following Priority: Other Significant. NPRM Comment 08/20/16 this approach, the estimated 10-year Legal Authority: Sec. 1203, P.L. 112– Period End. Final Rule ...... 12/00/16 undiscounted incremental costs to 141; 49 FR 1.85 comply with this rule are $196.4 CFR Citation: 23 CFR 490. Regulatory Flexibility Analysis million. The FHWA could not directly Legal Deadline: NPRM, Statutory, Required: No. April 1, 2014, NPRM. quantify the expected benefits due to Small Entities Affected: No. Section 1203 of MAP–21 requires the data limitations and the amorphous Government Levels Affected: Federal, Secretary to promulgate a rulemaking nature of the benefits from the proposed State. rule. Therefore, in order to evaluate the within 18 months after the date of URL for More Information: benefits, FHWA used a break-even enactment. www.regulations.gov. analysis as the primary approach to Abstract: This rulemaking would URL for Public Comments: quantify benefits. For both pavements create national performance www.regulations.gov. and bridges, FHWA focused its break- management measures and standards to Agency Contact: Francine Shaw- even analysis on Vehicle Operating be used by the States to meet the Whitson, Department of Transportation, Costs (VOC) savings. The FHWA national transportation goals identified Federal Highway Administration, 1200 estimated the number of road miles of in section 1203 of MAP–21. This New Jersey Avenue SE., Washington, deficient pavement that would have to rulemaking would also establish the DC 20590, Phone: 202 366–8028, Email: be improved and the number of posted process to be used by States to set [email protected]. bridges that would have to be avoided performance targets that reflect their RIN: 2125–AF54 in order for the benefits of the rule to performance measures. The FHWA justify the costs. The results of the anticipates issuing up to three break-even analysis quantified the rulemakings in this area. This dollar value of the benefits that the rulemaking covers Congestion DOT—FEDERAL MOTOR CARRIER proposed rule must generate to Mitigation and Air Quality (CMAQ) and SAFETY ADMINISTRATION (FMCSA) outweigh the threshold value, the Freight issues. Final Rule Stage estimated cost of the proposed rule, Statement of Need: The Moving which is $196.4 million in Ahead for Progress in the 21st Century 93. +Entry-Level Driver Training undiscounted dollars. The FHWA Act (MAP–21) transforms the Federal- (Section 610 Review) believes that the proposed rule would aid highway program by establishing Priority: Economically Significant. surpass this threshold and, as a result, new requirements for performance Major under 5 U.S.C. 801. the benefits of the rule would outweigh management to ensure the most efficient Legal Authority: 49 U.S.C. 31136 the costs. investment of Federal transportation CFR Citation: 49 CFR 380; 49 CFR Risks: N/A. funds. Performance management 383; 49 CFR 384.
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Legal Deadline: None. NPRM, but fully evaluated the replacement tires designed for use on Abstract: FMCSA establishes new alternative adopted by the negotiated motor vehicles. On March 30, 2010, minimum training standards for certain rulemaking committee in the NPRM NHTSA published a final rule individuals applying for their analysis. specifying the test procedures to be used commercial driver’s license (CDL) for Anticipated Cost and Benefits: While to rate the performance of replacement the first time; an upgrade of their CDL FMCSA believes that this final rule passenger car tires for this new program (e.g., a Class B CDL holder seeking a would at minimum achieve cost- (75 FR 15893). This rulemaking would Class A CDL); or a hazardous materials neutrality, the net of quantified costs address how this information would be (H), passenger (P), or school bus (S) and benefits results in an annualized net made available to consumers. endorsement for the first time. These cost of $142 million at a 7% discount Statement of Need: The EISA individuals are subject to the entry-level rate. A 3.91% improvement in safety mandated the TFECIP to be finalized by driver training (ELDT) requirements and performance (that is, a 3.91% reduction December 2009. In 2010, NHTSA must complete a prescribed program of in the frequency of crashes involving finalized a regulation to require the instruction provided by an entity that is those new entry-level drivers who testing of replacement tires for rolling listed on FMCSA’s Training Provider would receive additional pre-CDL resistance (fuel efficiency), wet traction Registry (TPR). FMCSA will submit training as a result of this final rule (safety) and treadwear (durability). In training certification information to during the period for which the benefits December 2014, the White House State driver licensing agencies (SDLAs), of training are estimated to remain announced that the agency would who may only administer CDL skills intact) is necessary to offset the $142 publish the final rule by 2017. tests to applicants for the Class A and million (annualized at 7%) net cost of Summary of Legal Basis: This B CDL, and/or the P or S endorsements, this final rule. rulemaking is mandated by Public Law or knowledge test for the H Risks: A risk of a driver not receiving 110140, 121 Stat. 1492. endorsement, after verifying the adequate training before applying for a Alternatives: This rule is statutorily information is present in the driver’s CDL. mandated. record. This final rule responds to a Timetable: Anticipated Cost and Benefits: The Congressional mandate imposed under agency estimates that annual net the Moving Ahead for Progress in the Action Date FR Cite benefits, in millions of 2013 dollars, 21st Century Act (MAP–21). The rule is will range between $1.2 and $12.7 at a based on consensus recommendations NPRM ...... 03/07/16 81 FR 11944 3% discount rate, and between $0.2 and from the Agency’s Entry-Level Driver NPRM Comment 04/06/16 $10.9 at a 7% discount rate. Training Advisory Committee Period End. Risks: The agency believes there are Final Rule ...... 11/00/16 (ELDTAC), a negotiated rulemaking no significant risks related to this committee that held a series of meetings rulemaking. between February and May 2015. Regulatory Flexibility Analysis Timetable: Statement of Need: This final rule Required: Yes. enhances the safety of commercial Small Entities Affected: Businesses, Action Date FR Cite motor vehicle (CMV) operations on our Governmental Jurisdictions, Nation’s highways by establishing a Organizations. Second NPRM .... 01/00/17 minimum standard for entry-level driver Government Levels Affected: None. training (ELDT) and increasing the URL for More Information: Regulatory Flexibility Analysis number of drivers who receive ELDT. It www.regulations.gov. Required: No. replaces existing mandatory training URL for Public Comments: Small Entities Affected: No. requirements for entry-level operators of www.regulations.gov. Government Levels Affected: None. CMVs in interstate and intrastate Agency Contact: Sean Gallagher, MC– International Impacts: This regulatory operations required to possess a CDL. PRR, Department of Transportation, action will be likely to have The minimum training standards Federal Motor Carrier Safety international trade and investment established in today’s rule are for Administration, 1200 New Avenue SE., effects, or otherwise be of international certain individuals applying for a CDL Washington, DC 20590, Phone: 202 366– interest. for the first time, an upgrade of their 3740, Email: [email protected]. URL for More Information: CDL (e.g., a Class B CDL holder seeking Related RIN: Related to 2126–AB06 www.regulations.gov. a Class A CDL), or a hazardous RIN: 2126–AB66 URL for Public Comments: materials, passenger, or school bus www.regulations.gov. endorsement for the first time. These Agency Contact: Mary Versailles, individuals are subject to the ELDT Office of Planning and Consumer DOT—NATIONAL HIGHWAY TRAFFIC Standards, Department of requirements and must complete a SAFETY ADMINISTRATION (NHTSA) prescribed program of instruction Transportation, National Highway provided by an entity listed on Proposed Rule Stage Traffic Safety Administration, 1200 New FMCSA’s Training Provider Registry Jersey Avenue SE., Washington, DC 94. +Tire Fuel Efficiency Consumer 20590, Phone: 202–366–2057, Email: (TPR). Information—Part 2 Summary of Legal Basis: FMCSA’s [email protected]. legal authority to propose this Priority: Other Significant. Related RIN: Related to 2127–AK83 rulemaking is derived from the Motor Legal Authority: 49 U.S.C. 32304 RIN: 2127–AK76 Carrier Act of 1935, the Motor Carrier CFR Citation: 49 CFR 575. Safety Act of 1984, the Commercial Legal Deadline: None. Motor Vehicle Safety Act of 1986, and Abstract: This rulemaking would DOT—NHTSA the Moving Ahead for Progress in the respond to requirements of the Energy 95. +Heavy Vehicle Speed Limiters 21st Century Act. Independence & Security Act of 2007 to Alternatives: The Agency considered establish a national tire fuel efficiency Priority: Economically Significant. several alternatives ini developing the consumer information program for Major under 5 U.S.C. 801.
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Legal Authority: 49 U.S.C. 30111; 49 At 68 mph, that range is between $475 Statement of Need: V2V U.S.C. 30115; 49 U.S.C. 30116; 49 U.S.C. and $1,260. communications uses on-board 30117; 49 U.S.C. 322; delegation of Risks: The agency believes there are dedicated short-range radio authority at 49 CFR 1.95 no significant risks related to this communication (DSRC) devices to CFR Citation: 49 CFR 571. rulemaking. broadcast messages about a vehicle’s Legal Deadline: None. Timetable: speed, heading, brake status, and other Abstract: This rulemaking would information to other vehicles and respond to petitions from ATA and Action Date FR Cite Roadsafe America to require the receive the same information from the installation of speed limiting devices on NPRM ...... 09/07/16 81 FR 61941 messages, with extended range and line- heavy trucks. In response to the NPRM Comment 11/07/16 of-sight capabilities. V2V’s enhanced petitions, NHTSA requested public Period End. detection distance and ability to see comment on the subject and received around corners or ‘‘through’’ other thousands of comments supporting the Regulatory Flexibility Analysis vehicles helps V2V-equipped vehicles petitioner´s request. Based on the Required: No. uniquely perceive some threats and available safety data and the ancillary Small Entities Affected: No. warn their drivers accordingly. V2V benefit of reduced fuel consumption, Government Levels Affected: None. technology can also be fused with URL for More Information: this rulemaking would consider a new vehicle-resident technologies to www.regulations.gov. Federal Motor Vehicle Safety Standard URL for Public Comments: potentially provide greater benefits than that would require the installation of www.regulations.gov. either approach alone. V2V can augment speed limiting devices on heavy trucks. Agency Contact: Markus Price, Safety vehicle-resident systems by acting as a We believe this rule would have Engineer, Department of Transportation, complete system, extending the ability minimal cost, as all heavy trucks National Highway Traffic Safety of the overall safety system to address already have these devices installed, Administration, 1200 New Jersey other crash scenarios not covered by although some vehicles do not have the Avenue SE., Washington, DC 20590, V2V communications, such as lane and limit set. This rule would decrease the Phone: 202–366–0098, Email: road departure. Additionally, V2V estimated 1,115 fatal crashes annually communication is currently perceived involving vehicles with a GVWR of over [email protected]. Related RIN: Related to 2126–AB63 to become a foundational aspect of 11,793.4 kg (26,000 lbs) on roads with RIN: 2127–AK92 posted speed limits of 55 mph or above. vehicle automation. Statement of Need: Based on the Summary of Legal Basis: 49 U.S.C. agencies’ review of the available data, 30101. limiting the speed of heavy vehicles DOT—NHTSA Alternatives: No other alternatives are would reduce the severity of crashes 96. +Federal Motor Vehicle Safety currently endorsed by the agency. involving these vehicles and reduce the Standard (FMVSS) 150—Vehicle to resulting fatalities and injuries. We Anticipated Cost and Benefits: Vehicle (V2V) Communication expect that, as a result of the joint Annualized monetized net benefit rulemaking, virtually all of these Priority: Economically Significant. estimates over 40 years, in millions of vehicles would be limited to that speed. Major under 5 U.S.C. 801. 2014 Dollars, range between $20,058 Summary of Legal Basis: NHTSA’s Legal Authority: 49 U.S.C. 30101. and $23,487. authority is the National Traffic and CFR Citation: 49 CFR 571.150. Risks: Timing, Public Acceptance. Motor Vehicle Safety Act. Motor Vehicle Legal Deadline: None. Safety Standards must be practicable Abstract: V2V communications uses Timetable: and meet the need for motor vehicle on-board dedicated short-range radio Action Date FR Cite safety while stated in objective terms. communication (DSRC) devices to broadcast messages about a vehicle’s FMCSA’s authority is based on the ANPRM ...... 08/20/14 79 FR 49270 speed, heading, brake status, and other Motor Carrier Act. They are authorized ANPRM Comment 10/20/14 to prescribe requirements for 1 information to other vehicles and Period End. qualifications and maximum hours of receive the same information from the NPRM ...... 11/00/16 service of employees of, and safety of messages, with extended range and operation and equipment of, motor ‘line-of-sight’ capabilities. V2V’s Regulatory Flexibility Analysis carrier; and 2 qualifications and enhanced detection distance and ability Required: No. maximum hours of service of employees to ‘see’ around corners or ‘‘through’’ of, and standards of equipment of, a other vehicles helps V2V-equipped Small Entities Affected: No. motor private carrier, when needed to vehicles uniquely perceive some threats Government Levels Affected: None. promote safety operations. and warn their drivers accordingly. V2V Alternatives: Other technologies technology can also be fused with URL for More Information: limiting speed such as GPS, visions vehicle-resident technologies to www.regulations.gov. systems, vehicle infrastructure potentially provide greater benefits than URL for Public Comments: communications, or some other either approach alone. V2V can augment www.regulations.gov. autonomous vehicle technology. vehicle-resident systems by acting as a Agency Contact: Gregory Powell, Anticipated Cost and Benefits: complete system, extending the ability Department of Transportation, National of the overall safety system to address Annual net benefit estimates vary with Highway Traffic Safety Administration, changing assumptions of the speed limit other crash scenarios not covered by 1200 New Jersey Ave SE., Washington, that is set. At a 7% discount rate in V2V communications, such as lane and DC 20590, Phone: 202 366–5206, Email: millions of 2013 dollars, net benefits road departure. Additionally, V2V range between $1,136 and $4,964 at a communication is currently perceived [email protected]. speed of 60 mph. At a speed of 65 mph, to become a foundational aspect of RIN: 2127–AL55 that range is between $1,039 and $2,757. vehicle automation.
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DOT—FEDERAL RAILROAD benefits associated with this proposed Additional Information: SB—N, IC— ADMINISTRATION (FRA) rule before publication. N, SLT—N. A comment on this Risks: TBD. rulemaking was received during the Proposed Rule Stage Timetable: RRR process. Following publication of 97. +Locomotive Recording Devices an ANPRM, hearings were held on July Action Date FR Cite Priority: Other Significant. 19, 2011 (Chicago, IL) and July 21, 2011 (Washington, DC). Legal Authority: 49 CFR 1.89; 49 NPRM ...... 02/00/17 U.S.C. 20103; 49 U.S.C. 20107; 49 U.S.C. URL for More Information: 20168 www.regulations.gov. Regulatory Flexibility Analysis URL for Public Comments: CFR Citation: 49 CFR 217; 49 CFR Required: No. www.regulations.gov. 218; 49 CFR 229. Small Entities Affected: No. Agency Contact: Kathryn Shelton, Legal Deadline: NPRM, Statutory, Government Levels Affected: Local, Trial Attorney, Department of December 4, 2017, FAST Act. State. Transportation, Federal Railroad Abstract: This rulemaking would URL for More Information: Administration, 1200 New Jersey require the installation of inward- and www.regulations.gov. Avenue SE., Washington, DC 20590, outward-facing locomotive video URL for Public Comments: Phone: 202 493–6063, Email: cameras on controlling locomotives of www.regulations.gov. Agency Contact: Kathryn Shelton, [email protected]. trains traveling over 30 mph. The RIN: 2130–AC11 recordings would be used to help Trial Attorney, Department of determine the cause of railroad Transportation, Federal Railroad accidents in order to prevent the Administration, 1200 New Jersey occurrence of similar accidents. They Avenue SE., Washington, DC 20590, DOT—PIPELINE AND HAZARDOUS would also be used to ensure railroad Phone: 202 493–6063, Email: MATERIALS SAFETY employee compliance with applicable [email protected]. ADMINISTRATION (PHMSA) RIN: 2130–AC51 Federal railroad safety regulations and Final Rule Stage railroad rules, particularly regulations prohibiting the use of personal 99. +Pipeline Safety: Safety of electronic devices. This rulemaking DOT—FRA Hazardous Liquid Pipelines attempts to fulfill NTSB Priority: Other Significant. recommendations urging FRA to adopt Final Rule Stage Legal Authority: 49 U.S.C. 60101 et regulations requiring locomotive- 98. +Risk Reduction Program seq. mounted audio and video recording CFR Citation: 49 CFR 195. devices. FRA is requesting comments Priority: Other Significant. Legal Deadline: None. regarding whether audio recording Legal Authority: Public Law 110–432, Abstract: In recent years, there have devices should be required. This Div. A, 122 Stat. 4848 et seq.; Rail Safety been significant hazardous liquid rulemaking would amend 49 CFR parts Improvement Act of 2008; sec. 103, 49 pipeline accidents, most notably the 217, 218, and 229. U.S.C. 20156 ‘‘Railroad Safety Risk 2010 crude oil spill near Marshall, Statement of Need: FRA is proposing Reduction Program’’ Michigan, during which almost one to require the installation and use of CFR Citation: 49 CFR 237. million gallons of crude oil were spilled inward- and outward-facing recording Legal Deadline: Final, Statutory, into the Kalamazoo River. In response to devices in train locomotives under October 16, 2012, Final Rule. accident investigation findings, incident section 11411 of the Fixing America’s Abstract: This rulemaking would report data and trends, and stakeholder Surface Transportation Act (FAST Act) consider appropriate contents for Risk input, PHMSA published a Notice of (Pub. L. 114–94, 129 Stat. 1686 (Dec. 4, Reduction Programs and how they Proposed Rulemaking (NPRM) in the 2015)) (codified at 48 U.S.C. 20168) and should be implemented and reviewed Federal Register on October 13, 2015. the Federal Railroad Safety Act of 1970, by FRA. Previously, Congress had enacted the Statement of Need: Rulemaking 49 U.S.C. 20103. Section 11411 of the Pipeline Safety, Regulatory Certainty, required by section 103 of the Rail FAST Act requires FRA (as the and Job Creation Act that included Safety Improvement Act of 2008. Secretary of Transportation’s delegate) several provisions that are relevant to Timetable: to promulgate regulations requiring each the regulation of hazardous liquid railroad carrier that provides regularly Action Date FR Cite pipelines. Shortly after the Pipeline scheduled intercity rail passenger or Safety, Regulatory Certainty, and Job commuter rail passenger transportation ANPRM ...... 12/08/10 75 FR 76345 Creation Act was passed, the National to the public to install inward- and ANPRM Comment 02/07/11 Transportation Safety Board (NTSB) outward-facing image recording devices Period End. issued its accident investigation report in all controlling locomotives of NPRM ...... 02/27/15 80 FR 10950 on the Marshall, Michigan accident. In passenger trains. Section 20103 contains NPRM Comment 04/28/15 this rulemaking action, PHMSA is FRA’s general rulemaking authority ‘‘for Period End. amending the Pipeline Safety NPRM Comment 07/30/15 80 FR 45500 every area of railroad safety.’’ Period Re- Regulations to improve protection of the Summary of Legal Basis: As stated opened. public, property, and the environment above, FRA is publishing this proposed NPRM Comment 09/10/15 by closing regulatory gaps where rule as mandated by the FAST Act and Period End. appropriate, and ensuring that operators under its general railroad safety Final Rule ...... 02/00/17 are increasing the detection and rulemaking authority at 49 U.S.C. remediation of unsafe conditions, and 20103. Regulatory Flexibility Analysis mitigating the adverse effects of Alternatives: TBD. Required: No. hazardous liquid pipeline failures. Anticipated Cost and Benefits: FRA Small Entities Affected: No. Statement of Need: PHMSA is will determine the estimated costs and Government Levels Affected: None. proposing to make the following
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changes to the hazardous liquid benefits precisely, but based on the OSRP and to require railroads to share pipeline safety regulations: (1) Repeal information, the present value of costs information about high-hazard the exception for gravity lines; (2) and benefits over a 20-year period is flammable train operations with state Extend certain reporting requirements to approximately $56 million and $98 and tribal emergency response all hazardous liquid gathering lines; (3) million, respectively at 7 percent. Thus, organizations (i.e., State Emergency Require inspections of pipelines in areas net benefits are approximately $46 Response Commissions and Tribal affected by extreme weather, natural million ($102 million¥$56 million) Emergency Response Commissions) to disasters, and other similar events; (4) over 20 years. improve community preparedness. Require periodic assessments of Risks: The proposed rule will provide Lastly, PHMSA is proposing an update pipelines that are not already covered increased safety for the regulated to boiling point testing procedures to under the integrity management (IM) entities and reduce pipeline safety risks. provide regulatory flexibility and program requirements; (5) Expand the Timetable: promotes enhanced safety in transport use of leak detection systems on through accurate packing group hazardous liquid pipelines to mitigate Action Date FR Cite assignment. the effects of failures that occur outside Statement of Need: This rulemaking is of high consequence areas; (6) Modify ANPRM ...... 10/18/10 75 FR 63774 important to mitigate the effects of the IM repair criteria, both by expanding Comment Period 01/04/11 76 FR 303 potential train accidents involving the Extended. the list of conditions that require ANPRM Comment 01/18/11 release of flammable liquid energy immediate remediation and Period End. products by increasing planning and consolidating the time frames for re- Extended Com- 02/18/11 preparedness. The proposals in this mediating all other conditions, and ment Period rulemaking are shaped by public apply those same criteria to pipelines End. comments, National Transportation that are not subject to the IM NPRM ...... 10/13/15 80 FR 61610 Safety Board (NTSB) Safety requirements, with an adjusted schedule NPRM Comment 01/08/16 Recommendations, analysis of recent for performing non-immediate repairs; Period End. accidents, and input from stakeholder (7) Increase the use of inline inspection Final Rule ...... 12/00/16 outreach efforts (including first tools by requiring that any pipeline that responders). To this end, PHMSA will could affect a high consequence area be Regulatory Flexibility Analysis consider expanding the applicability of capable of accommodating these devices Required: Yes. comprehensive oil spill response plans; within 20 years, unless its basic Small Entities Affected: Businesses. clarifying the requirements for Government Levels Affected: None. construction will not permit that comprehensive oil spill response plans; URL for More Information: accommodation; and (8) Other requiring railroads to share additional www.regulations.gov. regulations will also be clarified to information; and providing an URL for Public Comments: improve compliance and enforcement. alternative test method for determining www.regulations.gov. the initial boiling point of a flammable These changes will protect the public, Agency Contact: John A. Gale, property, and the environment by liquid. Transportation Regulations Specialist, ensuring that additional pipelines are Summary of Legal Basis: The Department of Transportation, Pipeline subject to regulation, increasing the authority of 49 U.S.C. 5103(b), which and Hazardous Materials Safety detection and remediation of unsafe authorizes the Secretary of Administration, 1200 New Jersey conditions, and mitigating the adverse Transportation to ‘‘prescribe regulations Avenue SE., Washington, DC 20590, effects of pipeline failures. This rule for the safe transportation, including Phone: 202 366–0434, Email: responds to a Congressional mandate in security, of hazardous materials in [email protected]. the 2011 Pipeline Reauthorization Act intrastate, interstate, and foreign RIN: 2137–AE66 (sections 5, 8, 21, 29, 14); NTSB commerce.’’ The authority of 33 U.S.C. recommendation P–12–03 and P–12–04; 1321, the Federal Water Pollution and GAO recommendation 12–388. Control Act (FWPCA), which directs the Summary of Legal Basis: Congress DOT—PHMSA President to issue regulations requiring established the current framework for owners and operators of certain vessels 100. +Hazardous Materials: Oil Spill regulating the safety of hazardous liquid and onshore and offshore oil facilities to Response Plans and Information pipelines in the Hazardous Liquid develop, submit, update and in some Sharing for High-Hazard Flammable Pipeline Safety Act (HLPSA) of 1979 cases obtain approval of oil spill Trains (Pub. L. 96–129). Like its predecessor, response plans. Executive Order 12777 the Natural Gas Pipeline Safety Act of Priority: Other Significant. delegated responsibility to the Secretary 1968 (Pub. L. 90–481), the HLPSA Legal Authority: 33 U.S.C. 1321; 49 of Transportation for certain provided the Secretary of U.S.C. 5101 et seq. transportation-related facilities. The Transportation (Secretary) with the CFR Citation: 49 CFR 130; 49 CFR Secretary of Transportation delegated authority to prescribe minimum Federal 174; 49 CFR 171; 49 CFR 172; 49 CFR the authority to promulgate regulations safety standards for hazardous liquid 173. to PHMSA and provides FRA the pipeline facilities. That authority, as Legal Deadline: None. approval authority for railroad ORSPs. amended in subsequent Abstract: This rulemaking, developed Alternatives: PHMSA and FRA are reauthorizations, is currently codified in in consultation with the Federal committed to a comprehensive the Pipeline Safety Laws (49 U.S.C. Railroad Administration, would revise approach to addressing the risk and 60101 et seq.). PHMSA’s regulations to expand the consequences of derailments involving Alternatives: The various alternatives applicability of comprehensive oil spill flammable liquids by addressing not analyzed included no action ‘‘status response plans (OSRPs) based on only oil spill response plans, but quo’’ and individualized alternatives thresholds of liquid petroleum oil that communication requirements between based on the proposed amendments. apply to an entire train. We are also railroads and communities. Obtaining Anticipated Cost and Benefits: proposing to revise the format and information and comments in a NPRM PHMSA cannot estimate costs or clarify requirements of a comprehensive will provide the greatest opportunity for
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public participation in the development DEPARTMENT OF THE TREASURY (2) Protect the consumer by ensuring of regulatory amendments, and promote Statement of Regulatory Priorities the integrity of alcohol products; and greater exchange of information and (3) Prevent unfair and unlawful perspectives among the various The primary missions of the market activity for alcohol and tobacco stakeholders to promote future Department of the Treasury are: products. regulatory action on these issues. • To promote prosperous and stable As part of TTB’s ongoing efforts to modernize its regulations, TTB Anticipated Cost and Benefits: The American and world economies, continuously identifies changes in the ANPRM requested comments on both including promoting domestic economic growth and maintaining our Nation’s industries it regulates, as well as new the path forward and the economic technologies available in compliance impacts. We have evaluated and leadership in global economic issues, supervising national banks and thrift enforcement. TTB’s modernization accounted for comments in efforts focus on removing outdated development of the NPRM, and once the institutions, and helping to bring residents of distressed communities into requirements and revising the NPRM is published the costs and regulations to facilitate industry growth benefits will be detailed. the economic mainstream. • To manage the Government’s and reduce burdens where possible, Risks: DOT analyzed recent incidents, finances by protecting the revenue and while at the same time ensuring that National Transportation Safety Board collecting the correct amount of revenue TTB collects revenue due and protects (NTSB) Safety Recommendations, under the Internal Revenue Code, consumers from deceptive labeling and received input from stakeholder overseeing customs revenue policies, advertising of alcohol beverages. outreach efforts (including first financing the Federal Government and On June 21, 2016, TTB published a responders) to determine amending the managing its fiscal operations, and notice of proposed rulemaking (81 FR applicability and requirements of producing our Nation’s coins and 40404) to clarify and streamline import comprehensive oil spill response plans currency. procedures, and support the implementation of the International and codifying requirements for • To safeguard the U.S. and Trade Data System (ITDS) and the filing information sharing is important. DOT international financial systems from of import information electronically in will continue to research these topics those who would use these systems for conjunction with an electronic import and evaluate comment feedback prior to illegal purposes or to compromise U.S. filing with U.S. Customs and Border the final rule. DOT expects the highest national security interests, while ranked options will be low cost and Protection (CBP). The proposed keeping them free and open to amendments include providing the most effective at providing better legitimate users. preparedness and planning to mitigate option for importers to file TTB-specific Consistent with these missions, most the effects of a derailment. import-related data electronically when regulations of the Department and its filing entry or entry summary data Timetable: constituent bureaus are promulgated to electronically with CBP, as an interpret and implement the laws as Action Date FR Cite alternative to current TTB requirements enacted by the Congress and signed by that importers submit paper documents the President. It is the policy of the to CBP upon importation. ANPRM ...... 08/01/14 79 FR 45079 Department to comply with applicable ANPRM Comment 09/30/14 On August 30, 2016, TTB published a Period End. requirements to issue a notice of final rule to amend its regulations NPRM ...... 07/29/16 81 FR 50067 proposed rulemaking and carefully governing specially denatured alcohol NPRM Comment 09/27/16 consider public comments before (SDA) and completely denatured Period End. adopting a final rule. Also, the alcohol (CDA) to, among other things, Final Action ...... 07/00/17 Department invites interested parties to eliminate the need for industry submit views on rulemaking projects members to submit certain formulas to Regulatory Flexibility Analysis while a proposed rule is being TTB for approval. Under the authority Required: Yes. developed. of the Internal Revenue Code of 1986 To the extent permitted by law, it is (IRC), TTB regulates denatured alcohol Small Entities Affected: Businesses. the policy of the Department to adhere that is unfit for beverage use, which may Government Levels Affected: None. to the regulatory philosophy and be removed from a regulated distilled Additional Information: HM–251B; principles set forth in Executive Orders spirits plant free of tax. SDA and CDA SB—N, IC—N, SLT—N. 12866, 13563, and 13609 and to develop are widely used in the American fuel, regulations that maximize aggregate net medical, and manufacturing sectors. URL for More Information: benefits to society while minimizing the The industrial alcohol industry far www.regulations.gov. economic and paperwork burdens exceeds the beverage alcohol industry in URL for Public Comments: imposed on persons and businesses size and scope, and it is a rapidly www.regulations.gov. subject to those regulations. growing industry in the United States. Some concerns had been raised that the Agency Contact: Victoria Lehman, Alcohol and Tobacco Tax and Trade existing regulations may create Transportation Specialist, Department Bureau of Transportation, Pipeline and significant roadblocks for industry Hazardous Materials Safety The Alcohol and Tobacco Tax and members in getting products to the Administration, 1200 New Jersey Trade Bureau (TTB) issues regulations marketplace quickly and efficiently. Avenue SE., Washington, DC 20590, to implement and enforce the Federal TTB determined that it could amend its Phone: 202 366–8553, Email: laws relating to alcohol, tobacco, regulations to address these concerns [email protected]. firearms, and ammunition excise taxes and reduce regulatory burdens, while and certain non-tax laws relating to posing no added risk to the revenue. Related RIN: Related to 2137–AE91, alcohol. TTB’s mission and regulations The final rule eliminates outdated Related to 2137–AF07. are designed to: formulas, reclassifies certain SDA RIN: 2137–AF08 (1) Collect the taxes on alcohol, formulas as CDA, and provides new BILLING CODE 4910–9X–P tobacco, firearms, and ammunition; general-use formulas for articles made
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with SDA. TTB estimates that these currently preparing for the proposed rulemaking that will address changes will result in an 80 percent implementation of ITDS and, electronic submission of information reduction in the formula approval specifically, the transition to an all- through ITDS for exports and will submissions currently required from electronic import and export include proposals to amend the industry members. environment. ITDS, as described in regulations to provide industry On July 1, 2016, TTB published an section 405 of the Security and members with clear and updated interim final rule (81 FR 43062) to Accountability for Every Port Act of procedures for removal of alcohol and implement the provisions of the Federal 2006 (the ‘‘SAFE Port Act’’) (Pub. L. tobacco products for exportation, thus Civil Penalties Inflation Adjustment Act 109–347), is an electronic information facilitating exportation of those of 1990 (Inflation Adjustment Act), as exchange capability, or ‘‘single products. Increasing U.S. exports amended by the Debt Collection window,’’ through which businesses benefits the U.S. economy and is Improvement Act of 1996 and the will transmit data required by consistent with Treasury and Federal Civil Penalties Inflation participating Federal agencies for the Administration priorities. Adjustment Act Improvements Act of importation or exportation of cargo. To Revisions to the Regulations to 2015. This rulemaking increases the enhance Federal coordination Implement the PATH Act. On December maximum civil monetary penalty for associated with the development of 18, 2015, the President signed into law violations of the Alcoholic Beverage ITDS and put in place specific deadlines the PATH Act, which is Division Q of Labeling Act of 1988 from $10,000 to for implementation, President Obama, the Consolidated Appropriations Act, $19,787, in accordance with Federal on February 19, 2014, signed an 2016. The PATH Act contains changes law. The increased maximum penalty Executive Order on Streamlining the to certain statutory provisions that TTB will help maintain the deterrent effect of Export/Import Process for America’s administers in the IRC regarding excise the penalty, which is a stated goal of the Businesses. In line with section 3(e) of tax due dates, bond requirements, and Inflation Adjustment Act. As authorized the Executive Order, TTB was required the definition of wine eligible for the under the law, TTB will announce to develop a timeline for ITDS hard cider tax rate. These amendments future cost-of-living adjustments to the implementation. Updating the take effect beginning in January 2017, penalty by publishing a notice in the regulations for transition to the all- and TTB is currently working on two Federal Register and updating its Web electronic environment is part of the separate rulemaking projects to be site. implementation process. published in FY 2017 that will On June 21, 2016, TTB published a TTB completed its review of the implement these changes. First, TTB is final rule (81 FR 40183) to adopt relevant regulatory requirements and implementing provisions that allow temporary regulations it had issued on identified those that it intends to certain small alcohol beverage excise June 27, 2013 (78 FR 38555) concerning update. With regard to imports, as noted taxpayers to file tax returns less permit and other requirements related to above, TTB published a notice of frequently and to qualify for an importers and manufacturers of tobacco proposed rulemaking in June 2016 to exemption from certain bond products and processed tobacco. The amend its import regulations to support requirements. These provisions will regulatory amendments adopted in the the implementation of ITDS and reduce regulatory burdens on small final rule include an extension in the incorporate needed updates. TTB also businesses. Second, TTB is duration of new permits for importers of continues to operate a pilot program implementing changes to the definition tobacco products and processed tobacco (originally announced in August 2015) of wine that is eligible for the hard cider from three years to five years. Importers for importers who want to gain tax rate. These changes will increase the who wish to continue to engage in the experience with the ITDS ‘‘single allowable alcohol content and business beyond the duration of the window’’ functionality for providing carbonation level of such wines and permit must renew their permits before data on the TTB-regulated commodities. authorize the use of pears, pear juice expiration. Less frequent renewal This pilot program helps familiarize concentrate, and pear products and reduces the regulatory burden on the both TTB and the public with the new flavorings. importers. Temporary regulations issued environment and assists TTB and the Revisions to the Labeling under the IRC expire three years after public to refine the implementation of Requirements (Parts 4 (Wine), 5 the date of issuance, and publication of ITDS. The pilot program also provides (Distilled Spirits), and 7 (Malt the final rule made permanent this valuable information for TTB’s ongoing Beverages)). The Federal Alcohol extension of the duration of new efforts to amend its regulations. In FY Administration Act requires that alcohol importer permits. 2017, TTB intends to publish a final beverages introduced in interstate In FY 2017, TTB will continue its rule on the proposed changes to its commerce have a label issued and multi-year Regulations Modernization import regulations. approved under regulations prescribed effort by prioritizing projects that will In addition, in recent years, TTB has by the Secretary of the Treasury. In update its Import and Export identified selected sections of its export accordance with the mandate of regulations, Labeling Requirements regulations (27 CFR parts 28 and 44) Executive Order 13563 of January 18, regulations, Nonbeverage Products that it intends to amend to clarify and 2011, regarding improving regulation regulations, and Distilled Spirits Plant update the requirements. Under the IRC, and regulatory review, TTB conducted Reporting requirements. Priority the products taxed by TTB may be an analysis of its labeling regulations to projects also include implementing new removed for exportation without identify any that might be outmoded, statutory provisions that go into effect in payment of tax or with drawback of any ineffective, insufficient, or excessively FY 2017 as a result of the Protecting excise tax previously paid, subject to the burdensome, and to modify, streamline, Americans from Tax Hikes Act of 2015 submission of proof of export. However, expand, or repeal them in accordance (PATH Act). the current export regulations require with that analysis. These regulations This fiscal year TTB plans to give industry members to follow procedures were also reviewed to assess their priority to the following regulatory that do not adequately reflect current applicability to the modern alcohol matters: technology or take into account current beverage marketplace. As a result of this Revisions to Import and Export industry business practices. In FY 2017, review, TTB plans to propose in FY Regulations Related to ITDS. TTB is TTB intends to publish a notice of 2017 revisions to modernize the
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regulations concerning the labeling will result in a reduction of paperwork Housing Finance Agency (FHFA) issued requirements for wine, distilled spirits, burden hours for industry members, as a final rule to establish minimum and malt beverages. TTB anticipates that well as savings in processing hours and margin and capital requirements for these regulatory changes will assist contractor time for TTB. In addition, registered swap dealers, major swap industry in voluntary compliance, TTB estimates that this project will participants, security-based swap decrease industry burden, and result in result in additional savings in staff time dealers, and major security-based swap the regulated industries being able to because of the more efficient and participants for which one of the bring products to market without undue effective processing of reports and the Agencies is the prudential regulator. delay. TTB projects that it will receive use of report data to reconcile industry The rule implements sections 731 and over 160,000 label applications in FY member tax accounts. In FY 2017, TTB 764 of the Dodd-Frank Act, which 2016. intends to publish a supplemental require the Agencies to adopt rules Revision of the Part 17 Regulations, notice of proposed rulemaking that will jointly to establish capital requirements Drawback on Taxpaid Distilled Spirits include new proposals to address and initial and variation margin Used in Manufacturing Nonbeverage comments received in response to the requirements for such entities on all Products, to Allow Self-Certification of initial notice of proposed rulemaking non-cleared swaps and non-cleared Nonbeverage Product Formulas. TTB is and incorporate additional security-based swaps in order to offset considering revisions to the regulations improvements identified by TTB in the the greater risk to such entities and the in 27 CFR part 17 governing interim. financial system arising from the use of nonbeverage products made with swaps and security-based swaps that are Community Development Financial taxpaid distilled spirits. These not cleared. The Agencies also issued an Institutions Fund nonbeverage products include foods, interim final rule that exempts certain medicines, and flavors. This proposal, The Community Development non-cleared swaps and non-cleared which TTB intends to publish in FY Financial Institutions Fund (CDFI Fund) security-based swaps with certain 2017, offers a new method of formula was established by the Community counterparties that qualify for an certification by incorporating Development Banking and Financial exception or exemption from clearing quantitative standards into the Institutions Act of 1994 (12 U.S.C. 4701 from the initial and variation margin regulations and establishing new et seq.). The mission of the CDFI Fund requirements promulgated under voluntary procedures that would further is to expand economic opportunity for sections 731 and 764 of the Dodd-Frank streamline the formula review process underserved people and communities Act. The rule implements Title III of the for products that meet the standards. by supporting the growth and capacity Terrorism Risk Insurance Program This proposal would provide adequate of a national network of community Reauthorization Act of 2015, which protection to the revenue because TTB development lenders, investors, and exempts from the Agencies’ swap would continue to receive submissions financial service providers. The CDFI margin rules non-cleared swaps and of certified formulas; however, TTB Fund currently administers the non-cleared security-based swaps in would not take action on certified following programs: The Community which a counterparty qualifies for an formula submissions unless TTB Development Financial Institutions exemption or exception from clearing discovered that the formulas require (CDFI) Program, the Bank Enterprise under the Dodd-Frank Act. The final correction. By allowing for self- Award (BEA) Program, the Native and interim final rules were issued on certification of certain nonbeverage American CDFI Assistance (NACA) November 30, 2015, 81 FR 74839 and product formulas, this proposal would Program, the New Markets Tax Credit 74915 and the interim final rule was eliminate the requirement for TTB to (NMTC) Program, the Capital Magnet finalized on August 2, 2016, 81 FR formally approve such formulas. These Fund (CMF), and the CDFI Bond 50605. changes would result in significant cost Guarantee Program (BGP). Guidelines Establishing Standards for savings for the nonbeverage alcohol In FY 2017, the CDFI Fund will Recovery Planning by Certain Large industry, which currently must obtain publish updated regulations for the Insured National Banks, Insured FSAs, formula approval from TTB, and reduce Capital Magnet Fund and the CDFI and Insured Federal Branches (12 CFR the number of formulas that TTB must Program to incorporate a variety of part 30). The OCC issued a proposed review. technical and policy changes. rule setting forth enforceable guidelines Revisions to Distilled Spirits Plant establishing standards for recovery Reporting Requirements. In FY 2012, Office of the Comptroller of the planning by insured national banks, TTB published a notice of proposed Currency insured FSAs, and insured Federal rulemaking (NPRM) proposing to revise The Office of the Comptroller of the branches of foreign banks with average regulations in 27 CFR part 19 to replace Currency (OCC) charters, regulates, and total consolidated assets of $50 billion the current four report forms used by supervises all national banks and or more (Guidelines). The Guidelines distilled spirits plants to report their Federal savings associations (FSAs). The would be issued as an appendix to the operations on a monthly basis with two agency also supervises the Federal OCC’s 12 CFR part 30 safety and new report forms that would be branches and agencies of foreign banks. soundness standards regulations and submitted on a monthly basis. (Plants The OCC’s mission is to ensure that would be enforceable by the terms of the that file taxes on a quarterly basis would national banks and FSAs operate in a Federal statute that authorizes the OCC submit the new reports on a quarterly safe and sound manner, provide fair to prescribe operational and managerial basis.) This project will address access to financial services, treat standards for national banks and FSAs. concerns the distilled spirits industry customers fairly, and comply with The proposed rule was issued on has raised about reporting, and result in applicable laws and regulations. December 17, 2015, 80 FR 78681 and cost savings to industry and TTB by Significant rules issued during fiscal the final rule was issued on October 29, significantly reducing the number of year 2016 include: 2016, 81 FR 66791. monthly plant operations reports that Margin and Capital Requirements for Incentive-Based Compensation must be completed and filed by industry Covered Swap Entities (12 CFR part 45). Arrangements (12 CFR part 42). Section members and processed by TTB. TTB The banking agencies, Farm Credit 956 of the Dodd-Frank Act requires the preliminarily estimates that this project Administration (FCA), and Federal banking agencies, National Credit Union
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Administration (NCUA), Securities and confirmation requirements for national If there is no annual percentage increase Exchange Commission (SEC), and FHFA banks’ and FSAs’ securities in the CPI–W, the OCC, the FRB and the to jointly prescribe regulations or transactions; integrate and update CFPB will not adjust this exemption guidance prohibiting any type of regulations relating to insider and threshold from the prior year. The incentive-based payment arrangement, affiliate transactions; and make other proposal would memorialize this as or any feature of any such arrangement, technical and clarifying changes. The well as the calculation method for that the regulators determine encourages proposed rule was issued on March 14, determining the adjustment in years inappropriate risks by covered financial 2016, 81 FR 13608. following a year in which there is no institutions by providing an executive Expanded Examination Cycle for annual percentage increase in the CPI– officer, employee, director, or principal Certain Small Insured Depository W. The proposed rule was issued on shareholder with excessive Institutions and U.S. Branches and August 4, 2016, 81 FR 51394. compensation, fees or benefits, or that Agencies of Foreign Banks (12 CFR part Mandatory Contractual Stay could lead to material financial loss to 4). The banking agencies issued an Requirements for Qualified Financial the covered financial institution. The interim final rule to implement section Contracts (12 CFR parts 3, 47, and 50). Dodd-Frank Act also requires such 83001 of the Fixing America’s Surface The OCC issued a proposed rule to agencies to jointly prescribe regulations Transportation Act (the FAST Act). promote U.S. financial stability by or guidelines requiring each covered Section 83001 of the FAST Act permits enhancing the safety and soundness of financial institution to disclose to its a qualifying insured depository the national banking system by regulator the structure of all incentive- institution (institution) with up to $1 mitigating potential negative impacts based compensation arrangements billion in total assets to be examined by that could result from the disorderly offered by such institution sufficient to its appropriate Federal banking agency resolution of certain systemically determine whether the compensation no less than once during each 18-month important national banks, FSAs, Federal structure provides any executive officer, period. The OCC’s interim final rule branches and agencies, and the employee, director, or principal expands eligibility for the 18-month subsidiaries of these entities. A covered shareholder with excessive examination cycle to qualifying national bank would be required to ensure that compensation or could lead to material banks, Federal savings associations, and a covered qualified financial contract financial loss to the institution. The Federal branches and agencies with less contains a contractual stay-and-transfer proposed rule was issued on June 10, than $500 million in total assets to those provision analogous to the statutory 2016, 81 FR 37669. with less than $1 billion in total assets. stay-and-transfer provision imposed Net Stable Funding Ratio (12 CFR part The interim final rule was issued on under Title II of the Dodd-Frank Act and 50). The banking agencies issued a February 29, 2016, 81 FR 10063. in the Federal Deposit Insurance Act proposed rule to implement the Basel Civil Money Penalty Inflation and limits the exercise of default rights net stable funding ratio standards. These Adjustments (12 CFR parts 19 and 109). based on the insolvency of an affiliate standards would require large, The OCC issued an interim final rule of the covered bank. The proposed rule internationally active banking implementing the Federal Civil was issued on August 19, 2016, 81 FR organizations to maintain sufficient Penalties Inflation Adjustment Act 55381. stable funding to support their assets, Improvements Act of 2015 (the 2015 Regulatory priorities for fiscal year generally over a one-year time horizon. Act) (Pub. L. 114–74, title VII, section 2017 include finalizing any proposals The proposed rule was issued on June 701(b), November 2, 2015) and Office of listed above as well as the following 1, 2016, 81 FR 35123. Management and Budget guidance rulemakings: Economic Growth and Regulatory issued on February 24, 2016. The 2015 Automated Valuation Models (parts Paperwork Reduction Act of 1996 Act amended the Federal Civil Penalties 34 and 164). The banking agencies, Amendments (12 CFR parts 4 to 5, 7, 9 Inflation Adjustment Act of 1990 NCUA, FHFA and Consumer Financial to 12, 16, 18, 31, 150 to 151, 155, 162 (codified at 28 U.S.C. 2461 note). The Protection Bureau (CFPB), in to 163, 194, and 197). The OCC issued 2015 Act changed the formula for consultation with the Appraisal a proposed rule with the goal of calculating inflation adjustments and Subcommittee (ASC) and the Appraisal removing provisions that are outdated, required agencies to adjust penalties for Standards Board of the Appraisal unnecessary, or unduly burdensome. inflation on an annual basis. The Foundation, are required to promulgate The proposal would revise certain interim final rule was issued on July 1, regulations to implement quality-control licensing rules related to chartering 2016, 81 FR 43021. standards required under the statute. applications, business combinations Appraisals for Higher-Priced Mortgage Section 1473(q) of the Dodd-Frank Act involving Federal mutual savings Loans Exemption Threshold (12 CFR requires that automated valuation associations, and notices for changes in part 34). The OCC, the FRB, and the models used to estimate collateral value permanent capital; clarify national bank CFPB issued a proposed rule amending in connection with mortgage origination director oath requirements; revise the official interpretations for their and securitization activity, comply with certain fiduciary activity requirements regulations that implement section quality-control standards designed to for national banks and FSAs; remove 129H of the Truth in Lending Act, ensure a high level of confidence in the certain financial disclosure regulations which establishes special appraisal estimates produced by automated for national banks; remove certain requirements for ‘‘higher-risk valuation models; protect against unnecessary regulatory reporting, mortgages.’’ The banking agencies, the manipulation of data; seek to avoid accounting, and management policy CFPB, the NCUA and the FHFA issued conflicts of interest; require random regulations for FSAs; update the joint final rules implementing these sample testing and reviews; and account electronic activities regulation for FSAs; requirements, which exempted, among for other factors the agencies deem integrate and update OCC regulations other loan types, transactions of $25,000 appropriate. The agencies plan to issue for national banks and FSAs relating to or less, and required that this loan a proposed rule to implement the municipal securities dealers, Securities amount be adjusted annually based on requirement to adopt quality-control Exchange Act disclosure rules, and any annual percentage increase in the standards. securities offering disclosure rules; Consumer Price Index for Urban Wage Source of Strength (12 CFR part 47). update and revise recordkeeping and Earners and Clerical Workers (CPI–W). The banking agencies plan to issue a
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proposed rule to implement section futures commission merchants and Australia Free Trade Agreement 616(d) of the Dodd-Frank Act. Section introducing brokers in commodities Implementation Act. In addition, on 616(d) requires that bank holding (FinCEN Rule). As part of that August 22, 2016, CBP and Treasury companies, savings and loan holding rulemaking, FinCEN amended the issued an interim final rule titled companies and other companies that elements of the anti-money laundering ‘‘Investigation of Claims of Evasion of directly or indirectly control an insured program financial institutions must Antidumping and Countervailing depository institution serve as a source implement and maintain in order to Duties’’ which amended CBP of strength for the insured depository satisfy program requirements under 31 regulations implementing section 421 of institution. The appropriate Federal U.S.C. 5318(h)(1). The banking agencies the Trade Facilitation and Trade banking agency for the insured and the NCUA are amending their anti- Enforcement Act of 2015. CBP and depository institution may require that money laundering program rules to Treasury also issued on July 8, 2016, a the company submit a report that would maintain consistency with the FinCEN proposed rule (81 FR 44555) titled assess the company’s ability to comply Rule. ‘‘North American Free Trade Agreement with the provisions of the statute and its Preference Override’’ which proposed Customs Revenue Functions compliance. amending CBP regulations to liberalize Reporting and Recordkeeping The Homeland Security Act of 2002 provisions of the North American Free Requirements for Covered Trading (the Act) provides that, although many Trade Agreement (NAFTA) preference Activities (12 CFR part 44). The banking functions of the former United States rules of origin that relate to certain agencies, the Commodity Futures Customs Service were transferred to the goods, including certain spices. Trading Commission (CFTC), and the Department of Homeland Security, the This past fiscal year, Treasury and SEC are planning to issue a proposed Secretary of the Treasury retains sole CBP worked towards the rule that would modify the reporting legal authority over customs revenue implementation of the International and recordkeeping requirements for functions. The Act also authorizes the Trade Data System (ITDS). The ITDS, as covered trading activities under Secretary of the Treasury to delegate any described in section 405 of the Security Appendix A of the final rule of the retained authority over customs and Accountability for Every Port Act of implementing section 13 of the Bank revenue functions to the Secretary of 2006 (the ‘‘SAFE Port Act’’) (Pub. L. Holding Company Act of 1956, which Homeland Security. By Treasury 109–347), is an electronic information was added by section 619 of the Dodd- Department Order No. 100–16, the exchange capability, or ‘‘Single Frank Act. Secretary of the Treasury delegated to Window,’’ through which businesses Loans in Areas Having Special Flood the Secretary of Homeland Security will transmit data required by Hazards-Private Flood Insurance (12 authority to prescribe regulations participating agencies for the CFR part 22). The banking agencies, the pertaining to the customs revenue importation or exportation of cargo. To FCA, and the NCUA are planning to functions subject to certain exceptions. enhance Federal coordination issue a proposed rule to amend their This Order further provided that the associated with the development of the regulations regarding loans in areas Secretary of the Treasury retained the ITDS, Treasury and CBP issued an having special flood hazards to sole authority to approve such interim regulation (80 FR 61278) in implement the private flood insurance regulations. connection with the establishment of provisions of the Biggert-Waters Flood During the past fiscal year, among the the Automated Commercial Insurance Reform Act of 2012 (the customs-revenue function regulations Environment (ACE) as a CBP-authorized Biggert-Waters Act). The proposed rule issued were the Customs and Border Electronic Data Interchange (EDI) was issued on November 7, 2016, 81 FR Protection’s Bond Program final rule, System. This regulatory document 78063. the United States-Australia Free Trade informed the public that the Automated Receiverships for Uninsured National Agreement final rule, Investigation of Commercial System (ACS) is being Banks (12 CFR part 51). The OCC is Claims of Evasion of Antidumping and phased out as a CBP-authorized EDI planning to issue a proposed rule Countervailing Duties interim final rule, System for the processing electronic addressing the conduct of receiverships and the North American Free Trade entry and entry summary filings (also of national banks that are not insured by Agreement Preference Override notice known as entry filings). CBP issued the FDIC and for which the FDIC would of proposed rulemaking. On November subsequent Federal Register notices not be appointed as receiver. 13, 2015, U.S. Customs and Border announcing the dates when ACE Enhanced Cyber Risk Management Protection (CBP) published the final replaced the Automated Commercial Standards (12 CFR part 30). The banking rule (80 FR 70154) to the CBP System (ACS) as the CBP-authorized agencies are considering issuing an regulations which amended CBP EDI system for processing commercial advance notice of proposed rulemaking regulations to reflect the centralization trade data. setting forth enhanced cyber risk of the continuous bond program at During fiscal year 2017, CBP and management standards for the largest CBP’s Revenue Division. The changes Treasury also plan to give priority to the and most interconnected financial support CBP’s bond program by following regulatory matters involving organizations in the United States. ensuring an efficient and uniform the customs revenue functions: The banking agencies and the NCUA approach to the approval, maintenance, Disclosure of Information for Certain plan to issue interim final rules to and periodic review of continuous Intellectual Property Rights Enforced at the clarify the applicability of recent bonds, as well as accommodating the Border. Treasury and CBP plan to finalize amendments to the Financial Crimes use of information technology and interim amendments to the CBP regulations Enforcement Network (FinCEN) modern business practices. On January which provides a pre-seizure notice customer due diligence rules to the 15, 2016, CBP published the United procedure for disclosing information depository institutions under their States-Australia Free Trade Agreement appearing on the imported merchandise and/ supervision. FinCEN clarified and final rule (81 FR 2086) to the CBP or its retail packing suspected of bearing a counterfeit mark to an intellectual property strengthened its customer due diligence regulations, which finalized the right holder for the limited purpose of requirements for covered financial implementation of the preferential tariff obtaining the right holder’s assistance in institutions, including banks, brokers or treatment and other customs-related determining whether the mark is counterfeit dealers in securities, mutual funds, and provisions of the United States- or not.
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Free Trade Agreements. Treasury and CBP money laundering programs and who have signature authority over, but also plan to issue final regulations this fiscal compliance procedures. To implement no financial interest in, the foreign year to implement the preferential trade and realize its mission, FinCEN has financial accounts of their employers. benefit provisions of the United States- established regulatory objectives and Singapore Free Trade Agreement Amendments to the Definitions of Implementation Act. Treasury and CBP also priorities to safeguard the financial Broker or Dealer in Securities. On April expect to issue final regulations system from the abuses of financial 4, 2016, FinCEN issued an NPRM implementing the liberalization of the crime, including terrorist financing, proposing amendments to the regulatory NAFTA preference rules of origin that relate money laundering, and other illicit definitions of broker or dealer in to certain goods, including certain spices. activity. These objectives and priorities securities under the BSA regulations. In-Bond Process. Consistent with the include: (1) Issuing, interpreting, and The proposed changes would expand practice of continuing to move forward with enforcing compliance with regulations the current scope of the definitions to Customs Modernization provisions of the implementing the BSA; (2) supporting, include funding portals and would North American Free Trade Implementation working with, and as appropriate, Act to improve its regulatory procedures, require them to implement policies and Treasury and CBP plan to finalize this fiscal overseeing compliance examination procedures reasonably designed to year the proposal to change the in-bond functions delegated to other Federal achieve compliance with all of the BSA process by issuing final regulations to amend regulators; (3) managing the collection, requirements that are currently the in-bond regulations that were proposed processing, storage, and dissemination applicable to brokers or dealers in on February 22, 2012 (77 FR 10622). The of data related to the BSA; (4) securities. proposed changes, including the automation maintaining a government-wide access Anti-Money Laundering Program of the in-bond process, would modernize, service to that same data and for simplify, and facilitate the in-bond process Requirements for Banks Lacking a network users with overlapping Federal Functional Regulator. On while enhancing CBP’s ability to regulate and interests; (5) conducting analysis in track in-bond merchandise to ensure that in- August 25, 2016, FinCEN issued an bond merchandise is properly entered or support of policymakers, law NPRM to remove the anti-money exported. enforcement, regulatory and intelligence laundering (AML) program exemption Inter-Partes Proceedings Concerning agencies, and the financial sector; and for banks that lack a Federal functional Exclusion Orders Based on Unfair Practices (6) coordinating with and collaborating regulator, including, but not limited to, in Import Trade. Treasury and CBP plans to on anti-terrorism and anti-money private banks, non-federally insured publish a proposal to amend its regulations laundering initiatives with domestic law credit unions, and certain trust with respect to administrative rulings related enforcement and intelligence agencies, to the importation of articles in light of companies. The proposed rule would as well as foreign financial intelligence prescribe minimum standards for AML exclusion orders issued by the United States units. International Trade Commission programs and would ensure that all During fiscal year 2016, FinCEN (‘‘Commission’’) under section 337 of the banks, regardless of whether they are issued the following regulatory actions: Tariff Act of 1930, as amended. The proposed subject to Federal regulation and amendments seek to promote the speed, Civil Monetary Penalty Adjustment and Table. On June 30, 2016, FinCEN oversight, are required to establish and accuracy, and transparency of such rulings implement AML programs. through the creation of an inter partes issued an Interim Final Rule amending proceeding to replace the current ex parte the BSA regulations to adjust the Imposition of Special Measure against process. maximum amount or range, as set by FBME Bank Ltd., formerly known as statute, of certain civil monetary Federal Bank of the Middle East, Ltd., Financial Crimes Enforcement Network penalties within its jurisdiction to as a Financial Institution of Primary As chief administrator of the Bank account for inflation. The action was Money Laundering Concern. On July 29, Secrecy Act (BSA), the Financial Crimes taken to implement the requirements of 2015, FinCEN issued a final rule Enforcement Network (FinCEN) is the Federal Civil Penalties Inflation imposing the fifth special measure responsible for developing and Adjustment Act of 1990, as further under section 311 of the USA PATRIOT implementing regulations that are the amended by the Federal Civil Penalties Act against FBME. This action followed core of the Department’s anti-money Inflation Adjustment Act Improvements a notice of finding issued on July 22, laundering and counter-terrorism Act of 2015. 2014 that FBME is a financial institution financing efforts. FinCEN’s Customer Due Diligence of primary money laundering concern responsibilities and objectives are Requirements. On May 11, 2016, and an NPRM proposing the imposition linked to, and flow from, that role. In FinCEN issued Final Rules under the of the fifth special measure. FBME filed fulfilling this role, FinCEN seeks to BSA to clarify and strengthen customer suit on August 7, 2015 in the U.S. enhance U.S. national security by due diligence requirements for banks, District Court for the District of making the financial system brokers or dealers in securities, mutual Columbia; FBME also moved for a increasingly resistant to abuse by money funds, and futures commission preliminary injunction. On August 27, launderers, terrorists and their financial merchants and introducing brokers in 2015, the Court granted the preliminary supporters, and other perpetrators of commodities. The rules contain explicit injunction and enjoined the rule from crime. customer due diligence requirements taking effect before the rule’s effective The Secretary of the Treasury, and include a new regulatory date of August 28, 2015. On March 31, through FinCEN, is authorized by the requirement to identify beneficial 2016, FinCEN issued a Final Rule BSA to issue regulations requiring owners of legal entity customers, subject imposing a prohibition on U.S. financial financial institutions to file reports and to certain exemptions. institutions from opening or keep records that are determined to Report of Foreign Bank and Financial maintaining a correspondent account have a high degree of usefulness in Accounts. On March 10, 2016, FinCEN for, or on behalf of, FBME in place of criminal, tax, or regulatory matters or in issued a Notice of Proposed Rulemaking the rule published in 2015. On July 22, the conduct of intelligence or counter- to address requests from filers for 2016, the U.S. District Court for the intelligence activities to protect against clarification of certain requirements District of Columbia ordered that the international terrorism. The BSA also regarding the Report of Foreign Bank implementation of the Final Rule be authorizes requiring designated and Financial Accounts, including stayed until further notice from the financial institutions to establish anti- requirements with respect to employees, Court.
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Administrative Rulings and Written international borders, transparency an Interim Final Rule, with request for Guidance. FinCEN published 4 written levels of physical transportation of comments, limiting the time period guidance pieces, and provided 17 currency, the feasibility of harmonizing during which Treasury may recover responses to requests for administrative data fields with bordering countries, certain tax refund offset collections from rulings and written inquiries/ and information derived from FinCEN’s States to six months from the date of correspondence interpreting the BSA experience with Geographic Targeting such collection. Previously, there was and providing clarity to regulated Orders. no time limit to recoup offset amounts industries. Other Requirements. FinCEN also will that were collected from tax refunds to FinCEN’s regulatory priorities for continue to issue proposed and final which the debtor taxpayer was not fiscal year 2017 include finalizing any rules pursuant to section 311 of the USA entitled. The Fiscal Service proposes to initiatives mentioned above that are not PATRIOT Act, as appropriate. Finally, publish a Final Rule for this time limit finalized by fiscal year end, as well as FinCEN expects that it may propose for such recoupments in fiscal year the following in-process and potential various technical and other regulatory 2017. projects: amendments in conjunction with its Management of Federal Agency Cross-Border Electronic Transmittal of ongoing, comprehensive review of Receipts, Disbursements and Operation Funds. On September 27, 2010, FinCEN existing regulations to enhance of the Cash Management Improvements issued an NPRM in conjunction with regulatory efficiency, and as a result of Fund. The Fiscal Service plans to the feasibility study prepared pursuant the efforts of an interagency task force publish a notice of proposed rulemaking to the Intelligence Reform and currently focusing on improvements to to amend 31 CFR 206 governing the Terrorism Prevention Act of 2004 the U.S. regulatory framework for anti- collection of public money, along with concerning the issue of obtaining money laundering. a request for public comments. This information about certain cross-border notice will propose implementing Bureau of the Fiscal Service funds transfers and transmittals of statutory authority which mandates that funds. As FinCEN has continued to The Bureau of the Fiscal Service some or all nontax payments made to work on developing the system to (Fiscal Service) administers regulations the Government, and accompanying receive, store, and use this data, FinCEN pertaining to the Government’s financial remittance information, be submitted is considering various regulatory actions activities, including: (1) Implementing electronically. Receipt of such items to update the previously published Treasury’s borrowing authority, electronically offers significant proposed rule and provide additional including regulating the sale and issue efficiencies and cost-savings to the information to those banks and money of Treasury securities; (2) administering government, compared to the receipt of transmitters that will become subject to Government revenue and debt cash, check or money order payments. the rule. collection; (3) administering Anti-Money Laundering Program and Governmentwide accounting programs; Internal Revenue Service SAR Requirements for Investment (4) managing certain Federal The Internal Revenue Service (IRS), Advisers. On August 25, 2015, FinCEN investments; (5) disbursing the majority working with the Office of Tax Policy, published in the Federal Register an of Government electronic and check promulgates regulations that interpret NPRM to solicit public comment on payments; (6) assisting Federal agencies and implement the Internal Revenue proposed rules under the BSA that in reducing the number of improper Code (Code) and related tax statutes. would prescribe minimum standards for payments; and (7) providing The purpose of these regulations is to anti-money laundering programs to be administrative and operational support carry out the tax policy determined by established by certain investment to Federal agencies through franchise Congress in a fair, impartial, and advisers and to require such investment shared services. reasonable manner, taking into account advisers to report suspicious activity to During fiscal year 2017, the Fiscal the intent of Congress, the realities of FinCEN. Service will accord priority to the relevant transactions, the need for the Registration Requirements of Money following regulatory projects: Government to administer the rules and Services Businesses. FinCEN is Notice of Proposed Rulemaking for monitor compliance, and the overall considering issuing an NPRM to amend Publishing Delinquent Debtor integrity of the Federal tax system. The the requirements for money services Information. The Debt Collection goal is to make the regulations practical businesses with respect to registering Improvement Act of 1996, Public Law and as clear and simple as possible. with FinCEN. 104–134, 110 Stat. 1321 (DCIA) During fiscal year 2017, the IRS will Changes to the Travel and authorizes Federal agencies to publish accord priority to the following Recordkeeping Requirements for Funds or otherwise publicly disseminate regulatory projects: Transfers and Transmittals of Funds. information regarding the identity of Tax-Related Affordable Care Act FinCEN is considering changes to persons owing delinquent nontax debts Provisions. On March 23, 2010, the require that more information be to the United States for the purpose of President signed the Patient Protection collected and maintained by financial collecting the debts, provided certain and Affordable Care Act of 2010 (Pub. institutions on funds transfers and criteria are met. Treasury proposes to L. 111–148) and on March 30, 2010, the transmittals of funds and to lower the issue a notice of proposed rulemaking President signed the Health Care and threshold. seeking comments on a proposed rule Education Reconciliation Act of 2010 Changes to the Currency and that would establish the procedures (Pub. L. 111–152) (referred to Monetary Instrument Report (CMIR) Federal agencies must follow before collectively as the Affordable Care Act Reporting Requirements. FinCEN will promulgating their own rules to publish (ACA)). The ACA’s reform of the health research, obtain, and analyze relevant information about delinquent debtors insurance system affects individuals, data to validate the need for changes and the standards for determining when families, employers, health care aimed at updating and improving the use of this debt collection remedy is providers, and health insurance CMIR and ancillary reporting appropriate. providers. The ACA provides authority requirements. Possible areas of study to Offset of Tax Refund Payments to for Treasury and the IRS to issue be examined could include current Collect Past-Due Support. On December regulations and other guidance to trends in cash transportation across 30, 2015, the Fiscal Service published implement tax provisions in the ACA,
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some of which are already effective and the Code imposes an interest charge on comments received and the need for some of which will become effective the tax liability that is deferred as a additional and clearer rules to reduce over the next several years. Since result of reporting the gain when ongoing uncertainty and controversy, enactment of the ACA, Treasury and the payments are received. The interest Treasury and the IRS have determined IRS have issued a series of temporary, charge generally applies to installment that it would be beneficial to taxpayers proposed, and final regulations obligations that arise from a sale of to present all of the proposed changes implementing over a dozen provisions property using the installment method if to the current regulations in a single of the ACA, including the premium tax the sales price of the property exceeds document. Treasury and the IRS plan to credit under section 36B of the Code, $150,000, and the face amount of all withdraw the 2008 proposed regulations the small-business health coverage tax such installment obligations held by a and replace them with new, more credit under section 45R of the Code, taxpayer that arose during, and are comprehensive proposed regulations. new requirements for charitable outstanding as of the close of, a taxable Research Expenditures. Section 41 of hospitals under section 501(r) of the year exceeds $5,000,000. The interest the Code provides a credit against Code, limits on tax preferences for charge provided in section 453A cannot taxable income for certain expenses remuneration provided by certain health be determined under the terms of the paid or incurred in conducting research insurance providers under section statute if an installment obligation activities. To assist in resolving areas of 162(m)(6) of the Code, the employer provides for contingent payments. controversy and uncertainty with shared responsibility provisions under Accordingly, in section 453A(c)(6), respect to research expenses, Treasury section 4980H of the Code, the Congress authorized the Secretary of the and the IRS plan to issue final individual shared responsibility Treasury to issue regulations providing regulations with respect to the provisions under section 5000A of the for the application of section 453A in definition and credit eligibility of Code, insurer and employer reporting the case of installment sales with expenditures for internal use software. under sections 6055 and 6056 of the contingent payments. Treasury and the In addition, on December 18, 2015, the Code, and several revenue-raising IRS intend to issue proposed regulations President signed the Protecting provisions, including fees on branded that, when finalized, will provide Americans from Tax Hikes of 2015 (the prescription drugs under section 9008 of guidance and reduce uncertainty PATH Act), which added new section the ACA, fees on health insurance regarding the application of section 41(h). That section allows qualified providers under section 9010 of the 453A to contingent payments. small businesses to elect to claim a ACA, the tax on indoor tanning services portion of the section 41 credit against Rules for Home Construction the employer’s portion of certain payroll under 5000B of the Code, the net Contracts. In general, section 460(a) of investment income tax under section taxes. Treasury and the IRS plan to the Code requires taxpayers to use the provide guidance on eligibility for the 1411 of the Code, and the additional percentage-of-completion method (PCM) Medicare tax under sections 3101 and election, how and where to claim the to account for taxable income from any election, and how the credit will be 3102 of the Code. long-term contract. Under the PCM, In fiscal year 2017, Treasury and the recaptured in certain situations. income is generally reported in IRS will continue to provide guidance to Domestic Production Activities installments as work is performed, and implement tax provisions of the ACA, Income. Section 199 of the Code expenses are generally deducted in the including: provides a deduction for certain income • Proposed and final regulations taxable year incurred. However, attributable to domestic production related to numerous aspects of the taxpayers with contracts that meet the activities. To assist in resolving areas of premium tax credit under section 36B, definition of a ‘‘home construction controversy and uncertainty with including the determination of contract,’’ under section 460(e)(4), are respect to the eligibility of income from minimum value of eligible-employer- not required to use the PCM for those online computer software, Treasury and sponsored plans; contracts and may, instead, use an the IRS plan to issue regulations • Regulations related to the employer exempt method. Exempt methods regarding the application of section 199 shared responsibility provisions under include the completed contract method to online computer software. section 4980H; (CCM) and the accrual method. Under Consistent Basis Reporting between • Regulations under section 4980I of the CCM, for example, a taxpayer Estate and Person Acquiring Property the Code relating to the excise tax on generally takes into account the entire from Decedent. On July 31, 2015, the high cost employer-provided coverage; gross contract price and all incurred President signed H.R. 3236, Surface • Final regulations on expatriate allocable contract costs in the taxable Transportation and Veterans Health health plans under the Expatriate Health year the taxpayer completes the Care Choice Improvement Act of 2015 Coverage Clarification Act of 2014 for contract. Treasury and the IRS believe (Act) (Pub. L. 114–41), into law. Section purposes of sections 36B, 162(m)(6), that amended rules are needed to reduce 2004 of the Act added new Code 4377, 5000A, 6055, and 6056 of the uncertainty and controversy, including sections 1014(f), 6035, and 6662(k). Code, and section 9010 of the Patient litigation, regarding when a contract Section 1014(f) provides rules requiring Protection and Affordable Care Act, as qualifies as a ‘‘home construction that the basis of certain property amended by the Health Care and contract’’ and when the income and acquired from a decedent be consistent Education Reconciliation Act; allocable deductions are taken into with the estate tax value of the property. • Final regulations regarding issues account under the CCM. On August 4, Section 6035 requires executors who are related to the net investment income tax 2008, Treasury and the IRS published required to file a return under section under section 1411 of the Code. proposed regulations on the types of 6018(a) of the Code (and other persons Interest on Deferred Tax Liability for contracts that are eligible for the home required to file a return under section Contingent Payment Installment Sales. construction contract exemption. The 6018(b)) after July 31, 2015, to file Section 453 of the Code generally allows preamble to those regulations stated that statements with the IRS and furnish taxpayers to report the gain from a sale Treasury and the IRS expected to statements to certain estate beneficiaries of property in the taxable year or years propose additional rules specific to providing information regarding the in which payments are received, rather home construction contracts accounted value of certain property acquired from than in the year of sale. Section 453A of for using the CCM. After considering a decedent. Section 6662(k) provides a
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penalty for certain recipients of property issuer of tax-exempt, tax-credit, and as part of the larger item, the scope of acquired from an estate required to file direct-pay bonds. Concerns have been the asset to be tested, and whether a return after July 31, 2015, who report raised about what is required for an certain intangible assets qualify as real a basis that is inconsistent with the entity to be a political subdivision for property. Treasury and the IRS plan to value determined under section 1014(f) purposes of section 103 of the Code. finalize the proposed regulations in the when the property is sold (or deemed Proposed regulations (REG–129067–15) fiscal year. Treasury and the IRS also sold). Treasury and the IRS published were published in the Federal Register plan to provide guidance clarifying the three notices and proposed and on February 23, 2016 (81 FR 8870). definition of income for purposes of temporary regulations under sections Treasury and the IRS are considering section 856. 1014, 6035, and 6662(k) providing, comments on the proposed regulations Treatment of Certain Interests in respectively, guidance on the and expect to issue regulations on this Corporations as Stock or Indebtedness. compliance date under section 6035 and issue in fiscal year 2017. Section 385 of the Code grants the Secretary of the Treasury the authority guidance regarding: (1) The requirement Contingent Notional Principal Contract that a recipient’s basis in certain Regulations. Notice 2001–44 (2001–2 CB 77) to prescribe regulations as necessary or property acquired from a decedent be outlined four possible approaches for appropriate to determine whether an consistent with the value of the property recognizing nonperiodic payments made or interest in a corporation is to be treated as finally determined for Federal estate received on a notional principal contract as stock or indebtedness or as part stock tax purposes; and (2) the accompanying (NPC) when the contract includes a and part indebtedness for Federal filing requirements for certain executors nonperiodic payment that is contingent in income tax purposes. On April 4, 2016, and other persons. On August 21, 2015, fact or in amount. The Notice solicited Treasury and the IRS issued proposed Notice 2015–57 (2015–36 IRB 294) was further comments and information on the regulations under section 385 that issued delaying the due date for any treatment of such payments. After would establish threshold considering the comments received in documentation requirements for statements required by section 6035 to response to Notice 2001–44, Treasury and the February 29, 2016. On February 11, IRS published proposed regulations (69 FR determining whether certain related 2016, Treasury and IRS issued Notice 8886) (the 2004 proposed regulations) that party interests in a corporation are 2016–19 (2016–9 IRB 362), providing would amend section 1.446–3 and provide characterized as stock or indebtedness that statements required under section additional rules regarding the timing and for Federal tax purposes. The proposed 6035 need not be filed until March 31, character of income, deduction, gain, or loss regulations also would treat certain 2016, and on March 23, 2016, issued with respect to such nonperiodic payments, related party interests that otherwise Notice 2016–27 (2016–15 IRB 576), including termination payments. On would be treated as indebtedness for providing that statements under section December 7, 2007, Treasury and the IRS Federal income tax purposes as stock. 6035 need not be filed until June 30, released Notice 2008–2 (2008–1 CB 252) Treasury and the IRS issued final and requesting comments and information with temporary regulations on these issues 2016. For statements required under respect to transactions frequently referred to sections 6035(a)(1) and (a)(2) that are as prepaid forward contracts. On May 8, on October 21, 2016 (81 FR 72858). required to be filed after June 30, 2016, 2015, Treasury and the IRS published Corporate Spin-offs and Split-offs. those statements are to be filed in no temporary and proposed regulations (80 FR Section 355 and related provisions of case at a time later than the earlier of (i) 26437) relating to the treatment of the Code allow for the tax-free the date which is 30 days after the date nonperiodic payments. Treasury and the IRS distribution of stock or securities of a on which the return under section 6018 plan to finalize the temporary regulations controlled corporation if certain was required to be filed (including and to re-propose regulations to address requirements are met. For example, both extensions, if any) or (ii) the date which issues relating to the timing and character of the distributing and controlled is 30 days after the date such return is nonperiodic contingent payments on NPCs, corporations must be engaged in the including termination payments and active conduct of a trade or business filed. The IRS is in the process of payments on prepaid forward contracts. finalizing the regulations, the applicable immediately after the distribution, and form, schedule, and instructions to Tax Treatment of Distressed Debt. A the transaction must not be used as a facilitate compliance with sections number of tax issues relating to the device for the distribution of earnings 1014(f), 6035, and 6662(k). It is expected amount, character, and timing of and profits or to circumvent Congress’ that Treasury and IRS will issue final income, expense, gain, or loss on intent in repealing the General Utilities regulations within 18 months of July 31, distressed debt remain unresolved. doctrine. Treasury and the IRS have 2015. During the fiscal year, Treasury and the published proposed regulations that Definition of Issue Price for Tax- IRS plan to address certain of these address (a) whether the active trade or Exempt Bonds. On September 16, 2013, issues in published guidance. business requirement is met when a Treasury and the IRS published Definition of Real Property and distribution involves small active proposed regulations (78 FR 56842) to Qualifying Income for REIT Purposes. A businesses relative to other assets and address certain issues involving the taxpayer must satisfy certain asset and (b) whether a distribution raises device arbitrage investment restrictions under income requirements to qualify as a real concerns because either the distributing section 148 of the Code, including estate investment trust (REIT) under or controlled corporation has a guidance on the issue price definition section 856 of the Code. REITs have substantial percentage of nonbusiness used in the computation of bond yield. sought to invest in various types of assets. Treasury and the IRS intend to On June 24, 2015, Treasury and the IRS assets that are not directly addressed by issue final regulations on these issues. published proposed regulations (80 FR the current regulations or other Treasury and the IRS also intend to 36301) that revised the 2013 guidance published guidance. On May 14, 2014, issue additional guidance addressing: on the issue price definition. Treasury Treasury and the IRS published (a) When a distribution, otherwise and the IRS plan to finalize the 2015 proposed regulations (79 FR 27508) to qualifying under section 355, proposed regulations. update and clarify the definition of real circumvents Congress’ intent in Guidance on the Definition of property for REIT qualification repealing the General Utilities doctrine; Political Subdivision for Tax-Exempt, purposes, including guidance and (b) the tax treatment under sections Tax-Credit, and Direct-Pay Bonds. A addressing whether a component of a 355 and 361 when debt of the political subdivision may be a valid larger item is tested on its own or only distributing corporation is issued and
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such debt is retired using stock or section 707(c) to make those regulations recharacterized as a sale under section securities of the controlled corporation, consistent with the proposed 707(a)(2)(B) of the Code if the and (c) the tax treatment when cash or regulations under section 707(a)(2)(A). partnership distributes to the property is transferred between a Treasury and the IRS expect to issue contributing partner cash or other distributing or controlled corporation final regulations during Fiscal Year property that is, in substance, and its shareholder(s) in connection 2017. consideration for the contribution. The with the distribution. Treasury and the Transfers of Property to Partnerships allocation of partnership liabilities to IRS also intend to finalize proposed with Related Foreign Partners. Section the partners under section 752 of the regulations that would define 721(c) of the Code provides authority to Code may impact the determination of predecessor and successor corporations issue regulations that prevent the use of whether a disguised sale has occurred for purposes of the exception to tax-free a partnership to shift gain to a foreign and whether gain is otherwise treatment under section 355(e). person. On August 6, 2015, Treasury recognized upon a distribution. Assistance to Troubled Financial and the IRS issued Notice 2015–54 Treasury and the IRS published Institutions. Section 597 grants the (2015–34 IRB 210) describing proposed regulations on January 30, Secretary of the Treasury wide latitude regulations to be issued under that 2014, to address certain issues that arise to prescribe regulations determining the authority. By the end of 2016, Treasury in the disguised sale context and other treatment of any transaction in which and the IRS plan to issue temporary and issues regarding the partners’ shares of Federal financial assistance is provided proposed regulations implementing the partnership liabilities. Treasury and the to a bank or domestic building and loan guidance described in Notice 2015–52. IRS are considering comments on the association. Treasury and the IRS have Treasury and the IRS intend to finalize proposed regulations and expect to issued final regulations under section the temporary and proposed regulations issue regulations on this issue in fiscal 597. In the wake of the most recent in this fiscal year. year 2017. financial crisis and changes in the form Reporting requirements applicable to Certain Partnership Distributions of government assistance that have certain foreign-owned entities. On May Treated as Sales or Exchanges. In 1954, developed since the final regulations 5, 2016, Treasury and the IRS issued Congress enacted section 751 to prevent were issued, Treasury and the IRS proposed regulations that would require the use of a partnership to convert published proposed regulations that foreign-owned entities that are potential ordinary income into capital would reflect those changes. Treasury disregarded entities for tax purposes, gain. In 1956, Treasury and the IRS and the IRS intend to issue final including foreign-owned single-member issued regulations implementing section regulations on these issues. limited liability companies (LLCs), to 751 of the Code. The current Redetermination of the Consolidated obtain an employer identification regulations, however, do not always Net Unrealized Built-in Gain and Net number (EIN) with the IRS. These achieve the purpose of the statute. In Unrealized Built-in Loss. Section 382 changes are intended to provide the IRS 2006, Treasury and the IRS published limits the amount of taxable income that with improved access to information Notice 2006–14 (2006–1 CB 498) to can be offset by net operating loss that will allow the United States to propose and solicit alternative carryovers. Treasury and the IRS comply with international standards on approaches to section 751 that better published proposed regulations tax and transparency, as well as achieve the purpose of the statute while modifying the application of section 382 strengthen the enforcement of U.S. tax providing greater simplicity. Treasury to consolidated groups, specifically laws. Treasury and the IRS intend to and the IRS published proposed regarding the time that recognized built- finalize the proposed regulations in this regulations following up on Notice in loss is treated as reducing fiscal year. 2006–14 on November 3, 2014. These consolidated net unrealized built-in Currency. On September 6, 2006, regulations were intended to provide loss. Treasury and the IRS intend to Treasury and the IRS published a notice guidance on determining a partner’s issue final regulations on these issues. of proposed rulemaking under section interest in a partnership’s section 751 Disguised Payments for Services. 987 of the Code that proposes rules for property and how a partnership Section 707(a)(2)(A) of the Code translating a section 987 qualified recognizes income required by section provides that if a partner performs business unit’s income or loss into the 751. Treasury and the IRS expect to services for a partnership and receives taxpayer’s functional currency for each issue final regulations during fiscal year a related direct or indirect allocation taxable year, as well as for determining 2017. and distribution, and the performance of the amount of section 987 currency gain Penalties and Limitation Periods. services and the allocation and or loss that must be recognized when a Congress amended several penalty distribution, when viewed together, are section 987 qualified business unit provisions in the Internal Revenue Code properly characterized as a transaction makes a remittance. Treasury and the in the past several years. Treasury and occurring between the partnership and IRS expect to finalize the proposed the IRS intend to publish a number of a partner acting other than in its regulations in this fiscal year. In guidance projects in this fiscal year capacity as a partner, the transfer will be addition, Treasury and the IRS intend to addressing these penalty provisions. treated as occurring between the issue proposed regulations in Fiscal Specifically, Treasury and the IRS partnership and one who is not a Year 2017 to provide guidance on the intend to publish final regulations partner. Treasury and the IRS published treatment of foreign currency gain or under section 6708 of the Code proposed regulations on July 23, 2015, loss of a controlled foreign corporation regarding the penalty for failure to make to provide guidance on when an (CFC) under the exclusion from foreign available upon request a list of advisees arrangement that is purported to be a personal holding company income for that is required to be maintained under distributive share under section 704(b) income from transactions directly section 6112 of the Code. The proposed of the Code will be recharacterized as a related to the business needs of the CFC, regulations were published on March 8, disguised payment for services under as well as related timing and other 2013. Treasury and the IRS also intend section 707(a)(2)(A). The proposed issues. to publish proposed regulations under regulations also provide for Disguised Sale and Allocation of sections 6662, 6662A, and 6664 of the modifications to the regulations Liabilities. A contribution of property Code to provide further guidance on the governing guaranteed payments under by a partner to a partnership may be circumstances under which a taxpayer
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could be subject to the accuracy-related and withholding foreign trusts; and temporary, and proposed regulations penalty on underpayments or reportable issuing regulations on refunds and which set forth the Federal employment transaction understatements and the credits. tax liabilities and other obligations of reasonable cause exception. Foreign Tax Credits and Covered persons certified by the IRS as certified Inversion Transactions. On January Asset Acquisitions. Section 901(m) of professional employer organizations 17, 2014, Treasury and the IRS issued the Code limits the availability of (CPEOs) in accordance with provisions temporary and proposed regulations foreign tax credits in certain cases in enacted as part of the ABLE Act. The providing guidance on the application which U.S. tax law and foreign tax law temporary regulations address the of the ownership test under section provide different rules for recognizing requirements relating to applying for 7874(a)(2)(B)(ii). On April 4, 2016, income and gain. In 2014, Treasury and and maintaining certification as a CPEO Treasury and the IRS issued temporary the IRS issued two notices providing and some related definitions. In July and proposed regulations providing guidance under section 901(m) 2016, the IRS opened the application further guidance on the application of regarding the treatment of gains and process for being certified as a CPEO. sections 7874 and 367 of the Code to losses from dispositions. By the end of Treasury and the IRS intend to finalize inversion transactions, as well as on 2016, Treasury and the IRS expect to the temporary and proposed regulations certain tax avoidance transactions that issue temporary and proposed during the 2017 fiscal year, taking into are commonly undertaken after an regulations setting forth the rules account all comments received. inversion transaction. In this fiscal year, described in those notices. Treasury and Guidance Relating to Publicly Traded Treasury and the IRS expect to issue the IRS also plan to issue proposed Partnerships. Section 7704 of the Code additional guidance to further limit regulations setting forth substantial provides that a partnership whose inversion transactions that are contrary additional guidance under section interests are traded on either an to the purposes of section 7874 and the 901(m). Treasury and the IRS expect to established securities market or on a benefits of post-inversion tax avoidance finalize the proposed regulations during secondary market (a ‘‘publicly traded transactions. this fiscal year. partnership’’) is generally treated as a Information Reporting for Foreign Transfers of Property to Foreign corporation for Federal tax purposes. Accounts of U.S. Persons. In March Corporations. Section 367 of the Code However, section 7704(c) permits 2010, chapter 4 (sections 1471 to 1474) provides special rules to address the publicly traded partnerships to be was added to subtitle A of the Code as transfer of property, including treated as partnerships for Federal tax part of the Hiring Incentives to Restore intangible property, by U.S. persons to purposes if 90 percent or more of Employment Act (HIRE Act) (Pub. L. foreign corporations in certain partnership income consists of 111–147). Chapter 4 was enacted to nonrecognition transactions. Under ‘‘qualifying income.’’ Section 7704(d) address concerns with offshore tax existing temporary regulations issued in provides that income is generally evasion by U.S. citizens and residents 1986, favorable treatment is afforded to qualifying income if it is passive income and generally requires foreign financial the outbound transfer of ‘‘foreign or is derived from exploration, institutions (FFIs) to enter into an goodwill and going concern value,’’ agreement (FFI Agreement) with the IRS which has created incentives for development, mining or production, to report information regarding financial taxpayers to categorize transfers of high- processing, refining, transportation, or accounts of U.S. persons and certain value intangible property as such. On marketing of a mineral or natural foreign entities with significant U.S. September 14, 2015, Treasury and the resource. Treasury and the IRS issued ownership. An FFI that does not enter IRS released proposed regulations that proposed regulations in 2015 to provide into an FFI Agreement, or that is not would eliminate that favorable guidance and reduce uncertainty otherwise deemed compliant with treatment. Treasury and the IRS intend regarding the scope of the natural FATCA, generally will be subject to a to finalize the proposed section 367 resource exception. After considering withholding tax on the gross amount of regulations in this fiscal year. comments on the proposed regulations, certain payments from U.S. sources. ABLE Account guidance. On Treasury and the IRS expect to issue Treasury and the IRS have issued December 19, 2014, Congress passed final regulations in fiscal year 2017. proposed, temporary, and final The Stephen Beck, Jr., Achieving a Guidance implementing the regulations under chapter 4, followed by Better Life Experience (ABLE) Act of Bipartisan Budget Act of 2015. The proposed and temporary regulations 2014, adding section 529A to the Code Bipartisan Budget Act of 2015 repealed modifying certain provisions of the final to enable states to create qualified ABLE the current procedures governing audits regulations; proposed and temporary programs under which disabled of partnerships and replaced them with regulations under chapters 3 and 61, individuals may establish a tax- new procedures. Treasury and the IRS and section 3406, to coordinate with advantaged account to pay for intend to publish regulations those chapter 4 regulations; and disability-related expenses. To be implementing these new procedures. implementing revenue procedures and eligible to establish an ABLE account, Proposed regulations will provide other guidance. Treasury and the IRS the individual must have become guidance on electing out of the new expect to issue further guidance with disabled prior to age 26. As required by procedures, partner reporting and respect to FATCA and related the statute, Treasury and the IRS on adjustments, designation of a provisions in this fiscal year, including June 19, 2015, published proposed partnership representative, imputed finalizing the aforementioned chapter 3, regulations implementing the provision. underpayments, and requests for 4 and 61 regulations; issuing proposed States may rely on the proposed administrative adjustments. regulations covering the compliance regulations for establishing a qualified Guidance on User Fees. Treasury and requirements of entities acting as ABLE program. Treasury and the IRS the IRS intend to publish regulations sponsoring entities on behalf of certain intend to finalize the regulations during charging (or updating) user fees for foreign entities; issuing updated the 2017 fiscal year, taking into account certain applications made by agreements for foreign financial all comments received. individuals to the IRS, including for an institutions, qualified intermediaries Certified Professional Employer installment agreement, an offer in (including qualified derivatives dealers), Organization guidance. On May 6, 2016, compromise, and a preparer tax and withholding foreign partnerships Treasury and the IRS published final, identification number, as well as to take
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the special enrollment examination to DEPARTMENT OF VETERANS dependents. The primary mission of the become an enrolled agent. AFFAIRS (VA) Veterans Health Administration is to Guidance under the Protecting Statement of Regulatory Priorities provide high-quality health care on a timely basis to eligible veterans through Americans from Tax Hikes Act of 2015. The Department of Veterans Affairs On December 25, 2015, Congress passed its system of medical centers, nursing (VA) administers benefit programs that homes, domiciliaries, and outpatient the Protecting Americans from Tax recognize the important public medical and dental facilities. The Hikes Act (PATH Act). The Path Act obligations to those who served this primary mission of the National made changes to numerous provisions Nation. VA’s regulatory responsibility is Cemetery Administration is to bury of the Code. Treasury and the IRS almost solely confined to carrying out eligible veterans, members of the intend to publish guidance mandates of the laws enacted by Reserve components, and their implementing these changes, including Congress relating to programs for dependents in VA National Cemeteries guidance on the issuance of individual veterans and their families. VA’s major and to maintain those cemeteries as taxpayer identifying numbers, an update regulatory objective is to implement national shrines in perpetuity as a final to the revenue procedure on acceptance these laws with fairness, justice, and tribute of a grateful Nation to agents, proposed regulations on the use efficiency. commemorate their service and sacrifice of truncated taxpayer identification Most of the regulations issued by VA to our Nation. numbers on the Form W–2, and involve at least one of three VA VA Regulatory Priorities regulations under sections 6721 and components: The Veterans Benefits 6722 regarding de minimis errors on Administration, the Veterans Health VA’s most important significant information returns. Administration, and the National regulatory actions are identified and BILLING CODE 4810–25–P Cemetery Administration. The primary discussed in the following chart. These mission of the Veterans Benefits actions are identified as helping to Administration is to provide high- implement VA’s policies and priorities, quality and timely nonmedical benefits and embody the core of VA’s regulatory to eligible veterans and their priorities.
RIN Title Summary of rulemaking
2900–AP66 ...... Diseases Associated With Exposure to The Department of Veterans Affairs (VA) proposed to amend its adjudication reg- Contaminated Water at Camp Lejeune. ulations relating to presumptive service connection to add certain diseases as- sociated with contaminants present in the base water supply at U.S. Marine Corps Base Camp Lejeune (Camp Lejeune), North Carolina, from August 1, 1953 to December 31, 1987. The chemical compounds involved have been as- sociated by various scientific organizations with the development of certain dis- eases. The effect of this rule would be to establish that veterans, former reserv- ists, and former National Guard members, who served at Camp Lejeune during this period, and who have been diagnosed with any of nine associated dis- eases, are presumed to have a service-connected disability for purposes of en- titlement to VA benefits. In addition, VA proposed establishing a presumption that these individuals were disabled during the relevant period of service, thus establishing active military service for benefit purposes. Under this presump- tion, affected former reservists and National Guard members would have vet- eran status for purposes of entitlement to some VA benefits. The proposal would implement a decision by the Secretary of Veterans Affairs that service connection on a presumptive basis is warranted for claimants who served at Camp Lejeune and later develop certain diseases. VA plans to finalize this pro- posal after considering public comments. 2900–AP54 ...... VA Homeless Providers Grant and Per The Department of Veterans Affairs (VA) is proposing to amend its regulations Diem Program. concerning the VA Homeless Providers Grant and Per Diem Program (GPD). These amendments would provide GPD with increased flexibility to (1) respond to the changing needs of homeless veterans; (2) repurpose existing and future funds more efficiently; and (3) allow grant providers the ability to add, modify, or eliminate components of funded programs. We are proposing these amend- ments to better serve our homeless veteran population and the grantees who serve them. 2900–AO53 ...... Fiduciary Activities ...... VA proposed to amend its fiduciary program regulations, which govern the over- sight of beneficiaries who, because of injury, disease, the infirmities of ad- vanced age, or minority, are unable to manage their VA benefits and the ap- pointment and oversight of fiduciaries for these vulnerable beneficiaries. The proposed amendments would update and reorganize regulations consistent with current law, VA policies and procedures, and VA’s reorganization of its fi- duciary activities. They would also clarify the rights of beneficiaries in the pro- gram and the roles of VA and fiduciaries in ensuring that VA benefits are man- aged in the best interest of beneficiaries and their dependents.
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RIN Title Summary of rulemaking
2900–AP72 ...... Veterans Employment Pay for Success The Department of Veterans Affairs (VA) established a grant program (Veterans Program. Employment Pay for Success (VEPFS)) under the authority of 38 U.S.C. 3119 to award grants to eligible entities to fund projects that are successful in ac- complishing employment rehabilitation for Veterans with service-connected dis- abilities. VA will award grants on the basis of an eligible entity’s proposed use of a Pay for Success (PFS) strategy to achieve goals. This interim final rule es- tablished regulations for awarding a VEPFS grant, including the general proc- ess for awarding the grant, criteria and parameters for evaluating grant applica- tions, priorities related to the award of a grant, and general requirements and guidance for administering a VEPFS grant program. 2900–AP35 ...... Tiered Pharmacy Copayments for Medi- The Department of Veterans Affairs (VA) proposes to amend its regulations con- cations. cerning copayments charged to certain veterans for medication required on an outpatient basis to treat nonservice-connected conditions. This rulemaking would establish three classes of medications for copayment purposes, identified as Tier 1, Tier 2, and Tier 3. These tiers would distinguish in part based on whether the medications are available from multiple sources or a single source, with some exceptions. Copayment amounts would be fixed, and would be de- pendent upon the class of medication. For most veterans these copayment amounts would result in lower out-of-pocket costs, thereby encouraging greater adherence to prescribed medications and reducing the risk of fragmented care that results when veterans use multiple pharmacies to fill their prescriptions. 2900–AP57 ...... Repayment by VA of Educational Loans The Department of Veterans Affairs (VA) has added to its medical regulations a for Certain Psychiatrists (Clay Hunt program for the repayment of educational loans for certain psychiatrists who Act). agree to a period of obligated service with VA. This program is intended to in- crease the pool of qualified VA psychiatrists and increase veterans’ access to mental health care. 2900–AO88 ...... Per Diem Paid to States for Care of Eli- The Department of Veterans Affairs (VA) proposed to reorganize, update (based gible Veterans in State Homes. on revisions to statutory authority), and clarify its regulations that govern paying per diem to State homes providing nursing home and adult day health care to eligible veterans. The reorganization will improve consistency and clarity throughout these State home programs. We believe that these proposed regu- lations will clarify current law and policy, which should improve and simplify the payment of per diem to State homes, and encourage participation in these pro- grams. VA plans to finalize this proposal after considering public comments. 2900–AP60 ...... Expanded Access to Non-VA Care The Department of Veterans Affairs (VA) revised its medical regulations that im- Through the Veterans Choice Program plement section 101 of the Veterans Access, Choice, and Accountability Act of (VCP). 2014 (hereafter referred to as ‘‘the Choice Act’’), which requires VA to establish a program to furnish hospital care and medical services through eligible non-VA health care providers to eligible veterans who either cannot be seen within the wait-time goals of the Veterans Health Administration (VHA) or who qualify based on their place of residence (hereafter referred to as ‘‘the Veterans Choice Program’’ or ‘‘the Program’’). These regulatory revisions are required by the most recent amendments to the Choice Act made by the Construction Au- thorization and Choice Improvement Act of 2014, and by the Surface Transpor- tation and Veterans Health Care Choice Improvement Act of 2015. The Con- struction Authorization and Choice Improvement Act of 2014 amended the Choice Act to define additional criteria that VA may use to determine that a vet- eran’s travel to a VA medical facility is an ‘‘unusual or excessive burden,’’ and the Surface Transportation and Veterans Health Care Choice Improvement Act of 2015 amended the Choice Act to cover all veterans enrolled in the VA health care system, remove the 60-day limit on an episode of care, modify the wait- time and 40-mile distance eligibility criteria, and expand provider eligibility based on criteria as determined by VA. 2900–AP44 ...... Advanced Practice Registered Nurses ... The Department of Veterans Affairs (VA) proposed to amend its medical regula- tions to permit full practice authority of all VA advanced practice registered nurses (APRNs) when they are acting within the scope of their VA employment. This rulemaking would increase veterans’ access to VA health care by expand- ing the pool of qualified health care professionals who are authorized to provide primary health care and other related health care services to the full extent of their education, training, and certification, without the clinical supervision of physicians. This rule would permit VA to use its health care resources more ef- fectively and in a manner that is consistent with the role of APRNs in the non- VA health care sector, while maintaining the patient-centered, safe, high-quality health care that veterans receive from VA. VA will finalize its proposal after considering public comments.
Retrospective Review of Existing identifies rules that are to be ‘‘modified, objectives.’’ In addition, consistent with Regulations streamlined, expanded, or repealed so Executive Order 13610, initiatives that as to make the agency’s regulatory are discussed in those plans are Consistent with guidance from section program more effective or less identified below. 6 of Executive Order 13563, VA burdensome in achieving the regulatory
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Significantly reduce RIN Title burdens on small Summary of rulemaking businesses
Multiple RINs ...... Revise and Streamline VA Ac- No ...... VA is proposing to amend VA Acquisition Regulation (VAAR) quisition Regulation to Ad- as part of a project to update the VAAR. Under this initia- here to Federal Acquisition. tive all parts of the regulation are being reviewed and up- dated in phased increments to incorporate any new regula- tions or policies and to remove any procedural guidance that is internal to VA. This project aims to streamline the VAAR to implement and supplement the Federal Acquisi- tion Regulation (FAR) only when required, and to eliminate internal agency guidance in keeping with the FAR prin- ciples concerning agency acquisition regulations. 2900–AO53 ...... Fiduciary Activities ...... No ...... VA proposes to amend its fiduciary program regulations, which govern the oversight of beneficiaries who, because of injury, disease, the infirmities of advanced age, or minor- ity, are unable to manage their VA benefits, and the ap- pointment and oversight of fiduciaries for these vulnerable beneficiaries. The proposed amendments would update and reorganize regulations consistent with current law, VA policies and procedures, and VA’s reorganization of its fidu- ciary activities. They would also clarify the rights of bene- ficiaries in the program and the roles of VA and fiduciaries in ensuring that VA benefits are managed in the best inter- est of beneficiaries and their dependents. Multiple RINs ...... VA Schedule for Rating Dis- No ...... VA is updating its Schedule for Rating Disabilities (VASRD, abilities (With Specific Body or Rating Schedule) to better reflect modern medicine. The System). VASRD, which is part 4 of title 38, Code of Federal Regu- lations, governs how claims processors evaluate the sever- ity of disabilities. While VA has routinely updated parts of the VASRD, this proposal is the first time VA is working to update the entire VASRD since 1945. In 2009, a formal project management plan was created to outline how to up- date the VASRD. A working group of specialized physi- cians (VA and non-VA), stakeholders, and claims proc- essors reviews each of the 15 body systems and provides analysis to assist VA in developing updates. The public has 60 days to provide VA with comments. VA will introduce the proposed updates to the VASRD incrementally and is committed to an update of the entire VASRD.
VA Statement of Need: VA is updating its Timetable: Schedule for Rating Disabilities Proposed Rule Stage (VASRD, or Rating Schedule) to better Action Date FR Cite 101. Schedule for Rating Disabilities: reflect modern medicine. The VASRD, the Genitourinary Diseases and which is part 4 of title 38, Code of NPRM ...... 02/00/17 Conditions Federal Regulations, governs how Priority: Other Significant. claims processors evaluate the severity Regulatory Flexibility Analysis Legal Authority: 38 U.S.C. 1155 of disabilities. While VA has routinely Required: No. CFR Citation: 38 CFR 4.115; 38 CFR updated parts of the VASRD, this Small Entities Affected: No. 4.115(a); 38 CFR 4.115(b). proposal is the first time VA is working Legal Deadline: None. to update the entire VASRD since 1945. Government Levels Affected: None. Abstract: The Department of Veterans In 2009, a formal project management URL for More Information: Affairs (VA) proposes to amend the plan was created to outline how to www.regulations.gov. portion of the Schedule for Rating update the VASRD. A working group of URL for Public Comments: Disabilities (VASRD) that addresses the specialized physicians (VA and non- www.regulations.gov. genitourinary system. The purpose of VA), stakeholders, and claims this change is to update current medical processors reviews each of the 15 body Agency Contact: Dr. Jerry Hersh, terminology, incorporate medical systems and provides analysis to assist Medical Officer, Department of Veterans advances that have occurred since the VA in developing updates. The public Affairs, 810 Vermont Avenue NW., last review, and provide well-defined has 60 days to provide VA with Washington, DC 20420, Phone: 202 461– criteria in accordance with actual, comments. VA will introduce the 9487, Email: [email protected]. standard medical clinical practice. The proposed updates to the VASRD RIN: 2900–AP16 proposed rule reflects the most up-to- incrementally and is committed to an date medical knowledge and clinical update of the entire VASRD. practice of nephrology and urology Summary of Legal Basis: 38 U.S.C. specialties, as well as comments from 1155. subject matter experts and the public Alternatives: garnered during a public forum held Anticipated Cost and Benefits: January 27–28, 2011. Risks:
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VA Action Date FR Cite Regulatory Flexibility Analysis 102. Revise and Streamline VA Required: No. NPRM ...... 02/00/17 Small Entities Affected: No. Acquisition Regulation To Adhere to Government Levels Affected: None. Federal Acquisition Regulation Regulatory Flexibility Analysis Agency Contact: Guy A. Liedke, Principles (VAAR Case 2014–V001, Required: No. Program Specialist, Department of Parts 803, 814, 822) Small Entities Affected: No. Veterans Affairs, Grant and Per Diem Priority: Other Significant. Government Levels Affected: None. Field Office, 810 Vermont Avenue NW., Legal Authority: 40 U.S.C. 121(c); 38 Agency Contact: Ricky L. Clark, Washington, DC 20420, Phone: 877 332– U.S.C. 501; 41 U.S.C. 1121(c)(3); . . . Senior Procurement Analyst, 0334, Fax: 813 979–3569, Email: CFR Citation: 48 CFR 801; 48 CFR Department of Veterans Affairs, 425 I [email protected]. 802; 48 CFR 803; 48 CFR 812; 48 CFR Street NW., Washington, DC 20001, RIN: 2900–AP54 814; 48 CFR 822; 48 CFR 852; 48 CFR Phone: 202 632–5276, Email: 1.301 to 1.304; . . . [email protected]. RIN: 2900–AP50 Legal Deadline: None. VA Abstract: The Department of Veterans 104. Revise and Streamline VA Affairs (VA) is proposing to amend its Acquisition Regulation To Adhere to VA VA Acquisition Regulation (VAAR) to Federal Acquisition Regulation update the VAAR to current FAR 103. VA Homeless Providers Grant and Principles (VAAR Case 2014–V005, requirements, thresholds, definitions, Per Diem Program Parts 812, 813) and titles; it provides new definitions, updated VA titles and offices; it corrects Priority: Other Significant. Priority: Other Significant. inconsistencies, removes redundancies Legal Authority: 38 U.S.C. 501; 38 Legal Authority: 40 U.S.C. 121(c) and duplicate material already covered U.S.C. 2001; 38 U.S.C. 2011; 38 U.S.C. CFR Citation: 48 CFR 1.3; 48 CFR 812; by the FAR; it deletes outdated material 2012; 38 U.S.C. 2061; 38 U.S.C. 2064 48 CFR 813; 48 CFR 852. CFR Citation: 38 CFR 61.1; 38 CFR Legal Deadline: None. or information and appropriately 61.5; 38 CFR 61.33; 38 CFR 61.61. Abstract: The Department of Veterans renumbers VAAR text and clauses and Legal Deadline: None. Affairs (VA) is proposing to amend its provisions where required to comport Abstract: The Department of Veterans VA Acquisition Regulation (VAAR) as with FAR format, numbering and Affairs (VA) is proposing to amend its part of a project to update the VAAR. arrangement; and, it provides VA regulations concerning the VA Under this initiative, all parts of the acquisition regulations necessary to Homeless Providers Grant and Per Diem regulation are being reviewed and implement FAR policies and procedures Program (GPD). These amendments updated in phased increments to within VA, as well as additional would provide GPD with increased incorporate any new regulations or policies, procedures, solicitation flexibility to: (1) Respond to the policies and to remove any procedural provisions, or contract clauses that changing needs of homeless veterans; guidance that is internal to the VA. This supplement the FAR to satisfy VA (2) repurpose existing and future funds project aims to streamline the VAAR to mission needs. This proposed rule more efficiently; and (3) allow grant implement and supplement the Federal revises VAAR parts 803, 814, and 822. providers the ability to add, modify, or Acquisition Regulation (FAR) only Other revisions to the entirety of the eliminate components of funded when required, and to eliminate internal affected parts are planned in later programs. We are proposing these agency guidance in keeping with the proposed rules when those parts are amendments to better serve our FAR principles concerning agency revised in full. homeless veteran population and the acquisition regulations. Statement of Need: The needed grantees who serve them. Statement of Need: The Department of changes include proposing to remove an Statement of Need: The Department of Veterans Affairs (VA) is proposing to information collection burden from the Veterans Affairs (VA) proposes to revise the VAAR to add new policy or VAAR because it is based on an amend its regulations concerning the regulatory requirements and to remove outdated practice in providing bid VA Homeless Providers Grant and Per any guidance that is applicable only to envelopes. We propose to add Diem Program (GPD) to better serve our VA’s internal operating processes or additional definitions to ensure a homeless veteran population and the procedures. FAR 1.302, Limitations, common understanding and meaning of grantees who serve them. For example, requires that agency acquisition terms related to debarment and VA is proposing to increase flexibility regulations shall be limited only to suspensions in the department. We are for transitioning homeless veterans into those necessary to implement the FAR proposing to update the policy permanent housing, such as by policies and procedures within the governing improper business practices recognizing ‘‘bridge housing’’, a short- agency and to any additional and personal conflicts of interests and to term housing option for veterans who information needed to supplement the clarify the language regarding the have accepted a permanent housing FAR to satisfy the specific needs of the prohibition of contractors from making placement that is not immediately agency. The needed changes include reference in its commercial advertising available. proposing to delete paragraphs when regarding VA contracts to avoid Summary of Legal Basis: 38 U.S.C. adequately addressed in the FAR, add implying that the Government approves 501, 2001, 2011, 2012, 2061 and 2064. new subsections to clarify that FAR or endorses products or services. Alternatives: applies to specific parts, and to remove Summary of Legal Basis: 38 U.S.C. Anticipated Cost and Benefits: sections such as the section that deals 501, 40 U.S.C. 121(c), 41 U.S.C. Risks: with internal procedures for obtaining a 1121(c)(3), 48 CFR 301–1.304. Timetable: waiver to tailor solicitations, to be Alternatives: inconsistent with customary Action Date FR Cite Anticipated Cost and Benefits: commercial practice. Risks: NPRM ...... 01/00/17 Summary of Legal Basis: 40 U.S.C. Timetable: 121(c).
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Alternatives: develop certain diseases. VA plans to renumbers VAAR text and clauses and Anticipated Cost and Benefits: finalize this proposal after considering provisions where required to comport Risks: public comments. with FAR format, numbering and Timetable: Statement of Need: VA is responding arrangement; and, it provides VA to health concerns based on potentially acquisition regulations necessary to Action Date FR Cite service-connected exposure to implement FAR policies and procedures contaminants in the drinking water at NPRM ...... 02/00/17 within VA, as well as additional Camp Lejeune. Environmental policies, procedures, solicitation Regulatory Flexibility Analysis Protection Agency standards came out provisions, or contract clauses that Required: No. in the early 1980s. In 1982, the Marine supplement the FAR to satisfy VA Small Entities Affected: No. Corps discovered elevated levels of the mission needs. Government Levels Affected: None. VOCs in two of the eight on-base water Statement of Need: Included in the Agency Contact: Ricky L. Clark, supply systems at Camp Lejeune. These proposed changes that are needed are Senior Procurement Analyst, water systems served housing, removing a significant portion of Department of Veterans Affairs, 425 I administrative, and recreational subpart 811.1, Selecting and Developing Street NW., Washington, DC 20001, facilities, as well as the base hospital. Requirements Documents, as it includes Phone: 202 632–5276, Email: Summary of Legal Basis: 38 U.S.C. information that is redundant to the [email protected]. 501(a). FAR. In addition, we propose to add a RIN: 2900–AP58 Alternatives: new section to implement the Office of Anticipated Cost and Benefits: Management and Budget’s (OMB) Risks: Memorandum M–11–32, dated Timetable: September 14, 2011, and to encourage VA making payments to small business 105. Diseases Associated With Exposure Action Date FR Cite contractors within 15 days of receipt of invoice. to Contaminants in the Water Supply at NPRM ...... 09/09/16 81 FR 62419 Camp Lejeune NPRM Comment 10/11/16 Summary of Legal Basis: 40 U.S.C. 121(c), 48 CFR 1.3. Priority: Economically Significant. Period End. Alternatives: Major under 5 U.S.C. 801. Anticipated Cost and Benefits: Legal Authority: 38 U.S.C. 501(a) Regulatory Flexibility Analysis Required: No. Risks: CFR Citation: 38 CFR 3.307; 38 CFR Timetable: 3.309. Small Entities Affected: No. Government Levels Affected: None. Legal Deadline: None. Action Date FR Cite Abstract: The Department of Veterans URL For Public Comments: Affairs (VA) has proposed to amend its www.regulations.gov. NPRM ...... 04/00/17 adjudication regulations relating to Agency Contact: Eric Mandle, Policy presumptive service connection to add Analyst, Regulations Staff (211D), Regulatory Flexibility Analysis certain diseases associated with Department of Veterans Affairs, Required: No. contaminants present in the base water Veterans Benefits Administration, 810 Small Entities Affected: No. supply at U.S. Marine Corps Base Camp Vermont Avenue NW., Washington, DC Government Levels Affected: None. Lejeune (Camp Lejeune), North 20420, Phone: 202 461–9694, Email: Agency Contact: Ricky L. Clark, Carolina, from August 1, 1953 to [email protected]. Senior Procurement Analyst, December 31, 1987. The chemical RIN: 2900–AP66 Department of Veterans Affairs, 425 I compounds involved have been Street NW., Washington, DC 20001, associated by various scientific Phone: 202 632–5276, Email: organizations with the development of VA [email protected]. certain diseases. The proposed rule RIN: 2900–AP81 • would establish that veterans, former 106. Revise and Streamline VA reservists, and former National Guard Acquisition Regulation To Adhere to Federal Acquisition Regulation members, who served at Camp Lejeune VA during this period, and who have been Principles VAAR Case 2014–V004 diagnosed with any of nine associated (Parts 811, 832) 107. • Revise and Streamline VA diseases, are presumed to have a Priority: Other Significant. Acquisition Regulation To Adhere to service-connected disability for Legal Authority: 40 U.S.C. 121(c); 48 Federal Acquisition Regulation purposes of entitlement to VA benefits. CFR 1.3 Principles (VAAR Case 2014–V002, In addition, VA would establish a CFR Citation: 48 CFR 801; 48 CFR Parts 816, 828) presumption that these individuals were 811; 48 CFR 832; 48 CFR 852. Priority: Other Significant. disabled during the relevant period of Legal Deadline: None. Legal Authority: 40 U.S.C. 121(c); 48 service, thus establishing active military Abstract: The Department of Veterans CFR 1.3 service for benefit purposes. Under this Affairs (VA) is proposing to amend its CFR Citation: 48 CFR 816; 48 CFR presumption, affected former reservists VA Acquisition Regulation (VAAR) to 828; 48 CFR 852. and National Guard members have update the VAAR to current FAR Legal Deadline: None. veteran status for purposes of requirements, thresholds, definitions, Abstract: The Department of Veterans entitlement to some VA benefits. This and titles; it provides new definitions, Affairs (VA) is proposing to amend its amendment implements a decision by updated VA titles and offices; it corrects VA Acquisition Regulation (VAAR) to the Secretary of Veterans Affairs that inconsistencies, removes redundancies update the VAAR to current FAR service connection on a presumptive and duplicate material already covered requirements, thresholds, definitions, basis is warranted for claimants who by the FAR; it deletes outdated material and titles; it provides new definitions, served at Camp Lejeune and later or information and appropriately updated VA titles and offices; it corrects
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inconsistencies, removes redundancies Legal Authority: 38 U.S.C. 1155 VA and duplicate material already covered CFR Citation: 38 CFR 4.117. 109. Schedule for Rating Disabilities: by the FAR; it deletes outdated material Legal Deadline: None. The Endocrine System or information and appropriately Abstract: The Department of Veterans renumbers VAAR text and clauses and Affairs (VA) proposes to amend the Priority: Other Significant. provisions where required to comport Legal Authority: 38 U.S.C. 1155 portion of the VA Schedule for Rating CFR Citation: 38 CFR 4.119. with FAR format, numbering and Disabilities (Rating Schedule) that arrangement; and, it provides VAARs Legal Deadline: None. addresses the hematologic and Abstract: The Department of Veterans necessary to implement FAR policies lymphatic systems. The intended effect Affairs (VA) proposes to revise the and procedures within VA, as well as of this change is to incorporate medical portion of the VA Schedule for Rating additional policies, procedures, advances that have occurred since the Disabilities (Rating Schedule) that solicitation provisions, or contract last review, update medical addresses the endocrine system. The clauses that supplement the FAR to terminology, add medical conditions intended effect of this change is to satisfy VA mission needs. This not currently in the Rating Schedule, update medical terminology, add proposed rule revises VAAR parts 816 and refine criteria for further clarity and medical conditions not currently in the and 828, and as a result of these changes ease of rater application. Rating Schedule, revise the criteria to revises small portions of VAAR part 852 Statement of Need: VA is updating its reflect medical advances since the last (Solicitation provisions and contract Schedule for Rating Disabilities revision in 1996, and clarify the criteria. clauses), as appropriate. (VASRD, or Rating Schedule) to better Statement of Need: VA is updating its Statement of Need: The proposed reflect modern medicine. The VASRD, Schedule for Rating Disabilities needed changes include adding a which is part 4 of title 38, Code of (VASRD, or Rating Schedule) to better section on consignment agreements Federal Regulations, governs how reflect modern medicine. The VASRD, which defines and describes the claims processors evaluate the severity which is part 4 of title 38, Code of consignment agreement acquisition of disabilities. While VA has routinely Federal Regulations, governs how method used for satisfying the need for updated parts of the VASRD, this claims processors evaluate the severity immediate and on-going requirements. proposal is the first time VA is working of disabilities. While VA has routinely We propose to remove the section, to update the entire VASRD since 1945. updated parts of the VASRD, this Letters of Availability, as that In 2009, a formal project management proposal is the first time VA is working procurement method is no longer in use plan was created to outline how to to update the entire VASRD since 1945. in VA. Also, we propose to revise the update the VASRD. A working group of In 2009, a formal project management section, Insurance Under Fixed-Price specialized physicians (VA and non- plan was created to outline how to Contracts, to clarify the provision VA), stakeholders, and claims update the VASRD. A working group of prescription for when insurance is processors reviews each of the 15 body specialized physicians (VA and non- required for solicitations when utilizing systems and provides analysis to assist VA), stakeholders, and claims term or continuing fixed priced VA in developing updates. The public processors reviews each of the 15 body contracts for ambulance, automobile has 60 days to provide VA with systems and provides analysis to assist and aircraft service. comments. VA will introduce the VA in developing updates. The public Summary of Legal Basis: 40 U.S.C. proposed updates to the VASRD has 60 days to provide VA with 121(c), 48 CFR 1.3. incrementally and is committed to an comments. VA will introduce the Alternatives: update of the entire VASRD. proposed updates to the VASRD Anticipated Cost and Benefits: Summary of Legal Basis: 38 U.S.C. Risks: incrementally and is committed to an 1155. Timetable: update of the entire VASRD. Alternatives: Summary of Legal Basis: 38 U.S.C. Action Date FR Cite Anticipated Cost and Benefits: 1155. Risks: Alternatives: NPRM ...... 04/00/17 Timetable: Anticipated Cost and Benefits: Risks: Regulatory Flexibility Analysis Action Date FR Cite Timetable: Required: No. Small Entities Affected: No. NPRM ...... 08/06/15 80 FR 46888 Action Date FR Cite NPRM Comment 10/05/15 Government Levels Affected: None. NPRM ...... 07/08/15 80 FR 39011 Agency Contact: Ricky L. Clark, Period End. Final Rule ...... 04/00/17 NPRM Comment 09/08/15 Senior Procurement Analyst, Period End. Department of Veterans Affairs, 425 I Final Rule ...... 02/00/17 Street NW., Washington, DC 20001, Regulatory Flexibility Analysis Required: No. Phone: 202 632–5276, Email: Regulatory Flexibility Analysis [email protected]. Small Entities Affected: No. Required: No. RIN: 2900–AP82 Government Levels Affected: None. Small Entities Affected: No. URL For Public Comments: Government Levels Affected: None. www.regulations.gov. URL For Public Comments: Agency Contact: Dr. Ioulia www.regulations.gov. VA Vvedenskaya, Medical Officer, Agency Contact: Dr. Ioulia Final Rule Stage Department of Veterans Affairs, Vvedenskaya, Medical Officer, Veterans Benefits Administration, 810 Department of Veterans Affairs, 108. Schedule for Rating Disabilities: Vermont Avenue NW., Washington, DC Veterans Benefits Administration, 810 The Hematologic and Lymphatic 20420, Phone: 202 461–9882, Email: Vermont Avenue NW., Washington, DC Systems [email protected]. 20420, Phone: 202 461–9882, Email: Priority: Other Significant. RIN: 2900–AO19 [email protected].
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RIN: 2900–AO44 Agency Contact: Savitri Persaud, Regulatory Flexibility Analysis Analyst, Pension and Fiduciary Service, Required: No. Department of Veterans Affairs, Small Entities Affected: No. Veterans Benefits Administration, 810 Government Levels Affected: None. VA Vermont Avenue NW., Washington, DC URL For Public Comments: 110. Fiduciary Activities 20420, Phone: 202 632–8863, Email: www.regulations.gov. Priority: Other Significant. [email protected]. Agency Contact: Richard Allman, Legal Authority: 38 U.S.C. 501; 38 RIN: 2900–AO53 Chief Consultant, Geriatrics and U.S.C. 55; 38 U.S.C. 61; 38 U.S.C. 5502; Extended Care Services, Department of 38 U.S.C. 5506–5510; 38 U.S.C. 6101; 38 Veterans Affairs, 810 Vermont Avenue U.S.C. 6106–6108; 38 U.S.C. 512; 38 VA NW., Washington, DC 20420, Phone: U.S.C. 5301; 38 U.S.C. 5711; 38 U.S.C. 202 461–6750. 5504 111. Per Diem Paid to States for Care of RIN: 2900–AO88 CFR Citation: 38 CFR 13.10 to 13.600; Eligible Veterans in State Homes 38 CFR 3.850 to 3.857; 38 CFR 3.353; 38 Priority: Other Significant CFR 3.401, 3.403; 38 CFR 3.452 ; 38 CFR Legal Authority: 38 U.S.C. 101, 501 VA 3.500, 3.501. and 1710; 38 U.S.C. 1741 to 1743; 38 Legal Deadline: None. U.S.C. 1745; 38 U.S.C. 7104 and 7105; 112. Schedule for Rating Disabilities; Abstract: The Department of Veterans 42 U.S.C. 1395(cc) Dental and Oral Conditions Affairs (VA) proposed to amend its CFR Citation: 38 CFR 51. Priority: Other Significant. fiduciary program regulations, which Legal Deadline: None. Legal Authority: 38 U.S.C. 1155 govern the oversight of beneficiaries Abstract: The Department of Veterans CFR Citation: 38 CFR 4.150. who, because of injury, disease, the Affairs (VA) proposed to reorganize, Legal Deadline: None. infirmities of advanced age, or minority, update (based on revisions to statutory Abstract: The Department of Veterans are unable to manage their VA benefits authority), and clarify its regulations Affairs (VA) proposes to amend the and the appointment and oversight of that govern paying per diem to State portion of the VA Schedule for Rating fiduciaries for these vulnerable homes providing nursing home and Disabilities (VASRD or rating schedule) beneficiaries. The proposed adult day health care to eligible that addresses dental and oral amendments would update and veterans. The reorganization will conditions. The purpose of these reorganize regulations consistent with improve consistency and clarity changes is to incorporate medical current law, VA policies and throughout these State home programs. advances that have occurred since the procedures, and VA’s reorganization of We believe that these proposed last review, update current medical its fiduciary activities. They would also regulations will clarify current law and terminology, and provide clear clarify the rights of beneficiaries in the policy, which should improve and evaluation criteria for application of this program and the roles of VA and simplify the payment of per diem to portion of the rating schedule. The fiduciaries in ensuring that VA benefits State homes, and encourage proposed rule reflects advances in are managed in the best interest of participation in these programs. VA medical knowledge, recommendations beneficiaries and their dependents. plans to finalize this proposal after from the Dental and Oral Conditions Statement of Need: This final rule considering public comments. Work Group (‘‘Work Group’’), which is would amend VA fiduciary regulations, Statement of Need: The proposed comprised of subject matter experts 38 CFR part 13, and removes 3.850 reorganization would improve from both the Veterans Benefits through 3.857 pertaining to fiduciary consistency and clarity throughout these Administration (VBA) and the Veterans matters, from part 3. This amendment State home programs. Currently, we Health Administration (VHA), and would implement the statutory require States to operate these programs comments from experts and the public provisions of 38 U.S.C. 55 and 61, exclusively using a medical supervision gathered as part of a public forum. The reflect current VA policies, and model. We expect that these liberalizing public forum, focusing on revisions to prescribe the rights of beneficiaries and changes will result in an increase in the the dental and oral conditions section of the roles of VA and fiduciaries in the number of States that have adult day the VASRD, was held on January 25–26, fiduciary program. health care programs. Moreover, we 2011. Summary of Legal Basis: 38 U.S.C. proposed to eliminate the regulations Statement of Need: VA is updating its chapters 55 and 61. governing per diem for State home Schedule for Rating Disabilities Alternatives: hospitals because there are no longer (VASRD, or Rating Schedule) to better Anticipated Cost and Benefits: any State home hospitals. reflect modern medicine. The VASRD, Summary of Legal Basis: 38 U.S.C. Risks: which is part 4 of title 38, Code of 101, 501, 1710, 1741 to 1743, 1745, Timetable: Federal Regulations, governs how 7104, 7105, and 42 U.S.C. 1395(cc). claims processors evaluate the severity Action Date FR Cite Alternatives: Anticipated Cost and Benefits: of disabilities. While VA has routinely NPRM ...... 01/03/14 79 FR 430 Risks: updated parts of the VASRD, this NPRM Comment 03/04/14 Timetable: proposal is the first time VA is working Period End. to update the entire VASRD since 1945. Final Action ...... 03/00/17 Action Date FR Cite In 2009, a formal project management plan was created to outline how to Regulatory Flexibility Analysis NPRM ...... 06/17/15 80 FR 34793 update the VASRD. A working group of Required: No. NPRM; Correction 06/24/15 80 FR 36305 specialized physicians (VA and non- Small Entities Affected: No. and Clarification. VA), stakeholders, and claims Government Levels Affected: None. NPRM Comment 08/17/15 processors reviews each of the 15 body Period End. URL For Public Comments: Final Action ...... 05/00/17 systems and provides analysis to assist www.regulations.gov. VA in developing updates. The public
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has 60 days to provide VA with conditions and disorders of the breast Abstract: The Department of Veterans comments. VA will introduce the section of the VASRD, was held on Affairs (VA) proposes to amend the proposed updates to the VASRD January 24, 2012. portion of the VA Schedule for Rating incrementally and is committed to an Statement of Need: VA is updating its Disabilities (VASRD or rating schedule) update of the entire VASRD. Schedule for Rating Disabilities that addresses the organs of special Summary of Legal Basis: 38 U.S.C. (VASRD, or Rating Schedule) to better sense and schedule of ratings—eye. The 1155. reflect modern medicine. The VASRD, purpose of these changes is to Alternatives: which is part 4 of title 38, Code of incorporate medical advances that have Anticipated Cost and Benefits: Federal Regulations, governs how occurred since the last review, update Risks: claims processors evaluate the severity current medical terminology, and Timetable: of disabilities. While VA has routinely provide clear evaluation criteria. The updated parts of the VASRD, this proposed rule reflects advances in Action Date FR Cite proposal is the first time VA is working medical knowledge, recommendations to update the entire VASRD since 1945. from the National Academy of Sciences NPRM ...... 07/28/15 80 FR 44913 NPRM Comment 09/28/15 In 2009, a formal project management (NAS), and comments from subject Period End. plan was created to outline how to matter experts and the public garnered Final Action ...... 02/00/17 update the VASRD. A working group of as part of a public forum. The public specialized physicians (VA and non- forum, focusing on revisions to the Regulatory Flexibility Analysis VA), stakeholders, and claims organs of special sense and schedule of Required: No. processors reviews each of the 15 body ratings for eye disabilities, was held on Small Entities Affected: No. systems and provides analysis to assist January 19–20, 2012. Government Levels Affected: None. VA in developing updates. The public Statement of Need: VA is updating its URL for More Information: has 60 days to provide VA with Schedule for Rating Disabilities www.regulations.gov. comments. VA will introduce the (VASRD, or Rating Schedule) to better URL for Public Comments: proposed updates to the VASRD reflect modern medicine. The VASRD, www.regulations.gov. incrementally and is committed to an which is part 4 of title 38, Code of Agency Contact: Dr. Ioulia update of the entire VASRD. Federal Regulations, governs how Vvedenskaya, Medical Officer, Summary of Legal Basis: 38 U.S.C. claims processors evaluate the severity Department of Veterans Affairs, 1155. of disabilities. While VA has routinely Veterans Benefits Administration, 810 Alternatives: updated parts of the VASRD, this Vermont Avenue NW., Washington, DC Anticipated Cost and Benefits: proposal is the first time VA is working 20420, Phone: 202 461–9882, Email: Risks: to update the entire VASRD since 1945. [email protected]. Timetable: In 2009, a formal project management RIN: 2900–AP08 plan was created to outline how to Action Date FR Cite update the VASRD. A working group of NPRM ...... 02/27/15 80 FR 10637 specialized physicians (VA and non- VA NPRM Comment 04/28/15 VA), stakeholders, and claims Period End. processors reviews each of the 15 body 113. Schedule for Rating Disabilities: Final Action ...... 02/00/17 systems and provides analysis to assist Gynecological Conditions and VA in developing updates. The public Disorders of the Breast Regulatory Flexibility Analysis has 60 days to provide VA with Priority: Other Significant. Required: No. comments. VA will introduce the Legal Authority: 38 U.S.C. 1155 Small Entities Affected: No. proposed updates to the VASRD CFR Citation: 38 CFR 4.116. Government Levels Affected: None. incrementally and is committed to an Legal Deadline: None. URL for More Information: update of the entire VASRD. Abstract: The Department of Veterans www.regulations.gov. Summary of Legal Basis: 38 U.S.C. Affairs (VA) proposes to amend the URL for Public Comments: 1155. portion of the VA Schedule for Rating www.regulations.gov. Alternatives: Disabilities (VASRD or rating schedule) Agency Contact: Dr. Ioulia Anticipated Cost and Benefits: that addresses gynecological conditions Vvedenskaya, Medical Officer, Risks: and disorders of the breast. The purpose Department of Veterans Affairs, Timetable: of these changes is to incorporate Veterans Benefits Administration, 810 medical advances that have occurred Vermont Avenue NW., Washington, DC Action Date FR Cite since the last review, update current 20420, Phone: 202 461–9882, Email: [email protected]. NPRM ...... 06/09/15 80 FR 32513 medical terminology, and provide clear NPRM Comment 08/10/15 evaluation criteria. The proposed rule RIN: 2900–AP13 Period End. reflects advances in medical knowledge, Final Rule ...... 02/00/17 recommendations from the Gynecological Conditions and Disorders VA Regulatory Flexibility Analysis of the Breast Work Group (‘‘Work Required: No. Group’’), which is comprised of subject 114. Schedule for Rating Disabilities: Small Entities Affected: No. matter experts from both the Veterans The Organs of Special Sense and Government Levels Affected: None. Benefits Administration (VBA) and the Schedule of Ratings—Eye URL for More Information: Veterans Health Administration (VHA), Priority: Other Significant. www.regulations.gov. and comments from experts and the Legal Authority: 38 U.S.C. 1155 URL for public comments: public gathered as part of a public CFR Citation: 38 CFR 4.77; 38 CFR www.regulations.gov. forum. The public forum, focusing on 4.78; 38 CFR 4.79. Agency Contact: Dr. Gary Reynolds, revisions to the gynecological Legal Deadline: None. Medical Officer, Department of Veterans
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Affairs, 810 Vermont Avenue NW., Action Date FR Cite Timetable: Washington, DC 20420, Phone: 202 461– 9698, Email: [email protected]. NPRM ...... 08/12/16 81 FR 53353 Action Date FR Cite RIN: 2900–AP14 NPRM Comment 10/11/16 Period End. NPRM ...... 01/05/16 81 FR 196 Final Action ...... 07/00/17 NPRM Comment 03/07/16 Period End. VA Regulatory Flexibility Analysis Final Rule ...... 12/00/16 Required: No. 115. Schedule for Rating Disabilities: Small Entities Affected: No. Regulatory Flexibility Analysis Skin Conditions Government Levels Affected: None. Required: No. Priority: Other Significant. URL for More Information: Small Entities Affected: No. Government Levels Affected: None. Legal Authority: 38 U.S.C. 1155 www.regulations.gov. URL for Public Comments: Agency Contact: Kristin Cunningham, CFR Citation: 38 CFR 4.118. www.regulations.gov. Chief, Business Office (16), Department Legal Deadline: None. Agency Contact: Dr. Gary Reynolds, of Veterans Affairs, Veterans Health Abstract: The Department of Veterans Medical Officer, Department of Veterans Administration, 810 Vermont Avenue Affairs (VA) proposes to amend the Affairs, 810 Vermont Avenue NW., NW., Washington, DC 20420, Phone: portion of the VA Schedule for Rating Washington, DC 20420, Phone: 202 461– 202 461–1599, Email: Disabilities (VASRD or Rating Schedule) 9698, Email: [email protected]. [email protected]. that addresses skin conditions. The RIN: 2900–AP27 RIN: 2900–AP35 purpose of these changes is to incorporate medical advances that have occurred since the last review, update VA VA current medical terminology, and provide clear evaluation criteria. The 116. Tiered Pharmacy Copayments for 117. Advanced Practice Registered proposed rule reflects advances in Medications Nurses medical knowledge, recommendations Priority: Economically Significant. Priority: Other Significant. from the Skin Disorders Work Group Major under 5 U.S.C. 801. Legal Authority: 38 U.S.C. 7301; 38 (Work Group), which is comprised of Legal Authority: 38 U.S.C. 501 U.S.C. 7304; 38 U.S.C. 7402; 38 U.S.C. subject matter experts from both the CFR Citation: 38 CFR 17.110. 7403; 38 U.S.C. 501; . . . Veterans Benefits Administration and Legal Deadline: None. CFR Citation: 38 CFR 17.415. the Veterans Health Administration, and Abstract: The Department of Veterans Legal Deadline: None. comments from experts and the public Affairs (VA) adopts as a final rule, with Abstract: The Department of Veterans gathered as part of a public forum. The changes, a proposal to amend its Affairs (VA) proposed to amend its public forum, focusing on revisions to regulations concerning copayments medical regulations to permit full the skin conditions section of the charged to certain veterans for practice authority of all VA advanced VASRD, was held in January 2012. medication required on an outpatient practice registered nurses (APRNs) Statement of Need: VA is updating its basis to treat nonservice-connected when they are acting within the scope Schedule for Rating Disabilities conditions. This rulemaking establishes of their VA employment. This (VASRD, or Rating Schedule) to better three classes of medications for rulemaking would increase veterans’ reflect modern medicine. The VASRD, copayment purposes, identified as Tier access to VA health care by expanding which is part 4 of title 38, Code of 1, Tier 2, and Tier 3. These tiers are the pool of qualified health care Federal Regulations, governs how distinguished in part based on whether professionals who are authorized to claims processors evaluate the severity the medications are available from provide primary health care and other of disabilities. While VA has routinely multiple sources or a single source, with related health care services to the full updated parts of the VASRD, this some exceptions. Copayment amounts extent of their education, training, and proposal is the first time VA is working are fixed and would vary depending certification, without the clinical to update the entire VASRD since 1945. upon the class of medication. The supervision of physicians. This rule In 2009, a formal project management following medication copayment would permit VA to use its health care plan was created to outline how to amounts are applicable on the effective resources more effectively and in a update the VASRD. A working group of date of this final rule: $5 for a 30-day manner that is consistent with the role specialized physicians (VA and non- or less supply of a Tier 1 medication, $8 of APRNs in the non-VA health care VA), stakeholders, and claims for a 30-day or less supply of a Tier 2 sector, while maintaining the patient- processors reviews each of the 15 body medication, and $11 for a 30-day or less centered, safe, high-quality health care systems and provides analysis to assist supply of a Tier 3 medication. that veterans receive from VA. VA in developing updates. The public Statement of Need: This rulemaking Statement of Need: The Department of has 60 days to provide VA with will result in lower out-of-pocket costs Veterans Affairs (VA) is proposing to comments. VA will introduce the for most veterans, thereby encouraging amend its medical regulations to remove proposed updates to the VASRD greater adherence to prescribed barriers to the full practice authority of incrementally and is committed to an medications and reducing the risk of all VA advanced practice registered update of the entire VASRD. fragmented care that results when nurses (APRNs) when they are acting Summary of Legal Basis: 38 U.S.C. veterans use multiple pharmacies to fill within the scope of their VA 1155. their prescriptions. employment. This rulemaking would Summary of Legal Basis: 38 U.S.C. increase veterans’ access to VA health Alternatives: 501. care by expanding the pool of qualified Anticipated Cost and Benefits: Alternatives: health care professionals who are fully Risks: Anticipated Cost and Benefits: authorized to provide comprehensive Timetable: Risks: primary health care and other related
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health care services to veterans. This Transportation and Veterans Health Legal Deadline: None. rule would permit VA to use its health Care Choice Improvement Act of 2015. Abstract: The Department of Veterans care resources more effectively and in a Statement of Need: The Department of Affairs (VA) established a grant program manner that is consistent with the non- Veterans Affairs (VA) amends its (Veterans Employment Pay for Success VA health care sector, while medical regulations concerning its (VEPFS)) under the authority of 38 maintaining the patient-centered, safe, authority for eligible veterans to receive U.S.C. 3119 to award grants to eligible high quality health care that veterans care from non-VA entities and providers entities to fund projects that are receive from VA. as required by certain new laws. The successful in accomplishing Summary of Legal Basis: 38 U.S.C. Veterans Access, Choice, and employment rehabilitation for Veterans 7301, 7304, 7402 and 7403. Accountability Act of 2014 (the Choice with service-connected disabilities. VA Alternatives: Act) directs VA to establish a program will award grants on the basis of an Anticipated Cost and Benefits: to furnish hospital care and medical eligible entity’s proposed use of a Pay Risks: services through non-VA care health for Success (PFS) strategy to achieve Timetable: care providers. The Construction goals. This interim final rule established Authorization and Choice Improvement regulations for awarding a VEPFS grant, Action Date FR Cite Act defined additional criteria to including the general process for determine that a veteran’s travel to a VA awarding the grant, criteria and NPRM ...... 05/25/16 81 FR 33155 NPRM Comment 07/25/16 medical facility is an unusual or parameters for evaluating grant Period End. excessive burden, and the Surface applications, priorities related to the Final Action ...... 01/00/17 Transportation and Veterans Health award of a grant, and general Care Choice Improvement Act added requirements and guidance for Regulatory Flexibility Analysis further requirements. administering a VEPFS grant program. Required: No. Summary of Legal Basis: Pub. L. 113– Statement of Need: There is a need to Small Entities Affected: No. 146, section 101 (38 U.S.C. 1701 note); find new, innovative methods for Government Levels Affected: None. Pub. L. 114–19, section 3(a)(2); Pub. L. rehabilitating Veterans with Federalism: Undetermined. 114–41, section 4005. compensable service-connected Agency Contact: David J. Shulkin, Alternatives: disabilities who qualify for benefits Under Secretary for Health, Department Anticipated Cost and Benefits: under VA’s Vocational Rehabilitation & of Veterans Affairs, 810 Vermont Risks: Employment (VR&E) program so that Avenue NW., Washington, DC 20420, Timetable: they become employable and are Phone: 202 461–7000. ultimately able to obtain and maintain Action Date FR Cite RIN: 2900–AP44 suitable employment. Through Pay For Interim Final Rule 12/01/15 80 FR 74991 Success (PFS) grant programs, which Interim Final Rule 12/01/15 may serve various Veteran populations including those Veterans with VA Effective. Interim Final Rule 03/30/16 noncompensable service-connected 118. Expanded Access to Non-VA Care Comment Pe- disabilities who do not qualify for VR&E Through The Veterans Choice Program riod End. benefits, we hope to obtain information Interim Final Rule; 04/25/16 81 FR 24026 to establish new, innovative methods for Priority: Economically Significant. Correcting Major under 5 U.S.C. 801. rehabilitating Veterans who qualify for Amendment. VR&E benefits. PFS offers an Legal Authority: Sec. 101 Pub. L. 113– Final Rule ...... 09/00/17 146, 128 stat. 1754; sec. 4005 Pub. L. economical mechanism, which can save 114–41, 129 stat. 443; 38 U.S.C. 501 Regulatory Flexibility Analysis taxpayers’ money, for exploring the CFR Citation: 38 CFR 17.1505; 38 CFR Required: No. resources and techniques that are 17.1510; 38 CFR 17.1525; 38 CFR Small Entities Affected: No. available for rehabilitating Veterans 17.1530. Government Levels Affected: None. with service-connected disabilities with Legal Deadline: None. URL for More Information: regard to employment. Abstract: The Department of Veterans www.regulations.gov. Summary of Legal Basis: 38 U.S.C. Affairs (VA) revised its medical Agency Contact: Kristin Cunningham, 501, 3119. Chief, Business Office (16), Department Alternatives: regulations that implement section 101 Anticipated Cost and Benefits: of Veterans Affairs, Veterans Health of the Veterans Access, Choice, and Risks: Accountability Act of 2014 (hereafter Administration, 810 Vermont Avenue Timetable: referred to as ‘‘the Choice Act’’), which NW., Washington, DC 20420, Phone: requires VA to establish a program to 202 461–1599, Email: Action Date FR Cite furnish hospital care and medical [email protected]. services through eligible non-VA health RIN: 2900–AP60 Interim Final Rule 08/10/16 81 FR 52770 care providers to eligible veterans who Interim Final Rule 08/10/16 either cannot be seen within the wait- Effective. time goals of the Veterans Health Interim Final Rule 10/11/16 VA Comment Pe- Administration (VHA) or who qualify 119. Veterans Employment Pay For riod End. based on their place of residence Final Action ...... 03/00/17 (hereafter referred to as the ‘‘Veterans Success Grant Program Choice Program’’ or ‘‘the Program’’). Priority: Other Significant. Regulatory Flexibility Analysis These regulatory revisions are required Legal Authority: 38 U.S.C. 501; 38 Required: No. by the most recent amendments to the U.S.C. 3119; 38 U.S.C. 501(a), ch 31; 38 Small Entities Affected: No. Choice Act made by the Construction U.S.C. 501(a), ch 18 Government Levels Affected: None. Authorization and Choice Improvement CFR Citation: 38 CFR 21.440 to Agency Contact: Patrick Littlefield, Act of 2014, and by the Surface 21.449. Department of Veterans Affairs, 1800 G
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Street NW., Washington, DC 20006, by section 255 of the Communications technology, each federal department or Phone: 202 256–7176, Email: Act of 1934 (47 U.S.C. 255) (Section agency must ensure, unless an undue [email protected]. 255). Section 508 requires the Federal burden would be imposed on the RIN: 2900–AP72 Acquisition Regulatory Council (FAR department or agency, that electronic BILLING CODE 8320–01–P Council) and each appropriate federal and information technology (regardless department or agency to revise their of the type of medium) allows procurement policies and directives no individuals with disabilities to have later than 6 months after the Access access to and use of information and ARCHITECTURAL AND Board’s publication of standards. The data that is comparable to the access TRANSPORTATION BARRIERS FAR Council has incorporated the and use of the information and data by COMPLIANCE BOARD accessibility standards for electronic others without disabilities. Section 255 FY 2017 Regulatory Plan and information technology in the requires telecommunications Federal Acquisition Regulation (48 CFR manufacturers to ensure that Statement of Regulatory and Chapter 1). Under section 255, the telecommunications equipment and Deregulatory Priorities Federal Communications Commission customer premises equipment are The Architectural and Transportation (FCC) is responsible for issuing designed, developed, and fabricated to Barriers Compliance Board (Access implementing regulations and enforcing be accessible to and usable by Board) is an independent federal agency section 255. The FCC has promulgated individuals with disabilities when it is established by section 502 of the enforceable standards (47 CFR parts 6 readily achievable to do so. Rehabilitation Act (29 U.S.C. 792). The and 7) implementing section 255 that A.3. Alternatives: The Access Board Access Board is responsible for are consistent with the Access Board’s established a Telecommunications and developing accessibility guidelines and accessibility guidelines for Electronic and Information Technology standards under various laws to ensure telecommunications equipment and Advisory Committee to recommend that individuals with disabilities have customer premises equipment. changes to the existing standards and access to and use of buildings and The Access Board’s 2010 ANPRM guidelines. The advisory committee was facilities, transportation vehicles, included a proposal to amend section comprised of a broad cross-section of information and communication 220 of the Americans with Disabilities stakeholders, including representatives technology, and medical diagnostic Act Accessibility Guidelines (ADAAG), from industry, disability groups, and equipment. Other federal agencies adopt but, based on public comments, the government agencies from the U.S., the the accessibility guidelines and ADAAG proposal is no longer included European Commission, Canada, standards issued by the Access Board as in this rulemaking and will be pursued Australia, and Japan. Recognizing the mandatory requirements for entities separately at a later date. importance of standardization across under their jurisdiction. A.1. Statement of Need: The Access markets worldwide, the advisory This plan highlights five rulemaking Board issued the Electronic and committee coordinated its work with priorities for the Access Board in FY Information Technology Accessibility standard-setting bodies in the U.S. and 2017: (A) Information and Standards in 2000 (65 FR 80500, abroad, such as the World Wide Web Communication Technology December 21, 2000), and the Consortium (W3C). The Access Board Accessibility Standards and Guidelines; Telecommunications Act Accessibility expects that the Information and (B) Americans with Disabilities Act Guidelines for telecommunications Communication Technology Standards (ADA) Accessibility Guidelines for equipment and customer premises and Guidelines will have international Transportation Vehicles; (C) Medical equipment in 1998 (63 FR 5608, influences. The Access Board first Diagnostic Equipment Accessibility February 3, 1998). Since the standards published Advance Notices of Proposed Standards; (D) Accessibility Guidelines and the guidelines were issued, Rulemaking (ANPRMs) in the Federal for Pedestrian Facilities in the Public technology has evolved and changed. Register in 2010 and 2011 requesting Right-of-Way; and (E) Passenger Vessel Telecommunications products and public comments on draft updates to the Accessibility Guidelines. The guidelines electronic and information technology standards and guidelines (75 FR 13457, and standards would enable individuals products have converged. For example, March 22, 2010; and 76 FR 76640, with disabilities to achieve greater smartphones can perform many of the December 8, 2011). The NPRM was participation in our society, same functions as computers. Real time published in the Federal Register on independent living, and economic self- text technologies and video relay February 27, 2015 (80 FR 10880). The sufficiency, and would promote our services are replacing TTY’s (text comment period closed on May 28, national values of equity, human telephones). The Access Board is 2015. The proposed rule, comments on dignity, and fairness, the benefits of updating the standards and guidelines the proposed rule, records and which are difficult to quantify. together to address changes in transcripts from three public hearings, The rulemakings are summarized technology and to make them and the preliminary regulatory impact below. consistent. analysis are available in the rulemaking A.2. Summary of the Legal Basis: docket at http://www.regulations.gov/ A. Information and Communication Section 508 and Section 255 require the #!docketDetail;D=ATBCB-2015-0002. Technology Accessibility Standards and Access Board to develop accessibility The final rule will address and Guidelines (RIN: 3014–AA37) standards for electronic and information incorporate comments submitted in This rulemaking would update in a technology and accessibility guidelines response to the NPRM. single document the accessibility for telecommunications equipment and A.4. Anticipated Costs and Benefits: standards for electronic and information customer premises equipment, and to The Access Board worked with a technology covered by section 508 of periodically review and update the contractor to assess costs and benefits the Rehabilitation Act of 1973, as standards and guidelines to reflect and prepare a preliminary regulatory amended (29 U.S.C. 794d) (Section 508), technological advances and changes. impact assessment to accompany the and the accessibility guidelines for Section 508 requires that when NPRM. Baseline cost estimates of telecommunications equipment and developing, procuring, maintaining, or complying with Section 508 and Section customer premises equipment covered using electronic and information 255 are made, and incremental costs
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due to the revised or new requirements operations affect commerce. (See 42 to ensure that medical diagnostic are estimated for federal agencies and U.S.C. 12141 to 12147 and 12184.) Bus equipment, including examination telecommunications equipment rapid transit systems, including level tables, examination chairs, weight manufacturers. Anticipated benefits are boarding bus systems, that provide scales, mammography equipment, and also numerous, including hard-to public transportation services, are other imaging equipment used by health quantify benefits such as increased covered by the ADA. care providers for diagnostic purposes ability for people with disabilities to The Access Board is required by the are accessible to and usable by obtain information and conduct ADA and the Rehabilitation Act to individuals with disabilities. The transactions electronically. The Access establish and maintain guidelines for Access Board published a Notice of Board will prepare a final regulatory the accessibility standards adopted by Proposed Rulemaking (NPRM) in the impact assessment to accompany the DOT for transportation vehicles Federal Register in 2012 (77 FR 6916, final rule, which will incorporate acquired or manufactured by entities February 9, 2012). information received from commenters covered by the ADA. Compliance with C.1. Statement of Need: A national to the NPRM. the new guidelines is not required until survey of a diverse sample of DOT revises its accessibility standards individuals with a wide range of B. Americans with Disabilities Act for transportation vehicles acquired or disabilities, including mobility and (ADA) Accessibility Guidelines for remanufactured by entities covered by sensory disabilities, showed that the Transportation Vehicles (RIN: 3014– the ADA to be consistent with the new respondents had difficulty getting on AA38) guidelines. and off examination tables and chairs, This rulemaking would update the B.3. Alternatives: The Access Board radiology equipment and weight scales, accessibility guidelines for buses, over- issued a Notice of Proposed Rulemaking and experienced problems with the-road buses, and vans covered by the to revise the 1991 guidelines for buses, physical comfort, safety and Americans with Disabilities Act (ADA). over-the-road buses, and vans in 2010 communication. Focus group studies of The accessibility guidelines for other (75 FR 43748, July 26, 2010). The individuals with disabilities also transportation vehicles covered by the proposed rule, comments on the provided information on barriers that ADA, including vehicles operated in proposed rule, transcripts from public affect the accessibility and usability of fixed guideway systems (e.g., rapid rail, hearings and an information meeting, various types of medical diagnostic light rail, commuter rail, high speed rail and other related documents are equipment. The national survey and and intercity rail) would be updated in available in the rulemaking docket at focus group studies are discussed in the a future rulemaking. The guidelines http://www.regulations.gov/ NPRM. ensure that transportation vehicles #!docketDetail;D=ATBCB-2010-0004. C.2. Summary of the Legal Basis: covered by the ADA are readily The final rule will address and Section 4203 of the Patient Protection accessible to and usable by individuals incorporate comments submitted in and Affordable Care Act (Pub. L. 111– with disabilities. The U.S. Department response to the NPRM. 148, 124 Stat. 570) amended title V of of Transportation (DOT) has issued B.4. Anticipated Costs and Benefits: the Rehabilitation Act, which enforceable standards (49 CFR part 37) In conjunction with the NPRM, the establishes rights and protections for that apply to the acquisition of new, Access Board published a report individuals with disabilities, by adding used, and remanufactured entitled ‘‘Cost Estimates for Automated section 510 to the Rehabilitation Act (29 transportation vehicles, and the Stop and Route Announcements’’ (July U.S.C. 794f) (Section 510). Section 510 remanufacture of existing transportation 2010), which is available on the agency requires the Access Board, in vehicles covered by the ADA. DOT is Web site (www.access-board.gov) and consultation with the Commissioner of expected to update its standards in a the rulemaking docket. A final the Food and Drug Administration separate rulemaking to be consistent regulatory assessment will be prepared (FDA), to develop standards that contain with the updated guidelines. to accompany the final rule. The final minimum technical criteria to ensure B.1. Statement of Need: The Access regulatory assessment will evaluate that medical diagnostic equipment used Board issued the ADA Accessibility estimated incremental costs for new or in or in conjunction with medical Guidelines for Transportation Vehicles revised requirements for buses, over- settings such as physicians’ offices, in 1991, and amended the guidelines in the-road buses, and vans in the final clinics, emergency rooms, and hospitals 1998 to include additional requirements rule, as well as provide a description of are accessible to and usable by for over-the-road buses. Level boarding qualitative benefits. It is anticipated that individuals with disabilities. bus systems were introduced in the U.S. this rule will improve access to wheeled Section 510 does not address who is after the 1991 guidelines were issued. transportation vehicles for persons who required to comply with the standards. We are revising the 1991 guidelines to have mobility disabilities, persons who However, the Americans with include new requirements for level have difficulty hearing or are deaf, and Disabilities Act requires health care boarding bus systems, automated stop persons who have difficulty seeing or providers to provide individuals with and route announcements, and other are blind to make better use of disabilities full and equal access to their changes. transportation services. health care services and facilities. The B.2. Summary of the Legal Basis: Title U.S. Department of Justice (DOJ) is II of the ADA applies to state and local C. Medical Diagnostic Equipment responsible for issuing regulations to governments and title III of the ADA Accessibility Standards (RIN: 3014– implement the Americans with applies to places of public AA40) Disabilities Act and enforcing the law. accommodation operated by private The Access Board plans to issue a The NPRM discusses DOJ activities entities. The ADA covers designated final rule establishing accessibility related to health care providers and public transportation services provided standards for medical diagnostic medical diagnostic equipment. by state and local governments and equipment used in or in conjunction C.3. Alternatives: The Access Board specified public transportation services with medical settings such as worked with the FDA and DOJ in provided by private entities that are physicians’ offices, clinics, emergency developing the standards. The Access primarily engaged in the business of rooms, and hospitals. The standards Board considered the Association for transporting people and whose will contain minimum technical criteria the Advancement of Medical
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Instrumentation’s ANSI/AAMI HE accessibility guidelines for shared use rule will address and incorporate 75:2009, ‘‘Human factors engineering- paths (which are multi-use paths comments submitted in response to the Design of medical devices,’’ which designed primarily for use by bicyclists NPRM and SNPRM. includes recommended practices to and pedestrians—including persons D.4. Anticipated Costs and Benefits: provide accessibility for individuals with disabilities—for transportation and In conjunction with the NPRM, the with disabilities. The Access Board also recreation purposes). The U.S. Access Board published a preliminary established a Medical Diagnostic Department of Justice, U.S. Department regulatory assessment of the proposed Equipment Accessibility Standards of Transportation, and other federal accessibility guidelines for pedestrian Advisory Committee that included agencies are expected to adopt the facilities in the public right-of-way, representatives from the disability accessibility guidelines for pedestrian which is available in the rulemaking community and manufacturers of facilities in the public right-of way and docket at http://www.regulations.gov/ medical diagnostic equipment to make for shared use paths, as enforceable #!docketDetail;D=ATBCB-2011-0004. recommendations on issues raised in standards in separate rulemakings for The Access Board identified four public comments and responses to the construction and alteration of provisions in the NPRM that were questions in the NPRM. The Advisory facilities covered by the Americans with expected to have more than minimal Committee report, completed in Disabilities Act, section 504 of the monetary impacts on state and local December 2013, is available at http:// Rehabilitation Act, and the governments. Three of these four www.access-board.gov/guidelines-and- Architectural Barriers Act. requirements are related to: (1) standards/health-care/about-this- D.1. Statement of Need: While the Detectable warning surfaces on newly rulemaking/advisory-committee-final- Access Board has issued accessibility constructed and altered curb ramps and report. The final rule will be based guidelines for the design, construction, blended transitions at pedestrian street recommendations of the advisory and alteration of buildings and facilities crossings; (2) accessible pedestrian committee, and will also address and covered by the Americans with signals and pushbuttons when incorporate comments submitted in Disabilities Act (ADA) and the pedestrian signals are newly installed or response to the NPRM. Architectural Barriers Act (ABA) (36 replaced at signalized intersections; and C.4. Anticipated Costs and Benefits: CFR part 1191), these guidelines were (3) pedestrian activated signals at In conjunction with the NPRM, the developed primarily for buildings and roundabouts with multi-lane pedestrian Access Board published a preliminary facilities on sites. Some of the crossings. In addition, the fourth regulatory assessment of the proposed provisions in these guidelines can be requirement for provision of a 2 percent MDE standards. The Access Board is readily applied to pedestrian facilities maximum cross slope on pedestrian working on a final regulatory in the public right-of-way such as curb access routes within pedestrian street assessment, which will evaluate the ramps. However, other provisions need crossings with yield or stop control was incremental costs and benefits of the to be adapted or new provisions estimated to have more than minimal final rule from quantitative and developed for pedestrian facilities that monetary impacts on state and local qualitative perspectives as information are built in the public right-of-way as governments when constructing permits. It is anticipated that the final well as shared use paths. roadways with pedestrian crossings in MDE standards will address many of the D.2. Summary of the Legal Basis: hilly areas. The NPRM included barriers that have been identified as Section 502(b)(3) of the Rehabilitation questions requesting information to affecting the accessibility and usability Act of 1973, as amended, 29 U.S.C. assess the costs and benefits of these of diagnostic equipment by individuals 792(b)(3), requires the Access Board to provisions, as well as other provisions with disabilities. The standards aim to establish and maintain minimum that may have cost impacts. The Access facilitate independent transfers by guidelines for the standards issued by Board will prepare a final regulatory individuals with disabilities onto and other agencies pursuant to the ADA and impact assessment to accompany the off of diagnostic equipment, and enable ABA. In addition, section 504 of the final rule based on information them to maintain their independence, ADA, 42 U.S.C. 12204, required the provided in response to questions in the confidence, and dignity, lessening the Access Board to issue accessibility NPRM and other sources. need for health care personnel to assist guidelines for buildings and facilities E. Americans with Disabilities Act individuals with disabilities when covered by that law. (ADA) Accessibility Guidelines for transferring on and off of diagnostic D.3. Alternatives: The Access Board Passenger Vessels (RIN: 3014–AA11) equipment. The standards also are established a Public Rights-of-Way expected to improve the quality of Access Advisory Committee to make The rulemaking would establish health care for individuals with recommendations for the guidelines. accessibility guidelines to ensure that disabilities and ensure that they receive The advisory committee was comprised newly constructed and altered examinations, diagnostic procedures, of a broad cross-section of stakeholders, passenger vessels covered by the and other health care services including representatives of state and Americans with Disabilities Act (ADA) equivalent to those received by local government agencies responsible are accessible to and usable by individuals without disabilities. for constructing facilities in the public individuals with disabilities. The U.S. right-of-way, transportation engineers, Department of Transportation and U.S. D. Accessibility Guidelines for disability groups, and bicycling and Department of Justice are expected to Pedestrian Facilities in the Public Right- pedestrian organizations. The Access adopt the guidelines as enforceable of-Way (RIN: 3014–AA26) Board released two drafts of the standards in separate rulemakings for The rulemaking would establish guidelines for public comment, an the construction and alteration of accessibility guidelines to ensure that NPRM (76 FR 44664, July 11, 2011) passenger vessels covered by the ADA. sidewalks and pedestrian facilities in based on the advisory committee report E.1. Statement of Need: Section 504 of the public right-of-way are accessible to and public comments on the draft the ADA requires the Access Board to and usable by individuals with guidelines, and a supplemental notice of issue accessibility guidelines for the disabilities. A Supplemental Notice of proposed rulemaking (SNPRM) construction and alteration of passenger Proposed Rulemaking consolidated this regarding shared use paths (78 FR vessels covered by the law to ensure rulemaking with RIN 3014–AA41; 10110, February 13, 2013). The final that the vessels are readily accessible to
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and usable by individuals with compliance costs for certain types of All of this work will be undertaken disabilities (42 U.S.C. 12204). vessels include: (1) The incremental with a strong commitment to science, E.2. Summary of the Legal Basis: Title impact of constructing a vessel in law and transparency. II of the ADA applies to state and local compliance with the guidelines; and (2) Highlights of EPA’S Regulatory Plan governments and title III of the ADA any additional costs attributable to the applies to places of public operation and maintenance of accessible EPA’s more than 40 years of accommodation operated by private features. For certain large cruise ships, protecting public health and the entities. The ADA covers designated the compliance costs would include loss environment demonstrates our nation’s public transportation services provided of guest rooms and gross revenues commitment to reducing pollution that by state and local governments and attributed to a proposed requirement for can threaten the air we breathe, the specified public transportation services a minimum number of guest rooms that water we use and the communities we provided by private entities that are provide mobility features. The proposed live in. This Regulatory Plan contains primarily engaged in the business of guidelines would significantly benefit information on some of our most transporting people and whose individuals with disabilities by important upcoming regulatory actions. operations affect commerce. (See 42 affording them equal opportunity to As always, our Semiannual Regulatory U.S.C. 12141 to 12147 and 12184.) travel on passenger vessels for Agenda contains information on a Titles II and III of the ADA require the employment, transportation, public broader spectrum of EPA’s upcoming DOT and DOJ to issue accessibility accommodation, and leisure. Other regulatory actions. standards for the construction and benefits, which are difficult to quantify, alteration of passenger vessels covered include equity, human dignity, and Guiding Priorities by the law that are consistent with the fairness values. The EPA’s success depends on guidelines issued by the Access Board. BILLING CODE 8150–01–P supporting innovation and creativity in (See 42 U.S.C. 12134(c), 12149(b), both what we do and how we do it. To 12186(c).) The DOT has reserved a guide the agency’s efforts, the Agency subpart in its ADA regulations for has established several guiding ENVIRONMENTAL PROTECTION accessibility standards for passenger priorities. These priorities are AGENCY (EPA) vessels in anticipation of the Access enumerated in the list that follows, Board issuing these guidelines. (See 49 Statement of Priorities along with recent progress and future CFR part 39, subpart E.) Once DOT and objectives for each. DOJ issue accessibility standards for the Overview construction and alteration of passenger For more than 40 years, the U.S. Goal 1: Addressing Climate Change and vessels covered by the ADA, vessel Environmental Protection Agency (EPA) Improving Air Quality owners and operators are then required has worked to protect people’s health The Agency will continue to deploy to comply with the standards. and the environment. By taking existing regulatory tools where E.3. Alternatives: In developing the advantage of the best thinking, the proposed accessibility guidelines, the appropriate and warranted. Using the newest technologies and the most cost- Clean Air Act, EPA will continue to Access Board has received and effective, sustainable solutions, EPA and considered extensive input from develop standards, as appropriate, for its Federal, tribal, State, local, and both mobile and stationary sources, to passenger vessel owners and operators, community partners have made individuals with disabilities, and other reduce emissions of greenhouse gases important progress to address pollution and other pollutants, including sulfur interested parties for more than a where people live, work, play, and decade. The Access Board convened an dioxide, particulate matter, nitrogen learn. From cleaning up contaminated oxides, and toxics. advisory committee comprised of waste sites to reducing greenhouse Greenhouse Gas Emissions from passenger vessel industry trade groups, gases, mercury and other air emissions, Power Plants. As part of the President’s passenger vessel owners and operators, to investing in water and wastewater Climate Action Plan, in July 2015, the disability advocacy groups, and state treatment, the American people have EPA promulgated the Clean Power Plan and local government agencies to advise seen and felt tangible benefits to their final rules setting guidelines for states to how to develop the accessibility health and surroundings. Efforts to follow in reducing carbon emissions guidelines. The committee submitted its reduce air pollution alone have report to the Access Board in 2000. In produced hundreds of billions of dollars from existing power plants, as well as addition, over the years, the Access in benefits in the United States. finalizing emission standards for new Board issued an ANPRM and three To keep up this momentum in the plants. On February 9, 2016, the versions of draft accessibility guidelines coming year, EPA will use regulatory Supreme Court stayed implementation and conducted in-depth case studies on authorities, along with grant- and of these standards and guidelines various passenger vessels. The Access incentive-based programs, technical and pending judicial review. The Court’s Board solicited and analyzed public compliance assistance and tools, decision was not on the merits of the comments on these documents in research and educational initiatives to rules. developing the proposed guidelines and address the priorities set forth in EPA’ For the states that choose to continue regulatory impact analysis. All the Strategic Plan: to work to cut carbon pollution from published documents together with • Addressing Climate Change and power plants and seek the Agency’s public comments are available at: http:// Improving Air Quality guidance and assistance, EPA will www.access-board.gov. • Protecting America’s Waters continue to provide tools and support, E.4. Anticipated Costs and Benefits: • Cleaning up Communities and including issuing Model Trading Rules The proposed guidelines would address Advancing Sustainable Development as a tool for states to use in developing the discriminatory effects of • Ensuring the Safety of Chemicals and plans that achieve carbon reductions. architectural, transportation, and Preventing Pollution These Model Trading Rules were communication barriers encountered by • Protecting Human Health and the proposed in July 2015, and will be individuals with disabilities on Environment by Enforcing Laws and finalized in late 2016. The Clean Energy passenger vessels. The estimated Assuring Compliance Incentive Program (CEIP), which was
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proposed in 2016, will be finalized in Goal 2: Protecting America’s Waters prior to determining whether to develop 2017. Despite considerable progress, a proposed rule on this topic. This Renewable Fuels. The Clean Air Act America’s waters remain at risk. Water ANPRM effort is one of several requires EPA to promulgate regulations quality protection programs face initiatives the EPA is undertaking to that specify the annual volume complex challenges: An aging national improve how we work with tribes to ensure that they have access to clean requirements for renewable fuels under water infrastructure, widespread and safe waters. the Renewable Fuel Standard (RFS) nutrient pollution, stormwater runoff program. Standards are to be set for four and threats to drinking water safety. Goal 3: Cleaning Up Communities and different categories of renewable fuels: These challenges require both Advancing Sustainable Development Cellulosic biofuel, biomass based diesel traditional and innovative strategies. EPA’s regulatory program recognizes (BBD), advanced biofuel, and total Lead and Copper NPDWR Revisions the progress in environmental renewable fuel. In May of 2016, EPA (LCR). The Lead and Copper Rule, protection and incorporates new issued a proposal to set the applicable promulgated in 1991, has resulted in technologies and approaches that allow volumes for all renewable fuel substantial reductions in lead in us to provide for an environmentally categories for 2017 and the BBD drinking water. This critically important sustainable future more efficiently and standard for 2018. EPA will finalize that rule, however, is now 25 years old and effectively. rule in late 2016. EPA also intends to is in need of substantive revisions to CERCLA Section 108(b)—Hardrock propose RFS volume requirements for strengthen the rule’s protections for Mining. Section 108(b) of the 2018 and the 2019 BBD standard in May public health. EPA has conducted Comprehensive Environmental of 2017. Also in 2016, EPA proposed to extensive engagement with state, tribal Response, Compensation, and Liability make numerous changes to promote the and local government representatives, Act (CERCLA) of 1980, as amended, production of renewable fuels and stakeholder groups and the public to establishes certain authorities obtain input to inform revisions to the clarify certain requirements under the concerning financial responsibility LCR. Most recently, EPA received RFS program. When finalized in early requirements. The Agency has comprehensive recommendations from 2017, that action will provide identified classes of facilities within the the National Drinking Water Advisory substantial additional flexibility for hardrock mining industry as those for Council (NDWAC) and other concerned ethanol flex fuel producers that which financial responsibility stakeholders on potential steps to accommodate current market realities requirements will be first developed. strengthen the LCR. (EPA’s 108(b) rules will address the while continuing to ensure that flex fuel Credit Assistance for Water quality is consistent with controlling degree and duration of risks associated Infrastructure Projects. EPA plans to with aspects of hazardous substance pollution when used in flexible fuel issue an interim final rule that management at hardrock mining and vehicles. establishes the guidelines for a new mineral processing facilities.) EPA Implementing Air Quality Standards. credit assistance program for water intends for these regulations to help The National Ambient Air Quality infrastructure projects and the process ensure that businesses make financial Standards (NAAQS) for ozone were by which EPA will administer such arrangements to address risks from strengthened in 2015, and EPA is credit assistance. The rule will hazardous substances at their sites, and developing an implementation rule to implement a new program authorized to encourage businesses to improve help states implement those standards. under the Water Infrastructure Finance their management of hazardous This rule, which will also cover ozone and Innovation Act of 2014 (WIFIA). substances. classifications, will be proposed late in WIFIA authorizes EPA to provide Modernization of the Accidental 2016 and finalized in 2017. secured (direct) loans and loan Release Prevention Regulations under Emissions from Aircraft. In 2017, EPA guarantees to eligible water Clean Air Act. On August 1, 2013, plans to issue a proposed finding, under infrastructure projects. The interim final President Obama signed Executive Clean Air Act section 231, to determine rule primarily clarifies statutory Order 13650, entitled Improving whether lead emissions from aircraft language and establishes approaches to Chemical Facility Safety and Security operating on leaded fuel cause or specific procedural issues left to EPA’s (EO 13650 or the EO). This Executive discretion. Once projects are selected by contribute to air pollution which may Order 13650 directs the federal the EPA Administrator, individual reasonably be anticipated to endanger government to carry out a number of credit agreements will be developed tasks whose overall aim is to prevent public health or welfare. through negotiations between the chemical accidents. Among the tasks Radiation Protection. In the fall of project sponsors and EPA. discussed, the Executive order directs 2016, EPA will issue final rules to Federal Baseline Water Quality agencies to consider possible changes to protect public health, safety and the Standards for Indian Reservations. EPA existing chemical safety regulations, environment from radiological hazards published an advanced notice of such as the EPA’s Risk Management associated with uranium processing. proposed rulemaking (ANPRM) Plan (RMP) regulation (40 CFR part 68). The first of these rules, under Clean Air requesting public comment on the Both EPA and the Occupational Act section 112, establishes standards or establishment of baseline water quality Safety & Health Administration (OSHA) management practices to limit air standards under the Clean Water Act for had previously issued regulations, as emissions of radon from uranium waters on Indian reservations that required by the Clean Air Act byproduct material or tailings. The currently do not have EPA-approved Amendments of 1990, in response to a second rule, under the Uranium Mill WQS in place to protect water quality. number of catastrophic chemical Tailings Radiation Control Act, The ANPRM provides information on accidents occurring worldwide that had establishes groundwater restoration and EPA’s current thinking and is a way to resulted in public and worker fatalities monitoring requirements for uranium get specific and clear guidance from the and injuries, environmental damage, in-situ recovery, which is now the full range of tribal governments and and other community impacts. OSHA dominant form of uranium recovery in stakeholders. EPA will consider published the Process Safety the United States. comments received on this ANPRM Management (PSM) standard (29 CFR
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part 1910.119) in 1992. EPA modeled the environment from the risks whether those authorized uses still meet the RMP regulation after OSHA’s PSM presented by those chemicals. TSCA’s ‘‘no unreasonable risk’’ standard and published the RMP rule in In addition, EPA is now required to standard. EPA plans to propose the two stages: A list of regulated systematically prioritize and evaluate revocation or revision of any PCBs use substances and threshold quantities in chemicals on a specific and enforceable authorizations included in this 1994; and the RMP final regulation, schedule. Within a few years, EPA’s reassessment that no longer meet the containing risk management chemicals program will have to assess at TSCA standard, with an initial requirements, in 1996. Both the OSHA least 20 chemicals at a time, beginning emphasis on PCB-containing fluorescent PSM standard and the EPA RMP another chemical review as soon as one ballasts in schools and daycares. regulation aim to prevent, or minimize is completed. The new law provides a Strengthening Pesticide Applicator the consequences of, accidental consistent source of funding for EPA to Safety. As part of EPA’s effort to chemical releases to workers and the carry out its new responsibilities. EPA enhance the pesticide worker safety community. will now be able to collect up to $25 program, the Agency is also developing The EPA is considering modifications million a year in user fees from final revisions to the existing regulation to the current RMP regulations in order chemical manufacturers and processers, concerning the certification of to (1) reduce the likelihood and severity supplemented by Congressional applicators of restricted-use pesticides. of accidental releases, (2) improve budgeting, to pay for these This rulemaking is intended to ensure emergency response when those improvements. The Agency initiated that the federal certification standards releases occur, and (3) enhance state stakeholder discussions in August 2016 adequately protect applicators, the and local emergency preparedness and and is developing regulations that will public and the environment from response in an effort to mitigate the identify how EPA will carry out the potential risks associated with use of effects of accidents. various provisions of the new law. restricted use pesticides. The rule Lead-Based Paint Program. EPA is changes are intended to improve the Goal 4: Ensuring the Safety of Chemicals developing a final rule that would competency of certified applicators of and Preventing Pollution implement several amendments to the restricted use pesticides, increase One of EPA’s highest priorities is to EPA lead-based paint program that protection for noncertified applicators make significant progress in assuring would improve efficiencies and save of restricted use pesticides operating the safety of chemicals. Using sound resources for those involved. EPA under the direct supervision of a science as a compass, EPA protects proposed changes in 2014 to the EPA certified applicator through enhanced individuals, families, and the lead-based paint program that would, pesticide safety training and standards environment from potential risks of among other things, amend the for supervision of noncertified pesticides and other chemicals. In its renovation, repair and painting rule by applicators, and establish a minimum implementation of these programs, EPA removing the requirement for hands-on age requirement for such noncertified uses several different statutory refresher training for renovators so that applicators. Also, in keeping with EPA’s authorities, including the Federal they can take the refresher course online commitment to work more closely with Insecticide, Fungicide and Rodenticide and without the need to travel to a tribal governments to strengthen Act (FIFRA), the Federal Food, Drug and training facility for the hands-on environmental protection in Indian Cosmetic Act (FFDCA), the Toxic portion. EPA also proposed to amend Country, certain rule changes are Substances Control Act (TSCA) and the the lead-based paint abatement program intended to provide more practical Pollution Prevention Act (PPA), as well by removing the requirement for firms, options for establishing certification as collaborative and voluntary activities. training providers and individuals to programs in Indian Country. In FY 2017, the Agency will continue to apply for and be certified or accredited Evaluating Pesticide Risks to Bees and satisfy its overall directives under these in each EPA-administered jurisdiction Other Pollinators. As part of the efforts authorities and highlights the following where they work (i.e., state, tribe or outlined in the ‘‘National Strategy to actions in this Regulatory Plan: territory where EPA runs the abatement Promote the Health of Honey Bees and Frank R. Lautenberg Chemical Safety program). In addition, as directed by Other Pollinators,’’ EPA is working to for the 21st Century Act TSCA section 402(c)(3), EPA is update its pesticide data requirements Implementation. Enacted on June 22, developing a proposed rule to address to provide the Agency with data needed 2016, the Frank R. Lautenberg Chemical renovation or remodeling activities that to determine the potential exposure and Safety for the 21st Century Act amended create lead-based paint hazards in pre- effects of pesticides on bees and other TSCA with immediate effect. The 1978 public buildings and commercial important non-target insect pollinators. Agency is working aggressively to carry buildings. EPA previously issued a final Pollinator insects are ecologically and out the requirements of the new law. rule to address lead-based paint hazards economically important. Recognizing Among other things, EPA is now created by these activities in target heightened concerns for honey bees due required to evaluate existing chemicals housing and child-occupied facilities. to pollinator declines and that the purely on the basis of the health risks Reassessment of PCB Use science has now evolved to where they pose—including risks to vulnerable Authorizations. When enacted in 1978, additional toxicity and exposure groups like children and the elderly, TSCA banned the manufacture, protocols are available, EPA issued and to workers who use chemicals daily processing, distribution in commerce, interim study guidance for bees in 2011. as part of their jobs—and then take steps and use of polychlorinated biphenyls EPA developed finalized guidance in to eliminate any unreasonable risks that (PCBs), except when uses would pose 2014 on the conduct of exposure and are found. Based on efforts initiated no unreasonable risk of injury to health effect studies used to characterize the prior to the enactment of the new law, or the environment. EPA is reassessing potential risk of pesticides to bees. The EPA plans to propose risk management certain ongoing, authorized uses of development and implementation of actions under TSCA section 6 related to PCBs that were established by updates data requirements is intended several specific uses of regulation in 1979, including the use, to provide the information the Agency trichloroethylene (TCE), methylene distribution in commerce, marking and needs to evaluate whether a proposed or chloride, and n-methylpyrrolidone storage for reuse of liquid PCBs in existing use of a pesticide may have an (NMP) to protect the human health and electric equipment, to determine unreasonable adverse effect on these
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important insects and support pesticide improved compliance and analytics and targeting) to achieve more registration decisions under FIFRA. environmental outcomes. widespread compliance. • Goal 5: Protecting Human Health and Use and promote advanced Retrospective Review of Existing the Environment by Enforcing Laws and emissions/pollutant detection Regulations Assuring Compliance technology so that regulated entities, the Today’s pollution challenges require a government, and the public can more Pursuant to section 6 of Executive modern approach to compliance, taking easily see pollutant discharges, Order 13563 ‘‘Improving Regulation and advantage of new tools and approaches environmental conditions, and Regulatory Review’’ (Jan. 18, 2011), the while strengthening vigorous noncompliance. following EPA actions have been enforcement of environmental laws. • Shift toward electronic reporting to identified as associated with Next Generation Compliance is EPA’s help make environmental reporting retrospective review and analysis in the integrated strategy to do that, designed more accurate, complete, and efficient Agency’s final plan for retrospective to bring together the best thinking from while helping EPA and co-regulators review of regulations, or one of its inside and outside EPA. better manage information, improve subsequent updates. Some of the entries EPA’s Next Generation Compliance effectiveness and transparency. on this list may not appear in The Regulatory Plan but appear in EPA’s consists of five interconnected • components, each designed to improve Expand transparency by making semiannual regulatory agenda. These the effectiveness of our compliance information more accessible to the rulemakings can also be found on program: public. Regulations.gov. EPA’s final agency • Design regulations and permits that • Develop and use innovative plan can be found at: http:// are easier to implement, with a goal of enforcement approaches (e.g., data www.epa.gov/regdarrt/retrospective/.
Regulatory Rulemaking title Identifier No. (RIN)
New Source Performance Standards for Grain Elevators—Amendments ...... 2060–AP06 Treatment of Data Influenced by Exceptional Events—Rule Revisions ...... 2060–AS02 Public Notice Provisions in CAA Permitting Programs ...... 2060–AS59 Regional Haze Regulations—Revision to SIP Submission Date and Requirements for Progress Reports ...... 2060–AS55 Title V Petitions Process Improvement Rulemaking ...... 2060–AS61 National Primary Drinking Water Regulations for Lead and Copper: Regulatory Revisions ...... 2040–AF15 National Pollutant Discharge Elimination System (NPDES) Application and Program Updates Rule ...... 2040–AF25 National Primary Drinking Water Regulations: Group Regulation of Carcinogenic Volatile Organic Compound (VOCs) ...... 2040–AF29 Management Standards for Hazardous Waste Pharmaceuticals ...... 2050–AG39 Hazardous Waste Export-Import Revisions Rule ...... 2050–AG77 Improvements to the Hazardous Waste Generator Regulatory Program (Parts 261–265) ...... 2050–AG70 Pesticides; Certification of Pesticide Applicators ...... 2070–AJ20
2016—AGGREGATION OF BENEFITS AND COSTS FROM MONETIZED RULES REPORTED IN THE REGULATORY PLAN
Benefits Costs Net benefits Rule Base year (millions $/year) (millions $/year) (millions $/year) Low High Low High Low High
Discount Rate = 3%
Modernization of the Accidental Release Prevention Regulations Under Clean Air Act...... 2014 $274.7 $274.7 $158.3 $158.3 $116.4 $116.4 Health and Environmental Standards for Uranium and Thorium Mill Tailings (40 CFR 192): Revisions 1 ...... 2014 Not Not 6.6 13.4 Not Not Monetized Monetized Computed Computed Technical and Regulatory Support to De- velop the NESHAP Subpart W Stand- ard for Radon Emissions for Radon Emissions From Operating Uranium Mills (40 CFR 61.250) 2 ...... 2014 Not Not 15.8 17.9 Not Not Monetized Monetized Computed Computed Pesticides; Certification of Pesticide Ap- plicators ...... 2014 20.8 21.2 48.8 48.8 (28.0) (27.6)
Aggregate Estimates 4 ...... 2014 295.5 295.9 229.6 238.4 88.4 88.8
Discount Rate = 7%
Modernization of the Accidental Release Prevention Regulations Under Clean Air Act...... 2014 274.7 274.7 161.0 161.0 113.7 113.7
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2016—AGGREGATION OF BENEFITS AND COSTS FROM MONETIZED RULES REPORTED IN THE REGULATORY PLAN— Continued
Benefits Costs Net benefits Rule Base year (millions $/year) (millions $/year) (millions $/year) Low High Low High Low High
Health and Environmental Standards for Uranium and Thorium Mill Tailings (40 CFR 192): Revisions 1 ...... 2014 Not Not 4.1 8.3 Not Not Monetized Monetized Computed Computed Technical and Regulatory Support to de- velop the NESHAP Subpart W Stand- ard for Radon Emissions for Radon Emissions From Operating Uranium Mills (40 CFR 61.250) 2 ...... 2014 Not Not 15.8 17.9 Not Not Monetized Monetized Computed Computed Pesticides; Certification of Pesticide Ap- plicators 3 ...... 2014 Not Not Not Not Not Not Reported Reported Reported Reported Reported Reported
Aggregate Estimates 4 ...... 2014 274.7 274.7 180.9 187.2 113.7 113.7 1 National net benefits for Health and Environmental Standards for Uranium and Thorium Mill Tailings (40 CFR 192) Revisions were not com- puted because most categories of benefits, including health and ecosystem benefits, were not monetized. 2 The Economic Impact Analysis for the NESHAP Subpart W Standard does not monetize benefits such as the value of reduced cancer risk, so net benefits were not computed. 3 The Economic Analysis for the Certification of Pesticide Applicators did not estimate annual costs using a 7% discount rate. Using a 7% dis- count rate is expected to have little effect on annualized costs as most of the costs recur annually. 4 Aggregate Net Benefits are estimated by summing the column of net benefits reported for each discount rate.
Burden Reduction Regulatory Regulatory Rulemaking title Identifier No. Rulemaking title Identifier No. As described above, EPA continues to (RIN) (RIN) review its existing regulations in an effort to achieve its mission in the most Modernization of the Acci- 2050–AG82 N-Methylpyrrolidone (NMP) 2070–AK07 efficient means possible. To this end, dental Release Preven- and Methylene Chloride; the Agency is committed to identifying tion Regulations Under Rulemaking Under TSCA areas in its regulatory program where Clean Air Act. Section 6(a). significant savings or quantifiable Trichloroethylene (TCE); 2070–AK11 Rulemaking Under TSCA reductions in paperwork burdens might Section 6(a); Vapor be achieved, as outlined in Executive Degreasing. EPA—OFFICE OF WATER (OW) Orders 13563 and 13610, while N-Methylpyrrolidone (NMP) 2070–AK07 protecting public health and our and Methylene Chloride; Prerule Stage environment. Rulemaking Under TSCA Section 6(a). 120. Federal Baseline Water Quality Rules Expected To Affect Small Entities Polychlorinated Biphenyls 2070–AK12 Standards for Indian Reservations By better coordinating small business (PCBs); Reassessment Priority: Other Significant. activities, EPA aims to improve its of Use Authorizations for Unfunded Mandates: Undetermined. technical assistance and outreach PCBs in Small Capaci- Legal Authority: 33 U.S.C. tors in Fluorescent Light efforts, minimize burdens to small 1313(c)(4)(B) Ballasts in Schools and CFR Citation: 40 CFR 131. businesses in its regulations, and Daycares. Legal Deadline: None. simplify small businesses’ participation National Primary Drinking 2040–AF15 in its voluntary programs. Actions that Water Regulations for Abstract: EPA published an advance may affect small entities can be tracked Lead and Copper: Regu- notice of proposed rulemaking on EPA’s Regulatory Development and latory Revisions. (ANPRM) requesting public comment Retrospective Review Tracker (http:// on the establishment of baseline water www.epa.gov/regdarrt/) at any time. International Regulatory Cooperation quality standards (WQS) under the This Plan includes the following rules Activities Clean Water Act (CWA) for waters on that may be of particular interest to Indian reservations that currently do not small entities: EPA has considered international have EPA-approved WQS in place to regulatory cooperation activities as protect water quality. EPA will consider Regulatory described in Executive Order 13609 and comments received on this ANPRM Rulemaking title Identifier No. prior to determining whether to develop (RIN) has identified the following international activity that is anticipated a proposed rule on this topic. This Financial Responsibility 2050–AG61 to lead to a significant regulation in the ANPRM effort is one of several Requirements Under following year: initiatives the EPA is undertaking that CERCLA Section 108(b) recognize the importance of protecting for Classes of Facilities waters on which tribes rely. in the Hard Rock Mining Statement of Need: Currently, fewer Industry. than 50 of over 300 tribes with
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reservations have WQS effective under Action Date FR Cite action would provide substantial the CWA. Virtually all of the additional flexibility for ethanol flex reservations with existing coverage have ANPRM ...... 09/29/16 81 NFR fuel (EFF) producers that accommodate WQS established by tribes that have 66900 current market realities while obtained treatment in a manner similar ANPRM Comment 12/28/16 continuing to ensure EFF quality is Period End. consistent with controlling pollution to a state (TAS) under CWA section 518, NPRM ...... To Be Determined however, many tribes face obstacles on when used in flexible fuel vehicles. this pathway to WQS. The resulting gap Statement of Need: This action Regulatory Flexibility Analysis proposes various changes to our fuel in EPA-approved WQS in Indian Required: No. reservation waters is not insignificant. and renewable fuel regulations to Small Entities Affected: No. remove barriers to the production and Tribal reservations without CWA- Government Levels Affected: Federal, use of renewable fuels. First, this action effective WQS account for as much land State, Tribal. would resolve several outstanding area and population as the state of North Federalism: Undetermined. issues and provide clarification on Dakota. Federal baseline WQS would URL for More Information: http:// certain Renewable Fuel Standard (RFS) define water quality goals for tcots.epa.gov/oita/tconsultation.nsf/. requirements. Second, this action would unprotected reservation waters and Agency Contact: Danielle Anderson, propose to allow for a feedstock serve as the foundation for CWA actions Environmental Protection Agency, partially converted at one facility to protect human health and the Office of Water, 4305T, 1200 (referred to as a biointermediate) to be environment. Pennsylvania Avenue NW., Washington, fully converted into finished renewable DC 20460, Phone: 202 564–1631, Email: Summary of Legal Basis: The CWA fuel at another facility. Finally, this [email protected]. establishes the basis for the water action would provide production RIN: 2040–AF62 quality standards (WQS) regulation and flexibilities and carry over gasoline fuel program. CWA section 303 addresses quality standards to gasoline-ethanol the development of state and authorized blends containing 16 to 83 volume tribal WQS that serve the CWA objective EPA—OFFICE OF AIR AND RADIATION percent ethanol (referred to as ethanol for waters of the United States. The core (OAR) flex fuel (EFF)). The increased flexibility provided by this rule for components of WQS are designated Proposed Rule Stage uses, water quality criteria that support biointermediates and EFF could result in the increased production and use of the uses, and antidegradation 121. Renewables Enhancement and renewable fuels in support of the RFS requirements. Designated uses establish Growth Support Rule program. the environmental objectives for a water Priority: Other Significant. Summary of Legal Basis: Statutory body and water quality criteria define Legal Authority: 42 U.S.C. 7429 Clean authority for this action comes from the conditions sufficient to achieve Air Act Clean Air Act sections 203 to 205, 208, those environmental objectives. The CFR Citation: 40 CFR 80. 211, and 301. antidegradation requirements provide a Legal Deadline: None. Alternatives: This action to proposes framework for maintaining and Abstract: This action proposes to to establish fuel quality standards for protecting water quality that has already make numerous changes to promote the EFF that are equivalent to those already been achieved. The CWA creates a production of renewable fuels and in place for gasoline. Producers would partnership between states and clarify certain requirements under the demonstrate compliance based on their authorized tribes, and EPA, by assigning RFS program. This action would ability to affect fuel quality and certain states and authorized tribes the primary propose to allow for feedstocks partially types of producers would be able to use role of adopting WQS (CWA sections converted at a facility other than a natural gasoline as a blendstock to 101(b) and 303), and EPA the oversight renewable fuel production facility to be produce EFF. Alternatively, EPA also role of reviewing and approving or fully converted at a renewable fuel considered a simplified approach that disapproving state and authorized tribal production facility into finished would restrict EFF blendstocks to WQS (CWA section 303(c)). Absent state renewable fuel. These partially gasoline, blendstocks for oxygenate converted feedstocks are referred to as or authorized tribal adoption or blending (BOBs), and denatured fuel biointermediate feedstocks. Further, this submission of new or revised WQS, ethanol. EPA is seeking comment on action would also propose to add new section 303(c)(4)(B) of the CWA gives this alternative approach. registration, recordkeeping, and Anticipated Cost and Benefits: The EPA the authority to determine that new reporting requirements for certain two main areas where this proposal or revised WQS are necessary to meet renewable fuel production facilities would have economic impacts are the the requirements of the Act. Once the using carbon capture and storage (CCS) proposed provisions for EFF and Administrator makes such a if the EPA were to allow CCS as a gasoline produced at blender pumps, determination, EPA must promptly lifecycle GHG emissions reduction and the proposed provisions for propose regulations setting forth new or technology in the context of the RFS biointermediates. The proposal would revised WQS for the waters of the program. Additionally, this action also provide significant additional regulatory United States involved, and must then proposes to require obligated parties to flexibility, streamlined compliance promulgate such WQS, unless a state or report a breakdown of their gasoline, provisions, and the opportunity for authorized tribe adopts and EPA diesel, and heating oil production; increased biofuel production at reduced approves such WQS first. provide an additional RIN-generating cost. The cost savings are anticipated to Alternatives: To Be Determined. pathway that is an extension of an far outweigh the minor costs imposed Anticipated Cost and Benefits: To Be existing pathway; and make numerous for demonstrating compliance. In most Determined. technical corrections. Finally, this cases, the associated costs would only action would implement fuel quality apply to those parties that elect to take Risks: To Be Determined. specifications for blends containing 16 advantage of the proposed flexibilities Timetable: to 83 volume percent ethanol. This because the potential economic benefits
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outweigh the costs. This proposal Legal Deadline: None. state planning requirements for the contains minor additional registration, Abstract: This proposed rule will previous ozone NAAQS. reporting, and recordkeeping address a range of implementation Anticipated Cost and Benefits: The requirements that would apply to some requirements for the 2015 National annual information collection burden parties in the biofuel production and Ambient Air Quality Standards for ozone-related state planning distribution system that do not take (NAAQS) for ozone, including the averaged over the first 3 years is advantage of the proposed flexibilities nonattainment area classification estimated to be a total of 41,800 labor as well as those that do. system, and the timing of State hours per year at an annual labor cost Risks: This proposed rule does not Implementation Plan (SIP) submissions. of $2.5 million (present value) over the affect the level of protection provided to It will also discuss and outline relevant 3-year period, or approximately human health or the environment by guidance on meeting the Clean Air Act’s $107,000 per state for the 23 anticipated applicable air quality standards. This requirements pertaining to attainment state respondents. There are no capital action does not relax the control demonstrations, reasonable further or operating and maintenance costs measures on sources regulated by the progress, reasonably available control associated with the proposed rule fuel programs and RFS regulations and measures, nonattainment new source requirements. therefore will not cause emissions review, and emission inventories. Other Risks: Ozone concentrations that increases from these sources. issues addressed in this proposed rule exceed the National Ambient Air Timetable: are the potential revocation of the 2008 Quality Standards (NAAQS) to can ozone NAAQS and anti-backsliding cause adverse public health and welfare Action Date FR Cite requirements that would apply if the effects, as discussed in the October 26, 2008 NAAQS are revoked. The items 2015 Final Rule for NAAQS for Ozone NPRM ...... 11/00/16 (80 FR 65292). Final Rule ...... 12/00/17 covered in this rulemaking have been covered in similar rulemakings for two Timetable: prior 8-hour ozone NAAQS (1997 and Regulatory Flexibility Analysis Action Date FR Cite Required: No. 2008). Small Entities Affected: No. Statement of Need: This rule is NPRM ...... 11/00/16 Government Levels Affected: None. needed to clarify and establish Sectors Affected: 325199 All Other implementation requirements for the Regulatory Flexibility Analysis Basic Organic Chemical Manufacturing; 2015 ozone NAAQS, including the Required: No. 325193 Ethyl Alcohol Manufacturing; nonattainment area classification Small Entities Affected: No. 454310 Fuel Dealers; 221210 Natural system, and those elements that states Government Levels Affected: Federal, Gas Distribution; 424690 Other must include in their state Local, State, Tribal. Chemical and Allied Products Merchant implementation plans (SIPs) to bring Agency Contact: Robert Lingard, Wholesalers; 325110 Petrochemical nonattainment areas into compliance Environmental Protection Agency, Manufacturing; 424710 Petroleum Bulk with the 2015 ozone NAAQS. There is Office of Air and Radiation, C539–01, Stations and Terminals; 324110 no court-ordered deadline for this final 109 T.W. Alexander Drive, Research Petroleum Refineries; 424720 Petroleum rule. However, the CAA requires that Triangle Park, NC 27709, Phone: 919 and Petroleum Products Merchant EPA promulgate area designations no 541–5272, Email: lingard.robert@ Wholesalers (except Bulk Stations and later than 2 years from the date of epa.gov. Terminals). promulgation of the revised ozone Lynn Dail, Environmental Protection URL for More Information: http:// NAAQS, and this rule is needed to Agency, Office of Air and Radiation, www2.epa.gov/renewable-fuel-standard- establish the air quality thresholds to C539–01, Research Triangle Park, NC program. classify areas designated nonattainment, 27711, Phone: 919 541–2363, Fax: 919 Agency Contact: Nick Parsons, in this case by October 1, 2017. 541–0824, Email: dail.lynn@ Environmental Protection Agency, Summary of Legal Basis: The CAA epamail.epa.gov. Office of Air and Radiation, N19, Ann requires states to plan for the attainment RIN: 2060–AS82 Arbor, MI 48105, Phone: 734 214–4479, and maintenance the NAAQS. EPA Email: [email protected]. establishes implementing regulations Paul Argyropoulos, Environmental that states follow to fulfill these CAA EPA—OAR Protection Agency, Office of Air and requirements. Radiation, 6401A, 1200 Pennsylvania Alternatives: The EPA plans to solicit 123. • Renewable Fuel Volume Avenue NW., Washington, DC 20460, comments on a number of proposals, Standards for 2018 and Biomass Based Phone: 202 564–1123, Email: including nonattainment area Diesel Volume (BBD) for 2019 [email protected]. classification thresholds, SIP Priority: Other Significant. RIN: 2060–AS66 submission requirements for states with Legal Authority: Clean Air Act nonattainment areas and states in the CFR Citation: 40 CFR 80. Ozone Transport Region, milestone Legal Deadline: None. EPA—OAR compliance demonstrations, plan Abstract: The Clean Air Act requires submission and implementation EPA to promulgate regulations that 122. Implementation of the 2015 deadlines for attainment planning and specify the annual standards National Ambient Air Quality emissions control requirements, flexible requirements for renewable fuels under Standards for Ozone: Nonattainment new source emissions offsets for the Renewable Fuel Standard (RFS) Area Classifications and State preconstruction permitting, clarification program. Standards are to be set for four Implementation Plan Requirements of emissions inventory and emissions different categories of renewable fuels: Priority: Other Significant. statement requirements, and state Cellulosic biofuel, biomass based diesel Legal Authority: 23 U.S.C. 101 42 demonstration requirements under CAA (BBD), advanced biofuel, and total U.S.C. 7401–7671q section 179B. The rule also includes renewable fuel. The statute requires the CFR Citation: 40 CFR 50 to 51. alternatives for treatment of outstanding standards be finalized by November 30
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of the year prior to the year in which the under TSCA. TCE is used in industrial Government Levels Affected: standards would apply. In the case of and commercial processes, and also has Undetermined. biomass based diesel, the statute some limited uses in consumer Federalism: This action may have requires applicable volumes be set no products. In the June 2014 TSCA Work federalism implications as defined in later than 14 months before the year for Plan Chemical Risk Assessment for TCE, EO 13132. which the requirements would apply. the EPA identified risks associated with Sectors Affected: 325 Chemical Statement of Need: The Clean Air Act commercial degreasing and some Manufacturing; 334 Computer and Section 211(o) requires the Agency set consumer uses. EPA proposes that the Electronic Product Manufacturing; 335 annual renewable fuel standards. use of TCE in vapor degreasing presents Electrical Equipment, Appliance, and Summary of Legal Basis: Clean Air unreasonable risks to human health, and Component Manufacturing; 332 Act section 211(o). is initiating rulemaking under TSCA Fabricated Metal Product Alternatives: Alternatives will be section 6 to address the risks of TCE Manufacturing; 337 Furniture and assessed as the proposal is developed. when used as a spotting agent in dry Related Product Manufacturing; 333 Anticipated Cost and Benefits: Costs cleaning and in commercial and Machinery Manufacturing; 339 and benefits will be analyzed as the consumer aerosol spray degreasers. A Miscellaneous Manufacturing; 928 proposal is developed. separate Regulatory Agenda entry (RIN National Security and International Risks: Risk information will be 2070–AK11) addresses the EPA’s Affairs; 32411 Petroleum Refineries; 326 developed as the proposal is developed. consideration of a rulemaking to address Plastics and Rubber Products Timetable: the risks associated with TCE when Manufacturing; 331 Primary Metal used in vapor degreasing operations. Manufacturing; 323 Printing and Action Date FR Cite Statement of Need: In the June 2014 Related Support Activities; 811 Repair and Maintenance; 488 Support NPRM ...... 06/00/17 TSCA Work Plan Chemical Risk Final Rule ...... 12/00/17 Assessment for TCE, the EPA identified Activities for Transportation; 314 risks associated with commercial Textile Product Mills; 336 Regulatory Flexibility Analysis degreasing and some consumer uses. Transportation Equipment Required: No. The EPA is initiating a rulemaking Manufacturing; 493 Warehousing and Small Entities Affected: No. under TSCA section 6 to address these Storage; 321 Wood Product Government Levels Affected: None. risks. Specifically, the EPA will Manufacturing. Agency Contact: David Korotney, determine whether the continued use of URL for More Information: https:// Environmental Protection Agency, TCE in some commercial degreasing www.epa.gov/chemical-data-under- Office of Air and Radiation, N27, Ann uses, as a spotting agent in dry cleaning, toxic-substance-control-act-tsca. Arbor, MI 48105, Phone: 734 214–4507, and in certain consumer products Agency Contact: Toni Krasnic, Email: [email protected]. would pose an unreasonable risk to Environmental Protection Agency, Paul Argyropoulos, Environmental human health and the environment. Office of Chemical Safety and Pollution Protection Agency, Office of Air and Summary of Legal Basis: Section 6 of Prevention, 7405M, 1200 Pennsylvania Radiation, 6401A, 1200 Pennsylvania the Toxic Substances Control Act Avenue NW., Washington, DC 20460, Avenue NW., Washington, DC 20460, provides authority for the EPA to ban or Phone: 202 564–0984, Email: Phone: 202 564–1123, Email: restrict the manufacture (including [email protected]. [email protected]. import), processing, distribution in Joel Wolf, Environmental Protection RIN: 2060–AT04 commerce, and use of chemical Agency, Office of Chemical Safety and substances, as well as any manner or Pollution Prevention, 7404T, 1200 method of disposal. Pennsylvania Avenue NW., Washington, Alternatives: Alternatives will be DC 20460, Phone: 202 564–2228, Fax: EPA—OFFICE OF CHEMICAL SAFETY developed as part of the development of 202 566–0471, Email: [email protected]. AND POLLUTION PREVENTION a proposed rule. RIN: 2070–AK03 (OCSPP) Anticipated Cost and Benefits: The Proposed Rule Stage EPA will prepare a regulatory impact analysis as part of the development of 124. Trichloroethylene (TCE); EPA—OCSPP a proposed rule. Rulemaking Under TSCA Section 6(A) 125. N-Methylpyrrolidone (NMP) and Risks: In the published TCE Risk Priority: Other Significant. Major Methylene Chloride; Rulemaking Under Assessment, the EPA identified TSCA Section 6(A) status under 5 U.S.C. 801 is significant risks to human health in undetermined. occupational, consumer and residential Priority: Other Significant. Unfunded Mandates: Undetermined. settings. The risk assessment identified Legal Authority: 15 U.S.C. 2605 Toxic Legal Authority: 15 U.S.C. 2605 Toxic health risks from TCE exposures to Substances Control Act Substances Control Act consumers using aerosol degreasers and CFR Citation: Not Yet Determined. CFR Citation: NYD. spray fixatives, and health risks to Legal Deadline: None. Legal Deadline: None. workers when TCE is used in Abstract: Section 6 of the Toxic Abstract: Section 6(a) of the Toxic commercial shops and as a stain Substances Control Act provides Substances Control Act (TSCA) provides removing agent in dry cleaning. authority of EPA to ban or restrict the authority for the EPA to ban or restrict Timetable: manufacture (including import), the manufacture (including import), processing, distribution in commerce, processing, distribution in commerce, Action Date FR Cite and use of chemical, as well as any and use of chemical substances, as well manner or method of disposal of as any manner or method of disposal. NPRM ...... 12/00/16 chemicals. EPA identified N- The EPA identified trichloroethylene methylpyrrolidone (NMP) and (TCE) for risk evaluation as part of its Regulatory Flexibility Analysis methylene chloride for risk evaluation Work Plan for Chemical Assessment Required: Undetermined. as part of its TSCA Work Plan for
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Chemical Assessments. NMP and International Impacts: This regulatory address these risks. A separate methylene chloride are uses in action will be likely to have Regulatory Agenda entry (RIN 2070– commercial processes and in consumer international trade and investment AK03) covers the EPA’s consideration of products in residential settings. In the effects, or otherwise be of international a rulemaking to address the risks August 2014 TSCA Work Plan Chemical interest. associated with TCE when used as a Risk Assessment for methylene chloride Sectors Affected: 336411 Aircraft spotting agent in dry cleaning and in and the March 2015 TSCA Work Plan Manufacturing; 811121 Automotive commercial and consumer aerosol spray Chemical Risk Assessment for NMP, Body, Paint, and Interior Repair and degreasers. EPA identified risks of concern from Maintenance; 325 Chemical Statement of Need: In the June 2014 paint and coating removal. EPA Manufacturing; 238330 Flooring TSCA Work Plan Chemical Risk proposes that the use of NMP and Contractors; 711510 Independent Assessment for TCE, the EPA identified methylene chloride in paint and coating Artists, Writers, and Performers; 712110 risks associated with commercial presents unreasonable risks to human Museums; 238320 Painting and Wall degreasing and some consumer uses. health, and is initiating rulemaking Covering Contractors; 811420 The EPA is initiating a rulemaking under TSCA section 6 to address these Reupholstery and Furniture Repair; under TSCA section 6 to address these risks. 336611 Ship Building and Repairing. risks. Specifically, the EPA will Statement of Need: The EPA URL for More Information: https:// determine whether the continued use of identified n-methylpyrrolidone and www.epa.gov/chemical-data-under- TCE in some commercial degreasing methylene chloride for risk evaluation toxic-substance-control-act-tsca. uses, as a spotting agent in dry cleaning, as part of its Work Plan for Chemical Agency Contact: Niva Kramek, and in certain consumer products Assessments under TSCA. In the August Environmental Protection Agency, would pose an unreasonable risk to 2014 Risk Assessment for methylene Office of Chemical Safety and Pollution human health and the environment. chloride and March 2015 Risk Prevention, 7506P, 1200 Pennsylvania Summary of Legal Basis: Section 6 of Assessment for NMP, the EPA identified Avenue NW., Washington, DC 20460, the Toxic Substances Control Act risks associated with commercial and Phone: 703 605–1193, Fax: 703 305– provides authority for the EPA to ban or consumer paint removal uses. The EPA 5884, Email: [email protected]. restrict the manufacture (including is initiating rulemaking under TSCA Joel Wolf, Environmental Protection import), processing, distribution in section 6 to address these risks. Agency, Office of Chemical Safety and commerce, and use of chemical Specifically, the EPA will determine Pollution Prevention, 7404T, 1200 substances, as well as any manner or whether the use of NMP or methylene Pennsylvania Avenue NW., Washington, method of disposal. chloride in commercial and consumer DC 20460, Phone: 202 564–2228, Fax: Alternatives: Alternatives will be paint removal poses an unreasonable 202 566–0471, Email: [email protected]. developed as part of the development of risk to human health and the RIN: 2070–AK07 a proposed rule. environment. Anticipated Cost and Benefits: The Summary of Legal Basis: Section 6 of EPA will prepare a regulatory impact the Toxic Substances Control Act analysis as part of the development of EPA—OCSPP provides authority for the EPA to ban or a proposed rule. restrict the manufacture (including 126. Trichloroethylene (TCE); Risks: Significant adverse human import), processing, distribution in Rulemaking Under TSCA Section 6(A); health effects have been found in commerce, and use of chemicals, as well Vapor Degreasing occupational settings and in consumer as any manner or method of disposal. Priority: Economically Significant. and residential settings. Timetable: Alternatives: Alternatives will be Major status under 5 U.S.C. 801 is developed as part of the development of undetermined. Action Date FR Cite a proposed rule. Legal Authority: 15 U.S.C. 2605 Toxic Anticipated Cost and Benefits: The Substances Control Act NPRM ...... 01/00/17 EPA will prepare a regulatory impact CFR Citation: Not Yet Determined. analysis as part of the development of Legal Deadline: None. Regulatory Flexibility Analysis a proposed rule. Abstract: Section 6(a) of the Toxic Required: Yes. Risks: As indicated in the published Substances Control Act (TSCA) provides Small Entities Affected: Businesses. Risk Assessments and supplemental authority for the EPA to ban or restrict Government Levels Affected: None. analyses for these chemicals, the EPA the manufacture (including import), Federalism: This action may have determined that there is risk of adverse processing, distribution in commerce, federalism implications as defined in human health effects (acute and and use of chemical substances, as well EO 13132. chronic) for methylene chloride and as any manner or method of disposal. Sectors Affected: 33641 Aerospace NMP in occupational, consumer and The EPA identified trichloroethylene Product and Parts Manufacturing; residential settings. (TCE) for risk evaluation as part of its 336411 Aircraft Manufacturing; 325199 Timetable: Work Plan for Chemical Assessment All Other Basic Organic Chemical Action Date FR Cite under TSCA. TCE is used in industrial Manufacturing; 33299 All Other and commercial processes, and also has Fabricated Metal Product NPRM ...... 12/00/16 some limited uses in consumer Manufacturing; 325998 All Other products. In the June 2014 TSCA Work Miscellaneous Chemical Product and Regulatory Flexibility Analysis Plan Chemical Risk Assessment for TCE, Preparation Manufacturing; 332999 All Required: Yes. the EPA identified risks associated with Other Miscellaneous Fabricated Metal Small Entities Affected: Businesses. commercial vapor degreasing. EPA Product Manufacturing; 333999 All Government Levels Affected: None. proposes that the use of TCE in vapor Other Miscellaneous General Purpose Federalism: This action may have degreasing presents unreasonable risks Machinery Manufacturing; 33999 All federalism implications as defined in to human health, and is initiating Other Miscellaneous Manufacturing; EO 13132. rulemaking under TSCA section 6 to 339999 All Other Miscellaneous
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Manufacturing; 32799 All Other Manufacturing; 3399 Other United States ceased in the 1970s, PCB- Nonmetallic Mineral Product Miscellaneous Manufacturing; 332313 containing equipment is at least 30 Manufacturing; 326299 All Other Plate Work Manufacturing; 332913 years old and may be nearing the end Rubber Product Manufacturing; 325220 Plumbing Fixture Fitting and Trim of its expected useful life. Several Artificial and Synthetic Fibers and Manufacturing; 325612 Polish and international treaties have recognized Filaments Manufacturing; 334512 Other Sanitation Good Manufacturing; the hazards of PCBs and the risks they Automatic Environmental Control 332721 Precision Turned Product pose to human health and the Manufacturing for Residential, Manufacturing; 332216 Saw Blade and environment. EPA has recently learned Commercial, and Appliance Use; Handtool Manufacturing; 334511 that there was widespread use of PCBs 332722 Bolt, Nut, Screw, Rivet, and Search, Detection, Navigation, at levels at or above 50 ppm, prior to the Washer Manufacturing; 334416 Guidance, Aeronautical, and Nautical 1979 TSCA ban, in the formulation of Capacitor, Resistor, Coil, Transformer, System and Instrument Manufacturing; caulk used in schools and other and Other Inductor Manufacturing; 332994 Small Arms, Ordnance, and commercial buildings. In the current 311812 Commercial Bakeries; 323111 Ordnance Accessories Manufacturing; regulations PCBs are excluded from the Commercial Printing (except Screen and 325611 Soap and Other Detergent TSCA ban only if found below 50 ppm. Books); 811310 Commercial and Manufacturing; 331512 Steel Investment Thus, many schools and other building Industrial Machinery and Equipment Foundries; 339112 Surgical and Medical owners are now facing an unauthorized (except Automotive and Electronic) Instrument Manufacturing. use of PCBs that has been present in Repair and Maintenance; 81131 URL for More Information: https:// their buildings for many years. This www.epa.gov/chemical-data-under- Commercial and Industrial Machinery ANPR will solicit comment as to toxic-substance-control-act-tsca. and Equipment (except Automotive and whether the current threshold of 50 Agency Contact: Cindy Wheeler, Electronic) Repair and Maintenance; ppm should be revised so that PCBs in Environmental Protection Agency, 339114 Dental Equipment and Supplies caulk found at other levels could be Office of Chemical Safety and Pollution Manufacturing; 332813 Electroplating, authorized for use and, if so, under what Prevention, 7404T, Washington, DC conditions. EPA is required to make a Plating, Polishing, Anodizing, and 20460, Phone: 202 566–0484, Email: finding that the authorized use will not Coloring; 332912 Fluid Power Valve and [email protected]. present an unreasonable risk to human Hose Fitting Manufacturing; 333511 Joel Wolf, Environmental Protection health and the environment. Needless to Industrial Mold Manufacturing; 333413 Agency, Office of Chemical Safety and say, many changes have taken place in Industrial and Commercial Fan and Pollution Prevention, 7404T, 1200 the industry sectors that use such Blower and Air Purification Equipment Pennsylvania Avenue NW., Washington, equipment, and EPA believes that the Manufacturing; 337127 Institutional DC 20460, Phone: 202 564–2228, Fax: balance of risks and benefits from the Furniture Manufacturing; 334515 202 566–0471, Email: [email protected]. continued use of remaining equipment Instrument Manufacturing for RIN: 2070–AK11. containing PCBs may have changed Measuring and Testing Electricity and enough to consider amending the Electrical Signals; 332111 Iron and Steel current regulations. Forging; 331210 Iron and Steel Pipe and EPA—OCSPP Summary of Legal Basis: TSCA Tube Manufacturing from Purchased section 6(e)(2)(A) provides that ‘‘no Steel; 339910 Jewelry and Silverware 127. Polychlorinated Biphenyls (PCBS); person may manufacture, process, or Manufacturing; 332431 Metal Can Reassessment of Use Authorizations for distribute in commerce or use any Manufacturing; 332812 Metal Coating, PCBS in Small Capacitors in polychlorinated biphenyl in a manner Engraving (except Jewelry and Fluorescent Light Ballasts in Schools other than in a totally enclosed manner’’ Silverware), and Allied Services to and Daycares after January 1, 1978. However, TSCA Manufacturers; 332119 Metal Crown, Priority: Economically Significant. section 6(e)(2)(B) provides EPA with the Closure, and Other Metal Stamping Major under 5 U.S.C. 801. authority to issue regulations allowing (except Automotive); 332811 Metal Heat Unfunded Mandates: This action may the use and distribution in commerce of Treating; 332215 Metal Kitchen affect State, local or tribal governments. PCBs in a manner other than a totally Cookware, Utensil, Cutlery, and Legal Authority: 15 U.S.C. 2605 Toxic enclosed manner if the EPA Flatware (except Precious) Substances Control Act Administrator finds that the use and Manufacturing; 339 Miscellaneous CFR Citation: 40 CFR 761. distribution in commerce ‘‘will not Manufacturing; 33634 Motor Vehicle Legal Deadline: None. present an unreasonable risk of injury to Brake System Manufacturing; 336310 Abstract: The EPA’s regulations health or the environment.’’ EPA Motor Vehicle Gasoline Engine and governing the use of Polychlorinated published the first regulations Engine Parts Manufacturing; 335312 Biphenyls (PCBs) in electrical addressing the use of equipment Motor and Generator Manufacturing; equipment and other applications were containing PCBs on May 31, 1979. 928110 National Security; 331410 first issued in the late 1970s and have Alternatives: Alternatives will be Nonferrous Metal (except Aluminum) not been updated since 1998. The EPA developed as part of the development of Smelting and Refining; 336413 Other has initiated rulemaking to reassess the a proposed rule. Aircraft Parts and Auxiliary Equipment ongoing authorized use of PCBs in small Anticipated Cost and Benefits: The Manufacturing; 424690 Other Chemical capacitors. In particular, the EPA will prepare a regulatory impact and Allied Products Merchant reassessment of the use authorization analysis as part of the development of Wholesalers; 333318 Other Commercial will focus on the use of liquid PCBs in a proposed rule. and Service Industry Machinery small capacitors in fluorescent light Risks: PCB exposures can cause Manufacturing; 334419 Other Electronic ballasts. A separate Regulatory Agenda significant human health and ecological Component Manufacturing; 332618 entry (RIN 2070–AJ38) addresses the effects. The EPA and the International Other Fabricated Wire Product proposed reassessment of other PCB use Agency for Research on Cancer (IARC) Manufacturing; 333249 Other Industrial authorizations. have characterized some commercial Machinery Manufacturing; 334519 Statement of Need: Since the PCB mixtures as probably carcinogenic Other Measuring and Controlling Device commercial manufacture of PCBs in the to humans. In addition to
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carcinogenicity, potential effects of PCB managing-chemicals-under-tsca/frank-r- Federalism: Undetermined. exposure include neurotoxicity, lautenberg-chemical-safety-21st- Sectors Affected: 325 Chemical reproductive and developmental century-act. This particular rulemaking Manufacturing. toxicity, immune system suppression, effort involves the revised TSCA section URL for More Information: https:// liver damage, skin irritation, and 6(b)(4), which requires EPA to www.epa.gov/assessing-and-managing- endocrine disruption. PCBs persist in promulgate a final rule within 1 year of chemicals-under-tsca. the environment for long periods of time enactment to establish EPA’s process for Agency Contact: Susanna Blair, and bioaccumulate, especially in fish evaluating the risk of existing chemical Environmental Protection Agency, and marine animals. PCBs are also substances and determining whether Office of Chemical Safety and Pollution readily transported across long they present an unreasonable risk of Prevention, Mail Code 7401M, distances in the environment, and can injury to health or the environment, Washington, DC 20460, Phone: 202 564– easily cycle between air, water, and soil. without consideration of costs or other 4371, Email: [email protected]. Timetable: non-risk factors, including an RIN: 2070–AK20 unreasonable risk to a potentially Action Date FR Cite exposed or susceptible subpopulation identified as relevant to the risk EPA—OCSPP NPRM ...... 01/00/17 evaluation by the Administrator, under the conditions of use. 129. • Procedures for Prioritization of Regulatory Flexibility Analysis Statement of Need: As required by Chemicals for Risk Evaluation Under Required: Yes. statute, the EPA must establish EPA’s the Toxic Substances Control Act Small Entities Affected: Businesses, process for evaluating the risk of Governmental Jurisdictions, Priority: Other Significant. existing chemical substances and Organizations. Legal Authority: 15 U.S.C. 2605 Toxic Government Levels Affected: State, determining whether they present an Substances Control Act Local, Tribal. unreasonable risk of injury to health or CFR Citation: 40 CFR NYD. Federalism: This action may have the environment, without consideration Legal Deadline: None. federalism implications as defined in of costs or other non-risk factors, Abstract: On June 22, 2016, President EO 13132. including an unreasonable risk to a Obama signed into law the Frank R. Sectors Affected: 31–33 potentially exposed or susceptible Lautenberg Chemical Safety for the 21st Manufacturing; 811 Repair and subpopulation identified as relevant to Century Act which amends the Toxic Maintenance; 92 Public Administration. the risk evaluation by the Substance Control Act (TSCA), the URL for More Information: http:// Administrator, under the conditions of Nation’s primary chemicals www.epa.gov/pcbs. use. management law. A summary of the Agency Contact: Peter Gimlin, Summary of Legal Basis: This new law, which includes much needed Environmental Protection Agency, particular rulemaking effort involves the improvements to TSCA, is available at Office of Chemical Safety and Pollution revised TSCA section 6(b)(4), which https://www.epa.gov/assessing-and- Prevention, 7404T, 1200 Pennsylvania requires EPA to promulgate a final rule managing-chemicals-under-tsca/frank-r- Avenue NW., Washington, DC 20460, within 1 year of enactment to establish lautenberg-chemical-safety-21st- Phone: 202 566–0515, Fax: 202 566– EPA’s process for evaluating the risk of century-act. This particular rulemaking 0473, Email: [email protected]. existing chemical substances and effort involves the revised TSCA section Erik Winchester, Environmental determining whether they present an 6(b)(1), which requires that EPA Protection Agency, Office of Chemical unreasonable risk of injury to health or promulgate a final rule within 1 year of Safety and Pollution Prevention, 7404T, the environment, without consideration enactment to establish a risk-based Washington, DC 20460, Phone: 202 564– of costs or other non-risk factors, screening process, including criteria for 6450, Email: [email protected]. including an unreasonable risk to a designating chemical substances as RIN: 2070–AK12 potentially exposed or susceptible high-priority substances for risk subpopulation identified as relevant to evaluations or low-priority substances the risk evaluation by the for which risk evaluations are not Administrator, under the conditions of EPA—OCSPP warranted at the time. As required by use. statute, the process to designate the • 128. Procedures for Evaluating Alternatives: Alternatives will be priority of chemical substances must Existing Chemical Risks Under the developed as part of the development of include a consideration of the hazard Toxic Substances Control Act a proposed rule. and exposure potential of a chemical Anticipated Cost and Benefits: The substance or a category of chemical Priority: Other Significant. EPA will prepare a regulatory impact Legal Authority: 15 U.S.C. 2601 et seq. substances (including consideration of analysis as part of the development of Toxic Substances Control Act persistence and bioaccumulation, a proposed rule. CFR Citation: Not Yet Determined. potentially exposed or susceptible Risks: This will be a procedural rule Legal Deadline: Final, Statutory, June subpopulations and storage near related to risk evaluations. It is not 22, 2017. significant sources of drinking water), intended to address any particular risk. Abstract: On June 22, 2016, President the conditions of use or significant Timetable: Obama signed into law the Frank R. changes in the conditions of use of the Lautenberg Chemical Safety for the 21st Action Date FR Cite chemical substance, and the volume or Century Act which amends the Toxic significant changes in the volume of the Substance Control Act (TSCA), the NPRM ...... 12/00/16 chemical substance manufactured or Nation’s primary chemicals processed. management law. A summary of the Regulatory Flexibility Analysis Statement of Need: As required by new law, which includes much needed Required: Undetermined. statute, the process to designate the improvements to TSCA, is available at Government Levels Affected: priority of chemical substances must https://www.epa.gov/assessing-and- Undetermined. include a consideration of the hazard
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and exposure potential of a chemical EPA—OFFICE OF LAND AND instruments. The EPA also expects to substance or a category of chemical EMERGENCY MANAGEMENT (OLEM) incur administrative and oversight substances (including consideration of costs. These regulations will help Proposed Rule Stage persistence and bioaccumulation, ensure that businesses make financial potentially exposed or susceptible 130. Financial Responsibility arrangements to address risks from subpopulations and storage near Requirements Under Cercla Section hazardous substances at their sites, and significant sources of drinking water), 108(B) for Classes of Facilities in the encourage businesses to improve their the conditions of use or significant Hardrock Mining Industry management of hazardous substances. Risks: EPA’s 108(b) rules are intended changes in the conditions of use of the Priority: Economically Significant. to address the risks associated with the chemical substance, and the volume or Major under 5 U.S.C. 801. significant changes in the volume of the Unfunded Mandates: This action may production, transportation, treatment, chemical substance manufactured or affect the private sector under PL 104– storage or disposal of hazardous processed. 4. substances at hardrock mining and Summary of Legal Basis: This action Legal Authority: 42 U.S.C. 9601 et mineral processing facilities. Timetable: is mandated by the Frank R. Lautenberg seq.; 42 U.S.C. 9608(b) Chemical Safety for the 21st Century CFR Citation: 40 CFR 320. Action Date FR Cite Act which amended the Toxic Legal Deadline: NPRM, Judicial, Substance Control Act (TSCA), on June December 1, 2016, Notice of proposed Notice ...... 07/28/09 74 FR 37213 22, 2016. This particular rulemaking rulemaking. NPRM ...... 12/00/16 effort involves the revised TSCA section Abstract: Section 108(b) of the Final Rule ...... 12/00/17 6(b)(1), which requires that EPA Comprehensive Environmental promulgate a final rule within 1 year of Response, Compensation, and Liability Regulatory Flexibility Analysis enactment to establish a risk-based Act (CERCLA) of 1980, as amended, Required: Yes. screening process, including criteria for establishes certain authorities Small Entities Affected: Businesses. designating chemical substances as concerning financial responsibility Government Levels Affected: Federal. high-priority substances for risk requirements. The agency has identified Additional Information: Docket No.: evaluations or low-priority substances classes of facilities within the hardrock EPA–HQ–SFUND–2015–0781. Split for which risk evaluations are not mining industry as those for which from RIN 2050–AG56. warranted at the time. financial responsibility requirements Sectors Affected: 212 Mining (except Oil and Gas); 331 Primary Metal Alternatives: Alternatives will not be will be first developed. The EPA intends to include requirements for financial Manufacturing. developed as part of the development of URL for More Information: https:// responsibility, as well as notification a proposed rule. www.epa.gov/superfund/superfund- Anticipated Cost and Benefits: The and implementation. Statement of Need: EPA’s 108(b) rules financial-responsibility. EPA will prepare a regulatory impact URL for Public Comments: http:// will address the degree and duration of analysis as part of the development of www.regulations.gov/ risks associated with aspects of a proposed rule. #!documentDetail;D=EPA-HQ-SFUND- hazardous substance management at 2009-0265-0001. Risks: This action will not address hardrock mining and mineral processing any particular risk. It will establish a Agency Contact: Barbara Foster, facilities. These regulations will help Environmental Protection Agency, risk-based screening process, including ensure that businesses make financial criteria for designating chemical Office of Land and Emergency arrangements to address risks from Management, 5304P, 1200 Pennsylvania substances as high-priority substances hazardous substances at their sites, and for risk evaluations or low-priority Avenue NW., Washington, DC 20460, encourage businesses to improve their Phone: 703 308–7057, Email: substances for which risk evaluations management of hazardous substances. are not warranted at the time. [email protected]. Summary of Legal Basis: Section Scott Palmer, Environmental Timetable: 108(b) of the Comprehensive Protection Agency, Office of Land and Environmental Response, Emergency Management, 5305P, 1200 Action Date FR Cite Compensation, and Liability Act Pennsylvania Avenue NW., Washington, (CERCLA) of 1980, as amended, NPRM ...... 12/00/16 DC 20460, Phone: 703 308–8621, Email: establishes certain regulatory authorities [email protected]. concerning financial responsibility RIN: 2050–AG61 Regulatory Flexibility Analysis requirements. Specifically, the statutory Required: Undetermined. language addresses the promulgation of Government Levels Affected: Federal, regulations that require classes of State, Tribal. facilities to establish and maintain EPA—OFFICE OF WATER (OW) Sectors Affected: 325 Chemical evidence of financial responsibility Proposed Rule Stage Manufacturing. consistent with the degree and duration of risk associated with the production, 131. National Primary Drinking Water URL for More Information: https:// transportation, treatment, storage, or Regulations for Lead and Copper: www.epa.gov/assessing-and-managing- disposal of hazardous substances. Regulatory Revisions chemicals-under-tsca. Alternatives: The EPA is considering Priority: Economically Significant. Agency Contact: Ryan Schmit, proposing for comment alternatives for Major status under 5 U.S.C. 801 is Environmental Protection Agency, allowable types of financial undetermined. Office of Chemical Safety and Pollution instruments. Unfunded Mandates: Undetermined. Prevention, 7404T, Washington, DC Anticipated Cost and Benefits: The Legal Authority: 42 U.S.C. 300f et seq. 20460, Phone: 202 564–0610, Fax: 202 EPA expects that the primary costs of Safe Drinking Water Act 566–0471, Email: [email protected]. the rule will be the costs to facilities for CFR Citation: 40 CFR 141; 40 CFR RIN: 2070–AK23 procuring required financial 142.
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Legal Deadline: None. decisions. EPA’s goal for the LCR www.epa.gov/regdarrt/retrospective/ Abstract: Beginning in 2004, EPA revisions is to improve the effectiveness history.html. conducted a wide-ranging review of of public health protections while URL for More Information: http:// implementation of the Lead and Copper maintaining a rule that can be water.epa.gov/lawsregs/rulesregs/sdwa/ Rule (LCR) to determine if there is a effectively implemented by the 68,000 lcr/index.cfm. national problem related to elevated drinking water systems that are covered Agency Contact: Jeffrey Kempic, lead levels. EPA’s comprehensive by the rule. Environmental Protection Agency, review consisted of several elements, Summary of Legal Basis: The Safe Office of Water, Mail Code 4607M, 1200 including a series of workshops Drinking Water Act (SDWA) (42 U.S.C. Pennsylvania Avenue NW., Washington, designed to solicit issues, comments, 300f et seq.) requires EPA to establish DC 20460, Phone: 202 564–4880, Fax: and suggestions from stakeholders on maximum contaminant level goals 202 564–3760, Email: kempic.jeffrey@ particular issues; a review of monitoring (MCLGs) and National Primary Drinking epa.gov. data to evaluate the effectiveness of the Water Regulations (NPDWRs) for Jerry Ellis, Environmental Protection LCR; and a review of the LCR contaminants that may have an adverse Agency, Office of Water, Mail Code implementation by States and water effect on the health of persons, may 4607M, Washington, DC 20460, Phone: utilities. As a result of this multi-part occur in public water systems at a 202 564–2766, Email: ellis.jerry@ review, EPA identified seven targeted frequency and level of public concern, epa.gov. rules changes and EPA promulgated a and in the sole judgment of the RIN: 2040–AF15 set of short-term regulatory revisions Administrator, regulation of the and clarifications on October 10, 2007, contaminant would present a to strengthen implementation of the meaningful opportunity for health risk EPA—OW existing Lead and Copper Rule. In reduction for persons served by public developing the short-term revisions, water systems (section 1412(b)(1)(A)). 132. • Fees for Water Infrastructure EPA identified several regulatory The 1986 amendments to SDWA Project Applications Under the Water changes to be considered as part of established a list of 83 contaminants for Infrastructure Finance and Innovation identifying more comprehensive which EPA is to develop MCLGs and Act changes to the rule. These NPDWRs, which included lead and considerations are longer-term in nature Priority: Other Significant. copper. The 1991 NPDWR for Lead and Legal Authority: 33 U.S.C. 3901 et seq. as they require additional data Copper (56 FR 26460, U.S. EPA, 1991a) collection, research, analysis, and WRDDA fulfilled the requirements of the 1986 CFR Citation: TBD. stakeholder involvement to support SDWA amendments with respect to lead decisions. This action addresses the Legal Deadline: None. and copper. EPA promulgated a set of Abstract: EPA is proposing this rule to remaining regulatory revisions. EPA’s short-term regulatory revisions and goal for the LCR revisions is to improve establish fees for applying for federal clarifications on October 10, 2007, to credit assistance under the Water the effectiveness of public health strengthen implementation of the protections while maintaining a rule Infrastructure Finance and Innovation existing Lead and Copper Rule. In Act (WIFIA) program. As specified that can be effectively implemented by developing the short-term revisions, the 68,000 drinking water systems that under 33 U.S.C. 3908(b)(7), 3909(b), and EPA identified several regulatory 3909(c)(3), EPA is authorized to charge are covered by the rule. changes to be considered as part of Statement of Need: Beginning in fees to recover all or a portion of the identifying more comprehensive 2004, EPA conducted a wide-ranging Agency’s cost of providing credit changes to the rule. These review of implementation of the Lead assistance and the costs of retaining considerations are longer-term in nature and Copper Rule (LCR) to determine if expert firms, including counsel, in the as they require additional data there is a national problem related to field of municipal and project finance to collection, research, analysis, and elevated lead levels. EPA’s assist in the underwriting and servicing stakeholder involvement to support comprehensive review consisted of of Federal credit instruments. EPA is several elements, including a series of decisions. Changes will be made to proposing an initial application fee, workshops designed to solicit issues, improve the effectiveness of public credit processing fee, and servicing fee comments, and suggestions from health protections while maintaining a and is seeking comment on these. stakeholders on particular issues; a rule that can be effectively Statement of Need: EPA is proposing review of monitoring data to evaluate implemented. to establish fees for applying for federal the effectiveness of the LCR; and a Alternatives: To be determined. credit assistance under the Water Anticipated Cost and Benefits: To be review of the LCR implementation by Infrastructure Finance and Innovation determined. States and water utilities. As a result of Act (WIFIA) program. As specified Risks: To be determined. this multi-part review, EPA identified under 33 U.S.C. 3908(b)(7), 3909(b), and Timetable: seven targeted rules changes and EPA 3909(c)(3), EPA is authorized to charge fees to recover all or a portion of the promulgated a set of short-term Action Date FR Cite regulatory revisions and clarifications Agency’s cost of providing credit on October 10, 2007, to strengthen NPRM ...... 06/00/17 assistance and the costs of retaining implementation of the existing Lead and Final Rule ...... 12/00/18 expert firms, including counsel, in the Copper Rule. In developing the short- field of municipal and project finance to term revisions, EPA identified several Regulatory Flexibility Analysis assist in the underwriting and servicing regulatory changes to be considered as Required: Undetermined. of Federal credit instruments. EPA is part of identifying more comprehensive Government Levels Affected: proposing an initial application fee, changes to the rule. These Undetermined. credit processing fee, and servicing fee considerations are longer-term in nature Federalism: Undetermined. and is seeking comment on these. as they require additional data Additional Information: This action Summary of Legal Basis: The Water collection, research, analysis, and includes retrospective review under Infrastructure Finance and Innovation stakeholder involvement to support Executive Order 13563; see: http:// Act (WIFIA) program authorizes EPA to
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provide secured (direct) loans and loan byproduct material. This review of the Pennsylvania Avenue NW., Washington, guarantees to eligible water rule is prompted by a settlement DC 20460, Phone: 202 343–9563, Fax: infrastructure projects. WIFIA was agreement based on EPA’s failure to 202 343–2304, Email: rosnick.reid@ passed as part of the Water Resources review the rule within 10 years of the epa.gov. Reform and Development Act of 2014, 1990 Clean Air Act Amendments. Dan Schultheisz, Environmental Pub. L. 113–121. The fees are specified Summary of Legal Basis: The Protection Agency, Office of Air and under 33 U.S.C. 3908(b)(7), 3909(b), and authority for this action comes from Radiation, 6608J, 1200 Pennsylvania 3909(c)(3). Clean Air Act section 112(q)(1). Avenue NW., Washington, DC 20460, Alternatives: To Be Determined. Alternatives: The rule proposed to Phone: 202 343–9349, Fax: 202 343– Anticipated Cost and Benefits: To Be establish Generally Available Control 2304, Email: schultheisz.daniel@ Determined. Technologies (GACT) or management epa.gov. Risks: To Be Determined. practices for conventional RIN: 2060–AP26 Timetable: impoundments, non-conventional impoundments, and heap leach piles. Action Date FR Cite EPA proposed to: Eliminate the radon EPA—OAR flux standard and monitoring at older NPRM ...... 11/00/16 conventional impoundments; to require 134. Revision of 40 CFR 192—Health Final Rule ...... 07/00/17 non-conventional impoundments to and Environmental Protection Standards for Uranium and Thorium Regulatory Flexibility Analysis retain one meter of liquid; to regulate heap leach piles from the initial Mill Tailings and Uranium In Situ Required: Undetermined. Leaching Processing Facilities Government Levels Affected: None. application of leaching solution; and to Priority: Other Significant. Agency Contact: Jordan Dorfman, require heap leach piles to maintain Legal Authority: 42 U.S.C. 2011 et seq. Environmental Protection Agency, 30% moisture content. A specific alternative was discussed only in Atomic Energy Act Office of Water, 4204M, 1200 CFR Citation: 40 CFR 192. Pennsylvania Avenue NW., Washington, relation to regulating heap leach piles. The alternative was to not regulate the Legal Deadline: None. DC 20460, Phone: 202 564–0614, Email: Abstract: The EPA’s regulations in 40 [email protected]. piles under subpart W until the leaching (extraction) process was completed and CFR 192 establish standards for the Karen Fligger, Environmental protection of public health, safety, and Protection Agency, Office of Water, the heap leach pile contained only uranium byproduct material. the environment from radiological and 4204M, 1200 Pennsylvania Avenue nonradiological hazards associated with Anticipated Cost and Benefits: Costs NW., Washington, DC 20460, Phone: uranium ore processing and disposal of attributable to the proposed rule include 202 564–2992, Email: fligger.karen@ resulting waste materials. These cross- the cost to maintain one meter of liquid epa.gov. media standards, which apply to in non-conventional impoundments and Related RIN: Related to 2040–AF63 pollutant emissions and site restoration, the cost to maintain 30% moisture RIN: 2040–AF64 must be adopted by the Nuclear content in heap leach piles. These costs Regulatory Commission, their represent less than 0.1% of baseline Agreement States, and the Department facility costs. The primary benefit is of Energy. The EPA reviewed the EPA—OFFICE OF AIR AND RADIATION maintaining air quality in the vicinity of (OAR) standards in the existing rule and uranium recovery facilities to levels proposed to revise the regulations in Final Rule Stage consistent with the 1989 rule. January 2016 (80 FR 4155), taking into Risks: The proposed rule maintains 133. National Emission Standards for particular account the significant the estimated individual lifetime risk of changes in uranium industry extraction Hazardous Air Pollutants (NESHAP) fatal cancer at approximately 1 × 10–4 Subpart W: Standards for Radon technologies and their potential impacts or below, consistent with the 1989 rule. to groundwater. In addition, new Emissions From Operating Uranium Population risk is estimated at between facilities being proposed in states from Mill Tailings: Review 0.0015 and 0.0026 fatal cancers per year, Virginia to Alaska add to the importance Priority: Other Significant. or approximately 1 case every 385 to of this effort. The final rule will Legal Authority: 42 U.S.C. 7401 et seq. 667 years for the 4 million persons incorporate comments from industry Clean Air Act. living within 80 km of uranium and public stakeholders received during CFR Citation: 40 CFR 61. recovery facilities. the proposal, as well as the intra-agency Legal Deadline: None. Timetable: workgroup. Abstract: National Emission Statement of Need: In-situ uranium Standards for Hazardous Air Pollutants Action Date FR Cite recovery (ISR) is now the dominant (NESHAP) subpart W protects human NPRM ...... 05/02/14 79 FR 25387 form of uranium recovery. ISR involves health and the environment by setting NPRM Comment 07/21/14 79 FR 42275 injection of chemical solutions to alter radon emission standards and work Period Ex- groundwater chemistry and mobilize practices for operating uranium mill tended. uranium, which is then extracted. tailings impoundments. The EPA is in Final Rule ...... 11/00/16 Monitoring and groundwater restoration the process of reviewing this standard. must be conducted to limit the potential If necessary, the Agency will revise the Regulatory Flexibility Analysis for contamination during operations and NESHAP requirements for radon Required: No. after facility closure. Rules specific to emissions from operating uranium mill Small Entities Affected: No. ISR do not exist at the federal level. The tailings. Government Levels Affected: State, current rulemaking will provide Statement of Need: This radionuclide Tribal. national consistency in protecting NESHAP promulgated in 1989 limits Agency Contact: Reid Rosnick, groundwater at ISR facilities. radon emissions from operating Environmental Protection Agency, Summary of Legal Basis: EPA’s impoundments that manage uranium Office of Air and Radiation, 6608J, 1200 authority to establish standards of
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general application to protect public Regulatory Flexibility Analysis Alternatives: In the proposal, the EPA health, safety, and the environment is Required: No. solicited comments on many topics. For provided by section 275 of the Atomic Small Entities Affected: No. the rate-based Model Trading Rule, the Energy Act of 1954, as amended by Government Levels Affected: State, EPA solicited comment on different section 206 of the Uranium Mill Tribal. methods for calculating Gas Shift Tailings Radiation Control Act of 1978. Additional Information: SAN No. Emission Rate Credits. Also in the rate- EPA’s standards of general application 5319. based Model Trading Rule, there were are implemented and enforced by the Sectors Affected: 212291 Uranium- alternatives sought for the overall Nuclear Regulatory Commission (NRC). Radium-Vanadium Ore Mining. structure of a rate-base trading rule that Agency Contact: Ingrid Rosencrantz, Alternatives: The proposed rule aligns with the Clean Power Plan and Environmental Protection Agency, would establish a framework for facilitates interstate trading. For the Office of Air and Radiation, 2844T, 1200 monitoring at ISR facilities. The primary mass-based Model Trading Rule, the Pennsylvania Avenue NW., Washington, alternatives proposed related to the EPA solicited comment on allocation DC 20460, Phone: 202 566–0961, Email: length of the long-term stability approaches and methods for addressing [email protected]. monitoring period. EPA proposed a 30- leakage. year monitoring period, with provision Tom Peake, Environmental Protection to shorten using geochemical modeling. Agency, Office of Air and Radiation, Anticipated Cost and Benefits: There Alternative presented were a 30-year 6608J, 1200 Pennsylvania Avenue NW., are no anticipated costs for these Model period, with no provision for Washington, DC 20460, Phone: 202 343– Trading Rules that differ from the shortening, and a narrative standard 9765, Fax: 202 343–2304, Email: anticipated costs described in the Clean identifying performance goals with no [email protected]. Power Plan. The Model Trading Rules specified time period, in which the NRC RIN: 2060–AP43 have the anticipated benefits described would determine whether monitoring is there as well. Actions taken to comply sufficient based on site-specific with the Clean Power Plan will also conditions. EPA—OAR reduce the emissions of directly-emitted Anticipated Cost and Benefits: The PM2.5, SO2, and NOX. The benefits proposed rule was estimated to increase 135. Model Trading Rules for associated with these PM2.5, SO2, and the average cost of uranium production Greenhouse Gas Emissions From NOX reductions are referred to as co- at ISR facilities by approximately $1.50 Electric Utility Generating Units benefits, as these reductions are not the per pound of uranium (∼2.9%), and that Constructed on or Before January 8, primary objective of this rule. The RIA average costs per facility would range 2014 for the Clean Power Plan spells out, in from $304,000 to $9.5 million, Priority: Other Significant. detail, the numerical benefits associated depending on the scale of the facility. Legal Authority: 42 U.S.C. 7401 et seq. with the model trading rules. Total annual costs attributable to the CFR Citation: 40 CFR 62. Risks: Because these Model Trading Legal Deadline: None. rule were estimated at approximately Rules are example trading programs for Abstract: In the final Clean Power $13.5 million. Benefits are primarily the states, there is no risk associated with Plan (CPP) promulgated in August 2015, avoidance of remediation of them outside of what is described in the the EPA set Emission Guidelines for the contamination resulting from Clean Power Plan. insufficient restoration and monitoring. best system of emission reductions for Because current practice is to monitor carbon dioxide from existing power Timetable: for only a short period after restoration, plants. States were tasked in the CPP Action Date FR Cite it was not possible to determine how with developing plans to achieve many sites could require remediation in reductions in carbon dioxide emissions from the existing power plants in each NPRM ...... 10/23/15 80 FR 64965 the absence of the rule or quantify Final Rule ...... 12/00/16 benefits, although it is estimated that state. In these model trading rules, the the cost of remediation at any particular EPA will finalize models that provide site would likely exceed the cost of two optional approaches (rate-based and Regulatory Flexibility Analysis compliance with the rule. mass-based emission trading programs) Required: No. Risks: Risk to public health would be that states may use in developing a plan. Small Entities Affected: No. from exposure to groundwater Statement of Need: These model trading rules provide states with Government Levels Affected: Federal, contamination resulting from Local, State, Tribal. insufficient restoration and monitoring. examples of a mass-based trading Because current practice is to monitor program and a rate-based trading Energy Effects: Statement of Energy for only a short period after restoration, program that can be used as part of a Effects planned as required by Executive there is insufficient information to state plan submission for the Clean Order 13211. determine public exposures after Power Plan. These model trading rules Agency Contact: Nicholas Swanson, monitoring is terminated. Therefore, it achieve the level of carbon dioxide Environmental Protection Agency, is not possible to quantify the health emission reductions achieved through Office of Air and Radiation, E143–03, benefits of the rule, such as cancers the Clean Power Plan. Research Triangle Park, NC 27711, averted. Summary of Legal Basis: The Model Phone: 919 541–4080, Fax: 919 541– Timetable: Trading rules are example trading 3470, Email: swanson.nicholas@ programs the states may use to achieve epa.gov. Action Date FR Cite emission reductions for carbon dioxide from existing power plants. They can be Jeremy Tarr, Environmental NPRM ...... 01/26/15 80 FR 4155 used by states as part of their Protection Agency, Office of Air and NPRM Comment 04/24/15 80 FR 22964 submissions for the Clean Power Plan. Radiation, D205–01, RTP, NC 27709, Period Ex- The Clean Power Plan was developed Phone: 919 541–3731, Email: tended. [email protected]. Final Rule ...... 11/00/16 under the authority of the Clean Air Act Section 111. RIN: 2060–AS47
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EPA—OAR Alternatives: The action will establish Abstract: The EPA is developing a 136. Renewable Fuel Volume Standards renewable fuel standards for the years final rule to revise the federal for 2017 and Biomass Based Diesel identified above. Comments submitted regulations governing the certified Volume (BBD) for 2018 during the public process will be pesticide applicator program (40 CFR reviewed and considered in the final part 171). In August 2015, the EPA Priority: Other Significant. standards. proposed revisions based on years of Legal Authority: 42 U.S.C. 7619 Clean Anticipated Cost and Benefits: In the extensive stakeholder engagement and Air Act proposal, EPA estimated that the cost to public meetings, to ensure that they CFR Citation: 40 CFR 80. produce renewable fuels compared to adequately protect applicators, the Legal Deadline: Final, Statutory, the costs of producing petroleum fuels public, and the environment from November 30, 2016, The statute requires would range from $535 to $971 million potential harm due to exposure to the standards be finalized by November in 2017. These illustrative cost estimate restricted use pesticides (RUPs). This 30 of the year prior to the year in which are not meant to be precise measures, action is intended to improve the the standards would apply. Final Statutory November 30,2016, nor do they attempt to capture the full competence of certified applicators of cellulosic biofuel, biomass based diesel impacts of the rule. These estimates are RUPs and to increase protection for (BBD), advanced biofuel, and total provided solely for the purpose of noncertified applicators of RUPs renewable fuel. The statute requires the showing how the cost to produce a operating under the direct supervision standards be finalized by November 30 gallon of a ‘‘representative’’ renewable of a certified applicator through of the year prior to the year in which the fuel compares to the cost of producing enhanced pesticide safety training and standards would apply. a petroleum fuel. The short timeframe standards for supervision of Abstract: The Clean Air Act requires provided for the annual renewable fuel noncertified applicators. the EPA to promulgate regulations that rule process does not allow sufficient Statement of Need: Change is needed specify the annual standards time for EPA to conduct a to strengthen the protections for requirements for renewable fuels under comprehensive analysis of the benefits pesticide applicators, the public, and the Renewable Fuel Standard (RFS) of the annual standards. Since the the environment from harm due to program. Standards are to be set for four benefits are unquantified, the net pesticide exposure. different categories of renewable fuels: benefits are incalculable. Summary of Legal Basis: This action cellulosic biofuel, biomass based diesel Risks: A risk analysis was not is issued under the authority of the (BBD), advanced biofuel, and total conducted. Federal Insecticide, Fungicide, and renewable fuel. The statute requires that Timetable: Rodenticide Act (FIFRA), 7 U.S.C. 136 the standards be finalized by November to 136y, particularly sections 136a(d), Action Date FR Cite 30 of the year prior to the year in which 136i, and 136w. the standards would apply. In the case NPRM ...... 05/31/16 81 FR 34777 Alternatives: The Agency has of biomass based diesel, the statute that Final Rule ...... 12/00/16 developed mechanisms to improve requires applicable volumes be set no applicator trainers and make training later than 14 months before the year for Regulatory Flexibility Analysis materials more accessible. The Agency which the requirements would apply. Required: No. has also developed nationally relevant This action would propose the Small Entities Affected: No. training and certification materials to applicable volumes for all renewable Government Levels Affected: None. preserve State resources while fuel categories for 2017, and would also Agency Contact: David Korotney, improving competency. However, these propose the BBD standard for 2018. Environmental Protection Agency, mechanisms and materials do not Statement of Need: Section 211(o) of Office of Air and Radiation, N27, Ann address other requisite needs for the Clean Air Act requires the EPA to Arbor, MI 48105, Phone: 734 214–4507, improving protections, such as promulgate regulations that specify the Email: [email protected]. requirements for determining annual volume requirements for Paul Argyropoulos, Environmental competency and recertification. The renewable fuels under the Renewable Protection Agency, Office of Air and EPA worked with key stakeholders to Fuel Standard (RFS) program. Standards Radiation, 6401A, 1200 Pennsylvania identify and evaluate various are to be set for four different categories Avenue NW., Washington, DC 20460, alternatives and regulatory options of renewable fuels: Cellulosic biofuel, Phone: 202 564–1123, Email: during the development of the proposed biomass based diesel (BBD), advanced [email protected]. rule. These are discussed in detail in the biofuel, and total renewable fuel. The RIN: 2060–AS72 proposed rule, and Economic Analysis statute requires the standards be that was prepared for the proposed rule. finalized by November 30 of the year Anticipated Cost and Benefits: The prior to the year in which the standards EPA prepared an Economic Analysis EPA—OFFICE OF CHEMICAL SAFETY would apply. In the case of biomass (EA) of the potential costs and impacts AND POLLUTION PREVENTION based diesel, the statute requires associated with the proposed rule, a (OCSPP) applicable volumes be set no later than copy or which is available in the docket, 14 months before the year for which the Final Rule Stage discussed in more detail in unit III of requirements would apply. the proposed rule; and briefly Summary of Legal Basis: The Clean 137. Pesticides; Certification of summarized here. The EPA monetized Air Act Section 211(o) requires the Pesticide Applicators benefits based on avoided acute standards be finalized by November 30 Priority: Other Significant. pesticide incidents are estimated at of the year prior to the year in which the Legal Authority: 7 U.S.C. 136 et seq. $80.5 million/year after adjustment for standards would apply. In the case of Federal Insecticide Fungicide and underreporting of pesticide incidents biomass based diesel, the statute Rodenticide Act (EA chapter 6.5). Qualitative benefits requires applicable volumes be set no CFR Citation: 40 CFR 156; 40 CFR include the following: later than 14 months before the year for 171. • Willingness to pay to avoid acute which the requirements would apply. Legal Deadline: None. effects of pesticide exposure beyond
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cost of treatment and loss of Regulatory Flexibility Analysis information, and several other changes productivity. Required: No. to certain regulatory definitions and • Reduced latent effect of avoided Small Entities Affected: No. data elements submitted in risk acute pesticide exposure. Government Levels Affected: Federal, management plans. Such amendments • Reduced chronic effects from lower Local, State, Tribal. are intended to improve chemical chronic pesticide exposure to workers, Additional Information: Docket No.: process safety, assist local emergency handlers, and farmworker families, EPA–HQ–OPP–2011–0183. Includes authorities in planning for and including a range of illnesses such as retrospective review under Executive responding to accidents, and improve non-Hodgkins lymphoma, prostate Order 13563. public awareness of chemical hazards at Sectors Affected: 9241 Administration cancer, Parkinson’s disease, lung cancer, regulated sources. of Environmental Quality Programs; 111 chronic bronchitis, and asthma. (EA Statement of Need: In response to Crop Production; 32532 Pesticide and chapter 6.4 & 6.6) EPA estimated total Executive Order 13650, the EPA is Other Agricultural Chemical incremental costs of $47.2 million/year considering potential revisions to its Manufacturing; 5617 Services to Risk Management Program regulations. (EA chapter 5), which included the Buildings and Dwellings. The Executive Order establishes the following: • URL for More Information: http:// Chemical Facility Safety and Security $19.5 million/year for costs to www.epa.gov/oppfead1/safety/ Working Group (‘‘Working Group’’), co- Private Applicators, with an estimated applicators/applicators.htm. chaired by the Secretary of Homeland 490,000 impacted and an average cost of URL for Public Comments: http:// Security, the Administrator of the EPA, $40 per applicator (EA chapter 5 & 5.6). www.regulations.gov/ and the Secretary of Labor or their • $27.4 million/year for costs to #!documentDetail;D=EPA-HQ-OPP- designated representatives at the Commercial Applicators, with an 2011-0183-0001. Assistant Secretary level or higher, and estimated 414,000 impacted and an Agency Contact: Michelle Arling, composed of senior representatives of average cost of $66 per applicator (EA Environmental Protection Agency, other federal departments, agencies, and chapter 5 & 5.6). Office of Chemical Safety and Pollution offices. The Executive Order requires • $359,000 for costs to States and Prevention, 7506P, 1200 Pennsylvania the Working Group to carry out a other jurisdictions, with an estimated 63 Avenue NW., Washington, DC 20460, number of tasks whose overall goal is to impacted (EA chapter 5). The EPA Phone: 703 308–5891, Fax: 703 308– prevent chemical accidents. Section estimated that there is no significant 2962, Email: [email protected]. 6(a)(i) of the Executive Order requires impact on a substantial number of small Kevin Keaney, Environmental the Working Group to develop options entities. EPA estimated that the Protection Agency, Office of Chemical for improved chemical facility safety proposed rule may affect over 800,000 Safety and Pollution Prevention, 7506c, and security that identify small farms that use pesticides, 1200 Pennsylvania Avenue NW., ‘‘improvements to existing risk although about half are unlikely to Washington, DC 20460, Phone: 703 305– management practices through agency apply restricted use pesticides. The 7666, Email: [email protected]. programs, private sector initiatives, estimated impact for small entities is RIN: 2070–AJ20 Government guidance, outreach, less than 0.1% of the annual revenues standards, and regulations.’’ Section 6(c) for the average small entity (EA chapter of Executive Order 13650 requires the Administrator of the EPA to review the 5.7). The EPA also estimated that the EPA—OFFICE OF LAND AND RMP Program (RMP). proposed rule will have a negligible EMERGENCY MANAGEMENT (OLEM) effect on jobs and employment because Summary of Legal Basis: Clean Air most private and commercial Final Rule Stage Act Section 112(r)(7) authorizes the EPA Administrator to promulgate regulations applicators are self-employed; and the 138. Modernization of the Accidental estimated incremental cost per to prevent accidental releases. Section Release Prevention Regulations Under 112(r)(7)(A) authorizes release applicator represents from 0.3 to 0.5 Clean Air Act percent of the cost of a part-time prevention, detection, and correction employee (EA chapter 5.6). Priority: Economically Significant. requirements that may include a broad Risks: Applicators are at risk from Major under 5 U.S.C. 801. range of methods, make distinctions exposure to pesticides they handle for Unfunded Mandates: This action may among classes and types of facilities, their work. The public and the affect the private sector under Public and may take into consideration other environment may also be at risk from Law 104–4. factors, including, but not limited to, misapplication by applicators. Revisions Legal Authority: 42 U.S.C. 7412(r) size, location, process and substance CFR Citation: 40 CFR 68. to the regulations are expected to factors, and response capabilities. Legal Deadline: None. Section 112(r)(7)(B) authorizes minimize these risks by ensuring the Abstract: The EPA, in response to competency of certified applicators. reasonable regulations and appropriate Executive Order 13650, is amending its guidance to provide, to the greatest Timetable: Risk Management Program regulations. extent practicable, for the prevention Such revisions may include several and detection of accidental releases of Action Date FR Cite changes to the accident prevention regulated substances and for response to Notice ...... 11/14/14 79 FR 68152 program requirements including an such releases by the owners or operators Notice ...... 11/14/14 79 FR 68152 additional analysis of safer technology of the sources of such releases. NPRM ...... 08/24/15 80 FR 51355 and alternatives for the process hazard Alternatives: The EPA is considering NPRM Comment 11/18/15 80 FR 72029 analysis for some Program 3 processes, revisions to the accident prevention, Period Ex- third-party audits and incident emergency response, recordkeeping, and tended. investigation root cause analysis for other provisions in 40 CFR part 68 to NPRM Comment 12/23/15 80 FR 79803 Program 2 and Program 3 processes, address chemical accident risks. The Period Ex- enhancements to the emergency proposed action will contain the EPA’s tended. Final Rule ...... 11/00/16 preparedness requirements, increased preferred option, as well as alternative public availability of chemical hazard regulatory options. The EPA also is
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considering publishing non-regulatory from Carcasses; 211112 Natural Gas authorized under the Water guidance to address some issues that Liquid Extraction; 32519 Other Basic Infrastructure Finance and Innovation will be raised in the proposed action. Organic Chemical Manufacturing; 42469 Act of 2014 (WIFIA). WIFIA authorizes Anticipated Cost and Benefits: Costs Other Chemical and Allied Products EPA to provide secured (direct) loans will include the burden on regulated Merchant Wholesalers; 49319 Other and loan guarantees to eligible water entities associated with implementing Warehousing and Storage; 322 Paper infrastructure projects. Following new or revised requirements, including Manufacturing; 42471 Petroleum Bulk project selection by the EPA program implementation, training, Stations and Terminals; 32411 Administrator, individual credit equipment purchases, and Petroleum Refineries; 311615 Poultry agreements will be developed through recordkeeping, as applicable. Some Processing; 49312 Refrigerated negotiations between the project costs will also accrue to implementing Warehousing and Storage; 22132 sponsors and EPA. The interim final agencies and local governments, due to Sewage Treatment Facilities; 11511 rule primarily restates and clarifies enhanced local coordination and Support Activities for Crop Production; statutory language while establishing recordkeeping requirements. Benefits 22131 Water Supply and Irrigation approaches to specific procedural issues will result from avoiding the harmful Systems. left to EPA’s discretion. accident consequences to communities URL for More Information: https:// Summary of Legal Basis: The Water and the environment, such as deaths, www.epa.gov/rmp. Infrastructure Finance and Innovation injuries, and property damage, URL for Public Comments: http:// Act (WIFIA) program authorizes EPA to environmental damage, and from www.regulations.gov/docket?D=EPA- provide secured (direct) loans and loan mitigating the effects of releases that HQ-OEM-2015-0725. guarantees to eligble water may occur. Agency Contact: Jim Belke, infrastructure projects. WIFIA was Risks: The proposed action will Environmental Protection Agency, passed as part of the Water Resources address the risks associated with Office of Land and Emergency Reform and Development Act of 2014, accidental releases of listed regulated Management, 5104A, 1200 Pennsylvania Pub. L. 113–121. toxic and flammable substances to the Avenue NW., Washington, DC 20460, Alternatives: To Be Determined. air from stationary sources. Substances Phone: 202 564–8023, Fax: 202 564– Anticipated Cost and Benefits: To Be regulated under the RMP program 8444, Email: [email protected]. Determined. include highly toxic and flammable Kathy Franklin, Environmental Risks: To Be Determined. substances that can cause deaths, Protection Agency, Office of Land and Timetable: injuries, property and environmental Emergency Management, 5104A, 1200 damage, and other on- and off-site Pennsylvania Avenue NW., Washington, Action Date FR Cite consequences if accidentally released. DC 20460, Phone: 202 564–7987, Fax: The proposed action will reduce these 202 564–2625, Email: franklin.kathy@ Interim Final Rule 11/00/16 risks by making accidental releases less epa.gov. likely, and by mitigating the severity of RIN: 2050–AG82 Regulatory Flexibility Analysis releases that may occur. The proposed Required: No. action would not address the risks of Small Entities Affected: No. Government Levels Affected: None. non-accidental chemical releases, EPA—OFFICE OF WATER (OW) accidental releases of non-regulated Agency Contact: Karen Fligger, substances, chemicals released to other Final Rule Stage Environmental Protection Agency, media, and air releases from mobile Office of Water, 4204M, 1200 139. Credit Assistance for Water Pennsylvania Avenue NW., Washington, sources. Infrastructure Projects Timetable: DC 20460, Phone: 202 564–2992, Email: Priority: Other Significant. [email protected]. Action Date FR Cite Legal Authority: 33 U.S.C. 3901 et seq. RIN: 2040–AF63 WRDDA BILLING CODE 6560–50–P NPRM ...... 03/14/16 81 FR 13637 CFR Citation: Undetermined. Final Rule ...... 12/00/16 Legal Deadline: None. Abstract: The EPA is taking this Regulatory Flexibility Analysis action to implement the Water EQUAL EMPLOYMENT OPPORTUNITY Required: Yes. Infrastructure Finance and Innovation COMMISSION (EEOC) Small Entities Affected: Businesses, Act (WIFIA) program. WIFIA was Statement of Regulatory and Governmental Jurisdictions. passed as part of the Water Resources Deregulatory Priorities Government Levels Affected: Federal, Reform and Development Act of 2014, Local, State, Tribal. Pub. L. 113–121. This action will The mission of the Equal Employment Additional Information: Docket No.: establish guidelines for the application Opportunity Commission (EEOC, EPA–HQ–OEM–2015–0725. process, selection criteria, and project Commission, or Agency) is to ensure Sectors Affected: 325 Chemical selection, as well as define threshold equality of opportunity in employment Manufacturing; 49313 Farm Product requirements for credit assistance, limits by vigorously enforcing and educating Warehousing and Storage; 42491 Farm on credit assistance, reporting the public about the following Federal Supplies Merchant Wholesalers; 311511 requirements, collection of fees and the statutes: Title VII of the Civil Rights Act Fluid Milk Manufacturing; 311 Food application of other Federal statutes. of 1964, as amended (prohibits Manufacturing; 221112 Fossil Fuel Statement of Need: EPA plans to issue employment discrimination on the basis Electric Power Generation; 311411 an interim final rule that establishes the of race, color, sex (including Frozen Fruit, Juice, and Vegetable guidelines for a new credit assistance pregnancy), religion, or national origin); Manufacturing; 49311 General program for water infrastructure projects the Equal Pay Act of 1963, as amended Warehousing and Storage; 31152 Ice and the process by which EPA will (makes it illegal to pay unequal wages Cream and Frozen Dessert administer such credit assistance. The to men and women performing Manufacturing; 311612 Meat Processed rule will implement a new program substantially equal work under similar
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working conditions at the same as set forth in 29 CFR 1614, require not been reviewed or approved by the establishment); the Age Discrimination Federal agencies and departments to be other members of the Commission. in Employment Act of 1967, as amended ‘‘model employers’’ of individuals with Retrospective Review of Existing (prohibits employment discrimination disabilities. The Commission issued an Regulations based on age of 40 or older); titles I and Advanced Notice of Proposed V of the Americans with Disabilities Rulemaking (ANPRM) on May 15, 2014 Pursuant to section 6 of Executive Act, as amended, and sections 501 and (79 FR 27824), and it issued a proposed Order 13563, ‘‘Improving Regulation 505 of the Rehabilitation Act, as rule on February 24, 2016 (81 FR 9123), and Regulatory Review’’ (Jan. 18, 2011), amended (prohibit employment to include a more detailed explanation the following Regulatory Identifier discrimination based on disability); title of how Federal agencies and Numbers (RINs) have been identified as II of the Genetic Information departments should ‘‘give full associated with retrospective review Nondiscrimination Act (prohibits consideration to the hiring, placement, and analysis in the EEOC’s final employment discrimination based on and advancement of qualified retrospective review of regulations plan. genetic information and limits individuals with disabilities.’’ Any Some of the entries on this list may be acquisition and disclosure of genetic revisions would be informed by completed actions, which do not appear information); and section 304 of the Management Directive 715, and may in The Regulatory Plan. However, more Government Employee Rights Act of include goals consistent with Executive information can be found about these 1991 (protects certain previously Order 13548. Furthermore, any completed rulemakings in past exempt State & local government revisions would result in costs only to publications of the Unified Agenda on employees from employment the Federal Government; would Reginfo.gov (http://reginfo.gov/) in the discrimination on the basis of race, contribute to increasing the employment Completed Actions section. These color, religion, sex, national origin, age, of individuals with disabilities; and rulemakings can also be found on or disability). would not affect risks to public health, Regulations.gov (http://regulations.gov). The Regulatory Plan has one item safety, or the environment. The EEOC’s final Plan for Retrospective entitled ‘‘Affirmative Action for Consistent with section 4(c) of Analysis of Existing Rules can be found Individuals With Disabilities in the Executive Order 12866, this statement at: http://www.eeoc.gov/laws/ Federal Government.’’ The EEOC’s was reviewed and approved by the regulations/retro_review_plan_ regulations implementing section 501, Chair of the Agency. The statement has final.cfm.
RIN Title Effect on small business
3046–AA91 ...... Revisions to procedures for complaints or charges of em- This rulemaking may decrease burdens on small busi- ployment discrimination based on disability subject to nesses by making the charge/complaint process more the americans with disabilities act and section 504 of efficient. the rehabilitation act of 1973. 3046–AA92 ...... Revisions to procedures for complaints/charges of em- This rulemaking may decrease burdens on small busi- ployment discrimination based on disability filed against nesses by making the charge/complaint process more employers holding government contracts or sub- efficient. contracts. 3046–AA93 ...... Revisions to procedures for complaints of employment This rulemaking may decrease burdens on small busi- discrimination filed against recipients of federal financial nesses by making the charge/complaint process more assistance. efficient. 3046–AB00 ...... Federal sector equal employment opportunity ...... This rulemaking pertains to the Federal sector equal em- ployment opportunity process and thus is not expected to affect small businesses.
EEOC that sought public comments on with disabilities and the employment of whether and how the existing individuals with targeted Final Rule Stage regulations could be improved to disabilities.—— 1 29 CFR 1614.203(a). 2 140. Affirmative Action for Individuals provide more detail on what being a Id. With Disabilities in the Federal ‘‘model employer’’ means and how Statement of Need: Pursuant to Government Federal agencies and departments section 501 of the Rehabilitation Act, Priority: Other Significant. should ‘‘give full consideration to the the Commission is authorized to issue Legal Authority: 29 U.S.C. 791(b) hiring, placement and advancement of such regulations as it deems necessary CFR Citation: 29 CFR 1614.203(a). qualified individuals with disabilities.’’ to carry out its responsibilities under Legal Deadline: None. 2 The NPRM was published on February this Act. Executive Order 13548 called Abstract: Section 501 of the 24, 2016 (81 FR 9123). The EEOC’s for increased efforts by Federal agencies Rehabilitation Act, as amended (Section review of the comments and potential and departments to recruit, hire, retain, 501), prohibits discrimination against revisions was informed by the and return individuals with disabilities individuals with disabilities in the discussion in Management Directive 715 to the Federal workforce. Federal Government. The EEOC’s of the tools Federal agencies should use Summary of Legal Basis: Section 501 regulations implementing section 501, to establish goals for the employment of the Rehabilitation Act of 1973, as as set forth in 29 CFR part 1614, require and advancement of individuals with amended (section 501), 29 U.S.C. 791, in Federal agencies and departments to be disabilities. The EEOC’s review of the addition to requiring nondiscrimination ‘‘model employers’’ of individuals with comments and potential revisions was with respect to Federal employees and disabilities 1 On May 15, 2014, the also informed by, and consistent with, applicants for Federal employment who Commission issued an Advance Notice the goals of Executive Order 13548 to are individuals with disabilities, also of Proposed Rulemaking (79 FR 27824) increase the employment of individuals requires Federal agencies to maintain,
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update annually, and submit to the solutions supply Federal purchasers second area is management of space. Commission an affirmative action with cost-effective, high-quality This involves making decisions on program plan for the hiring, placement, products and services from commercial maintenance, servicing tenants, and and advancement of individuals with vendors. GSA provides workplaces for ultimately, deciding when and how to disabilities. As part of its responsibility Federal employees and oversees the dispose of a property at the end of its for the administration and enforcement preservation of historic Federal useful life. properties. GSA helps keep the Nation of equal opportunity in Federal Office of Government-Wide Policy (OGP) employment, the Commission is safe by providing tools, equipment, and authorized under 29 U.S.C. 794a(a)(1) to non-tactical vehicles to the U.S. OGP sets Government-wide policy in issue rules, regulations, orders, and military, and providing State and local the areas of personal and real property, instructions pursuant to section 501. governments with law enforcement travel and transportation, information Alternatives: The EEOC considered all equipment, firefighting and rescue technology, regulatory information, and alternatives offered by ANPRM public equipment, and disaster recovery use of Federal advisory committees. commenters. The EEOC will consider all products and services. OGP also helps direct how all Federal alternatives offered by future public GSA serves the public by delivering supplies and services are acquired as commenters. services directly to its Federal well as GSA’s own acquisition Anticipated Cost and Benefits: Any customers through the Federal programs. OGP’s regulatory function costs that might result would only be Acquisition Service (FAS), the Public fully incorporates the provisions of the borne by the Federal Government. The Buildings Service (PBS), and the Office President’s priorities and objectives revisions would contribute to increased of Government-wide Policy (OGP). GSA under Executive Orders 12866 and employment of individuals with has a continuing commitment to its 13563 with policies covering disabilities. Federal customers and the U.S. acquisition, travel, and property and Risks: The proposed changes do not taxpayers by providing those services in management practices to promote affect risks to public health, safety, or the most cost-effective manner possible. efficient Government operations. OGP’s strategic direction is to ensure that the environment. Federal Acquisition Service (FAS) Timetable: Government-wide policies encourage FAS is the lead organization for agencies to develop and utilize the best, Action Date FR Cite procurement of products and services most cost effective management (other than real property) for the Federal practices for the conduct of their ANPRM ...... 05/15/14 79 FR 27824 Government. The FAS organization specific programs. To reach the goal of ANPRM Comment 07/14/14 leverages the buying power of the improving Government-wide Period End. Government by consolidating Federal management of property, technology, NPRM ...... 02/24/16 81 FR 9123 agencies’ requirements for common and administrative services, OGP builds NPRM Comment 04/25/16 goods and services. FAS provides a Period End. and maintains a policy framework by: Final Action ...... 11/00/16 range of high-quality and flexible (1) Incorporating the requirements of acquisition services that increase overall Federal laws, Executive orders, and Regulatory Flexibility Analysis Government effectiveness and other regulatory material into policies Required: No. efficiency. FAS business operations are and guidelines; (2) facilitating Small Entities Affected: No. organized into four business portfolios Government-wide reform to provide Government Levels Affected: Federal. based on the product or service Federal managers with business-like Agency Contact: Christopher provided to customer agencies: incentives and tools and flexibility to Kuczynski, Assistant Legal Counsel, Integrated Technology Services (ITS); prudently manage their assets; (3) Office of Legal Counsel, Equal Assisted Acquisition Services (AAS); identifying, evaluating, and promoting Employment Opportunity Commission, General Supplies and Services (GSS); best practices to improve efficiency of 131 M Street NE., Washington, DC and Travel, Motor Vehicles, and Card management processes; and (4) 20507, Phone: 202 663–4665, TDD Services (TMVCS). The FAS portfolio performing ongoing analysis of existing Phone: 202 663–7026, Fax: 202 653– structure enables GSA and FAS to rules that may be obsolete, unnecessary, 6034, Email: christopher.kuczynski@ provide best value services, products, unjustified, excessively burdensome, or eeoc.gov. and solutions to its customers by counterproductive. Aaron Konopasky, Senior Attorney aligning resources around key functions. OGP’s policy regulations are Advisor, Office of Legal Counsel, Equal Public Buildings Service (PBS) described in the following subsections: Employment Opportunity Commission, Office of Asset and Transportation 131 M Street NE., Washington, DC PBS is the largest public real estate organization in the United States, Management (Federal Travel 20507, Phone: 202 663–4127, Fax: 202 Regulation) 653–6034, Email: aaron.konopasky@ providing facilities and workspace eeoc.gov. solutions to more than 60 Federal The Federal Travel Regulation (FTR) Related RIN: Related to 3046–AA73 agencies. PBS aims to provide a superior enumerates the travel and relocation RIN: 3046–AA94 workplace for the Federal worker and policy for all title 5 Executive agency BILLING CODE 6570–01–P superior value for the U.S. taxpayer. employees and others, as specified Balancing these two objectives is PBS’ therein. The Code of Federal greatest management challenge. PBS’ Regulations (CFR) is available at activities fall into two broad areas. The www.gpoaccess.gov/cfr. Each version is GENERAL SERVICES first is space acquisition through both updated as official changes are ADMINISTRATION (GSA) leases and construction. PBS translates published in the Federal Register. Regulatory Plan—October 2016 general needs into specific Federal Register publications and requirements, marshals the necessary complete versions of the FTR are I. Mission and Overview resources, and delivers the space available at www.gsa.gov/ftr. GSA oversees the business of the necessary to meet the respective The FTR is the regulation contained Federal Government. GSA’s acquisition missions of its Federal clients. The in 41 Code of Federal Regulations (CFR),
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chapters 300 through 304, that solicitation provisions, and forms that • Eliminating coverage that implements statutory requirements and control the relationship between GSA duplicates the FAR or creates executive branch policies for official and contractors and prospective inconsistencies within the GSAR; travel by Federal civilian employees and contractors. • Rewriting sections that have others authorized to travel at II. Statement of Regulatory and become irrelevant because of changes in Government expense. Deregulatory Priorities technology or business processes or that The Administrator of General Services place unnecessary administrative promulgates the FTR to: (a) Interpret FTR Regulatory Priorities burdens on contractors and the statutory and other policy requirements In fiscal year 2017, GSA plans to Government; in a manner that balances the need to amend the FTR by: • Streamlining or simplifying the ensure that official travel is conducted • Revising chapter 301, Temporary regulation; in a responsible manner with the need Duty Travel, ensuring accountability • Rolling up coverage from the to minimize administrative costs; and and transparency. This revision will services and regions/zones that should (b) communicate the resulting policies ensure agencies’ travel for missions is be in the GSAR, specifically targeting in a clear manner to Federal agencies efficient and effective, reduces costs, PBS’s construction contracting policies and employees. promotes sustainability, or incorporates and the GSA Schedules Program; and industry best practices at the lowest Office of Asset and Transportation • Streamlining the evaluation process Management (Federal Management logical travel cost. • Revising chapters 301; Temporary for contracts containing commercial Regulation) Duty (TDY) Travel Allowances and 304, supplier agreements. The Federal Management Regulation Payment of Travel Expenses from a General Services Property Management (FMR) establishes policy for aircraft, Non-Federal Source to clarify the full or Regulation transportation, personal property, real partial waiver of conference registration • property, and mail management. The fees from a non-Federal conference Updating and streamlining the FMR is the successor regulation to the organizer. Freedom of Information Act regulations. Federal Property Management FMR Regulatory Priorities Regulations of Concern to Small Regulation (FPMR), and it contains Businesses updated regulatory policies originally In fiscal year 2017, GSA plans to found in the FPMR. However, it does amend the FMR by: GSAR rules are relevant to small • not contain FPMR material that Revising rules regarding businesses that do or wish to do describes how to do business with GSA. management of Federal real property; business with the Federal Government. • Revising rules regarding GSAR Case 2015–G512, Unenforceable Office of Acquisition Policy (General management of Federal personal Commercial Supplier Agreement Terms Services Administration Acquisition property. is of interest to small businesses as it Manual (GSAM) and the General • Revising rules under management proposes a way to streamline the Services Administration Acquisition of transportation. evaluation process to award contracts Regulation (GSAR)) FPMR Regulatory Priorities containing commercial supplier GSA’s internal rules and practices on agreements. By streamlining this • Migrating regulations regarding the how it buys goods and services from its process, GSA anticipates reducing supply and procurement of Government business partners are covered by the barriers to entry for small businesses. personal property management from the General Services Administration FPMR to the FMR. Regulations Which Promote Open Acquisition Manual (GSAM), which • Incorporating the penalty inflation Government and Disclosure implements and supplements the adjustments for the civil monetary Federal Acquisition Regulation at GSA. penalties. There are currently no regulations The GSAM comprises both a non- which promote open Government and regulatory portion (GSAM), which GSAR Regulatory Priorities disclosure. reflects policies with no external GSA plans, to update the GSAR to III. Retrospective Review of Existing impact, and a regulatory portion, the maintain consistency with the Federal Regulations General Services Administration Acquisition Regulation (FAR) and to Acquisition Regulation (GSAR). The implement streamlined and innovative Pursuant to section 6 of Executive GSAR establishes agency acquisition acquisition procedures that contractors, Order 13563 ‘‘Improving Regulation and regulations that affect GSA’s business offerors, and GSA contracting personnel Regulatory Review’’ (2011), the GSA partners (e.g. prospective offerors and can utilize when entering into and retrospective review and analysis final contractors) and acquisition of leasehold administering contractual relationships. and updated regulations plan can be interests in real property. The latter are Current GSAR initiatives are focused found at www.gsa.gov/ primarily established under the on— improvingregulations. The following authority of 40 U.S.C. 585. The GSAR • Providing consistency with the RINS are included in the Retrospective implements contract clauses, FAR; Review.
Regulation Identifier Title No.
Proposed Rule Stage
3090–AJ63 ...... General Services Administration Regulation (GSAR); GSAR Case 2015–G503; Construction Contract Administration. 3090–AJ64 ...... General Services Administration Regulation (GSAR); GSAR Case 2015–G506; Construction Manager as Constructor Con- tracting. 3090–AJ65 ...... General Services Administration Regulation (GSAR); GSAR Case 2015–G505; Architect-Engineer Selection Procedures.
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Regulation Identifier Title No.
3090–AJ66 ...... General Services Administration Regulation (GSAR); GSAR Case 2015–G504; Design-Build Selection Procedures. 3090–AJ71 ...... Federal Management Regulation (FMR); FMR Case 2016–102–2, Designation of Authority and Location of Space. 3090–AJ74 ...... General Services Property Management Regulation (GSPMR) GSPMR Case 2016–105–1; Public Availability of Agency Records and Informational Materials Inbox. 3090–AJ75 ...... General Services Administration Regulation (GSAR); GSAR Case 2016–G506;Federal Supply Schedule, Order-Level Mate- rials.
Final Rule Stage
3090–AJ50 ...... Federal Property Management Regulations (FPMR)/Federal Management Regulation (FMR) FPMR Case 2014–101–1; FMR Case 2014–102–2, Supply and Procurement. 3090–AJ56 ...... Federal Travel Regulation (FTR); FTR Case 2015–304, Clarifying Agency Responsibilities Concerning Reimbursement for Automatic Teller Machine (ATM) Fees and Laundry, Cleaning and Pressing of Clothing Expenses. 3090–AJ59 ...... Federal Management Regulation (FMR); FMR Case 2015–102–2, Transportation Payment and Audit. 3090–AJ60 ...... Federal Management Regulation (FMR); FMR Case 2015–102–3, Art-in-Architecture. 3090–AJ67 ...... General Services Administration Regulation (GSAR); GSAR Case 2015–G512, Unenforceable Commercial Supplier Agree- ment Terms. 3090–AJ68 ...... Federal Travel Regulation (FTR); FTR 2015–303, Optimal Use of the Government Contractor-Issued Travel Charge Card. 3090–AJ69 ...... Federal Travel Regulation (FTR); FTR Case 2016–301, Clarification of Payment In Kind for Speakers at Meetings and Con- ferences. 3090–AJ70 ...... Federal Property Management Regulation; FPMR Case 2016–101–1; Program Fraud Civil Remedies Act of 1986, Civil Mone- tary Penalties Inflation Adjustment. 3090–AJ72 ...... Federal Management Regulation (FMR); FMR Case 2016–102–1; Federal Real Property Profile. 3090–AJ73 ...... Federal Management Regulation (FMR); FMR Case 2010–102–3, Sale of Personal Property. 3090–AJ76 ...... Federal Management Regulation (FMR); FMR Case 2016–102–3, Utility Services. 3090–AJ77 ...... Federal Management Regulation (FMR); FMR Case 2016–102–4, Historic Preservation.
Completed Actions
3090–AI51 ...... General Service Administration Acquisition Regulation (GSAR); GSAR Case 2007–G500, Rewrite of GSAR Part 517, Special Contracting Methods. 3090–AI76 ...... General Services Administration Acquisition Regulation (GSAR); GSAR Case 2008–G506, Rewrite of GSAR Part 515, Con- tracting by Negotiation. 3090–AJ43 ...... General Services Administration Acquisition Regulation (GSAR); GSAR Case 2010–G511, Purchasing by Non-Federal Enti- ties. 3090–AJ51 ...... General Services Administration Acquisition Regulation (GSAR); GSAR Case 2013–G504, Transactional Data Reporting.
Dated: September 1, 2016. Plan. The Agency’s mission is to ‘‘Drive humankind. NASA will continue to Troy Cribb, advances in science, technology, push scientific and technical boundaries Associate Administrator, Office of aeronautics, and space exploration to in pursuit of these goals. Government-wide Policy. enhance knowledge, education, International Regulatory Cooperation BILLING CODE 6820–34–P innovation, economic vitality, and stewardship of the Earth.’’ The FY 2014 As the President noted in Executive Strategic Plan, (available at http:// Order 13609, ‘‘international regulatory NATIONAL AERONAUTICS AND www.nasa.gov/sites/default/files/files/ cooperation, consistent with domestic SPACE ADMINISTRATION (NASA) 2014 NASA Strategic Plan.pdf), guides law and prerogatives and U.S. trade NASA’s program activities through a policy, can be an important means of Statement of Regulatory Priorities framework of the following three promoting’’ public health, welfare, The National Aeronautics and Space strategic goals: safety, and our environment as well as Administration (NASA) aim is to • Strategic Goal 1: Expand the economic growth, innovation, increase human understanding of the frontiers of knowledge, capability, and competitiveness, and job creation. solar system and the universe that opportunity in space. Accordingly, in Executive Order 13609, contains it and to improve American • Strategic Goal 2: Advance the President requires each executive aeronautics ability. NASA’s basic understanding of Earth and develop agency to include in its Regulatory Plan organization consists of the technologies to improve the quality of a summary of its international Headquarters, nine field Centers, the Jet life on our home planet. regulatory cooperation activities that are Propulsion Laboratory (a Federally • Strategic Goal 3: Serve the reasonably anticipated to lead to Funded Research and Development American public and accomplish our significant regulations. Center), and several component mission by effectively managing our In August 2009, the President directed installations which report to Center people, technical capabilities, and a broad-based interagency review of the Directors. Responsibility for overall infrastructure. U.S. export control system, with the planning, coordination, and control of In the decades since Congress enacted goal of strengthening national security NASA programs is vested in NASA the National Aeronautics and Space Act by focusing efforts on controlling the Headquarters located in Washington, of 1958, NASA has challenged its most critical products and technologies DC. scientific and engineering capabilities in and by enhancing the competitiveness NASA continues to implement pursuing its mission, generating of US manufacturing and technology programs according to its 2014 Strategic tremendous results and benefits for sectors. While NASA does not have any
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regulations implementing this initiative, longstanding requirement for reasonable Rulemakings That Were Modified, the Agency does serve on the accommodations in programs, services, Streamlined, Expanded, or Repealed interagency review team in a and activities; include a definition of 5. Space Flight [14 CFR 1214]—NASA consultative and supportive role for this direct threat and a provision describing amended its regulations to remove process, along with the Department of the parameters of the existing direct language that refers to the retired Space Defense, the Department of State, and threat defense to a claim of Shuttle Program and to clarify language the Department of Commerce. discrimination; clarify the existing for other ongoing programs that require In addition, NASA serves as one of obligation to provide auxiliary aids and some of this rule to remain in place [81 the signatories to the Federal services to qualified individuals with FR 8545]. Acquisition Regulation (FAR). The FAR disabilities; update the methods of 6. NASA Protective Services [14 CFR at 48 CFR chapter 1, contains communication that recipients may use 1204]—NASA amended its traffic procurement regulations that apply to to inform program beneficiaries of their enforcement regulation to correct NASA and other Federal agencies. obligation to comply with section 504 to citations and to clarify the regulation’s Pursuant to 41 U.S.C. 1302 and FAR reflect changes in technology, adopt scope, policy, responsibilities, 1.103(b), the FAR is jointly prepared, updated accessibility standards procedures, and violation descriptions issued, and maintained by the Secretary applicable to the design, construction, [81 FR 70151]. of Defense, the Administrator of General and alteration of buildings and facilities; 7. Processing of Monetary Claims [14 Services, and the Administrator, establish time periods for compliance CFR 1261]—NASA is amending its National Aeronautics and Space with these updated accessibility regulations to change the amount to Administration, under their several standards; provide NASA with access to collect installment payments from statutory authorities. NASA implements recipient data and records to determine $20,000 to $100,000 to align with Title and supplements FAR requirements compliance with section 504; and make II, Claims of the United States through the NASA FAR Supplement administrative updates to correct titles. Government, section 3711(a)(2) (NFS), 48 CFR chapter 18. NASA These amendments will reduce Collection and Compromise. This finalized the entire NFS rewrite regulation will also be amended to initiative this year to eliminate administrative burdens imposed on the public [81 FR 3703]. include the rules for the use of unnecessary and burdensome contractors for debt collection and new regulations, clarify regulatory language, 2. NASA FAR Supplement: Safety and provisions allowing for debts to be and simplify processes. More than 1.9 Health Measures and Mishap Reporting transferred to the Treasury Department million hours of information collection [48 CFR 1852.233]—NASA finalized its for direct collection, as prescribed by requirements (ICRs) were identified as regulations to revise a current clause Federal Debt Collection Procedures Act no longer required and duplicative of related to safety and health measures of 1990. active FAR-level ICRs. Specifically, and mishaps reporting by narrowing the 8. Duty Free Entry of Space Articles OMB control numbers 2700–0085, application of the clause, resulting in a [14 CFR 1217]—NASA amended its 2700–0086, and 2700–0087 were decrease in the reporting burden on regulations to remove language that discontinued as part of the NFS rewrite contractors while reinforcing the refers to the Space Shuttle Program and initiative. The Agency will continue to measures contractors at NASA facilities to clarify language for other ongoing analyze the NFS to implement must take to protect the safety of their programs that require some of this rule procurement-related statutes, Executive workers, NASA employees, the public, to remain in place [80 FR 45864]. orders, NASA initiatives, and Federal and high-value assets. These 9. Removal of Obsolete Regulations procurement policy that streamline amendments streamlined and reduced [14 CFR 1216]—NASA amended its current processes and procedures. reporting requirements imposed on the regulations to remove regulatory text public [80 FR 73675]. that is covered in internal NASA Retrospective Review of Existing policies and requirements [80 FR Regulations 3. Clarification of Award Fee Evaluations and Payments—[48 CFR 30352]. Pursuant to section 6 of Executive 1816 and 1852] NASA issued a final 10. Administrative Updates [14 CFR Order 13579 ‘‘Regulation and rule amending the NASA Federal 1207, 1245, 1262, 1263, 1264, & 1266] Independent Regulatory Agencies’’ (Jul. Acquisition Regulation Supplement NASA amended its regulations to make 11, 2011), NASA regulations associated (NFS) to clarify NASA’s award fee administrative updates to correct with its retrospective review and process by incorporating terms used in spelling citations [80 FR 42028]. analysis are described in the Agency’s 11. Removal of Outdated and award-fee contracting; guidance relative final retrospective plan of existing Duplicative Guidance [48 CFR 1817 and to final award-fee evaluations; release of regulations. NASA’s final plan and 1852]—NASA amended the NASA FAR source selection information; and the updates can be found at http:// Supplement (NFS) to remove calculation of the provisional award fee www.nasa.gov/open, under the Open duplicative language of the FAR and payment percentage in NASA end-item Government News. Below describes the superseded NFS guidance. The revision award-fee contracts [81 FR 50365]. rulemakings that were recently is part of NASA’s retrospective plan completed or are near completion. 4. Cooperative Agreements with under Executive Order (EO) 13563 Commercial Firms—[14 CFR 1274] completed in August 2011 [81 FR Rulemakings That Were Streamlined NASA issued a final rule amending its 39871]. and Reduced Unjustified Burdens regulation on Cooperative Agreements 1. Discrimination on Basis of with Commercial Firms to implement Rulemaking That Is of Particular Handicap [14 CFR 1251]—NASA has the requirements of section 872 of the Concerns to Small Business finalized its section 504 regulations to National Defense Authorization Act for Abstracts for other regulations that incorporate changes to the definition of Fiscal Year 2009 for recipients and will be amended or repealed between disability required by the Americans NASA staff to report information that October 2016 and October 2017 are with Disabilities Act (ADA) will appear in the Federal Awardee reported in the fall 2016 edition of Amendments Act of 2008; include an Performance and Integrity Information Unified Agenda of Federal Regulatory affirmative statement of the System (FAPIIS) [81 FR 35583]. and Deregulation actions.
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Regulations That Office of Procurement indirect cost charges and access to management regulations found at 36 Intends To Publish Between Now and research results. CFR Chapter XII, Subchapter B (phases October 2017 BILLING CODE 7510–13–P I, II, and III). The proposed changes include changes resulting from the 2011 1. Contractor Financial Reporting of Presidential Memorandum on Managing Property [48 CFR 1845, 1852)—NASA is Government Records, the 2012 NATIONAL ARCHIVES AND RECORDS proposing to amend the NASA Federal Managing Government Records ADMINISTRATION (NARA) Acquisition Regulation Supplement Directive (M–12–18), and Public Law (NFS) to add a monthly reporting Statement of Regulatory Priorities 113–187, The Presidential and Federal requirement for contractors having Overview Records Acts Amendments of 2014. The custody of $10 million or more in proposed rules will affect Federal NASA-owned property, plant, and The National Archives and Records agencies’ records management programs equipment (PP&E) [81 FR 48726]. Administration (NARA) primarily issues relating to proper records creation and 2. Revised Voucher Submission & regulations directed to other Federal maintenance, adequate documentation, Payment Process [48 CFR 1816, 1832, agencies and to the public. These electronic recordkeeping requirements, 1842, 1852]—NASA is proposing to regulations include records use of the Electronic Records Archive issue an interim rule amending the management, information services, (ERA) for records transfer, and records NASA Federal Acquisition Regulation access to and use of NARA holdings, disposition. Supplement (NFS) to implement and grant programs. For example, Phase I (RIN 3095–AB74) includes revisions to the voucher submittal and records management regulations changes to provisions in 36 CFR parts payment process. These revisions are directed to Federal agencies concern the 1223 (Managing Essential Records), necessary due to section 893 of the proper management and disposition of 1224 (Records Disposition Programs), National Defense Authorization Act for Federal records. Through the 1227 (General Records Schedules), 1229 Fiscal Year 2016 prohibiting the Defense Information Security Oversight Office (Emergency Authorization to Destroy Contract Audit Agency (DCAA) from (ISOO), NARA also issues Government- Records), 1232 (Transfer of Records to performing audit work for non-Defense wide regulations concerning Records Storage Facilities), 1233 Agencies. NASA had delegated to information security classification and (Transfer Use and Disposition of DCAA the task of reviewing contractor declassification programs. NARA Records in a NARA Federal Records requests for payment under NASA cost- regulations directed to the public Center), and 1239 (Program Assistance type contracts. address access to and use of our and Inspections). These regulations 3. Removal of NFS clause 1852.243– historically valuable holdings, including were published in a proposed archives, donated historical materials, 70, Engineering Change Proposals [48 rulemaking in March 2016 and were Nixon Presidential materials, and CFR 1852]—NASA is proposing to open for public comment through May. Presidential records. NARA also issues amend the NASA FAR Supplement During the course of addressing the regulations relating to the National (NFS) to remove NFS clause 1852.243– comments we received, we determined Historical Publications and Records 70, Engineering Change Proposals we need to undertake a more substantial Commission (NHPRC) grant programs. (ECPs) basic clause with its Alternate I revision, which we are focusing on this NARA has two regulatory priorities fiscal year. We anticipate publishing a & II and associated information for fiscal year 2017, which are included collection from the NFS. new proposed rule around the end of FY in The Regulatory Plan. The first 2017. 4. Award Term [48 CFR 1816 and priority is a substantial revision to Phase II (RIN 3095–AB89) includes 1852]—NASA is proposing to revise the NARA’s National Industrial Security changes to provisions in 36 CFR parts NFS to implement policy addressing the Program (NISP) regulations at 32 CFR 1235 (Transfer of Records to the use of ‘‘award terms’’ or additional 2004. The NISP regulations govern National Archives of the United States), contract periods of performance for release of classified information to 1236 (Electronic records management), which a contractor may earn if the contractors and other entities that enter and 1237 (Audiovisual Cartographic and contractor’s performance is superior, the agreements with the Federal Related Records Management). These Government has an ongoing need for the Government involving access to regulations were published in a requirement, and funds are available for classified information. Although we are proposed rulemaking in July 2016 and the additional period of performance. proposing to substantially revise the were open for public comment through The purpose of the policy is to provide regulation, the proposed revisions September. We are currently addressing a non-monetary incentive for would effect only minor changes to the the comments we received and, contractors whose performance is better program’s requirements for contractors similarly to Phase I, we have than the ‘‘average’’ or ‘‘acceptable’’ and other entities. The proposed determined that we should do a more level. changes primarily include new sections significant revision. As a result, we 5. Revisions to Uniform setting out agency obligations in the anticipate publishing a new proposed Administrative Requirements, Cost course of implementing the program rule on these regulations in FY 2018. Principles and Audit Requirements for that reflect already-existing Phase III (RIN 3095–AB85) includes Federal Awards [2 CFR 1800]—NASA is requirements for industry contained in changes to provisions in 36 CFR parts proposing to amend the NASA the National Industrial Security Program 1220 (Federal Records General), 1222 regulation, titled Uniform Operating Manual (NISPOM), and (Creation and Maintenance of Federal Administrative Requirements, Cost streamline or clarify other sections of Records), 1225 (Scheduling records), Principles and Audit Requirements for the regulation. In addition, a small 1226 (Implementing disposition), 1228 Federal Awards to modify the portion of the proposed revisions add (Loan of Permanent and Unscheduled requirements related to information requirements from Executive Order Records), 1230 (Unlawful or Accidental contained in a Federal award for 13587 to implement the insider threat Removal, Defacing, Alteration, or commercial firms with no cost sharing program. Destruction of Records), 1231 (Transfer requirement and to add new or modify And the second priority this fiscal of Records from the Custody of one existing terms and conditions related to year are revisions to the Federal records Executive Agency to Another), 1234
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(Facility standards for records storage competitive service at a land revise its regulations pertaining to facilities), 1236 (Electronic Records management agency or any agency when, during the hiring process, a Management), and 1238 (Microforms for any position under internal hiring agency can make a suitability records management). We are currently merit promotion procedures. This determination on an applicant for drafting the proposed revisions to these appointment into the competitive Federal employment. OPM is regulations and project publication of a service is authorized in Public Law proposing this change in response proposed rulemaking on these 114–47. to a Presidential directive. On regulations after we have published new November 2, 2015, the President • Senior Employee Performance proposed rules for phases I and II. directed OPM, ‘‘. . .to take action Management System Certification BILLING CODE 7515–01–P where it can by modifying its rules 3206–AL20 to delay inquiries into criminal The U.S. Office of Personnel history until later in the hiring Management (OPM) is proposing process.’’ The intended effect of this U.S. OFFICE OF PERSONNEL changes to the senior employee proposal is to better ensure that MANAGEMENT performance management system applicants from all segments of Statement of Regulatory and certification regulations which will society, including those with prior Deregulatory Priorities ultimately replace interim criminal histories, receive a fair regulations published in 2004. opportunity to compete for Federal Fall 2016 Unified Agenda Proposed changes reflect lessons employment. learned from several years of I. Mission and Overview • certifying agency Senior Executive Federal Employees Health Benefits OPM works in several broad Service (SES) and Senior-Level (SL) Program: Removal of Ineligible categories to recruit, retain and honor a and Scientific and Professional (ST) Individuals From Existing Enrollments world-class workforce for the American performance management systems 3206–AN09 people. and recommendations from a cross- The U.S. Office of Personnel • We manage Federal job agency workgroup. Management (OPM) is issuing a announcement postings at proposed rule to clarify the process USAJOBS.gov, and set policy on • Veterans’ Preference for removing ineligible individuals governmentwide hiring procedures. 3206–AM79 from Federal Employees Health • We conduct background The U.S. Office of Personnel Benefits (FEHB) Program Self and investigations for prospective Management (OPM) issued interim Family enrollments. employees and security clearances regulations to implement statutory across government, with hundreds of changes pertaining to veterans’ • Employment in the Excepted Service thousands of cases each year. preference. These changes were in • 3206–AN30 We uphold and defend the merit response to the Hubbard Act, which The U.S. Office of Personnel systems in Federal civil service, making broadened the category of Management (OPM) is proposing to sure that the Federal workforce uses fair individuals eligible for veterans’ revise its regulations governing practices in all aspects of personnel preference; and to implement the employment in the excepted management. VOW (Veterans Opportunity to service. The proposed rules will • We manage pension benefits for Work) to Hire Heroes Act of 2011, clarify the existing policy on retired Federal employees and their which requires Federal agencies to exemptions from excepted service families. We also administer health and treat certain active duty service selection procedures, and provide other insurance programs for Federal members as preference eligibles for additional procedures for passing employees and retirees. purposes of competing for a over a preference eligible veteran • We provide training and position in the competitive service, with a compensable disability of 30 development programs and other even though the service members percent or more. management tools for Federal have not been discharged or • employees and agencies. released from active duty and do Noncompetitive Appointment of • In many cases, we take the lead in not have a Department of Defense Certain Military Spouses developing, testing and implementing (DoD) form 214, Certificate of 3206–AM76 new governmentwide policies that Release or Discharge from Active The U.S. Office of Personnel relate to personnel issues. Duty. In addition, OPM updated its Management (OPM) will limit to Altogether, we work to make the regulations to reference existing one the number of permanent Federal government America’s model requirements for the alternative appointments spouses of 100 employer for the 21st century. ranking and selection procedure percent disabled and spouses of II. Statement of Regulatory and called ‘‘category rating;’’ and to add deceased members of the Armed Deregulatory Priorities a reference to the end date of Forces may receive under this Operation Iraqi Freedom, which noncompetitive hiring authority. Management Priorities affected veteran status and OPM is making this change based • Appointment of Current and Former preference eligibility. This action on the provisions of the FY 2013 Land Management Employees will align OPM’s regulations with National Defense Authorization Act the existing statute. (NDAA). 3206–AN28 • • The U.S. Office of Personnel Recruitment, Selection, and Personnel Management in Agencies Management (OPM) proposes Placement (General) and Suitability (aka 3206–AL98 regulations that will allow current Ban the Box) The U.S. Office of Personnel and former land management 3206–AN25 Management (OPM) will issue a employees to compete for The U.S. Office of Personnel final rule that will provide permanent positions in the Management (OPM) is proposing to regulatory definitions for various
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documents related to the strategic the administration of the FWS. The U.S. Office of Personnel management of human resources, Management (OPM) proposes to • Pay Administration Under the FLSA clarify requirements regarding the amend the Federal Employees systems and metrics for managing 3206–AN41 Health Benefits (FEHB) regulations human resources in the Federal The U.S. Office of Personnel at 5 CFR part 890 to include Government, streamline/clarify Management (OPM) is issuing enrollments for eligible employees procedures agencies are required to interim final regulations for part of Tribes and Tribal organizations follow, eliminate the Human 551 subpart B to make OPM’s under the provisions of the Capital Management Report, and regulations consistent with updates Affordable Care Act of 2010. reflect the planning and reporting to Department of Labor regulations • Privacy Procedures for Personnel requirements of the Government that define which white collar Records Performance and Results workers are protected by the FLSA’s Modernization Act. minimum wage and overtime 3206–AN27 standards. 79 FR 18737 (Apr. 3, The Office of Personnel Management • Medical Qualification Determinations 2014). While OPM’s regulations are (OPM) proposes to amend part 297 3206–AL14 not required to conform with DOL’s of title 5, Code of Federal The U.S. Office of Personnel regulations, OPM believes that Regulations, to implement a Management (OPM) will revise its updates to part 551 are appropriate timeframe to submit a request for regulations for medical and consistent with the President’s administrative review on internal or qualification determinations. The goal of ensuring workers are paid a central system of records. This revised regulations would update fair day’s pay for a fair day’s work. proposed change will allow greater references and language; add and efficiency in processing appeals and • Competitive Service; Shared modify definitions; clarify coverage requests for administrative review Certificates and applicability; address the need and will also improve the office’s for medical documentation and 3206–AN46 records maintenance and disposal medical examination and/or testing The U.S. Office of Personnel policies. for an applicant or employee whose Management (OPM) will issue • Federal Employees’ Retirement position may or may not have interim regulations to implement System; Government Costs medical standards, physical the Competitive Service Act of 2015 requirements and/or physical which authorizes agencies to share 3206–AN22 fitness standards or testing; and certificates when filling competitive The Office of Personnel Management may recommend the establishment service positions. (OPM) proposes to amend 5 CFR part 841 to clarify the process by of agency medical review boards. • Compensatory Time Off for Religious which the U.S. Postal Service and The final rule would provide Observances agencies with more comprehensive the U.S. Department of the Treasury 3206–AL55 may request reconsideration of guidance regarding medical The U.S. Office of Personnel evaluation and clearance OPM’s computation of the Management (OPM) will issue a supplemental liability. This procedures and implementation of a final rule regarding compensatory comprehensive physical fitness and proposed rule will also clarify the time off for religious observances. employee categories it will use for medical standards program for The final regulation will address applicants and employees. computing the FERS normal cost comments to the proposed rule (78 percentages covered under FERS • Prevailing Rate Systems; Redefinition FR 53695), and will clarify (Federal Employees Retirement of the New York, NY, and Philadelphia, employee and agency System), FERS–RAE (FERS Revised PA, Appropriated Fund Federal Wage responsibilities, provide timeframes Annuity Employees), and FERS System Wage Areas for earning and using religious FRAE (FERS Further Revised compensatory time off, and define 3206–AN29 Annuity Employees). Finally, it will The U.S. Office of Personnel key terms. also clarify the definition of present Management (OPM) is issuing a • Federal Employees Health Benefits value factors as provided in 5 CFR proposed rule that would redefine Program: Employee Prepayment of part 831; 5 CFR part 839; 5 CFR part the geographic boundaries of the FEHB Contributions During Leave 841; 5 CFR part 842; and 5 CFR part New York, NY, and Philadelphia, Without Pay (LWOP) 847. BILLING CODE 6325–44–P PA, appropriated fund Federal 3206–AN33 Wage System (FWS) wage areas. The U.S. Office of Personnel The proposed rule would redefine Management (OPM) proposes to the Joint Base McGuire-Dix- amend the Federal Employees PENSION BENEFIT GUARANTY Lakehurst portions of Burlington Health Benefits (FEHB) regulations CORPORATION (PBGC) County, NJ, and Ocean County, NJ, at 5 CFR part 890 to provide that are currently defined to the Statement of Regulatory and agencies with the option to require Deregulatory Priorities Philadelphia wage area to the New payment of FEHB premium York wage area so that the entire contributions from employees in The Pension Benefit Guaranty Joint Base is covered by a single Leave Without Pay (LWOP) status Corporation (PBGC) protects the wage schedule. This change is for the time period they are in pensions of more than 40 million people based on a majority LWOP status. in nearly 24,000 private-sector defined recommendation of the Federal • benefit plans. PBGC receives no tax Prevailing Rate Advisory Federal Employees Health Benefits revenues. Operations are financed by Committee (FPRAC), the national Program; Tribes and Tribal insurance premiums, investment labor-management committee Organizations income, assets from pension plans responsible for advising OPM on 3206–AM40 trusteed by PBGC, and recoveries from
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the companies formerly responsible for employer insurance program and $52 Department of Labor to coordinate the trusteed plans. billion in its multiemployer insurance government requirements for dealing To carry out these functions, PBGC program. While the financial position of with missing participant issues. PBGC issues regulations on such matters as the single-employer program is likely published a proposal in September termination, payment of premiums, (but not certain) to improve, the 2016. PBGC expects to publish a final reporting and disclosure, and multiemployer program is likely to run regulation in FY 2017. assessment and collection of employer out of funds by 2025. Substantial Rethinking Existing Regulations liability. The Corporation is committed increases in premium revenue will be to issuing simple, understandable, needed to avoid cuts in multiemployer Pursuant to section 6 of Executive flexible, and timely regulations to help insurance program guarantees. Order 13563 ‘‘Improving Regulation and affected parties. Regulatory Review’’ (Jan. 18, 2011), the Regulatory Objectives and Priorities PBGC continues to follow a regulatory following Regulatory Identifier Numbers approach that seeks to encourage the PBGC’s regulatory objectives and (RINs) have been identified as maintenance of existing defined benefit priorities are developed in the context associated with retrospective review plans or the establishment of new plans. of the Corporation’s statutory purposes: and analysis consistent with the • Thus, in developing new regulations To encourage voluntary private Corporation’s final retrospective review pension plans; plan. The regulatory actions associated and reviewing existing regulations, the • focus, to the extent possible, is to reduce To provide for the timely and with these RINs are described below. burdens on plans, employers, and uninterrupted payment of pension participants, and to ease and simplify benefits; and Effect on • Title RIN small business employer compliance. PBGC To keep premiums at the lowest particularly strives to meet the needs of possible levels. Pension plans and the statutory Payment of 1212–AB32 Expected to small businesses that sponsor defined framework in which they are Premiums; reduce bur- benefit plans. maintained and terminated are complex. Late Pay- den on PBGC develops its regulations in ment Pen- small busi- Despite this complexity, PBGC is accordance with the principles set forth alty Relief. ness. committed to issuing simple, in Executive Order 13563 ‘‘Improving Valuation As- 1212–AA55 To Be Deter- understandable, flexible, and timely Regulation and Regulatory Review’’ sumptions mined. regulations and other guidance that do (Jan. 18, 2011), and PBGC’s Plan for and Meth- not impose undue burdens that could ods; Interest Regulatory Review (Regulatory Review impede maintenance or establishment of and Mor- Plan).15 This Statement of Regulatory defined benefit plans. tality. and Deregulatory Priorities reflects Through its regulations and other Benefit Pay- 1212–AB27 To Be Deter- PBGC’s ongoing implementation of its guidance, PBGC strives to minimize ments. mined. Regulatory Review Plan. Administrative 1212–AB35 To Be Deter- burdens on plans, plan sponsors, and Review. mined. PBGC Insurance Programs plan participants; simplify filing; Miscellaneous 1212–AB34 To Be Deter- provide relief for small businesses and PBGC administers two insurance Corrections, mined. plans; and assist plans in complying programs for privately maintained Clarifica- with applicable requirements. To tions, and defined benefit plans under title IV of enhance policy-making through Improve- the Employee Retirement Income collaboration, PBGC also plans to ments. Security Act of 1974 (ERISA): continue to expand opportunities for • Single-Employer Program. Under public participation in rulemaking (see Penalty relief for late payment of the single-employer program, when a Open Government and Public premiums. PBGC is lowering the rates of plan terminates with insufficient assets Participation below). penalty charged for late payment of to cover all plan benefits (distress and PBGC’s current regulatory objectives premiums by all plans, and providing a involuntary terminations), PBGC pays and priorities are to simplify its waiver of most of the penalty for plans plan benefits that are guaranteed under regulations and reduce burden, to with a history of premium compliance. title IV. PBGC also pays nonguaranteed enhance retirement security, and to In recent years, Congress has plan benefits to the extent funded by implement statutory changes, significantly increased PBGC premium plan assets or recoveries from particularly the Multiemployer Pension rates. Since late payment charges are a employers. Reform Act of 2014 (MPRA) and the percentage of unpaid premium, the • Multiemployer Program. The Pension Protection Act of 2006 (PPA penalties have gone up in proportion to smaller multiemployer program covers 2006). the increases. PBGC is sensitive to the collectively bargained plans involving fact that a penalty assessed today may more than one unrelated employer. Enhancing Retirement Security be several times what would have been PBGC provides financial assistance (in Missing participants. A major focus of assessed years ago for the same acts or the form of a loan) to the plan if the plan PBGC’s current regulatory efforts is to omissions involving a plan with the is unable to pay benefits at the finalize rules to improve and expand the same number of participants and the guaranteed level. The guarantee is existing missing participants program to same unfunded vested benefits. structured differently from, and help connect more participants with Penalties under the new rule generally generally significantly smaller than, the their lost retirement savings. As would be reduced by half and could be single-employer guarantee. authorized by PPA 2006, the expanded reduced by 80 percent for sponsors with At the end of FY 2015, PBGC had a program will cover terminating defined good payment histories. deficit of $24 billion in its single- contribution plans, non-covered defined Valuation assumptions and methods; benefit plans, and multiemployer plans, interest and mortality. PBGC plans to 15 http://www.pbgc.gov/documents/plan-for- conduct a routine, periodic review of regulatory-review.pdf. Progress reports on the plan in addition to single-employer defined can be found at http://www.pbgc.gov/res/laws-and- benefit plans. PBGC will continue to PBGC’s regulations and policies to regulations/reducing-regulatory-burden.html. work with Internal Revenue Service and ensure that the actuarial and economic
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content remains current. PBGC plans to plans. PBGC is developing a proposed basis as we engage in the review publish a proposed rule in FY 2017 that rule implementing these changes, which process. Comments should be sent to would amend its benefit valuation and it expects to publish in FY 2017. [email protected]. asset allocation regulations by PBGC will continue to look for ways Small Businesses improving its valuation assumptions to further improve its regulations. and methods. Chief among the PBGC takes into account the special BILLING CODE 7709–02–P modifications PBGC is considering are needs and concerns of small businesses modifications to mortality rates and the in making policy. A large percentage of format of its interest factors. the plans insured by PBGC are small or Benefit payments. PBGC plans to maintained by small employers. PBGC U.S. SMALL BUSINESS publish a proposed rule in FY 2017 to has issued or is considering proposed ADMINISTRATION make clarifications and codify policies rules that will focus on small Statement of Regulatory Priorities in PBGC’s benefit payments and businesses: valuation regulations involving payment Missing participants. The missing Overview of lump sums, entitlement to a benefit, participants rule discussed above would The mission of the U.S. Small changes to benefit form, partial benefit benefit small businesses by simplifying Business Administration (SBA) is to distributions, and valuation of plan and streamlining current requirements, maintain and strengthen the Nation’s assets. better coordinating with requirements of economy by enabling the establishment Administrative review. PBGC is other agencies, and providing more and viability of small businesses and by proposing to update and improve its options for sponsors of terminating non- assisting in economic recovery of rules for administrative review of covered plans. communities after disasters. In carrying agency decisions. Penalty relief for late payment of out this mission, SBA strives to improve Miscellaneous corrections, premiums. The late payment penalty the economic environment for small clarifications, and improvements. PBGC relief rule discussed above benefits businesses, including those in areas that is proposing to make miscellaneous small businesses by reducing penalties have significantly higher unemployment corrections, clarifications, and for late premium payments by at least and lower income levels than the improvements to its regulations. PBGC half. Nation’s averages and those in intends to initiate future projects of this Open Government and Increased Public traditionally underserved markets. The type to deal with minor issues that don’t Participation Agency serves as a guarantor of small call for full-scale rulemaking projects. business loans, and also provides PBGC is doing more to encourage management and technical assistance to Statutory Implementation public participation in the regulatory existing or potential small business MPRA. MPRA established new process. For example, PBGC’s current owners through various grants, options for trustees of multiemployer efforts to reduce regulatory burden are cooperative agreements or contracts. plans that will potentially run out of in substantial part a response to public This access to capital and other money to apply to PBGC for financial comments. The regulatory projects assistance provides a crucial foundation assistance. PBGC published a proposed discussed above highlight PBGC’s for those starting a new business, or customer-focused efforts to reduce rule on June 6, 2016, that would growing an existing business and regulatory burden. prescribe rules for facilitated mergers of ultimately helps to create new jobs. SBA PBGC’s Regulatory Review Plan sets multiemployer plans and conform the forth ways to expand opportunities for also provides direct financial assistance existing regulation to changes in the public participation in the regulatory to homeowners, renters, and small law. PBGC received 10 comments on the process. For example, in June 2013, business to help in the rebuilding of proposal and expects to publish a final PBGC held its first-ever regulatory communities in the aftermath of a rule early in FY 2017. This is the second hearing on the reportable events disaster. PBGC rulemaking project based on proposed rule, so that the agency would Reducing Burden on Small Businesses MPRA requirements. The first, have a better understanding of the needs prescribing the application process and SBA’s regulatory policy reflects a and concerns of plan administrators and commitment to developing regulations notice requirements for partitions of plan sponsors. Discussion at that eligible multiemployer plans under that reduce or eliminate the burden on hearing informed PBGC’s final rule. the public, in particular the Agency’s MPRA, was finalized on December 23, PBGC’s 2013 Request for Information 17 core constituents—small businesses. 2015. on Missing Participants in Individual SBA’s regulatory process generally Cash balance plans. PPA 2006 Account Plans and 2015 Request for includes an assessment of the costs and changed the rules for determining Information 18 on Partitions and benefits of the regulations as required by benefits in cash balance plans and other Facilitated Mergers Under MPRA are Executive Order 12866, ‘‘Regulatory statutory hybrid plans. In October 2011, examples of PBGC’s efforts to solicit Planning and Review;’’ Executive Order PBGC published a proposed rule public participation in the regulatory 13563, ‘‘Improving Regulation and implementing the changes both in process. PBGC-trusteed plans and in plans that PBGC plans to provide additional Regulatory Review;’’ and the Regulatory 16 close out in the private sector. Now means for public involvement, Flexibility Act. SBA’s program offices that the Treasury Department has issued including social media and continuing are particularly invested in finding ways final regulations on statutory hybrid opportunity for public comment on to reduce the burden imposed by the plans, PBGC is developing a final rule, PBGC’s Web site. Agency’s core activities in its loan, which it expects to publish in FY 2017. PBGC also invites comments on the innovation, and procurement programs. Owner-participant benefits. PPA 2006 Regulatory Review Plan on an on-going Openness and Transparency changed the guarantee of owner- SBA promotes transparency, participant benefits in PBGC-trusteed 17 http://www.pbgc.gov/documents/2013- 14834.pdf. collaboration, and public participation 16 76 FR 67105 (Oct. 31, 2011), http:// 18 http://www.pbgc.gov/documents/2015- in its rulemaking process. To that end, www.pbgc.gov/Documents/2011-28124.pdf. 03434.pdf. SBA routinely solicits comments on its
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regulations, even those that are not is to support small business investment SBA has issued several updates to this subject to the public notice and strategies that maximize financial plan to reflect the Agency’s ongoing comment requirement under the returns while also yielding enhanced efforts in carrying out this executive Administrative Procedures Act. Where social, environmental, or economic order. The final agency plan and review appropriate, SBA also conducts impacts as part of the SBIC program’s updates, which can be found at http:// hearings, webinars, and other public overall effort to supplement the flow of www.sba.gov/about-sba/ events as part of its regulatory process. private equity and long-term loan funds sba_performance/open_government/ to small businesses in underserved retrospective_review_of_regulations, Regulatory Framework communities and the innovative sectors currently identify the rule and the The SBA’s FY 2014 to FY 2018 whose capital needs are not being met. policy directive discussed above. strategic plan serves as the foundation The proposed rule supports the for the regulations that the Agency will development of America’s growing develop during the next twelve months. impact investing industry by making SBA This Strategic Plan provides a available a new type of SBIC license framework for strengthening, called an Impact SBIC to investment Final Rule Stage streamlining, and simplifying SBA’s funds meeting the SBIC program’s 141. Small Business Innovation programs while leveraging collaborative licensing qualifications, provides Research Program and Small Business relationships with other agencies and application and examination fee Technology Transfer Program Policy the private sector to maximize the tools considerations to incentivize impact Directive small business owners and investing participation, establishes entrepreneurs need to drive American leverage eligibility requirements, and Priority: Other Significant. innovation and strengthen the economy. establishes reporting and performance Legal Authority: 15 U.S.C. 638(p); The plan sets out three strategic goals: measures for licensed funds to maintain Pub. L. 112–81, sec. 5001, et seq. (1) Growing businesses and creating Impact SBIC designation. The proposed CFR Citation: 13 CFR ch 1. jobs; (2) serving as the voice for small rule would require an Impact SBIC to Legal Deadline: None. business; and (3) building an SBA that invest at least 50% of its total invested Abstract: SBA reviews its Small meets the needs of today’s and capital in one or both categories of Business Innovation Research (SBIR) tomorrow’s small businesses. In order to impact investment: (a) SBA-identified and Small Business Technology achieve these goals SBA will, among impact investments, which are Transfer (STTR) program policy other objectives, focus on: investments in small businesses located directives regularly to determine areas • Expanding access to capital through in geographic areas and sectors of that need updating and further SBA’s extensive lending network; national priority designated by SBA, clarification. On November 7, 2014, • Ensuring Federal contracting goals such as Low- and Moderate- Income SBA issued an advance notice of policy are met or exceeded by collaborating Zones (LMI); and/or (b) fund-identified directive amendments and request for across the Federal Government to impact investments, which are comments at 77 FR 66342. SBA expand opportunities for small investments that meet an SBIC’s own explained that it intended to update the businesses and strengthen the integrity definition, subject to SBA’s approval, of directives on a regular basis and to of the Federal contracting data and an ‘‘Impact Investment,’’ such as small restructure and reorganize the certification process; businesses operating in the clean directives, as well as address certain • Strengthening SBA’s relevance to energy, education or healthcare sectors. policy issues relating to SBIR and STTR high growth entrepreneurs and small data rights and Phase III work. In this (2) Small Business Innovation Research businesses to more effectively drive ANPRM, SBA outlined what it believed Program and Small Business innovation and job creation; and were the issues concerning data rights • Mitigating risk and improving Technology Transfer Program Policy and Phase III awards and requested program oversight. Directive (RIN: 3245–AG64) feedback on several questions posed. The regulations reported in SBA’s This proposed Directive seeks to The comments SBA received were semi-annual regulatory agenda and plan revise the Small Business Innovation generally in agreement that the sections are intended to facilitate achievement of Research (SBIR) and Small Business of the directives relating to data rights these goals and objectives. Over the next Technology Transfer (STTR) Policy and Phase III awards need further twelve months, SBA’s highest regulatory Directives. Specifically, SBA proposes clarification. priorities will be to implement the to combine the two directives into one On April 7, 2016, SBA issued a notice following regulations and program integrated Directive, clarify the Phase III of policy directive amendments with a guidance: (1) Small Business Investment preference afforded to SBIR and STTR request for comments at 81 FR 20484. In Company (SBIC) Program; Impact SBICs small business awardees, add this NPRM, SBA proposed clarification (RIN: 3245–AG66); and (2) Small definitions relating to data rights, clarify of the issues relating to both programs Business Innovation Research Program the benchmarks for progress towards concerning data rights, Phase III awards, and Small Business Technology commercialization, and update language and miscellaneous issues such as Transfer Program Policy Directive (RIN: regarding the calculations of extramural benchmarks to commercialization 3245–AG64). Research/Research & Development achievement and the calculation of budgets used to fund the SBIR/STTR extramural budget. SBA also proposed (1) Small Business Investment Company programs. combining both the SBIR and STTR (SBIC) Program; Impact SBICs (RIN: policy directives into one because the 3245–AG66) Retrospective Review of Existing general structure of both programs is the This rule proposes to establish a Regulations same. regulatory structure for the SBIC Pursuant to section 6 of Executive Statement of Need: It is necessary to program’s Impact Investment Fund Order 13563 ‘‘Improving Regulation and update the data rights, Phase III initiative, which is currently Regulatory Review’’ (Jan. 18, 2011), SBA preference, benchmark sections, and implemented via policy memorandum. developed a plan for the retrospective clarify how agencies calculate The goal of the Impact Investment Fund review of its regulations. Since that date extramural budget due to numerous
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inquiries and requests for clarification Government Levels Affected: Federal. businesses located in low-to-moderate received from SBIR and STTR Program Additional Information: Included in income areas, economically-distressed Managers and small businesses SBA’s Retrospective Review under areas and rural areas, as well as small regarding these issues. Requests for Executive Orders 13563 and 13610. businesses active in the education and clarification indicate that there is Agency Contact: Edsel M. Brown Jr., clean energy sectors. Subsequently, SBA confusion among participating agencies Assistant Director, Office of Innovation, made several changes to the Initiative in and small business concerns regarding Small Business Administration, 409 2014, including renaming the Initiative these policy issues. It is necessary to Third Street SW., Washington, DC the Impact Investment Fund, and combine the Policy Directives to 20416, Phone: 202 205–6450, Email: expanding its scope to reflect SBA’s increase ease of use and to reduce [email protected]. commitment beyond the initial 5-year duplicity, as much of the language in RIN: 3245–AG64 term. This rule follows that commitment the current Directives is identical for by providing a permanent framework both programs. The clarifications and within the SBIC program’s regulations, highlighting the important role of consolidation will provide clearer SBA guidance and uniformity of these impact investing by supporting the sections of the Policy Directive, and are 142. Small Business Investment development of America’s growing necessary to enhance the efficient Company (SBIC) Program—Impact impact investing industry, and seeking implementation of the programs. SBICS to expand the pool of investment capital Summary of Legal Basis: Section 9(j) Priority: Other Significant. available to underserved communities and (p) of the Small Business Act, Legal Authority: 15 U.S.C. 681 and innovative sectors. The rule codified at 15 U.S.C. 638(j) & (p) CFR Citation: 13 CFR 107. requires an Impact SBIC to invest at requires SBA to issue directives to the Legal Deadline: None. least 50% of its total invested capital in SBIR/STTR participating agencies to Abstract: This rule will establish a one or both categories of impact simplify and standardize program regulatory structure for the SBIC investment: (1) SBA-identified impact investments, which are investments in proposals, selections, contracting, Programs Impact Investment Fund, small businesses located in geographic compliance, and audit procedures, which is currently being implemented areas and sectors of national priority while allowing the participating through a policy memorandum to designated by SBA, such as Low and agencies flexibility in the operation of interested applicants. The rule would Moderate Income Zones; and (2) fund- their individual programs. establish in the regulations a new type identified impact investments, which Alternatives: If SBA does not amend of SBIC license called the Impact SBIC are investments that meet an SBIC’s the Policy Directives, the participating license and will include application and own definition, subject to SBA’s agencies and small business concerns examination fee considerations to approval, of an Impact Investment, such will continue to need additional incentivize Impact Investment Fund as small businesses operating in the guidance and clarification regarding the participation. Impact SBICs may also be implementation of data rights, Phase III clean energy, education and/or able to access Early Stage leverage on healthcare sectors. The rule will awards, and the commercialization the same terms as Early Stage SBICs benchmarks. encourage the creation of Impact SBICs without applying through the Early by providing certain application and Anticipated Cost and Benefits: The Stage call process defined in 107.310. consolidation and revision of the SBIR/ examination fee discounts to these This will allow Impact SBICs with early funds. STTR Policy Directive is essential to the stage strategies to apply for the program. efficient implementation of the Summary of Legal Basis: The policy The new license will be available to goal of the Small Business Investment respective programs. There may be some investment funds that meet the SBIC costs associated with the consolidation Act of 1958, 15 U.S.C. 661 et seq., is to Programs licensing qualifications and stimulate and supplement the flow of and revision of the Policy Directives, commit to invest at least 50 percent of such as updating current resource private equity capital and long-term their invested capital in impact loan funds to the nation’s small materials to reflect the clarifications and investments as defined in the rule. The consolidation to one document; businesses for the sound financing of rule would also outline reporting and their growth, expansion, and however, SBA anticipates such costs are performance measures for licensed not burdensome. modernization. The Small Business funds to maintain Impact Investment Investment Act contains several Risks: None identified. Fund designation. The goal of the Timetable: provisions aimed at promoting the flow Impact Investment Fund is to support of capital to several special categories of small business investment strategies Action Date FR Cite small business, including those located that maximize financial returns while in low income geographic areas, those ANPRM ...... 11/07/14 79 FR 66342 also yielding enhanced social engaged in energy-saving activities and ANPRM Comment 01/06/15 environmental or economic impacts as smaller businesses, 15 U.S.C. Period End. part of the SBIC Programs overall effort 683(b)(2)(C), 683(b)(2)(D), 683(d). The NPRM ...... 04/07/16 81 FR 20484 to supplement the flow of private equity rule was crafted to enhance the SBIC NPRM Comment 05/31/16 81 FR 34426 and long-term loan funds to small program’s effectiveness in channeling Period Ex- businesses whose capital needs are not much-needed capital to small tended. being met. NPRM Comment 06/06/16 businesses operating in these and other Period End. Statement of Need: SBA originally underserved areas and sectors of the Second NPRM 07/06/16 announced the launch of the SBIC U.S. economy. Comment Pe- program’s Impact Investing Initiative Alternatives: SBA considered several riod End. (Initiative) on April 7, 2011, with a alternatives to the regulation, including Final Rule ...... 01/00/17 commitment of $1 billion in debenture continuing its impact investment leverage over a 5-year period to SBICs objectives solely through existing policy Regulatory Flexibility Analysis that committed to deploy at least 50% initiatives. However, those policy Required: No. of their total invested capital in small initiatives did not provide sufficient
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incentives to attract Impact SBIC fund Additional Information: Included in Participation in Small Business Set- managers to the program. Moreover, SBA’s Retrospective Review under Asides) SBA determined that it must Executive Orders 13563 and 13610. Clarification on 8(a) joint ventures. demonstrate a lasting commitment to Agency Contact: Nate T. Yohannes, Clarifies that 8(a) joint ventures are not the Initiative by promulgating Senior Advisor, Office of Investments, ‘‘certified’’ into the 8(a) program and regulations. In addition, SBA Small Business Administration, 409 that 8(a) joint venture agreements need considered restricting the definition of Third Street SW., Washington, DC not be ‘‘approved’’ by the SBA until an Impact Investment to financings that 20416, Phone: 202 205–6714, Email: contract award rather than at the time of meet requirements already outlined in [email protected]. proposal submission. (FAR Case 2015– federal regulations, such as Energy- RIN: 3245–AG66 031, Policy on 8(a) Joint Ventures) Savings Investments, LMI Investments BILLING CODE 8025–01–P Considers applicability of small or investments in rural areas. These business regulations to contracts investments are aligned with federal performed outside the United States. policy priorities and are easy to define FAR Case 2016–002, Applicability of and monitor, but SBA determined a FEDERAL ACQUISITION REGULATION Small Business Regulations Outside the more accommodative approach would (FAR) United States) be more effective. The rule has been I. Mission and Overview Contracts under the Small Business drafted to allow Impact SBIC applicants Administration 8(a) Program—This case The Federal Acquisition Regulation to make SBA-identified impact clarifies FAR subpart 19.8, ‘‘Contracting (FAR) was established to codify uniform investments, which target federal with the Small Business Administration policies for acquisition of supplies and priority areas, or make fund-identified (The 8(a) Program).’’ (FAR Case 2012– services by executive agencies. It is impact investments that align with their 022) issued and maintained jointly, pursuant own definitions of impact. This Clarification of Requirement for to the Office of Federal Procurement approach expands the reach of SBA’s Justifications for 8(a) Sole-Source Policy (OFPP) Reauthorization Act, impact investing efforts beyond the Contracts—This case clarifies the under the statutory authorities granted limited subset of investments that meet requirement for a justification for 8(a) to the Secretary of Defense, existing regulatory criteria and promotes sole-source contracts, in response to Administrator of General Services, and freedom of choice for impact fund GAO Report to the Chairman, the Administrator, National Aeronautics managers to pursue an impact investing Subcommittee on Contracting Oversight, and Space Administration. Statutory strategy based on their own definition of Committee on Homeland Security and authorities to issue and revise the FAR Impact Investment. Governmental Affairs, U.S. Senate, have been delegated to the procurement Anticipated Cost and Benefits: The entitled Federal Contracting: Slow Start executives in Department of Defense rule will result in an approximate 6.1 to Implementation of Justifications for (DoD), GSA, and National Aeronautics basis point increase in the annual 8(a) Sole-Source Contracts (GAO–13– and Space Administration (NASA). charge paid by all SBICs with 118 dated December 2012). (FAR Case outstanding leverage and will include II. Statement of Regulatory and 2013–018) de minimis additional oversight costs to Deregulatory Priorities Set-Asides under Multiple Award SBA in monitoring the additional Contracts—This case implements reporting requirements that Impact Federal Acquisition Regulation Priorities statutory requirements from the Small SBICs must comply with. The rule Business Jobs Act of 2010 and is aimed benefits SBA by encouraging SBICs to Specific FAR cases that the FAR at providing agencies with clarifying deploy capital to small businesses Council plans to address in fiscal year guidance on how to use multiple-award operating in geographic areas and 2017 include: contracts as a tool to increase Federal sectors of national priority designated SB—Regulations To Improve Small contracting opportunities for small by SBA, and SBA expects that it will businesses. (FAR Case 2014–002) result in increased financings to small Businesses Opportunities in Government Contracting Payment of Subcontractors—This case businesses taking innovative approaches implements section 1334 of the Small in, among others, the educational, clean Implementation of the Small Business Business Jobs Act of 2010 and the Small energy and healthcare sectors. As a Administration’s final rule for section Business Administration’s (SBA) Final corollary benefit, the rule will support 1651 of the National Defense Rule 78 FR 42391, Small Business the development of the impact investing Authorization Act for Fiscal Year 2013. Subcontracting. The rule requires prime industry more broadly by incorporating SBA’s rule revised the limitations on contractors of contracts requiring a impact investing best practices, subcontracting and the subcontracting plan to notify the especially with regard to the nonmanufacturer rule. Also implements contracting officer in writing if the measurement and assessment of impact. SBA’s regulatory clarifications prime contractor pays a reduced price to Risks: None identified. concerning application of the a subcontractor or if payment is more Timetable: limitations on subcontracting, than 90 days past due. A contracting nonmanufacturer rule, and size officer will then use his or her best Action Date FR Cite determination of joint ventures. (FAR judgment in determining whether the Case 2016–011, Small Business NPRM ...... 02/03/16 81 FR 5666 late or reduced payment was justified NPRM Comment 03/04/16 Government Contracting and National and if not the contracting officer will Period End. Defense Authorization Act of 2013 record the identity of a prime contractor Final Rule ...... 02/00/17 Amendments) with a history of unjustified untimely Clarification on the participation of payments to subcontractors in the Regulatory Flexibility Analysis Federal Prison Industries in small Federal Awardee Performance and Required: Yes. business set-asides. Provides clarity Integrity Information System (FAPIIS) or Small Entities Affected: Businesses. under FAR subparts 19.8, 19.13, 19.14, any successor system. (FAR Case 2014– Government Levels Affected: None. and 19.15. (FAR Case 2016–010, FPI 004)
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Labor—Regulations Which Promote the Separately addresses issues regarding in which full funding is not available at Welfare of Wage Earners unequal access to information. (FAR the outset of the contracting endeavor. Provisions and Clauses for Equal Pay for Equal Work Among Case 2011–001) Acquisitions of Commercial Items and Employees Working for Covered Federal Contractor Use of Information—This Acquisitions That Do Not Exceed the Contractors. The rule implements E.O. case addresses contractor access to Simplified Acquisition Threshold—This 13665, Non-Retaliation for Disclosure of controlled unclassified information. (FAR Case 2014–021) case implements a new approach to the Compensation Information. FAR Case prescription and flow down for 2016–007, Non-Retaliation for Regulations Which Promote Ethics and provisions and clauses applicable to the Disclosure of Compensation Integrity in Contractor Performance acquisition of commercial items or Information. acquisitions that do not exceed the Combating Trafficking in Persons— Prohibition on Contracting with Corporations with Delinquent Taxes or simplified acquisition threshold. Each Definition of ‘‘Recruitment Fees’’—This clause prescription and each clause flow case considers a new definition for the a Felony Conviction.—This case implements multiple sections of the down for commercial items is specified term ‘‘recruitment fees’’ at the request of within the prescription/clause itself, the Senior Policy Operating Group Consolidated and Further Continuing Appropriations Act, 2015. (Pub. L. 113– without having to cross-check another (SPOG) for Combating Trafficking in clause or list. The rule supports the use Persons. (FAR Case 2015–017) 235) to prohibit using any of the funds appropriated by the Act to enter into a of automated contract writing systems Environmental Rules—Regulations That contract with any corporation with a and reduced necessary FAR Promote Environmental Goals delinquent Federal tax liability or a maintenance when clauses are updated. felony conviction. (FAR Case 2015–011) (FAR Case 2015–004) Public Disclosure of Greenhouse Gas Reverse Auction Guidance—This case Prohibition on Providing Funds to the Emissions and Reduction Goals— Implements OFPP memorandum, Enemy—This case implements sections Representation—This case creates an ‘‘Effective Use of Reverse Auctions.’’ 841–843, subtitle E (Never Contract with annual representation within the The memorandum provides guidance on the Enemy), title VIII, of the National System for Award Management (SAM) the usage of reverse auctions, and was Defense Authorization Act for FY 2015 for contractors to indicate if and where issued in response to recommendations (Pub. L. 113–291), enacted 12/19/2014. they publicly disclose GHG emissions within GAO report (Reverse Auctions: Section 841 prohibits providing funds to and GHG reduction goals or targets. This Guidance is Needed to Maximize the enemy. Section 842 provides information will help the Government Competition and Achieve Cost Savings, additional access to records. Section 843 assess supplier GHG management GAO–14–108). (FAR Case 2015–038) practices and assist agencies in provides definitions. (FAR Case 2015– developing strategies to engage with 014) Regulations Which Promote Fiscal Responsibility (Accountability and contractors to reduce supply chain Regulations That Streamline and Transparency) emissions as directed in section 15 of Reduce Unjustified Burdens Executive Order 13693, Planning for Revise the definition of ‘‘information Federal Sustainability in the Next Effective Communication. Implements technology’’ in the FAR. This conforms Decade, dated March 19, 2015. (FAR section 887 of the NDAA for FY 2016, to the Office of Management and Budget Case 2015–024) which provides that agency acquisition Memo, M–15–14 titled Management Sustainable Acquisition—This case personnel are permitted and encouraged Oversight of Federal Information implements Executive Order 13693, to engage in responsible and Technology. (FAR Case 2015–037, Planning for Federal Sustainability in constructive exchanges with industry. Definition of ‘‘Information Technology’’) the Next Decade, which supersedes (FAR Case 2016–005, Effective Strategic Sourcing Documentation— Executive orders 13423 and 13514. Communication between Government This case implements section 836 of the (FAR Case 2015–033) and Industry) FY15 NDAA. Section 836 requires that Provide clarification within service when purchasing services and supplies Regulations That Promote Protection of contracts that contractors are required to that are offered under the Federal Government Information and Systems purchase the mandatory source Strategic Sourcing Initiative but the Privacy Training—This case creates a products from approved sources. (FAR Initiative in not used, the contract file FAR clause to require contractors that Case 2015–026, Contractor Use of shall include an analysis of comparative (1) need access to a system of records, Mandatory Sources of Supply in Service value, including price and nonprice (2) handle personally identifiable Contracts) factors, between the services and information, or (3) design, develop, Incremental Funding of Fixed-Price supplies offered under such Initiative maintain, or operate a system of records Contracting Actions. While the FAR and services and supplies offered under on behalf of the Government, have their provides for incremental funding of the source or sources used for the personnel complete privacy training. cost-reimbursement contracts, it is silent purchase. (FAR Case 2015–015) This addition complies with subsections on incremental funding of fixed-price Prohibition on Reimbursement for (e) (agency requirements) and (m) contracts. Given the federal Congressional Investigations and (Government contractors) of the Privacy government’s implicit preference for Inquiries—This case implements section Act (5 U.S.C. 552a) (FAR Case 2010– fixed-price contracting, as well as the 857 of the NDAA for FY15, which 013) quagmire posed by Continuing amends 10 U.S.C.2324(e)(1). Section 857 Organizational Conflicts of Interest Resolutions and other budgeting disallows costs incurred by a contractor and Unequal Access to Information— problems, acquisition professionals in connection with a congressional This case implements section 841 of the need additional tools to overcome less- investigation or inquiry into an issue NDAA for FY 2009 (Pub. L. 110–147). than-full-funding challenges while that is the subject 10 U.S.C. 2324(k)(2). Section 841 requires consideration of abiding by the preference for fixed-price (FAR Case 2015–016) how to address the current needs of the contracting. The proposed rule aims to Determination of Fair and Reasonable acquisition community with regard to amend the FAR to cover fixed-price Prices on Orders under Multiple-Award Organizational Conflicts of Interest. contracting actions under circumstances Contracts—This case clarifies the
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responsibilities for ordering activity our beneficiaries is of paramount system listings by publishing proposed contracting officers to determine fair importance to SSA. The regulatory plan rules. and reasonable prices when using actions under this category will aid in Bipartisan Budget Act (BBA) Federal Supply Schedules. (FAR Case these goals. These initiatives include 2015–021) two final and three proposed rules that The rules in this section are required will: in connection with the Bipartisan Regulations Which Promote • Save time during the disability Budget Act of 2015 (BBA), Public Law Accountability and Transparency application process by authorizing the 114–74, enacted on November 2, 2015. Uniform Use of Line Items—This case Commissioner of SSA to directly seek SSA is prioritizing these rules to meet establishes a requirement for use of a necessary medical evidence for our regulatory obligations under the standardized uniform line item disability claims; BBA. Our BBA Regulatory Plan numbering structure in Federal • Update the education category in initiatives include a proposed and final procurement. (FAR Case 2013–014) our medical-vocational guidelines to rule to regulate the use of electronic Past Performance Evaluation accurately differentiate between literacy payroll data to improve program Requirements—This case updates FAR and education level; administration, and a proposed rule to subpart 42.15 to identify ‘‘regulatory • Establish beneficiaries’ legal close unintended loopholes related to compliance’’ as a separate evaluation guardians as the preferred choice during presumed filing and voluntary factor in the Contractor Past our representative payee selection suspension. Performance Assessment System process; Privacy and Disclosure (CPARS) and require agencies use past • Update our rules on withdrawal of performance information in the Past old-age benefits applications and The interim final rule in this category Performance Information three years for suspension of benefits; and will implement the time-sensitive, construction and architect-engineer • Improve the efficiency of our statutory requirements of the FOIA contracts. (FAR Case 2015–027) processes by requiring representatives to Improvement Act of 2016, Public Law Dated: August 29, 2016. use electronic methods with the 114–185. William Clark, Agency. Retrospective Review of Existing Director, Office of Government-wide Regulations Acquisition Policy, Office of Acquisition Priority Hearings and Appeals Process Policy, Office of Government-wide Policy. Improvement Rules Pursuant to section 6 of Executive BILLING CODE 6820–EP–P These rules are the core of a Order 13563, ‘‘Improving Regulation continuing SSA initiative to improve and Regulatory Review’’ (January 18, the adjudication process, reduce average 2011), SSA regularly engages in processing times for disability hearings, retrospective review and analysis for SOCIAL SECURITY ADMINISTRATION multiple existing regulatory initiatives. (SSA) and reduce the hearings backlog. These regulatory actions include three final These initiatives may be proposed or Statement of Regulatory Priorities rules that will: completed actions, and they do not We administer the Retirement, • Revise existing rules to achieve necessarily appear in The Regulatory Survivors, and Disability Insurance national consistency of our procedures Plan. You can find more information on programs under title II of the Social at the administrative law judge (ALJ) these completed rulemakings in past Security Act (Act), the Supplemental and Appeals Council levels; publications of the Unified Agenda at Security Income (SSI) program under • Revise our rules of conduct and www.reginfo.gov in the ‘‘Completed title XVI of the Act, and the Special standards of responsibility for claimant Actions’’ section for the Social Security Veterans Benefits program under title representatives to better protect the Administration. The Agency’s most VIII of the Act. As directed by Congress, integrity of our administrative process recently published Retrospective we also assist in administering portions and further clarify representatives’ Review Progress Report can be found at: of the Medicare program under title existing responsibilities, thus protecting https://www.whitehouse.gov/sites/ XVIII of the Act. Our regulations codify our beneficiaries; and default/files/omb/inforeg/regreform/ the requirements for eligibility and • Update rules relating to acceptable retroplans/Jan-2016/SSA-Retrospective- entitlement to benefits, and our medical sources and medical evidence, Plan-Progress-Report.pdf. procedures for administering these to make these rules easier to understand programs. Generally, our regulations do and apply and support the goal of faster, not impose burdens on the private more accurate disability decisions. SSA sector or on State or local governments, Revised Listing of Medical Impairments except for the States’ Disability Proposed Rule Stage Determination Services. We fully fund SSA uses the Listing of Impairments 143. Revised Medical Criteria for the Disability Determination Services in in disability determinations. Each major Evaluating Musculoskeletal Disorders advance or via reimbursement for body system has its own unique listing (3318P) necessary costs in making disability describing impairments that we determinations. consider severe enough to prevent an Priority: Other Significant. The 18 entries in our regulatory plan individual from performing substantial Legal Authority: 42 U.S.C. 402; 42 (plan) represent issues of major gainful activity, regardless of age, U.S.C. 405(a); 42 U.S.C. 405(b); 42 importance to the Agency. We describe education, or work experience. As part U.S.C. 405(d) to 405(h); 42 U.S.C. 416(i); the individual initiatives more fully in of our commitment to improving and 42 U.S.C. 421(a); 42 U.S.C. 421(i); 42 the attached plan. modernizing the disability programs, we U.S.C. 423; 42 U.S.C. 902(a)(5); 42 update the listings to keep pace with U.S.C. 1381a; 42 U.S.C. 1382c; 42 U.S.C. Improving the Disability Process medicine, science, technology, and the 1383; 42 U.S.C. 1383b The continued improvement of the world of work. In 2017, we plan to begin CFR Citation: 20 CFR 404.1500, app 1. disability program and the protection of the process of updating six of our body Legal Deadline: None.
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Abstract: Sections 1.00 and 101.00, Agency Contact: Cheryl A Williams, Anticipated Cost and Benefits: Musculoskeletal System, of appendix 1 Director, Social Security Ensuring that the medical evaluation to subpart P of part 404 of our Administration, Office of Medical criteria are up-to-date and consistent regulations describe those Policy, 6401 Security Boulevard, with the latest advances in medical musculoskeletal system disorders that Baltimore, MD 21235–6401, Phone: 410 knowledge, technology, and treatment we consider severe enough to prevent a 965–1020, Email: will provide for accurate disability person from doing any gainful activity, [email protected]. evaluations. or that cause marked and severe Nancy Miller, Social Insurance Costs: While no cost is expected, functional limitations for a child Specialist, Social Security documentation is not yet available. claiming Supplemental Security Income Administration, Office of Medical Risks: None. payments under title XVI. We are Policy, 6401 Security Boulevard, Timetable: proposing to revise the criteria in these Baltimore, MD 21235–6401, Phone: 410 sections to ensure that the medical 966–1573, Email: Action Date FR Cite evaluation criteria are up-to-date and [email protected]. consistent with the latest advances in Brian J. Rudick, Social Insurance ANPRM ...... 12/12/07 72 FR 70527 medical knowledge and treatment. Specialist, Regulations Writer, Social ANPRM Comment 02/11/08 Security Administration, Office of Period End. Statement of Need: We propose to NPRM ...... 07/00/17 revise the criteria in the Listing of Regulations and Reports Clearance, Impairments (listings) that we use to 6401 Security Boulevard, Baltimore, MD Regulatory Flexibility Analysis evaluate claims involving 21235–6401, Phone: 410 965–7102, Required: No. musculoskeletal disorders in adults and Email: [email protected]. Small Entities Affected: No. children under titles II and XVI of the RIN: 0960–AG38 Government Levels Affected: None. Social Security Act (Act). These Additional Information: Includes proposed revisions reflect our Retrospective Review under E.O. 13563. adjudicative experience, advances in SSA URL for Public Comments: medical knowledge and treatment of www.regulations.gov. 144. Revised Medical Criteria for musculoskeletal disorders, Agency Contact: Cheryl A Williams, Evaluating Digestive Disorders (3441P) recommendations from medical experts, Director, Social Security and comments we received in response Priority: Other Significant. Administration, Office of Medical to a final rule with request for public Legal Authority: 42 U.S.C. 402; 42 Policy, 6401 Security Boulevard, comments that we published in U.S.C. 405(a); 42 U.S.C. 405(b); 42 Baltimore, MD 21235–6401, Phone: 410 November 2001. U.S.C. 405(d) to 405(h); 42 U.S.C. 416(i); 965–1020, Email: Summary of Legal Basis: 42 U.S.C. 421(a); 42 U.S.C. 421(i); 42 [email protected]. Administrative—not required by statute U.S.C. 423; 42 U.S.C. 902(a)(5); 42 Shawnette Ashburne, Social or court order. U.S.C. 1381a; 42 U.S.C. 1382c; 42 U.S.C. Alternatives: We considered Insurance Specialist, Social Security 1383; 42 U.S.C. 1383b Administration, Office of Medical continuing to use our current criteria. CFR Citation: 20 CFR 404.1500, app 1. However, we believe these proposed Policy, 6401 Security Boulevard, Legal Deadline: None. Baltimore, MD 21235–6401, Phone: 410 revisions are necessary because of Abstract: Sections 5.00 and 105.00, 966–5788. medical advances, technology, and Digestive Systems, of appendix 1 to Brian J. Rudick, Social Insurance treatment since we last revised these subpart P of part 404 of our regulations Specialist, Regulations Writer, Social rules. describe those digestive disorders that Security Administration, Office of Anticipated Cost and Benefits: we consider severe enough to prevent a Regulations and Reports Clearance, Currently being determined. person from doing any gainful activity, 6401 Security Boulevard, Baltimore, MD Risks: We expect the public and or that cause marked and severe 21235–6401, Phone: 410 965–7102, adjudicators to support the removal and functional limitations for a child clarification of ambiguous terms and Email: [email protected]. claiming Supplemental Security Income RIN: 0960–AG65 phrases, and the addition of specific, payments under title XVI. We are demonstrable functional criteria for proposing to revise the criteria in these determining listing-level severity of all sections to ensure that the medical musculoskeletal disorders. evaluation criteria are up-to-date and SSA We expect adjudicators to support the consistent with the latest advances in 145. Revised Medical Criteria for change in the framework of the text medical knowledge and treatment. because it makes the guidance in the Evaluating Cardiovascular Disorders Statement of Need: These rules are (3477P) introductory text and listings easier to required to facilitate disability claims access and understand. adjudication. Priority: Other Significant. Timetable: Summary of Legal Basis: Sections 5.00 Legal Authority: 42 U.S.C. 402; 42 and 105.00, Digestive Systems, of U.S.C. 405(a); 42 U.S.C. 405(b); 42 Action Date FR Cite appendix 1 to subpart P of part 404 of U.S.C. 405(d) to 405(h); 42 U.S.C. 416(i); NPRM ...... 06/00/17 our regulations. 42 U.S.C. 421(a); 42 U.S.C. 421(i); 42 This proposed rule is not required by U.S.C. 423; 42 U.S.C. 902(a)(5); 42 Regulatory Flexibility Analysis statute or court order. U.S.C. 1381a; 42 U.S.C. 1382c; 42 U.S.C. Required: No. Alternatives: We considered 1383; 42 U.S.C. 1383b Small Entities Affected: No. continuing to use our current criteria. CFR Citation: 20 CFR 404.1500, app 1. Government Levels Affected: None. However, we believe these proposed Legal Deadline: None. Additional Information: Includes revisions are necessary because of Abstract: Sections 4.00 and 104.00, Retrospective Review under E.O. 13563. medical advances, technology, and Cardiovascular System, of appendix 1 to URL for Public Comments: treatment since we last revised these subpart P of part 404 of our regulations www.regulations.gov. rules. describe those cardiovascular disorders
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that we consider severe enough to CFR Citation: Not Yet Determined. Security Administration, Office of prevent a person from doing any gainful Legal Deadline: None. Regulations and Reports Clearance, activity, or that cause marked and Abstract: This notice of proposed 6401 Security Boulevard, Baltimore, MD severe functional limitations for a child rulemaking will pose several questions 21235–6401, Phone: 410 965–7102, claiming Supplemental Security Income to the public regarding the best means Email: [email protected]. payments under title XVI. We are by which to encourage employment RIN: 0960–AH50 proposing to revise the criteria in these networks to assist beneficiaries in sections to ensure that the medical seeking employment at a level that could lead to eventual financial evaluation criteria are up-to-date and SSA consistent with the latest advances in independence. We want to hear from medical knowledge and treatment. program beneficiaries and others about 147. Revisions to Rules Regarding the Statement of Need: These rules are what combination of incentives would Evaluation of Medical Evidence required to facilitate disability claims best help beneficiaries to go to work and Priority: Other Significant. adjudication. reach and sustain middle-class earnings. Legal Authority: 42 U.S.C. 405(a); 42 Statement of Need: We would like to Summary of Legal Basis: Sections 4.00 U.S.C. 423(d)(5)(A); 42 U.S.C. 902(a)(5); clarify the purpose of and the rules for and 104.00, Cardiovascular System, of 42 U.S.C. 1010(a); 42 U.S.C. our Ticket to Work (TTW) program, as appendix 1 to subpart P of part 404 of 1382c(a)(3)(H)(i); 42 U.S.C. part of our ongoing effort to help our our regulations. 1382c(a)(3)(H)(i); Bipartisan Budget Act beneficiaries find and maintain This proposed rule is not required by of 2015, section 832 employment that leads to increased statute or court order. CFR Citation: 20 CFR 404.1502; 20 independence and enhanced Alternatives: We considered CFR 404.1512; 20 CFR 404.1520b; 20 productivity. continuing to use our current criteria. CFR 404.1521 to 404.1523; 20 CFR However, we believe these proposed Summary of Legal Basis: Ticket to Work and Work Incentives 404.1526 and 404.1527; 20 CFR revisions are necessary because of 404.1530; 20 CFR 404.1546; 20 CFR medical advances since we last Improvement Act of 1999 (Ticket Act). Alternatives: We may postpone 416.902; 20 CFR 416.912; 20 CFR published our final rule. 416.920b; 20 CFR 416.921 to 416.923; 20 Anticipated Cost and Benefits: updating our TTW regulations. Anticipated Cost and Benefits: CFR 416.926 and 416.927; 20 CFR Ensuring that the medical evaluation 416.930; 20 CFR 416.946. criteria are up-to-date and consistent Updating the Ticket to Work program rules to provide increased choices for Legal Deadline: None. with the latest advances in medical Abstract: We are proposing several knowledge, technology, and treatment our beneficiaries and service providers. Improving flexibility in the program revisions to our medical evidence rules. will provide for accurate disability The proposals include redefining evaluations. rules should also increase the number of employment service providers several key terms related to evidence, Costs: While no cost is expected, revising our list of acceptable medical documentation is not yet available. participating in the Ticket to Work program, as well as encourage sources (AMS), revising how we Risks: consider and articulate our Timetable: additional beneficiaries to attempt work and reach their employment goals. consideration of medical opinions and Action Date FR Cite When beneficiaries with disabilities prior administrative medical findings, return work at a significant level of revising who can be a medical ANPRM ...... 04/16/08 73 FR 20564 earnings, they are able to take advantage consultant (MC) and psychological ANPRM Comment 06/16/08 of all of the work supports in SSA’s consultant (PC), revising our rules about Period End. program rules and start on the road to treating sources, and reorganizing our NPRM ...... 07/00/17 financial independence and a better evidence regulations for ease of use. future. These proposed revisions would Regulatory Flexibility Analysis Risks: None. conform our rules with the requirements Required: No. Timetable: of the Bipartisan Budget Act of 2015 Small Entities Affected: No. (BBA), reflect changes in the national Government Levels Affected: None. Action Date FR Cite healthcare workforce and in the manner Additional Information: Includes that individuals receive primary Retrospective Review under E.O. 13563. ANPRM ...... 02/10/16 81 FR 7041 medical care, simplify and reorganize URL for Public Comments: ANPRM Comment 04/11/16 our rules to make them easier to www.regulations.gov. Period End. understand and apply, allow us to NPRM ...... 06/00/17 Agency Contact: Cheryl A Williams, continue to make accurate and Director, Social Security consistent decisions, and emphasize the Administration, Office of Medical Regulatory Flexibility Analysis Required: No. need for objective medical evidence in Policy, 6401 Security Boulevard, disability and blindness claims. Baltimore, MD 21235–6401, Phone: 410 Small Entities Affected: No. Government Levels Affected: None. Statement of Need: These revisions 965–1020, Email: cheryl.a.williams@ URL for Public Comments: would simplify and reorganize our rules ssa.gov. www.regulations.gov. to make them easier to understand and RIN: 0960–AG74 Agency Contact: Mark Green, Deputy apply, allow us to make more accurate Office Director, Social Security and consistent decisions, and Administration, Office of Employment emphasize the need for objective SSA Support Programs, Office of Beneficiary medical evidence in disability and Outreach and Employment Support, blindness claims under titles II and XVI 146. Revising the Ticket to Work 6401 Security Boulevard, Baltimore, MD of the Social Security Act. Program Rules (3780A) 21235–6401, Phone: 410 965–9852. Summary of Legal Basis: Priority: Other Significant. Brian J. Rudick, Social Insurance Administrative—not required by statute Legal Authority: Not Yet Determined. Specialist, Regulations Writer, Social or court order.
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Alternatives: Undetermined at this Statement of Need: These rules are Legal Authority: Bipartisan Budget time. required to facilitate disability claims Act of 2015 sec. 824 Anticipated Cost and Benefits: adjudication. CFR Citation: Not Yet Determined. Undetermined at this time. Summary of Legal Basis: Sections 5.00 Legal Deadline: None. Risks: Undetermined at this time. and 105.00, Digestive Systems, of Abstract: This NPRM will propose to Timetable: appendix 1 to subpart P of part 404 of implement the Commissioner’s access to our regulations. and use of the information held by Action Date FR Cite This proposed rule is not required by payroll providers. The Agency will use statute or court order. this data to help administer the NPRM ...... 09/09/16 81 FR 62559 Alternatives: We considered NPRM Comment 11/08/16 disability and SSI programs and prevent Period End. continuing to use our current criteria. improper payments. Final Action ...... 01/00/17 However, we believe these proposed Statement of Need: In accordance revisions are necessary because of with the Bipartisan Budget Act of 2015, Regulatory Flexibility Analysis medical advances, technology, and section 824; the Commissioner of Social Required: No. treatment since we last revised these Security has the authority to enter into Small Entities Affected: No. rules. an information exchange with a payroll Government Levels Affected: None. Anticipated Cost and Benefits: or data provider, allowing us to URL for Public Comments: Ensuring that the medical evaluation efficiently administer monthly www.regulations.gov. criteria are up-to-date and consistent insurance and supplemental security Agency Contact: William P. Gibson, with the latest advances in medical income benefits, while preventing Social Insurance Specialist, Regulations knowledge, technology, and treatment improper payments. Writer, Social Security Administration, will provide for accurate disability Summary of Legal Basis: Bipartisan Office of Regulations and Reports evaluations. Budget Act of 2015, section 824. Clearance, 6401 Security Boulevard, Costs: While no cost is expected, Alternatives: None. Baltimore, MD 21235–6401, Phone: 410 documentation is not yet available. Anticipated Cost and Benefits: To be 966–9039, Email: william.gibson@ Risks: determined. ssa.gov. Timetable: Risks: To be determined. Joshua Silverman, Technical Expert, Timetable: Social Security Administration, Office Action Date FR Cite of Disability Policy, 6401 Security Action Date FR Cite ANPRM ...... 08/30/13 78 FR 53700 Boulevard, Baltimore, MD 21235–6401, ANPRM Comment 10/29/13 NPRM ...... 07/00/17 Phone: 410 594–2128, Email: Period End. [email protected]. NPRM ...... 10/00/17 Regulatory Flexibility Analysis Dan O’Brien, Social Insurance Required: No. Specialist, Social Security Regulatory Flexibility Analysis Small Entities Affected: No. Administration, Office of Employment Required: No. Government Levels Affected: None. Support Programs, 6401 Security Small Entities Affected: No. Agency Contact: Elizabeth Teachey, Boulevard, Baltimore, MD 21235–6401, Government Levels Affected: None. Director, Social Security Phone: 410 965–1632, Email: URL for Public Comments: Administration, SSA: OISP/OEMP/ [email protected]. www.regulations.gov DHSLT, 6401 Security Blvd., RIN: 0960–AH51 Agency Contact: Cheryl A Williams, Woodlawn, MD 21235, Phone: 410 965– Director, Social Security 9145, Email: [email protected]. Administration, Office of Medical Faye Lipsky, Director, Office of Policy, 6401 Security Boulevard, SSA Regulations and Reports Clearance, Baltimore, MD 21235–6401, Phone: 410 Social Security Administration, 6401 148. Revised Medical Criteria for 965–1020, Email: cheryl.a.williams@ Security Boulevard, Baltimore, MD Evaluating Hearing Loss and ssa.gov. 21235–6401, Phone: 410 965–8783, Disturbances of Labyrinthine- Suzanne Luther, Social Insurance Email: [email protected]. Vestibular Function (3806P) Specialist, Social Security Eric Skidmore, Social Insurance Priority: Other Significant. Administration, Office of Medical Specialist, Social Security Legal Authority: Not Yet Determined. Policy, 6401 Security Boulevard, Administration, Office of Income CFR Citation: Not Yet Determined. Baltimore, MD 21235–6401, Phone: 410 Security Programs, 6401 Security Legal Deadline: None. 965–8121, Email: suzanne.luther@ Boulevard, Baltimore, MD 21235, Abstract: Sections 2.00B and 102.00B, ssa.gov. Phone: 410 597–1833, Email: Hearing Loss and Disturbances of Brian J. Rudick, Social Insurance [email protected]. Labyrinthine-Vestibular Function, of Specialist, Regulations Writer, Social RIN: 0960–AH88 appendix 1 to subpart P of part 404 of Security Administration, Office of our regulations describe hearing loss Regulations and Reports Clearance, that we consider severe enough to 6401 Security Boulevard, Baltimore, MD prevent a person from doing any gainful 21235–6401, Phone: 410 965–7102, SSA activity, or that cause marked and Email: [email protected]. 150. Treatment of Earnings Derived severe functional limitations for a child RIN: 0960–AH54 From Services claiming Supplemental Security Income Priority: Other Significant. payments under title XVI. We are Legal Authority: Bipartisan Budget proposing to revise these sections to SSA Act of 2015 sec. 825 ensure that the medical evaluation CFR Citation: Not Yet Determined. criteria are up-to-date and consistent 149. Use of Electronic Payroll Data To Legal Deadline: None. with the latest advances in medical Improve Program Administration Abstract: Prior to the Bipartisan knowledge and treatment. Priority: Other Significant. Budget Act when a Social Security
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disability beneficiary worked, we were SSA SSA required to determine which month the 151. Closure of Unintended Loopholes Final Rule Stage beneficiary’s income was earned in (Conforming Changes to Regulations on determining the beneficiary’s continued Presumed Filing and Voluntary 152. Revisions to Rules on Representation of Parties (3396F) entitlement to benefits (or the amount of Suspension) his or her benefits). Section 825 of the Priority: Other Significant. Bipartisan Budget Act of 2015, requires Priority: Other Significant. Legal Authority: 42 U.S.C. 405(a); 42 SSA to presume that wages and salaries Legal Authority: Bipartisan Budget U.S.C. 406(a)(1); 42 U.S.C. 810(a); 42 are earned when paid, unless Act of 2015 sec. 831 U.S.C. 902(a)(5); 42 U.S.C. 1010; 42 information is available to SSA that U.S.C. 1383(d) CFR Citation: 20 CFR 404.623; 20 CFR shows when the income is earned. CFR Citation: 20 CFR 404.612; 20 CFR 404.313. Regulatory changes are needed to set 404.901; 20 CFR 404.903; 20 CFR forth the procedures and rules that Legal Deadline: None. 404.909; 20 CFR 404.910; 20 CFR beneficiaries and SSA must follow in Abstract: Section 831 of the 404.933; 20 CFR 404.934; 20 CFR implementing this provision. Bipartisan Budget Act of 2015, closes 404.1700 to 404.1799; 20 CFR 408.1101; 20 CFR 416.315; 20 CFR 416.1401; 20 Statement of Need: The purpose of several loopholes in our program rules regarding deemed filing, dual CFR 416.1403; 20 CFR 416.1409; 20 CFR section 825 is to simplify work CDR 416.1410; 20 CFR 416.1433; 20 CFR processing by allowing adjudicators to entitlement, and benefit suspension in order to prevent individuals from 416.1434; 20 CFR 416.1500 to 416.1599; use readily available evidence of 20 CFR 422.203; 20 CFR 422.515. earnings like IRS data, SSI verified obtaining larger benefits than Congress intended. Regulatory changes are Legal Deadline: None. wages, quarterly earnings data, and Abstract: We will revise our rules on needed to conform our regulations on earnings maintained by third party representation of parties in parts 404, presumed filing and voluntary payroll providers. 408, 416, and 422 to reflect changes in suspension. Summary of Legal Basis: Section 825 the way claimants obtain representation of the Bipartisan Budget Act of 2015. Statement of Need: Section 831 of the and in representatives’ business Bipartisan Budget Act of 2015, closes practices. These new rules will improve Alternatives: There is no alternative, several loopholes in our program rules our efficiency by increasing the use of this rule complies with statutory regarding deemed filing, dual electronic services. mandate. entitlement, and benefit suspension in Statement of Need: These revisions Anticipated Cost and Benefits: Prior order to prevent individuals from will reflect changes in representatives’ to this legislation, when we made an obtaining larger benefits than Congress business practices and improve our SGA determination we had to determine intended. Regulatory changes are efficiency by enhancing use of the when the services were performed. needed to conform our regulations on Internet. Under provision 825, we can presume presumed filing and voluntary Summary of Legal Basis: Allows SSA that monthly earnings are earned in the suspension. to recognize firms as representatives. month paid, unless there is readily Summary of Legal Basis: Section Alternatives: Determining if SSA has available evidence to indicate when 831(a) of the Bipartisan Budget Act of legal authority to permit appointed earned. 2015 amends the Social security Act at representatives to assign fees awarded Risks: None. sec. 202(r). Section 831(b) of the under section 206 of the Social Security Bipartisan Budget Act of 2015 amends Act (42 U.S.C. 406) this would be an Timetable: the Social Security Act to add sec. interim step. 202(z). Anticipated Cost and Benefits: Costs Action Date FR Cite include Systems changes, modifications, Alternatives: and/or updates. There will also be costs NPRM ...... 06/00/17 Anticipated Cost and Benefits: associated with training staff on the new Risks: policy. Benefits include a more Regulatory Flexibility Analysis streamlined process for paying fees Required: No. Timetable: under section 206 of the Social Security Act, 42 U.S.C. 406, that will make it Small Entities Affected: No. Action Date FR Cite more efficient and effective saving Government Levels Affected: None. NPRM ...... 04/00/17 significant work years for SSA as well Agency Contact: Faye Lipsky, as providing better customer service. Director, Office of Regulations and Risks: SSA anticipates that its Regulatory Flexibility Analysis Reports Clearance, Social Security recognition of firms as representatives Required: Undetermined. Administration, 6401 Security will streamline the process for paying Boulevard, Baltimore, MD 21235–6401, Government Levels Affected: fees under section 206 of the Social Phone: 410 965–8783, Email: Undetermined. Security Act, 42 U.S.C. 406, which will [email protected]. URL for Public Comments: likely make the process more efficient Kristine Erwin–Tribbitt, Acting www.regulations.gov. and effective, and potentially reduce the Director, Social Security Agency Contact: Faye Lipsky, number of incorrect payments. Timetable: Administration, Office of Research, Director, Office of Regulations and Demonstration, and Employment Reports Clearance, Social Security Action Date FR Cite Support, 6401 Security Boulevard, Administration, 6401 Security Baltimore, MD 21235, Phone: 410 965– Boulevard, Baltimore, MD 21235–6401, NPRM ...... 09/08/08 73 FR 51963 3353, Email: kristine.erwin-tribbitt@ Phone: 410 965–8783, Email: NPRM Comment 11/07/08 ssa.gov. [email protected]. Period End. Final Action ...... 10/00/17 RIN: 0960–AH90 RIN: 0960–AH93
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Regulatory Flexibility Analysis have a sound medical basis, that SSA Required: No. claimants receive equal treatment 154. Amendments to Regulations Small Entities Affected: No. through the use of specific criteria, and Regarding Withdrawals of Applications Government Levels Affected: None. that individuals who are disabled can be and Voluntary Suspension of Benefits URL for Public Comments: readily identified and awarded benefits (3573F) www.regulations.gov. if all other factors of entitlement or Priority: Other Significant. Agency Contact: Paraskevi Maddox, eligibility are met. Social Insurance Specialist, Social Legal Authority: 42 U.S.C. 402; 42 Security Administration, Office of Summary of Legal Basis: U.S.C. 402(i); 42 U.S.C. 402(j); 42 U.S.C. Disability Policy, 6401 Security Administrative—not required by statute 402(o); 42 U.S.C. 402(p); 42 U.S.C. Boulevard, Baltimore, MD 21235–6401, or court order. 402(r); 42 U.S.C. 403(a); 42 U.S.C. Phone: 410 594–2129, Email: Alternatives: Undetermined at this 403(b); 42 U.S.C. 405(a); 42 U.S.C. 416; [email protected]. time. 42 U.S.C. 416(i)(2); 42 U.S.C. 423; 42 Alexander Cristaudo, Program U.S.C. 423(b); 42 U.S.C. 425; 42 U.S.C. Anticipated Cost and Benefits: Cost/ 428(a) to 428(e); 42 U.S.C. 902(a)(5). Analyst, Social Security Administration, savings estimate—negligible. Office of Disability Policy, 6401 CFR Citation: 20 CFR 404.313; 20 CFR Security Boulevard, Baltimore, MD Risks: Undetermined at this time. 404.640. 21235–6401, Phone: 410 965–3671, Timetable: Legal Deadline: None. Email: [email protected]. Abstract: We modified our regulations William P. Gibson, Social Insurance Action Date FR Cite to establish a 12-month time limit for Specialist, Regulations Writer, Social the withdrawal of an old-age benefits Security Administration, Office of ANPRM ...... 03/18/08 73 FR 14409 application. We will also permit only Regulations and Reports Clearance, ANPRM Comment 05/19/08 one withdrawal per lifetime. These 6401 Security Boulevard, Baltimore, MD Period End. changes limit the voluntary suspension 21235–6401, Phone: 410 966–9039, NPRM ...... 02/26/14 79 FR 10730 of benefits only to those benefits Email: [email protected]. NPRM Comment 04/28/14 disbursed in future months. RIN: 0960–AG56 Period End. Statement of Need: We are under a NPRM Correction 03/25/14 79 FR 16250 clear congressional mandate to protect and NPRM the Trust Funds. It was crucial that we Comment Pe- change our current policies that have SSA riod Extended. the effect of allowing beneficiaries to NPRM Comment 05/27/14 withdraw applications or suspend 153. Revised Medical Criteria for Period Ex- Evaluating Human Immunodeficiency tended End. benefits and use benefits from the Trust Virus (HIV) Infection and for Final Action ...... 12/00/16 Funds as something akin to an interest- Evaluating Functional Limitations in free loan. Immune System Disorders (3466F) Summary of Legal Basis: Regulatory Flexibility Analysis Discretionary. Priority: Other Significant. Required: No. Alternatives: Based on our current Legal Authority: 42 U.S.C. 402; 42 Small Entities Affected: No. evidence, there are no alternatives at U.S.C. 405(a); 42 U.S.C. 405(b); 42 Government Levels Affected: None. this time. U.S.C. 405(d) to 405(h); 42 U.S.C. 416(i); Anticipated Cost and Benefits: The 42 U.S.C. 421(a); 42 U.S.C. 421(i); 42 Additional Information: Includes administrative effect of this final rule is U.S.C. 423; 42 U.S.C. 902(a)(5); 42 Retrospective Review under E.O. 13563. negligible. U.S.C. 1381a; 42 U.S.C. 1382c; 42 U.S.C. URL for Public Comments: Risks: None. 1383; 42 U.S.C. 1383b www.regulations.gov. Timetable: CFR Citation: 20 CFR 404.1500, app 1. Legal Deadline: None. Agency Contact: Cheryl A Williams, Action Date FR Cite Abstract: We are revising the criteria Director, Social Security in the Listing of Impairments (listings) Administration, Office of Medical Interim Final Rule 12/08/10 75 FR 76256 that we use to evaluate claims involving Policy, 6401 Security Boulevard, Interim Final Rule 12/08/10 human immunodeficiency virus (HIV) Baltimore, MD 21235–6401, Phone: 410 Effective. Interim Final Rule 02/07/11 infection in adults and children under 965–1020, Email: cheryl.a.williams@ Comment Pe- titles II and XVI of the Social Security ssa.gov. riod End. Act (Act). We also are revising the Paul J. Scott, Social Insurance Final Action ...... 04/00/17 introductory text of the listings that we Specialist, Social Security use to evaluate functional limitations Administration, Office of Medical Regulatory Flexibility Analysis resulting from immune system Policy, 6401 Security Boulevard, Required: No. disorders. The revisions reflect our Baltimore, MD 21235–6401, Phone: 410 Small Entities Affected: No. program experience, advances in Government Levels Affected: 966–1192. medical knowledge, our adjudicative Undetermined. experience, recommendations from a Brian Rudick, Social Insurance Agency Contact: Liz Calvo, Social commissioned report, and comments Specialist, Regulations Writer, Social Insurance Specialist. Social Security from medical experts and the public. Security Administration, Office of Administration, Office of Income Statement of Need: These final rules Regulations and Reports Clearance, Security Programs, 6401 Security are necessary in order to update the HIV 6401 Security Boulevard, Baltimore, MD Boulevard, Baltimore, MD 21235–6401, evaluation listings to reflect advances in 21235–6401, Phone: 410 965–1483, Phone: 410 965–4200, Email: liz.calvo@ medical knowledge, treatment, and Email: [email protected]. ssa.gov. Brian Rudick, Social Insurance evaluation methods. The changes will RIN: 0960–AG71 ensure that determinations of disability Specialist, Regulations Writer, Social
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Security Administration, Office of Agency Contact: Brian J. Rudick, nationwide. These changes would bring Regulations and Reports Clearance, Social Insurance Specialist, Regulations the vast majority of the part 405 6401 Security Boulevard, Baltimore, MD Writer, Social Security Administration, procedures in line with the procedures 21235–6401, Phone: 410 965–1483, Office of Regulations and Reports in parts 404 and 416, so we propose to Email: [email protected]. Clearance, 6401 Security Boulevard, remove part 405 in its entirety. We RIN: 0960–AH07 Baltimore, MD 21235–6401, Phone: 410 anticipate that under nationally 965–7102, Email: [email protected]. consistent procedures, we will be able RIN: 0960–AH63 to administer our disability programs SSA more efficiently and better serve the public. 155. Revisions to Rules of Conduct and Summary of Legal Basis: SSA Standards of Responsibility for Administrative—not required by statute Appointed Representatives 156. Ensuring Program Uniformity at or court order. Priority: Other Significant. the Hearing and Appeals Council Alternatives: Based on our program Legal Authority: Not Yet Determined Levels of the Administrative Review experience, there are no alternatives at CFR Citation: Not Yet Determined. Process this time. Anticipated Cost and Benefits: Legal Deadline: None. Priority: Other Significant. Abstract: We propose to revise our Legal Authority: 42 U.S.C. 401(j); 42 Undetermined. Risks: Undetermined. rules of conduct and standards of U.S.C. 404(f); 42 U.S.C. 405(a) to 405(b); Timetable: responsibility for representatives. We 42 U.S.C. 405(d) to 405(h); 42 U.S.C. also propose to update and clarify 405(j); 42 U.S.C. 405(s); 42 U.S.C. 421; Action Date FR Cite procedures we use when we bring 42 U.S.C. 421 note; 42 U.S.C. 423(a) to charges against a representative for 423(b); 42 U.S.C. 423(i); 42 U.S.C. NPRM ...... 07/12/16 81 FR 45079 violating our rules of conduct and 902(a)(5); 42 U.S.C. 902 note; 42 U.S.C. NPRM Comment 08/04/16 81 FR 51412 standards of responsibilities for 1381; 42 U.S.C. 1381a; 42 U.S.C. 1383; Period Ex- representatives. These changes are 42 U.S.C. 1383b tended. necessary to better protect the integrity CFR Citation: 20 CFR 404.935; 20 CFR NPRM Comment 08/11/16 of our administrative process and 404.938; 20 CFR 404.939; 20 CFR 944; Period End. further clarify representatives’ currently NPRM Comment 08/26/16 20 CFR 404.949; 20 CFR 404.950; 20 Period Ex- existing responsibilities in their conduct CFR 404.951; 20 CFR 404.970; 20 CFR tended End. with us. The changes to our rules are 976; 20 CFR 405 RECINDED & Final Action ...... 12/00/16 not meant to suggest that any specific RESERVED; 20 CFR 416.1435; 20 CFR conduct is permissible under our 416.1438; 20 CFR 416.1439; 20 CFR Regulatory Flexibility Analysis existing rules; instead, we seek to 416.1444; 20 CFR 416.1449; 20 CFR Required: No. ensure that our rules of conduct and 416.1450; 20 CFR 416.1451; 20 CFR Small Entities Affected: No. standards of responsibility are clearer as 416.1470; 20 CFR 416.1476; 20 CFR Government Levels Affected: None. a whole and directly address a broader 404.900; 20 CFR 404.929; 20 CFR URL for Public Comments: range of inappropriate conduct. 404.968; 20 CFR 416.1400; 20 CFR www.regulations.gov. Statement of Need: These changes are 416.1429; 20 CFR 416.1468. Agency Contact: William P. Gibson, necessary because or current regulations Legal Deadline: None. Social Insurance Specialist, Regulations do not specifically address some Abstract: We propose to revise our Writer, Social Security Administration, representative conduct that we find rules so that more of our procedures at Office of Regulations and Reports inappropriate. the administrative law judge (ALJ) and Clearance, 6401 Security Boulevard, Summary of Legal Basis: Appeals Council levels of our Baltimore, MD 21235–6401, Phone: 410 Administrative—not required by statute administrative review process are 966–9039, Email: william.gibson@ or court order. consistent nationwide. We propose ssa.gov. Alternatives: Based on our program revisions to: RIN: 0960–AH71 experience, there are no alternatives at (1) The time-frame for notifying this time. These rules will be based on claimants of a hearing date; recommendations. (2) the information in our hearing SSA Anticipated Cost and Benefits: The notices; administrative effect of this regulation is (3) the period when we require 157. Implementation of the NICS negligible. claimants to inform us about or submit Improvement Amendments Act of 2007 Risks: Undetermined. written evidence, written statements, Priority: Other Significant. Timetable: objections to the issues, and subpoena Legal Authority: 42 U.S.C. 902(a)(5); requests; 18 U.S.C. 922 note Action Date FR Cite (4) what constitutes the official CFR Citation: 20 CFR 421. NPRM ...... 08/16/16 81 FR 54520 record; and Legal Deadline: None. NPRM Comment 10/17/16 (5) the manner in which the Appeals Abstract: We propose to implement Period End. Council considers additional evidence. provisions of the NICS Improvement Final Action ...... 01/00/17 We anticipate that these nationally Amendments Act of 2007 (NIAA) that consistent procedures will enable us to require Federal agencies to provide Regulatory Flexibility Analysis administer our disability programs more relevant records to the Attorney General Required: No. efficiently and better serve the public. for inclusion in the National Instant Small Entities Affected: No. Statement of Need: We propose to Criminal Background Check System Government Levels Affected: None, revise parts 404 and 416 to make more (NICS). Under the proposed rule, we URL for Public Comments: of our procedures at the hearings and would identify, on a prospective basis, www.regulations.gov. Appeals Council levels consistent individuals who receive Disability
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Insurance benefits under title II of the SSA issue regulations under more than a Social Security Act (Act) or 158. • Availability of Information and dozen Federal consumer financial laws. As provided in section 1021 of the Supplemental Security Income (SSI) Records to the Public payments under title XVI of the Act and Dodd-Frank Act, the purpose of the also meet certain other criteria, Priority: Other Significant. CFPB is to implement and enforce including an award of benefits based on Legal Authority: FOIA Reform Act of Federal consumer financial laws a finding that the individual’s mental 2016, 5 U.S.C. 552 consistently for the purpose of ensuring impairment meets or medically equals CFR Citation: 20 CFR 402. that all consumers have access to the requirements of section 12.00 of the Legal Deadline: Other, Statutory, markets for consumer financial products Listing of Impairments (Listings) and December 27, 2016, FOIA Reform Act and services and that such markets are receipt of benefits through a 2016. FOIA Reform Act of 2016. fair, transparent, and competitive. The Abstract: Revisions of our FOIA representative payee. We propose to CFPB is authorized to exercise its regulations will address the provide pertinent information about authorities for the purpose of ensuring requirements of the FOIA Improvement these individuals to the Attorney that, with respect to consumer financial Act of 2016 and ensure that our General on not less than a quarterly products and services: regulations are consistent with all basis. As required by the NIAA, at the (1) Consumers are provided with applicable laws. commencement of the adjudication timely and understandable information Statement of Need: Revisions of our process we would also notify to make responsible decisions about FOIA regulation will address the individuals, both orally and in writing, financial transactions; requirements of the FOIA Improvement of their possible Federal prohibition on (2) Consumers are protected from Act of 2016 and ensure that our possessing or receiving firearms, the unfair, deceptive, or abusive acts and regulations are consistent with all consequences of such inclusion, the practices and from discrimination; applicable laws. (3) Outdated, unnecessary, or unduly criminal penalties for violating the Gun Summary of Legal Basis: FOIA Reform Control Act, and the availability of relief burdensome regulations are regularly Act of 2016, 5 U.S.C. 552. identified and addressed in order to from the prohibitions imposed by Alternatives: None. Federal law. Finally, we also propose to reduce unwarranted regulatory burdens; Anticipated Cost and Benefits: To Be (4) Federal consumer financial law is establish a program that permits Determined. individuals to request relief from the enforced consistently, without regard to Risks: status of a person as a depository Federal firearms prohibitions based on Timetable: our adjudication. The proposed rule institution, in order to promote fair competition; and would allow us to fulfill responsibilities Action Date FR Cite (5) Markets for consumer financial that we have under the NIAA. Interim Final Rule 12/00/16 products and services operate Statement of Need: We propose to transparently and efficiently to facilitate implement provisions of the NICS Regulatory Flexibility Analysis access and innovation. Improvement Amendments Act of 2007 Required: No. CFPB Regulatory Priorities (NIAA) that require Federal agencies to Small Entities Affected: No. provide relevant records to the Attorney Government Levels Affected: Federal. The CFPB’s regulatory priorities for General for inclusion in the National Agency Contact: Michael Sarich, the period from November 1, 2016, to Instant Criminal Background Check Analyst, Social Security Administration, October 31, 2017, include continuing System (NICS). 6401 Security Blvd., Woodlawn, MD rulemaking activities to address critical Summary of Legal Basis: The NICS 21235, Phone: 410 965–2803, Email: issues in various markets for consumer Improvement Amendments Act of 2007 [email protected]. financial products and services and (NIAA). RIN: 0960–AI07 implementing Dodd-Frank Act mortgage protections. The Bureau also maintains BILLING CODE 4191–02–P Alternatives: None. a long-term agenda listing areas of Anticipated Cost and Benefits: To be potential rulemaking interest, as determined. discussed below. Risks: To be determined. FALL 2016 STATEMENT OF REGULATORY PRIORITIES Bureau Regulatory Efforts in Various Timetable: Consumer Markets CFPB Purposes and Functions The Bureau is working on a number Action Date FR Cite The Bureau of Consumer Financial of rulemakings to address important Protection (CFPB or Bureau) was consumer protection issues in a wide NPRM ...... 05/05/16 81 FR 27059 established in 2010 as an independent variety of markets for consumer NPRM Comment 07/05/16 Period End. bureau of the Federal Reserve System by financial products and services. Many of Final Action ...... 01/00/17 the Dodd-Frank Wall Street Reform and these projects build on prior research Consumer Protection Act (Public Law efforts by the Bureau. 111–203, 124 Stat. 1376) (Dodd-Frank For example, the Bureau has begun a Regulatory Flexibility Analysis Act). Pursuant to the Dodd-Frank Act, rulemaking process to follow up on a Required: No. the CFPB has rulemaking, supervisory, report it issued to Congress in March Small Entities Affected: No. enforcement, and other authorities 2015 concerning the use of agreements Government Levels Affected: None. relating to consumer financial products providing for arbitration of any future and services. Among these are the disputes between covered persons and Agency Contact: NICS Questions, consumer financial protection consumers in connection with the Social Security Administration, 6401 authorities that transferred to the CFPB offering or providing of consumer Security Boulevard, Baltimore, MD from seven Federal agencies on the financial products or services. The 21235–6401, Phone: 410 965–3735. designated transfer date, July 21, 2011. report, which was required by the Dodd- RIN: 0960–AH95. These authorities include the ability to Frank Act, expanded on preliminary
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results of arbitration research that had small businesses that may be affected by consumer financial products and been released by the Bureau in the policy proposals under services. Larger participants of such December 2013. The Bureau has issued consideration. This SBREFA process markets, as the Bureau defines by rule, a proposed rule that would prohibit focuses on companies that are are subject to the Bureau’s supervisory covered providers of certain consumer considered ‘‘debt collectors’’ under the authority. The Bureau expects that its financial products and services from Fair Debt Collection Practices Act; the next larger participant rulemaking will using an arbitration agreement to bar the Bureau expects to convene a separate focus on the markets for consumer consumer from filing or participating in SBREFA proceeding focusing on installment loans and vehicle title loans a class action. Under the proposal, companies that collect their own debts for purposes of supervision. The Bureau companies would still be able to include in 2017. The CFPB is also in the process is also considering whether rules to arbitration clauses in their contracts. of analyzing the results of a survey to require registration of these or other However, for contracts subject to the obtain information from consumers non-depository lenders would facilitate proposal, the clauses would have to say about their experiences with debt supervision, as has been suggested to explicitly that they cannot be used to collection and undertaking consumer the Bureau by both consumer advocates stop consumers from being part of a testing initiatives to determine what and industry groups. class action in court. The proposal information would be useful for The Bureau is also continuing to would also require a covered provider consumers to have about debt collection develop research on other critical that has an arbitration agreement and and their debts and how that markets to help implement statutory that is involved in arbitration pursuant information should be provided to directives and to assess whether to a pre-dispute arbitration agreement to them. regulation of other consumer financial submit specified arbitral records to the Building on Bureau research and products and services may be Bureau. The Bureau has received several other sources, the Bureau is also warranted. For example, section 1071 of thousand comments on the proposal engaged in policy analysis and further the Dodd-Frank Act amends the Equal and is considering development of a research initiatives in preparation for a Credit Opportunity Act to require final rule for spring 2017. proposed rulemaking on overdraft financial institutions to report The Bureau is also engaged in a programs on checking accounts. The information concerning credit rulemaking concerning underwriting CFPB issued a white paper in June 2013, applications made by women-owned, and certain other practices in and a report in July 2014, based on minority-owned, and small businesses. connection with payday, vehicle title, supervisory data from several large The Bureau is in its early stages with and similar credit products. The banks that highlighted a number of respect to implementing section 1071 rulemaking follows on multiple reports possible consumer protection concerns, and is currently focused on outreach that the Bureau has issued on its including how consumers opt in to and research to develop its research into these markets, including a overdraft coverage for ATM and one- understanding of the players, products, white paper in April 2013, a data point time debit card transactions, overdraft and practices in the business lending in March 2014, and several publications coverage limits, transaction posting markets and of the potential ways to earlier this year. The Bureau has issued order practices, overdraft and implement section 1071. The Bureau a proposed rule that, among other insufficient funds fee structures, and then expects to begin developing things, would require lenders to make a involuntary account closures. The CFPB proposed regulations concerning the reasonable determination that the is continuing to engage in additional data to be collected and determining consumer has the ability to repay a research and has begun qualitative appropriate procedures and privacy covered loan before extending credit. It consumer testing initiatives relating to protections needed for information- would also require lenders to make the opt-in process. gathering and public disclosure under certain disclosures before attempting to The Bureau is also working on a final this section. collect payments from consumers’ rule to create a comprehensive set of Implementing Dodd-Frank Act Mortgage accounts and restrict lenders from protections for prepaid financial Protections making additional payment collection products, such as general purpose attempts after two consecutive attempts reloadable cards and other similar The Bureau is also continuing its have failed. The Bureau has already products, which are increasingly being efforts to implement critical consumer received more than 100,000 comments used by consumers in place of protections under the Dodd-Frank Act in response to the proposal; the traditional checking accounts or credit to guard against mortgage market comment period closed on October 7, cards. The final rule will build off a practices that contributed to the 2016. proposal that the Bureau issued in Nation’s most significant financial crisis In addition, the Bureau also engaged November 2014 to bring prepaid in several decades. The Bureau has in policy analysis and research products within the ambit of Regulation already issued regulations initiatives in preparation for a proposed E (which implements the Electronic implementing Dodd-Frank Act rulemaking on debt collection activities, Fund Transfer Act) as prepaid accounts protections for mortgage originations which are the single largest source of and to create new provisions specific to and servicing and integrating various complaints to the Federal Government such accounts. The proposal also Federal mortgage disclosures as of any industry. Building on the included provisions to amend discussed further below. Bureau’s November 2013 Advance Regulation E and Regulation Z (which In October 2015, the Bureau issued a Notice of Proposed Rulemaking, the implements the Truth in Lending Act) final rule implementing Dodd-Frank Bureau released materials in July 2016 to regulate prepaid accounts with amendments to the Home Mortgage in advance of convening a panel under overdraft services or certain other credit Disclosure Act (HMDA), which augment the Small Business Regulatory features. existing data reporting requirements Enforcement Fairness Act (SBREFA) in The Bureau is also continuing regarding housing-related loans and conjunction with the Office of rulemaking activities that will further applications for such loans. In addition Management and Budget and the Small establish the Bureau’s nonbank to obtaining data that is critical to the Business Administration’s Chief supervisory authority by defining larger purposes of HMDA—which include Counsel for Advocacy to consult with participants of certain markets for providing the public and public officials
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with information that can be used to and to facilitate compliance with, relating to the use of automated help determine whether financial various mortgage-related final rules valuation models. institutions are serving the housing issued by the Bureau in January 2013 Bureau Long-Term Planning Efforts needs of their communities, assisting (including several amendments issued public officials in the distribution of since that time) to strengthen consumer The Bureau also maintains a long- public sector investments, and assisting protections involving the origination term agenda to reflect its expectations in identifying possible discriminatory and servicing of mortgages. In general, beyond the current fiscal year. As noted lending patterns and enforcing these rules, implementing requirements in these items, the Bureau intends to antidiscrimination statutes—the Bureau under the Dodd-Frank Act, were all explore potential rulemakings to views this rulemaking as an opportunity effective by January 2014. The Bureau is address important issues related to to streamline and modernize HMDA working diligently to monitor the consumer reporting and student loan data collection and reporting, in market and continues to make servicing. furtherance of its mission under the clarifications and adjustments to the With regard to consumer reporting, Dodd-Frank Act to reduce unwarranted rules where warranted. For example, the the Bureau continues to oversee the regulatory burden. Certain elements of Bureau issued a final rule in August credit reporting market through its the rule take effect in January 2017, and 2016 that amends various provisions of supervisory and enforcement efforts, most new data collection requirements its mortgage servicing rules in both monitor the market through research begin in January 2018. The Bureau is Regulation X, which implements and to consider prior research, conducting outreach with industry and RESPA, and Regulation Z, which including a white paper the Bureau coordinating with other agencies to implements TILA. The final rule published on the largest consumer monitor and facilitate implementation clarifies the applicability of certain reporting agencies in December 2012 and reports on credit report accuracy of the rule. The Bureau has already provisions when a borrower is in produced by the Federal Trade released a small entity compliance bankruptcy or has invoked cease Commission pursuant to the Fair and guide. In addition, the Bureau is communication rights under the Fair Accurate Credit Transactions Act. As planning a rulemaking to make Debt Collection Practices Act, enhances this work continues, the Bureau will technical corrections and to clarify loss mitigation requirements, and evaluate possible policy responses to certain requirements under the new extends the protections of the mortgage issues identified, including potential provisions of Regulation C. The Bureau servicing rules to confirmed successors additional rules or amendments to expects the follow up HMDA in interest, among other amendments. existing rules governing consumer rulemaking to occur in 2017. Most of the final rule will be effective reporting. Potential topics for Another major effort of the Bureau is in 2017, one year from publication in the implementation of its final rule consideration might include the the Federal Register, while certain accuracy of credit reports, including the combining several federal mortgage provisions regarding borrowers in disclosures that consumers receive in processes for resolving consumer bankruptcy and successors in interest disputes, or other issues. connection with applying for and will be effective in 2018, 18 months closing on a mortgage loan under the Further, in May 2015, the CFPB from publication. In developing the issued a request for information seeking Truth in Lending Act and the Real final rule, the Bureau reviewed and Estate Settlement Procedures Act. The comment from the public regarding considered public comments on the student loan servicing practices, integrated forms are the cornerstone of proposed rule, consulted with other the Bureau’s broader ‘‘Know Before You including those related to payment agencies, and conducted consumer Owe’’ mortgage initiative. The rule, in processing, servicing transfers, testing of certain disclosures. The most cases, requires that two forms, the complaint resolution, co-signer release, Bureau will continue supporting Loan Estimate and the Closing and procedures regarding alternative implementation and consumer Disclosure, replace four different repayment and refinancing options. In education efforts in connection with the Federal disclosures. These new forms September 2015, the CFPB released a mortgage-related final rules issued by help consumers better understand their report regarding student loan servicing the Bureau in January 2014, including options, choose the deal that is best for practices, based, in part, on comments the amendments issued since that time. them, and avoid costly surprises at the submitted in response to the request for closing table. The Bureau has worked Further, the Bureau continues to information. The CFPB, the Department intensively to support implementation participate in a series of interagency of Education, and the Department of efforts, including consumer education rulemakings to implement various Treasury also published a Joint initiatives, both before and after the Dodd-Frank Act amendments to TILA Statement of Principles on student loan rule’s October 2015 effective date. To and the Financial Institutions Reform, servicing. In May 2016, the CFPB issued facilitate implementation, the Bureau Recovery and Enforcement Act of 1989 a request for information, seeking has released and provided applicable (FIRREA) relating to mortgage comment from the public about updates for a small entity compliance appraisals. In April 2015, in conjunction potential borrower communications guide, a guide to forms, a readiness with the Office of the Comptroller of the regarding alternative repayment options. guide, sample forms, and additional Currency, the Board of Governors of the In July 2016, the CFPB and Department materials. In July 2016, the Bureau Federal Reserve System, the Federal of Treasury joined the Department of proposed revisions to address a number Deposit Insurance Corporation, the Education as it announced new policy of questions about the final rule that National Credit Union Administration guidance regarding servicing standards have been identified by interested Board, and the Federal Housing Finance for Federal student loans, which it parties in the course of these Agency, the Bureau issued a final rule developed in consultation with the implementation efforts. The comment adopting certain minimum requirements Bureau and the Department of Treasury. period on the proposal closed October for appraisal management companies. The CFPB will also continue to monitor 18, 2016. The Bureau anticipates These joint agency efforts are continuing the student loan servicing market for finalizing the proposal in 2017. with further efforts to implement trends and developments. As this work The Bureau also continues to work in amendments to FIRREA concerning continues, the Bureau will evaluate support of the full implementation of, required quality control standards possible policy responses, including
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potential rulemaking. Possible topics for • unforeseen nature of the risk; resistant fill materials that do not consideration might include specific • vulnerability of the population at contain organohalogen chemicals as an acts or practices and consumer risk; approach for reducing deaths and disclosures. • probability of exposure to the injuries associated with furniture fires The Bureau also has begun planning hazard; and from upholstered furniture ignitions. to conduct assessments of significant • additional criteria that warrant Staff will develop a briefing package rules it has adopted, pursuant to section Commission attention. with options for consideration by the 1022(d) of the Dodd-Frank Act. That Significant Regulatory Actions: Commission in FY 2017, as well as a section requires the Bureau to conduct Currently, the Commission is briefing package reviewing the pros and such assessments to address, among considering one rule that would cons of adopting California’s standard other relevant factors, the effectiveness constitute a ‘‘significant regulatory TB–117–2013 in FY 2016. Staff is also of the rules in meeting the purposes and action’’ under the definition of that term actively working with both ASTM and objectives of title X of the Dodd-Frank in Executive Order 12866: NFPA to evaluate new provisions and Act and the specific goals of the rules 1. Flammability Standard for improve the existing consensus assessed, to publish a report of each Upholstered Furniture standards related to upholstered assessment not later than five years after Under Section 4 of the Flammable furniture flammability. Fabrics Act (‘‘FFA’’), the Commission the effective date of the subject rule, and Statement of Need: From 2009 to may issue a flammability standard or to invite public comment on 2011, an annual average of other regulation for a product of interior recommendations for modifying, approximately 5,000 residential fires in furnishing if the Commission expanding, or eliminating the subject which upholstered furniture was the determines that such a standard is rule before publishing each report. The first item to ignite resulted in an needed to adequately protect the public Bureau will provide further information estimated 410 deaths, 730 civilian against unreasonable risk of the about its expectations for the lookback injuries, and about $280 million in occurrence of fire leading to death or process as its planning continues. property damage that could be personal injury, or significant property addressed by a flammability standard. BILLING CODE 4810–AM–P damage. The Commission’s regulatory The total annual societal cost proceeding could result in several attributable to these upholstered actions, one of which could be the furniture fire losses was more than $3.8 development of a mandatory standard CONSUMER PRODUCT SAFETY billion for 2008–2011. This total requiring that upholstered furniture COMMISSION includes fires ignited by small open- meet mandatory requirements specified flame sources and cigarettes. Statement of Regulatory Priorities in the standard. The U.S. Consumer Product Safety Summary of Legal Basis: Section 4 of Commission is charged with protecting the Flammable Fabrics Act (FFA) (15 the public from unreasonable risks of U.S.C. 1193) authorizes the Commission CPSC death and injury associated with to issue a flammability standard or other consumer products. To achieve this Proposed Rule Stage regulation for a product of interior goal, among other things, the CPSC: furnishing if the Commission • Develops mandatory product safety 159. Flammability Standard for determines that such a standard is standards or bans when other efforts are Upholstered Furniture ‘‘needed to adequately protect the inadequate to address a safety hazard, or Priority: Economically Significant. public against unreasonable risk of the where required by statute; Major under 5 U.S.C. 801. occurrence of fire leading to death or • obtains repair, replacement, or Legal Authority: 15 U.S.C. 1193; 5 personal injury, or significant property refunds for defective products that U.S.C. 801 damage.’’ The Commission’s regulatory present a substantial product hazard; CFR Citation: 16 CFR 1634. proceeding could result in several • develops information and education Legal Deadline: None. actions, one of which could be the campaigns about the safety of consumer Abstract: In October 2003, the development of a mandatory standard products; Commission issued an advance notice of requiring that upholstered furniture sold • participates in the development or proposed rulemaking (ANPRM) to in the United States meet mandatory revision of voluntary product safety address the risk of fire associated with requirements specified in the standard. standards; and cigarette and small open-flame ignitions Alternatives: (1) The Commission • follows statutory mandates. of upholstered furniture. The could issue a mandatory flammability Unless directed otherwise by Commission published a notice of standard if the Commission finds that Congressional mandate, when deciding proposed rulemaking (NPRM) in March such a standard is needed to address an which of these approaches to take in 2008, and received public comments. unreasonable risk of the occurrence of any specific case, the CPSC gathers and The Commission’s proposed rule would fire from ignition of upholstered analyzes data about the nature and require that upholstered furniture have furniture. (2) The Commission could extent of the risk presented by the cigarette-resistant fabrics or cigarette- issue mandatory requirements for product. The Commission’s rules at 16 and open flame-resistant barriers. The labeling of upholstered furniture, in CFR 1009.8 require the Commission to proposed rule would not require flame- addition to, or as an alternative to, the consider, among other factors, the resistant chemicals in fabrics or fillings. requirements of a mandatory following criteria, when deciding the CPSC staff is conducting technical work flammability standard. (3) The level of priority for any particular to support a Final Rule. Since the Commission could terminate the project: Commission published the NPRM, proceeding for development of a • Frequency and severity of injury; CPSC staff has conducted testing of flammability standard and rely on a • causality of injury; upholstered furniture, using both full- voluntary standard if a voluntary • chronic illness and future injuries; scale furniture and bench-scale models, standard would adequately address the • costs and benefits of Commission as proposed in the NPRM. Currently, risk of fire, and substantial compliance action; staff is reviewing fire barriers and fire- with such a standard is likely to result.
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Anticipated Cost and Benefits: The Action Date FR Cite The Commission strives to ensure that estimated annual cost of imposing a consumers benefit from a vigorously mandatory standard to address ignition NPRM Comment 05/19/08 competitive marketplace. The of upholstered furniture will depend Period End. Commission’s work is rooted in a belief upon the test requirements in the Final Staff Published 05/19/09 that competition, based on truthful and Rule and the steps manufacturers take to NIST Report on non-misleading information about Standard Test products and services, provides meet those requirements. Depending Cigarettes. upon the test requirements, a standard Staff Publishes 09/14/12 consumers the best choice of products may reduce upholstered furniture- NIST Report on and services at the lowest prices. related fire losses, the annual societal Standard Re- The Commission pursues its goal of cost of which was more than $3.8 search Foam. promoting competition in the billion for 2008 to 2011. Thus, the Notice of April 25 03/20/13 78 FR 17140 marketplace through two different but potential benefits of a mandatory Public Meeting complementary approaches. Unfair or standard to address the risk of ignition and Request for deceptive acts or practices injure both of upholstered furniture could be Comments. consumers and honest competitors alike Staff Holds Uphol- 04/25/13 significant, even if the standard did not and undermine competitive markets. stered Furniture Through its consumer protection prevent all such fires. Fire Safety Risks: The estimated average annual Technology activities, the Commission seeks to cost to society from residential fires Meeting. ensure that consumers receive accurate, associated with upholstered furniture Comment Period 07/01/13 truthful, and non-misleading was $3.8 billion for 2008 to 2011. End. information in the marketplace. One Societal costs associated with Staff Sends Brief- 09/08/16 recent example is the FTC’s upholstered furniture fires are among ing Package to enforcement action along with its law the highest associated with any product Commission on enforcement partners, the U.S. subject to the Commission’s authority. A California’s Department of Justice and the TB117–2013. standard has the potential to reduce Environmental Protection Agency, to Staff Sends 09/00/17 compensate consumers who were these societal costs. NPRM Briefing Timetable: Package to harmed by Volkswagen both because the Commission. company allegedly unfairly sold cars Action Date FR Cite with illegal defeat devices and Regulatory Flexibility Analysis deceptively advertised these cars with ANPRM ...... 06/15/94 59 FR 30735 claims that they were ‘‘clean.’’ On June Commission 03/17/98 63 FR 13017 Required: Undetermined. Government Levels Affected: 28, 2016, Volkswagen entered into a Hearing May 5 settlement to create a $10 billion & 6, 1998 on Undetermined. Possible Tox- Federalism: Undetermined. compensation fund for Volkswagen 19 icity of Flame- International Impacts: This regulatory diesel owners. This is the largest Retardant action will be likely to have consumer refund program in the FTC’s Chemicals. international trade and investment history. Meeting Notice .... 03/20/02 67 FR 12916 effects, or otherwise be of international At the same time, to ensure that Notice of Public 08/27/03 68 FR 51564 interest. consumers have a choice of products Meeting. Agency Contact: Andrew Lock, and services at competitive prices and Public Meeting .... 09/24/03 quality, the marketplace must be ANPRM ...... 10/23/03 68 FR 60629 Project Manager, Directorate for Laboratory Sciences, Consumer Product policed for anticompetitive business ANPRM Comment 12/22/03 practices. Thus, the second part of the Period End. Safety Commission, National Product Staff Held Public 10/28/04 Testing and Evaluation Center, 5 Commission’s basic mission—antitrust Meeting. Research Place, Rockville, MD 20850, enforcement—is to prohibit Staff Held Public 05/18/05 Phone: 301 987–2099, Email: alock@ anticompetitive mergers or other Meeting. cpsc.gov. anticompetitive business practices Staff Sent Status 01/31/06 RIN: 3041–AB35 without unduly interfering with the Report to Com- legitimate activities of businesses. These mission. BILLING CODE 6355–01–P two complementary missions make the Staff Sent Status 11/03/06 Commission unique insofar as it is the Report to Com- nation’s only Federal agency with this mission. combination of statutory authority to Staff Sent Status 12/28/06 FEDERAL TRADE COMMISSION (FTC) Report to Com- protect consumers. Statement of Regulatory and The Commission is, first and mission. Deregulatory Priorities Staff Sent Options 12/22/07 foremost, a law enforcement agency. It Package to I. Regulatory and Deregulatory pursues its mandate primarily through Commission. Priorities case-by-case enforcement of the FTC Act Commission Deci- 12/27/07 and other statutes. In addition, the sion to Direct Background Staff to Prepare The Federal Trade Commission (FTC 19 Proposed Partial Stipulated Order for Draft NPRM. or Commission) is an independent Permanent Injunction and Monetary Judgment, FTC Staff Sent Draft 01/22/08 agency charged by its enabling statute, v. Volkswagen Group of America, Inc., No. 3:15– NPRM to Com- md–2672 (N.D. Cal. June 28, 2016), available at the Federal Trade Commission Act (FTC https://www.ftc.gov/system/files/documents/cases/ mission. ______Commission Deci- 02/01/08 Act), with protecting American proposed partial stipulated order filed copy consumers from ‘‘unfair methods of 0.pdf; see also related proposed consent decree sion to Publish between the United States Department of Justice NPRM. competition’’ and ‘‘unfair or deceptive and the State of California and Volkswagen at NPRM ...... 03/04/08 73 FR 11702 acts or practices’’ in the marketplace. https://www.justice.gov/opa/file/871306/download.
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Commission is also charged with the example, the FTC’s unparalleled The Internet of Things is also an responsibility of issuing and enforcing experience in consumer privacy expanding part of the Commission’s regulations under a number of statutes, enforcement has addressed practices work. It comes in the form of products including 16 trade regulation rules offline, online, and in the mobile such as fitness devices, wearables, smart promulgated pursuant to the FTC Act environment by large, well-known cars, and connected smoke detectors, and numerous regulations issued companies and lesser-known players light bulbs, and refrigerators. While pursuant to certain credit, financial and alike. The Commission’s recent efforts these products are innovative and marketing practice statutes 20 and have addressed a wide range of issues, exciting, they are also collecting, energy laws.21 The Commission also has including the privacy of health storing, and often sharing vast amounts adopted a number of voluntary industry information, the Internet of Things, Big of consumer data, some of it very guides. Most of the regulations and Data, and data security. personal, raising familiar and new guides pertain to consumer protection New health-related apps, devices, and concerns relating to privacy and matters and are intended to ensure that services are increasingly available to security. Device security is a serious consumers receive the information consumers. These products and services concern. If hackers can hack a smart car, necessary to evaluate competing often involve the collection of sensitive a pacemaker, or an insulin pump, the products and make informed purchasing health data, which consumers generally consequences could be grave. The FTC’s decisions. expect to be private. While much of this case against computer hardware activity is not covered by HIPAA company ASUS illustrates the problems Commission Initiatives (Health Insurance Portability and created by poor device security.27 The The Commission protects consumers Accountability Act of 1996), it is complaint charged that critical security through a variety of tools, including covered by the FTC Act. An example of flaws in ASUS’ routers put the home both regulatory and non-regulatory a recent enforcement action in this area networks of hundreds of thousands of approaches. It has encouraged industry is a case against Practice Fusion, a consumers at risk. An earlier case self-regulation, developed a corporate company that provides management against TRENDnet involved allegations leniency policy for certain rule services to physicians, based on of compromised security of home violations, and established compliance allegations that it deceived consumers security monitoring cameras.28 Last partnerships where appropriate. by soliciting reviews about their doctors year, the FTC issued a report addressing As detailed below, protecting without adequately disclosing that the how fundamental privacy principles can consumer privacy, preventing and reviews would be posted publicly on be adapted to Internet of Things devices mitigating identity theft, containing the the internet.23 As detailed in the and recommending best practices for rising costs of health care and complaint, many of the posted reviews companies to follow.29 prescription drugs, fostering included consumers’ full names, Another area of interest is Big Data, competition and innovation in markets medications, health conditions, and specifically the vast collection of data for products that consumers buy every treatments received. The FTC also took about consumers and enhanced day, challenging deceptive advertising action against Henry Schein Practice capabilities to analyze data to make and marketing, and safeguarding the Solutions, a provider of office inferences and predictions about interests of potentially vulnerable management software for dental consumers. Such data uses can and are consumers, such as children and the practices, based on allegations that it creating many benefits, including in financially distressed, continue to be at misrepresented the extent to which it areas such as public health and safety. the forefront of the Commission’s protected sensitive patient But the increase in data collection and consumer protection and competition information.24 Further, because many of storage also increases the risk of data programs. the entities collecting health data in breach, identity theft, and the likelihood By subject area, the FTC discusses today’s marketplace are health apps and that data will be used in ways some of the major workshops, reports,22 other small companies, the FTC is consumers do not expect or want. The and initiatives it has pursued since the placing emphasis on business FTC recently issued a report entitled Big 2015 Regulatory Plan was published. education. The FTC has thus worked Data: A Tool for Inclusion or Exclusion? (a) Protecting Consumer Privacy. As with the U.S. Department of Health and addressing how the categorization of the nation’s top enforcer on the Human Services to develop an consumers may be both creating and consumer privacy beat, the FTC works interactive tool showing app developers limiting opportunities for them, with a to ensure that consumers can take which laws apply to them.25 In focus on low-income and underserved advantage of the benefits of a dynamic conjunction with that project, the FTC consumers.30 A key message in the and ever-changing digital marketplace also released guidance to help mobile report is that there are laws currently on without compromising their privacy. health app developers build privacy and the books—including the Fair Credit The FTC achieves that goal through civil security into their apps.26 Reporting Act, the Equal Credit law enforcement, policy initiatives, and consumer and business education. For 23 Complaint, In re Practice Fusion, Inc., No. C– 27 Complaint, In re ASUSTeK Computer Inc., No. 4591 (Aug. 15, 2016), available at https:// C–4587 (July 18, 2016), available at https:// www.ftc.gov/enforcement/cases-proceedings/142- www.ftc.gov/news-events/press-releases/2016/07/ 20 For example, the Controlling the Assault of 3039/practice-fusion-inc-matter. ftc-approves-final-order-asus-privacy-case. Non-Solicited Pornography and Marketing Act of 24 Complaint, In re Henry Schein Practice 28 Complaint, In re TRENDnet, Inc., No. C–4426 2003 (CAN–SPAM Act) (15 U.S.C. 7701–7713) and Solutions, Inc., No. C–4575 (May 20, 2016), (Jan. 16, 2014), available at http://www.ftc.gov/ the Telemarketing and Consumer Fraud and Abuse available at https://www.ftc.gov/enforcement/cases- enforcement/cases-proceedings/122-3090/trendnet- Prevention Act (15 U.S.C. 6101–6108). proceedings/142-3161/henry-schein-practice- inc-matter. 21 For example, the Energy Policy Act of 1992 solutions-inc-matter. 29 FTC Staff Report, Internet of Things: Privacy & (106 Stat. 2776, codified in scattered sections of the 25 See Mobile Health Apps Interactive Tool (Apr. Security in a Connected World (Jan. 2015), https:// U.S. Code, particularly 42 U.S.C. 6201 et seq.) and 2016), https://www.ftc.gov/tips-advice/business- www.ftc.gov/reports/federal-trade-commission- the Energy Independence and Security Act of 2007 center/guidance/mobile-health-apps-interactive- staff-report-november-2013-workshop-entitled- (EISA) (codified in relevant part at 42 U.S.C. 17021, tool. internet-things. 17301–17305). 26 See Mobile Health App Developers: FTC Best 30 FTC Report, Big Data: A Tool for Inclusion or 22 The FTC also prepares a number of annual and Practices (Apr. 2016), https://www.ftc.gov/tips- Exclusion? Understanding the Issues, (Jan. 2016), periodic reports on the statutes it administers. advice/business-center/guidance/mobile-health- https://www.ftc.gov/reports/big-data-tool-inclusion- These are not discussed in this plan. app-developers-ftc-best-practices. or-exclusion-understanding-issues-ftc-report.
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Opportunity Act, and the FTC Act—that concerns the company’s failure to explore consumer protection and already address some of the concerns protect the sensitive health information privacy implications of ransomware, raised by Big Data, and with which of many thousands of consumers. The drones, and smart TVs. This series companies must already comply. The final order requires LabMD to establish gathers input from academics, business report also identifies issues that a comprehensive information security and industry representatives, companies should consider when using program, obtain periodic assessments government experts, and consumer Big Data analytics to minimize regarding its implementation, and notify advocates for three-hour discussion discriminatory or other harmful those consumers whose personal sessions, which take place in outcomes. information was exposed. The agency Washington, DC and are open to the One aspect of the increase in data also announced recent data security public. The FTC invites comment from collection is the ease with which settlements against Lifelock and the public on the events. anyone can buy detailed data about Wyndham. In Lifelock, the company Finally, the FTC educates consumers consumers. The FTC continues to focus agreed to pay $100 million—the largest and businesses on privacy and security on data brokers and, in particular, the monetary award obtained by the issues. For example, the ‘‘Start with role they play in facilitating fraud. For Commission in a contempt action to Security’’ business outreach campaign, example, the FTC brought a case against settle charges that it violated the terms launched in 2015, has included one-day data broker Sequoia One, alleging that it of a 2010 federal court order that conferences in Austin, San Francisco, purchased the payday loan applications required the company to secure Seattle, and Chicago to bring business of financially strapped consumers— consumers’ personal information and owners and developers together with 36 including names, addresses, phone prohibited deceptive advertising. In industry experts to discuss practical tips numbers, Social Security Numbers, and the Wyndham case, the company agreed and strategies for implementing bank account numbers—and then sold to settle FTC charges that the company’s effective data security. Additionally, the them to scam artists who used the data security practices unreasonably exposed Start with Security Guide 38 for to withdraw millions of dollars from the payment card information of businesses provides an easy way for consumers’ accounts.31 The FTC also hundreds of thousands of consumers to companies to understand and apply hackers in three separate data lessons from the FTC’s previous data hosted a public workshop that 37 examined the growing use of online lead breaches. While the Wyndham case security cases. It includes brief generation in various industries 32 was pending, the Third Circuit affirmed descriptions and references to the cases, leading to a 2016 staff report that the FTC’s authority to challenge unfair as well as plain-language explanations addressed lead generation’s potential data security practices using its Section of the security principles at issue. The benefits and the consumer protection 5 authority. FTC has also introduced a one-stop Web The FTC also engages in policy issues it might raise.33 Further, in site at www.ftc.gov/datasecurity that initiatives to better understand emerging consolidates the Commission’s data November 2015, the FTC hosted a technologies, research, and business workshop on cross-device tracking to security information for businesses. models, including by hosting many (b) Protecting Children. Children examine the various ways that workshops and events on privacy companies now track consumers across increasingly use the Internet for issues. On January 14, 2016, the FTC entertainment, information and multiple devices, and not just on one hosted it’s first-ever PrivacyCon event to device.34 schoolwork. The FTC enforces the showcase original research in the area of Children’s Online Privacy Protection Data security remains an important privacy and security. Participants Act (COPPA) and the COPPA Rule to focus of the Commission’s privacy work. presented and discussed original protect children’s privacy when they are Since 2002, approximately 60 research on important and timely topics online by putting their parents in charge companies have settled FTC cases such as data security, online tracking, of who gets to collect personal alleging that they engaged in deceptive and consumer perceptions of privacy, information about their children under or unfair practices that unreasonably privacy disclosures, Big Data, and the the age of thirteen. For example, in put consumers’ personal data at risk. In economics of privacy. PrivacyCon is cases against app developers LAI July 2016, the Commission issued an helping the Commission stay up-to-date Systems and Retro Dreamer,39 the FTC Opinion and Final Order against with changing technologies, learn about medical testing laboratory LabMD, Inc., new tools and programs, identify alleged that the companies created a concluding that its data security potential areas for investigation and number of apps directed to children that practices were unreasonable and enforcement, fashion remedies, and allowed third-party advertisers to constituted an unfair act or practice that identify areas for further study. The collect personal information from violated the FTC Act.35 The case Commission has scheduled a second children in the form of persistent PrivacyCon for January 12, 2017, in identifiers, for purposes of conducting 31 Complaint, FTC v. Sequoia One, LLC, No. 2:15– Washington, DC behavioral advertising, without cv–01512–JCM–CWH (D. Nev. Aug. 12, 2015), As another example of its work on obtaining parental consent. available at https://www.ftc.gov/system/files/ policy issues, the FTC is hosting a Fall The Commission actively litigates to documents/cases/150812sequoiaonecmpt.pdf. protect children and their parents when 32 Follow the Lead: An FTC Workshop on Lead Technology Series of three half-day Generation (Oct. 30, 2015), https://www.ftc.gov/ events during Fall of 2016 that to children use mobile apps that appeal to news-events/events-calendar/2015/10/follow-lead- children and offer virtual goods for sale. ftc-workshop-lead-generation. at https://www.ftc.gov/enforcement/cases- 33 FTC Staff Perspective, Follow the Lead proceedings/102-3099/labmd-inc-matter. 38 FTC, Start with Security: A Guide for Business Workshop (Sept. 2016), https://www.ftc.gov/system/ 36 Amended Order, FTC v. LifeLock, Inc., No. (June 2015), https://www.ftc.gov/system/files/ files/documents/reports/staff-perspective-follow- 2:10–CV–00530–JJT (D. Ariz. Jan. 4, 2016), available documents/plain-language/pdf0205- _ _ _ _ _ lead/staff perspective follow the lead at https://www.ftc.gov/system/files/documents/ startwithsecurity.pdf. workshop.pdf. cases/160105lifelockorder.pdf. 39 See Press Release, FTC, Two App Developers 34 Cross Device Tracking: An FTC Workshop 37 Stipulated Order for Injunction, FTC v. Settle FTC Charges They Violated Children’s Online (Nov. 16, 2015), https://www.ftc.gov/news-events/ Wyndham Worldwide Corp., No. 2:13–CV–01887– Privacy Protection Act (Dec. 17, 2015), https:// events-calendar/2015/11/cross-device-tracking. ES–JAD (D.N.J. Dec. 11, 2015), available at https:// www.ftc.gov/news-events/press-releases/2015/12/ 35 Opinion of the Commission and Final Order, In www.ftc.gov/system/files/documents/cases/ two-app-developers-settle-ftc-charges-they-violated- re LabMD, Inc., No. 9357 (July 28, 2016), available 151211wyndhamstip.pdf. childrens.
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On April 26, 2016, a federal district Americans are diverse and have ranged students about the likelihood that they court granted the Commission’s request from sweepstakes to business would find jobs after graduation in their for summary judgment in the agency’s opportunities, the FTC has in recent field of study.43 In its complaint against lawsuit alleging that Amazon, Inc. billed years concentrated its law enforcement DeVry, the FTC alleged that the consumers for unauthorized in-app efforts on online threats and various defendants’ claim that 90 percent of charges incurred by children. The types of impostor scams. Some DeVry graduates actively seeking judge’s order in the case found that examples are technical support scams, employment landed jobs in their field Amazon received many complaints from health care-related scams, and within six months of graduation was consumers about surprise in-app sweepstakes and prize scams. The FTC deceptive. The complaint also charged charges incurred by children, citing the also has pursued actions related to the that DeVry deceptively claimed that its fact that the company’s disclosures money transfer services that are graduates had 15 percent higher about the possibility of in-app charges commonly used in scams affecting older incomes one year after graduation on within otherwise ‘‘free’’ apps were not adults, and has coordinated efforts with average than the graduates of all other sufficient to inform consumers about the criminal and foreign law enforcement colleges or universities. charges.40 This is the FTC’s third case agencies to achieve a broader impact. (e) Fighting Identity Theft. The issue relating to children’s in-app purchases; FTC education and outreach programs of identity theft has been one of the top Apple and Google both settled FTC reach tens of millions of people every consumer complaint subject areas complaints concerning the issue in year. Among them are a series of reported to the FTC over the past 15 2014.41 fotonovelas (graphic novels) to raise years, and in 2015, the Commission (c) Protecting Every Community. The awareness about scams targeting the received 490,220 complaints from FTC has brought a very large number of Latino community and the ‘‘Pass It On’’ consumers who were victims of identity cases to stop scam artists, shut down program that provides seniors with theft. On May 14, 2015, the FTC their operations, and put money back in information, in English and Spanish, on launched the Web site IdentityTheft.gov consumers’ pockets. Fraud precludes a variety of scams targeting the (robodeidentidad.gov in Spanish), a economic opportunities and deprives elderly.42 The agency works with the free, one-stop resource people can use to individuals of money, time, and Elder Justice Coordinating Council to report and recover from identity theft. resources. While fraud touches people help protect seniors. And the FTC also The site implements the President’s of all ages, backgrounds, incomes, and works with the AARP Foundation, Executive Order 44 by consolidating locations, certain groups are targeted whose peer counselors provided fraud- federal resources and reducing the more frequently. Sometimes fraudsters avoidance advice last year to more than burden on identity theft victims as they target older people, and sometimes they a thousand seniors who had filed repair damage caused by identity theft. target people of different racial, ethnic, complaints about certain frauds, The online site is accessible from or national origins, or people for whom including lottery, prize promotion, and mobile devices and is integrated with English is not their first language. grandparent scams. The Commission the FTC’s consumer complaint system. Sometimes scam artists target members also promotes initiatives to make it Identity theft victims can use the site to of the military. The FTC is thus making harder for scammers to fake or ‘‘spoof’’ create a personal recovery plan based on a concerted effort to ensure that our their caller identification information the type of identity theft they face and fraud prevention efforts—both law and supports more widespread prepare pre-filled letters and forms to enforcement and education—are availability of technology that will block send to credit bureaus, businesses and reaching every community, including calls from fraudsters, essentially debt collectors. During 2015, the groups that may have been underserved operating as a spam filter for the IdentityTheft.gov Web site had more in the past. telephone. than 1.3 million page views and the (d) Protecting Financially Distressed The agency has aggressively enforced public ordered more than 3.7 million Consumers. Even as the economy the law against scam artists and sought related publications in English, Spanish recovers, some consumers continue to to educate older consumers about scams and four other languages. and to promote technological solutions face financial challenges. The FTC acts Tax identity theft is a growing share that will make it more difficult for to protect consumers from deceptive of identity theft-related complaints. In and unfair credit practices and ensure scammers to operate and hide from law January 2016, the FTC sponsored a Tax that consumers can get the information enforcement. Though all of the FTC’s Identity Theft Awareness Week to raise they need to make informed financial fraud cases involve elderly consumers awareness about tax identity theft and choices. The Commission has continued as part of the general population, since provide tips about how to respond to it. its enforcement efforts by bringing law 2005, the Commission has brought 38 The FTC’s Tax Identity Theft Awareness enforcement actions to curb deceptive cases alleging that defendants’ conduct Week Web site 45 provided material for and unfair practices in mortgage rescue, has specifically targeted or regional events held in the states with debt relief, auto financing, and debt disproportionately harmed older adults. the highest reported rates of identity Although scams targeting older collection. For example, if educational theft. The FTC conducted multiple institutions make promises to their webinars with Veterans Affairs staff and 40 Redacted Order Granting Amazon’s Motion for prospective students about future military financial counselors, including Partial Summary Judgment and Granting the FTC’s three webinars about tax identity theft Motion for Summary Judgment, FTC v. employment and income, the Amazon.com, Inc., No. 2:14–cv–1038–JCC (W.D. institutions must be able to substantiate 43 Wash. Apr. 26, 2016), available at https:// those claims. On January 27, 2016, the Complaint for Permanent Injunction and Other www.ftc.gov/system/files/documents/cases/ Equitable Relief, FTC v. DeVry Educ. Group Inc., 160427amazonorder.pdf. Commission filed suit against DeVry No. 2:16–cv–579 (C.D. Cal. Jan. 27, 2016), available 41 Decision and Order, In re Apple Inc., No. C– University for allegedly deceiving at https://www.ftc.gov/system/files/documents/ 4444 (Mar. 25, 2014), available at https:// cases/160127devrycmpt.pdf. www.ftc.gov/enforcement/cases-proceedings/112- 42 FTC, Fotonovelas, https:// 44 E.O. 13681, ‘‘Improving the Security of 3108/apple-inc; Decision and Order, In re Google www.consumer.ftc.gov/features/feature-0031- Consumer Financial Transactions’’ (Oct. 17, 2014). Inc., No. C–4499 (Dec. 2, 2015), available at https:// fotonovelas; FTC, Pass It On, https:// 45 See FTC, Tax Identity Theft Awareness Week www.ftc.gov/enforcement/cases-proceedings/122- www.consumer.ftc.gov/features/feature-0030-pass- (Jan. 2016), http://www.consumer.ftc.gov/features/ 3237/google-inc. it-on. feature-0029-tax-identity-theft-awareness-week.
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and imposter scams that reached more 2015, the Commission sued to stop three cleared the way for antitrust review of than 1,100 Veterans Affairs staff and proposed hospital mergers that the potentially anticompetitive pay-for- veterans. agency alleged would lead to increased delay patent settlement agreements. The (f) Sharing Economy. In light of the market power for the merging firms in FTC currently has three active pay-for- recent rapid expansion of business their local communities.49 Two of these delay litigations underway in federal activity on online and mobile peer-to- cases are still pending, but on July 6, courts. Two involve the blockbuster peer business platforms, the 2016, the FTC dismissed without male testosterone replacement drug Commission hosted a workshop in 2015 prejudice its administrative complaint Androgel (the Actavis case on remand to on the emerging ‘‘Sharing Economy.’’ 46 challenging the proposed merger the U.S. District Court for the Northern Peer-to-peer platforms provide between Cabell Huntington Hospital District of Georgia and FTC v. AbbVie, marketplaces in which numerous and St. Mary’s Medical Center—two Inc., in the U.S. District Court for the suppliers (frequently individuals and hospitals located three miles apart in Eastern District of Pennsylvania).51 The small entities) and consumers may Huntington, West Virginia. The third case involves an agreement not to locate partners and engage in Commission voted to dismiss the market an authorized generic—often commercial transactions.47 These complaint in light of the passage in called a ‘‘no-AG’’ commitment—as a platforms, and suppliers using them, are March 2016 of a new West Virginia law form of reverse payment.52 providing innovative alternatives to relating to certain ‘‘cooperative The FTC also remains vigilant to stop consumers in a number of sectors, agreements’’ between hospitals in that other anticompetitive conduct by particularly in local transportation (e.g., state, and the West Virginia Health Care pharmaceutical firms to delay generic Uber and Lyft) and lodging (e.g., Authority’s decision to approve a competition, including ‘‘product Airbnb). The workshop examined the cooperative agreement between Cabell hopping,’’ where a brand introduces economics underlying sharing economy and St. Mary’s. Cooperative agreement new products with minor or no activity, the reputational systems and laws seek to replace antitrust substantive improvements in the hopes other mechanisms that sharing economy enforcement with state regulation and of preventing substitution to lower- platforms use to promote trust among supervision of healthcare provider priced generics. The Commission has parties, how entry by sharing economy combinations. In the Commission’s noted that the potential for platforms and suppliers enhances view, this case presents another anticompetitive product design is competition, and the debate over how example of healthcare providers using particularly acute in the pharmaceutical such economic activity should be state legislation to shield potentially industry, in part because it may be a regulated. anticompetitive combinations from profitable strategy even if consumers do (g) Promoting Competition in Health antitrust enforcement. Such state not prefer the reformulated version of Care Markets. The Commission cooperative agreement laws are likely to the product or if it lacks any real prioritizes preventing mergers that harm local communities through higher medical benefit.53 would reduce competition among health care costs and lower quality (h) Promoting Competition for Retail healthcare providers and likely enable care.50 Goods. On May 19, 2016, Staples, Inc. the merged entities to raise rates The FTC also continues to work to abandoned its proposed $6.3 billion charged to commercial healthcare plans eliminate anticompetitive ‘‘pay-for- acquisition of Office Depot, Inc. after the for vital services and reduce incentives delay’’ settlements in which a branded Commission obtained a preliminary to improve service quality and drug firm pays a generic competitor to injunction in federal court. This deal innovation. The latest empirical keep generic drugs off the market. In a would have eliminated head-to-head research consistently finds that provider significant victory, the U.S. Supreme competition between the two companies competition results in the greatest price Court held that pay-for-delay and likely led to higher prices and lower and quality benefits for consumers, agreements between brand and generic quality for the many large businesses driving the FTC’s continued vigilance in drug companies are subject to antitrust that purchase office supplies for their health care provider markets.48 In late scrutiny under an antitrust ‘‘rule of own use. This action, like other merger reason’’ analysis. FTC v. Actavis, Inc., challenges involving supermarkets and 46 The workshop homepage can be accessed at the 570 U.S. 756 (2013). This decision dollar stores, helps preserve following address: https://www.ftc.gov/news-events/ competition in prices, distribution, and events-calendar/2015/06/sharing-economy-issues- Does Hospital Competition Save Lives? Evidence facing-platforms-participants-regulators. combination of services and features for from the English NHS Patient Choice Reforms, 121 47 products that businesses and consumers Some peer-to-peer platforms enable non- Econ. J. 228 (2011); see also Nathan Wilson, Market commercial transactions. The FTC’s workshop did Structure as a Determinant of Patient Care Quality, buy every day. not evaluate such platforms. Am. J. Health Econ. (forthcoming). The Commission also recently filed an 48 Zack Cooper et al., The Price Ain’t Right? 49 Press Release, FTC, FTC Challenges Proposed administrative complaint against 1–800 Hospital Prices and Health Spending on the Merger of Two West Virginia Hospitals (Nov. 6, Privately Insured (Nat’l Bureau of Econ. Research, 2015), https://www.ftc.gov/news-events/press- 51 Complaint for Injunctive and Other Equitable Working Paper No. 21815, 2015), http:// releases/2015/11/ftc-challenges-proposed-merger- www.nber.org/papers/w21815; Beth Jones Sanborn, two-west-virginia-hospitals; Press Release, FTC, Relief, FTC v. AbbVie, Inc., No. 2:14–cv–05151–RK Huge Variation in Medical Prices as Hospital FTC and Pennsylvania Office of Attorney General (E.D. Pa. Sept. 8, 2014), available at https:// Monopolies Charge More, Report Says, Healthcare Challenge Penn State Hershey Medical Center’s www.ftc.gov/system/files/documents/cases/ Fin. (Dec. 18, 2015), http:// Proposed Merger with PinnacleHealth System (Dec. 140908abbviecmpt1.pdf. www.healthcarefinancenews.com/news/huge- 8, 2015), https://www.ftc.gov/news-events/press- 52 Complaint for Injunctive and Other Equitable variation-medical-prices-hospital-monopolies- releases/2015/12/ftc-pennsylvania-office-attorney- Relief, FTC v. Endo Pharms. Inc., No. 2:16–cv– charge-more-report-says; see, e.g., Richard Scheffler general-challenge-penn-state; Press Release, FTC, 01440 (E.D. Pa. Mar. 30, 2016), available at https:// et al., Differing Impacts of Market Concentration of FTC Challenges Proposed Merger of Two Chicago- www.ftc.gov/system/files/documents/cases/ Affordable Care Act Marketplace Premiums, 35 area Hospital Systems (Dec. 18, 2015), https:// 160331endocmpt.pdf. Health Affairs 880 (2015); Erin Trish & Bradley www.ftc.gov/news-events/press-releases/2015/12/ 53 Brief for Amicus Curiae FTC Supporting Herring, How Do Health Insurer Market ftc-challenges-proposed-merger-two-chicago-area- Plaintiff-Appellant, Mylan Pharms., Inc. v. Warner Concentration and Bargaining Power With hospital-systems. Chilcott PLC, Civ. A. No. 12–3824 (3d. Cir. Sept. 30, Hospitals Affect Health Insurance Premiums?, 42 J. 50 See Statement of the Federal Trade 2015), https://www.ftc.gov/system/files/documents/ Health Econ. 104, 112 (2015); Martin Gaynor et al., Commission, In re Cabell Huntington Hosp., Inc., amicus_briefs/mylan-pharmaceuticals- Death by Market Power: Reform, Competition, and Docket No. 9366 (July 6, 2016), https://www.ftc.gov/ inc.v.warner-chilcott-plc-et-al./ Patient Outcomes in the National Health Service, 5 system/files/documents/public_statements/969783/ 151001mylanamicusbrief.pdf. Commissioner Am. Econ. J. 134 (Nov. 2013); Zack Cooper et al., 160706cabellcommstmt.pdf. Ohlhausen voted against the filing of this brief.
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Contacts, the country’s largest online In 2014, the FTC received clearance allegations of similar practices against seller of contact lenses.54 The complaint under the Paperwork Reduction Act Warner Brothers.59 alleges that the company entered into a from the Office of Management and The Commission focuses on similar series of agreements with its online Budget to issue compulsory process concerns with respect to native rivals that suppress competition in orders to PAEs and other industry advertising, which involves the use of certain online search advertising participants to develop a better formats that make advertising or auctions and restrict truthful internet understanding of PAE business models. promotional messages look like advertising to consumers, resulting in The FTC expects to publish a report in objective content. The Commission some consumers paying more for Fall 2016 describing its findings and recently issued an Enforcement Policy contact lenses than they would have providing recommendations for future Statement about this practice.60 It absent the agreements. The complaint reform. affirms that ads and marketing that contends that the agreements, which promote the benefits and attributes of In conjunction with the Department of settled trademark lawsuits that 1–800 goods and services should be Contacts brought or threatened, bar both Justice, the Commission is also seeking identifiable as advertising to consumers. 1–800 Contacts and each of its affected to update the Antitrust Guidelines for The FTC also recently brought its first rivals from bidding for each other’s the Licensing of Intellectual Property, native advertising case, alleging that trademarked terms. The agreements also also known as the IP Licensing retailer Lord & Taylor deceived allegedly require each party to use Guidelines. To reflect changes in law consumers by paying for native ads, negative keywords designed to keep and accumulated antitrust enforcement including a seemingly objective article search engines from displaying one experience over the past 20 years, the in an online fashion publication, party’s advertisements in response to a agencies have proposed modifications to without disclosing that such ads were search query that includes terms the IP Licensing Guidelines. The actually paid promotions for a 2015 specified by the other party. The Commission is seeking comments from clothing launch.61 The FTC also complaint charges that the bidding the public on the proposed update.56 challenged the company’s endorsement agreements are overly broad and (j) Deceptive Endorsements and practices. The complaint alleged that unnecessary to safeguard any legitimate Native Advertising. The Commission the company paid 50 online fashion trademark interest. The case is pending. also focuses on many other advertising ‘‘influencers’’ to post Instagram pictures (i) Fostering Innovation & issues, such as deceptive endorsements of themselves wearing a dress from the Competition. For more than two and native advertising. Deceptive new collection without disclosing that it decades, the Commission has examined endorsements continue to be a priority, had paid the influencers to do so. difficult issues at the intersection of especially given the rapid growth of (k) Energy Prices. Few issues are more antitrust and intellectual property law— newer forms of promotion, such as important to consumers and businesses including those related to innovation, social media, videos, and online than the prices they pay for gasoline to standard-setting, and patents. The reviews. Last year the FTC updated its run their vehicles and energy to heat Commission’s work in this area is Endorsement Guides to address these and light their homes and businesses. Given the impact of energy prices on grounded in the recognition that newer forms of promotion.57 The key consumer budgets, the energy sector intellectual property and competition principle is straightforward: Consumers continues to be a major focus of FTC laws share the fundamental goals of have a right to know when a supposedly law enforcement and study. promoting innovation and consumer objective opinion is actually a marketing welfare. The Commission has authored Accordingly, the FTC works to maintain pitch. The FTC has brought many past several seminal reports on competition competition in energy industries, cases and several recent cases involving and patent law and conducted invoking all the powers at its disposal— deceptive endorsements, including a workshops to learn more about including monitoring industry recent settlement with Machinima, an emerging practices and trends. activities, investigating possible For instance, the FTC has used its entertainment network that allegedly antitrust violations, prosecuting cases, authority under Section 6(b) of the paid a large group of ‘‘influencers’’ to and conducting studies—to protect post videos online touting Microsoft’s Federal Trade Commission Act to 58 consumers from anticompetitive explore the impact of patent assertion Xbox One. According to the conduct in the industry.62 For example, entities (PAE), firms that acquire patents complaint, the videos appeared to be the in 2016, the Commission required from third parties and then try to make objective views of the influencers and divestitures in connection with money by licensing or suing accused allegedly did not disclose they were infringers. In 2014, the FTC received actually paid endorsements. In July 59 See Press Release, FTC, Warner Bros. Settles clearance under the Paperwork 2016, the FTC announced a proposed FTC Charges It Failed to Adequately Disclose It settlement that would resolve Paid Online Influencers to Post Gameplay Videos Reduction Act from the Office of (July 11, 2016), https://www.ftc.gov/news-events/ Management and Budget to issue press-releases/2016/07/warner-bros-settles-ftc- compulsory process orders to PAEs and documents/reports/patent-assertion-entity-activity- charges-it-failed-adequately-disclose-it. _ _ _ _ _ ftc-study/p131203 patent assertion entity activity 60 See Commission Enforcement Policy Statement other industry participants to develop a an_ftc_study.pdf. better understanding of PAE business on Deceptively Formatted Advertisements (Dec. 56 Press Release, FTC, FTC and DOJ Seek Views 2015), https://www.ftc.gov/public-statements/2015/ models. During October 2016, the FTC on Proposed Update of the Antitrust Guidelines for 12/commission-enforcement-policy-statement- published a staff report that spotlighted Licensing of Intellectual Property (Aug. 12, 2016), deceptively-formatted; see also FTC, Native the business practices of PAEs and https://www.ftc.gov/news-events/press-releases/ Advertising: A Guide for Businesses (Dec. 2015), recommended patent litigation 2016/08/ftc-doj-seek-views-proposed-update- https://www.ftc.gov/tips-advice/business-center/ antitrust-guidelines-licensing. guidance/native-advertising-guide-businesses. 55 reforms. 57 The FTC’s Endorsement Guides: What People 61 Complaint, In re Lord & Taylor, LLC, No. C– Are Asking (May 2015), https://www.ftc.gov/tips- 4576 (May 20, 2016), available at https:// 54 Complaint, In re 1–800 Contacts, Docket No. advice/business-center/guidance/ftcs-endorsement- www.ftc.gov/enforcement/cases-proceedings/152- 9372 (Aug. 8, 2016). available at https:// guides-what-people-are-asking. 3181/lord-taylor-llc-matter. www.ftc.gov/system/files/documents/cases/160808_ 58 Complaint, In re Machinima, Inc., No. C–4569 62 Information regarding FTC oil and gas industry 1800contactspt3cmpt.pdf. (Mar. 16, 2016), available at https://www.ftc.gov/ initiatives is available at https://www.ftc.gov/tips- 55 FTC Study, Patent Assertion Entity Activity enforcement/cases-proceedings/142-3090/ advice/competition-guidance/industry-guidance/ (Oct. 2016), https://www.ftc.gov/system/files/ machinima-inc-matter. oil-and-gas.
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ArcLight Energy’s acquisition of Gulf U.S. SAFE WEB Act in 19 of these of protecting consumer privacy in many Oil to preserve competition among matters to share information or provide contexts, and it is committed to vigorously petroleum product terminals located in investigative assistance to foreign enforcing the new framework. Altoona, Scranton, and Harrisburg, authorities. One highlight was the FTC’s Throughout 2016, the FTC’s Pennsylvania.63 The Commission also successful effort, working with the international competition program hosted a one-day public workshop to Royal Canadian Mounted Police and the promoted cooperation with competition explore competition and consumer U.S. Department of Justice, to obtain a agencies in other jurisdictions and protection issues that may arise when court order from a Montreal court advocated convergence of international consumers generate their own electric repatriating nearly $2 million to the U.S. antitrust policies toward best practice. power by installing solar panels on their victims of a phony mortgage assistance As a new co-chair of the Mergers homes.64 In view of the fundamental and debt relief scheme. The FTC also Working Group of the International importance of oil, natural gas, and other continues to advance enforcement Competition Network (ICN), the FTC is energy resources to the overall vitality cooperation through networks such as already taking a lead role to strengthen of the United States and world the International Consumer Protection implementation of, and possibly update, economy, we expect that FTC review and Enforcement Network (ICPEN), the the ICN’s signature recommended and oversight of the energy industries Global Privacy Enforcement Network practices for merger notification and will remain a focus of our work for years (GPEN), the anti-spam London Action review procedures. to come. Plan and the International Mass In addition to promoting convergence (l) Remedy Study. The Commission is Marketing Fraud Working Group. It toward sound competition policy and conducting another study to evaluate relaunched the econsumer.gov enforcement, the FTC advocates fair and the effectiveness of the Commission’s complaint portal, together with 33 other transparent enforcement procedures. orders in past merger cases where it has countries that are members of ICPEN, to The FTC initiated and co-led the ICN’s required a divestiture or other remedy.65 enhance their ability to gather and share project on procedural fairness that This effort will expand on a similar cross-border consumer complaints that culminated in the consensus Guidance remedy study conducted in the 1990s can be used to investigate and take on Investigative Process, which is the that led to important improvements in action against international scams. In most comprehensive agency-led effort to 66 the Commission’s orders. The new addition, the FTC with enforcement articulate best practices in providing study is broader, covering 90 orders agencies from seven other GPEN due process in antitrust investigations. entered between 2006 and 2012, and member countries launched a new The FTC actively promotes will benefit from information collected information-sharing system—GPEN implementation of these standards of from customers and significant Alert—which enables the FTC and its transparency, engagement, and other competitors. We expect the study to counterparts to better coordinate key procedural aspects of antitrust provide insight into whether the international efforts to protect consumer enforcement. The FTC also participated Commission’s orders maintained privacy by sharing information about in the interagency teams that negotiated competition in markets that otherwise investigations while maintaining outcomes with China in the Joint would have been affected by the merger confidentiality. Commission on Commerce and Trade at issue. In the policy arena, the FTC played a and the Strategic and Economic (m) Protecting Consumers from Cross- leading role in revising the OECD’s Dialogue, including with regard to Border Harm. The FTC cooperates with Guidelines on Consumer Protection in procedural fairness in anti-monopoly competition and consumer protection Electronic Commerce, which were law proceedings and the coherence of agencies in other countries to halt adopted by the OECD Council in early antitrust monopoly and intellectual deceptive and anticompetitive business 2016 to address new developments in e- property rules. We also played an active practices that affect U.S. consumers, and commerce including mobile role in developing the competition promotes sound approaches to issues of applications, digital content, and peer chapters of Trans-Pacific and mutual international interest by platform marketplaces. The agency also Transatlantic Trade and Investment building relationships with counterpart played an important role in negotiating Partnerships. agencies around the world on Finally, the FTC has continued its new provisions of the United Nations competition and consumer protection robust technical assistance program to Guidelines on Consumer Protection issues. share its experience with competition relating to e-commerce, consumer The FTC cooperated on enforcement- agencies around the world. In 2016, the financial services, dispute resolution related matters with foreign agencies or FTC conducted programs in multilateral organizations in 58 and redress, and international jurisdictions around the globe, consumer protection and privacy cooperation. including Argentina, Brazil, India, matters, using its authority under the The FTC also continues to advocate for Mexico, the Philippines, South Africa, global interoperability among different and Ukraine. Through its International 63 Decision and Order, In re ArcLight Energy international privacy frameworks. For Fellows Program, the FTC brought ten Partners Fund VI, L.P., No. C–4563 (Feb. 4, 2016), example, the FTC worked closely with the international competition colleagues available at https://www.ftc.gov/enforcement/cases- U.S. Department of Commerce and European proceedings/151–0149/arclight-energy-partners- Commission to develop the E.U.-U.S. Privacy from five competition agencies to work fund-vi-lp-matter. Shield Framework which the European alongside FTC staff on antitrust 64 For more information, see FTC workshop, Commission adopted on July 12, 2016. The enforcement matters for fiscal year 2016. Something New Under the Sun (June 21, 2016), new framework replaces the U.S.-E.U. Safe Under the same program, the FTC https://www.ftc.gov/news-events/events-calendar/ Harbor Framework and allows companies of brought four international consumer 2016/06/something-new-under-sun-competition- all sizes and across most industries to consumer-protection-issues. protection colleagues from four agencies transfer data between the European Union 65 Press Release, FTC, FTC Proposes to Study to work alongside FTC staff on Merger Remedies (Jan. 9, 2015), https:// and United States. The new framework enhances protections for EU citizens’ data, consumer protection matters and www.ftc.gov/news-events/press-releases/2015/01/ research this fiscal year. ftc-proposes-study-merger-remedies. improves cooperation procedures among U.S. 66 FTC, A Study of the Commission’s Divestiture and EU authorities, and adds new redress (n) Self-Regulatory and Compliance Process (1999), https://www.ftc.gov/sites/default/ and complaint resolution mechanisms for EU Initiatives with Industry. The files/attachments/merger-review/divestiture.pdf. citizens. The FTC has a strong track record Commission continues to engage
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industry in compliance partnerships in technological, economic, or other Ongoing Rule and Guide Reviews the funeral and franchise industries. industry changes. The Commission is continuing review Specifically, the Commission’s Funeral As part of its continuing 10-year of a number of rules and guides, which Rule Offender Program, conducted in review plan, the Commission examines are discussed below. partnership with the National Funeral the effect of rules and guides on small (a) Rules Directors Association, is designed to businesses and on the marketplace in Energy Labeling Rule, 16 CFR 305. educate funeral home operators found general. These reviews may lead to the The Energy Labeling Rule is officially in violation of the requirements of the revision or rescission of rules and known as the Rule concerning Energy Funeral Rule, 16 CFR 453, so that they guides to ensure that the Commission’s and Water Use Labeling for Consumer can meet the rule’s disclosure consumer protection and competition Products Under the Energy Policy and requirements. Four hundred and ninety- goals are achieved efficiently and at the Conservation Act. On September 12, nine funeral homes have participated in least cost to business. In a number of 2016, the Commission proposed the program since its inception in 1996. instances, the Commission has amendments to the Energy Labeling In addition, the Commission established determined that existing rules and Rule to require labels for portable air the Franchise Rule Alternative Law guides were no longer necessary or in conditioners, large-diameter and high- Enforcement Program in partnership the public interest. Most of the matters speed small diameter ceiling fans, and with the International Franchise currently under review pertain to instantaneous electric water heaters. 81 Association (IFA), a nonprofit consumer protection and are intended FR 62681. Additionally, it proposed organization that represents both to ensure that consumers receive the eliminating certain marking franchisors and franchisees. This information necessary to evaluate requirements for plumbing products. program assists franchisors found to competing products and make informed The comment period closes on have a minor or technical violation of purchasing decisions. Pursuant to this November 14, 2016.67 the Franchise Rule, 16 CFR 436, in program, the Commission has rescinded R-value Rule, 16 CFR 460. On April 6, complying with the rule. Violations 37 rules and guides promulgated under 2016, the Commission initiated a involving fraud or other FTC Act the FTC’s general authority and updated periodic review of the R-value Rule, violations are not candidates for referral dozens of others since the early 1990s. officially the Trade Regulation Rule to the program. The IFA teaches the In light of Executive Orders 13563 Concerning the Labeling and franchisor how to comply with the rule and 13579, the FTC continues to take a Advertising of Home Insulation, as part and monitors its business for a period of fresh look at its long-standing regulatory of its ongoing systematic review of all years. Where appropriate, the program review process. The Commission is rules and guides. 81 FR 19936. The offers franchisees the opportunity to taking a number of steps to ease burdens comment period was later extended to mediate claims arising from the law on business and promote transparency September 6, 2016. 81 FR 35661 (June violations. Since December 1998, 21 in its regulatory review program: 3, 2016). Staff anticipates sending a companies have agreed to participate in • The Commission issued in February recommendation to the Commission by the program. 2016 a revised 10-year review schedule the end of 2016. The R-value Rule is Retrospective Review of Existing (see next paragraph below). The designed to assist consumers in Regulations Commission is currently reviewing 11 of evaluating and comparing the thermal the 65 rules and guides within its performance characteristics of In 1992, the Commission jurisdiction. competing home insulation products by implemented a program to review its • The Commission continues to specifically requiring manufacturers of rules and guides regularly. The request and review public comments on home insulation products to provide Commission’s review program is the effectiveness of its regulatory review information about the product’s degree patterned after provisions in the program and suggestions for its of resistance to the flow of heat (R- Regulatory Flexibility Act, 5 U.S.C. 601– improvement. value). The Rule also establishes 612. Under the Commission’s program, • The FTC maintains a Web page at uniform standards for testing, rules are reviewed on a 10-year http://www.ftc.gov/regreview that serves information disclosure, and schedule. For many rules, this has as a one-stop shop for the public to substantiation of product performance resulted in more frequent reviews than obtain information and provide claims. are generally required by Section 610 of comments on individual rules and Telemarketing Sales Rule (TSR), 16 the Regulatory Flexibility Act. This guides under review as well as the CFR 308. On August 11, 2014, the program is also broader than the review Commission’s regulatory review Commission initiated a periodic review contemplated under the Regulatory program generally. of the TSR as set out on the 10-year Flexibility Act, in that it provides the In addition, the Commission’s 10-year review schedule.68 79 FR 46732. The Commission with an ongoing systematic periodic review schedule includes comment period as extended closed on approach for seeking information about initiating reviews for the following rules November 13, 2014. 79 FR 61267 (Oct. the costs and benefits of its rules and and guides (81 FR 7716, Feb. 16, 2016) 10, 2014). Staff anticipates making a guides and whether there are changes during 2016: recommendation to the Commission by that could minimize any adverse (1) Standards for Safeguarding the end of July 2017. economic effects, not just a ‘‘significant Customer Information, 16 CFR 314, Privacy Rule, 16 CFR 313. The Privacy economic impact upon a substantial (2) CAN–SPAM Rule, 16 CFR 316, Rule or Privacy of Consumer Financial number of small entities.’’ 5 U.S.C. 610. (3) Labeling and Advertising of Home Information Rule requires, among other In each rule review, the Commission Insulation, 16 CFR 460, things, that certain motor vehicle requests public comments on, among (4) Disposal of Consumer Report other things, the economic impact and Information and Records, 16 CFR 682, 67 See Final Actions below for information about benefits of the rule; possible conflict and in 2017 for: a separate completed rulemaking proceeding for the (5) Deceptive Advertising as to Sizes Energy Labeling Rule. between the rule and state, local, or 68 See Final Actions below for information about other federal laws or regulations; and of Viewable Pictures Shown by a separate completed rulemaking proceeding for the the effect on the rule of any Television Receiving Sets, 16 CFR 410. Telemarketing Sales Rule.
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dealers provide an annual disclosure of Guide be posted at all times on the side closed on February 12, 2016. Staff is their privacy policies to their customers window of each used car a dealer offers reviewing the comments and anticipates by hand delivery, mail, electronic for sale; and mandates disclosure of sending a recommendation to the delivery, or through a Web site, but only whether the vehicle is covered by a Commission by early 2017. The Holder with the consent of the consumer. On dealer warranty and, if so, the type and in Due Course Rule requires sellers to June 24, 2015, the Commission duration of the warranty coverage, or include language in consumer credit proposed amending the Rule to allow whether the vehicle is being sold ‘‘as contracts that preserves consumers’ motor vehicle dealers instead to notify is—no warranty.’’ The Commission claims and defenses against the seller. their customers that a privacy policy is published a notice seeking public This rule eliminated the holder in due available on their Web site, under comments on the effectiveness and course doctrine as a legal defense for certain circumstances. 80 FR 36267. The impact of the rule. See 73 FR 42285 separating a consumer’s obligation to proposed amendment would also revise (July 21, 2008). The comment period, as pay from the seller’s duty to perform by the scope and definitions in the Rule in extended and then reopened, ended on requiring that consumer credit and loan light of the transfer of part of the June 15, 2009. In response to comments, contracts contain one of two clauses to Commission’s rulemaking authority to the Commission published a Notice of preserve the buyer’s right to assert sales- the Consumer Financial Protection Proposed Rulemaking on December 17, related claims and defenses against any Bureau in the Dodd-Frank Wall Street 2012 (See 77 FR 74746) and a final rule ‘‘holder’’ of the contracts. Reform and Consumer Protection Act. revising the Spanish translation of the Disposal Rule, 16 CFR 682. On The comment period closed on August window form on December 12, 2012. September 15, 2016, the Commission 31, 2015. Staff anticipates that the See 77 FR 73912. The extended initiated a periodic review of the Commission will take its next action by comment period on the NPRM ended on Disposal Rule (formally the Disposal of April 2017. March 13, 2012. The Commission issued Consumer Report Information and Care Labeling Rule, 16 CFR 423. a Supplemental NPRM on November 28, Records) as part of its ongoing Promulgated in 1971, the Rule on Care 2014. 79 FR 70804. Staff anticipates systematic review of all rules and Labeling of Textile Apparel and Certain Commission action by November 2016. guides. 81 FR 63435. The comment Piece Goods as Amended (the Care Contact Lens Rule, 16 CFR 315, and period will close on November 21, 2016. Labeling Rule) makes it an unfair or Eyeglass Rule, 16 CFR 456. As part of The Disposal Rule requires any person deceptive act or practice for the systematic rule review process, on or entity that maintains or otherwise manufacturers and importers of textile September 3, 2015, the Commission possesses consumer information for a wearing apparel and certain piece goods issued Federal Register notices seeking business purpose to properly dispose of to sell these items without attaching public comments about the Contact the information to protect against care labels stating ‘‘what regular care is Lens Rule and the Eyeglass Rule (or unauthorized access to or use of the needed for the ordinary use of the Trade Regulation Rule on Ophthalmic information. Consumer information product.’’ The Rule also requires that Practice Rules). 80 FR 53272 (Contact means any record about an individual the manufacturer or importer possess, Lens Rule) and 80 FR 53274 (Eyeglass that is a consumer report or is derived prior to sale, a reasonable basis for the Rule). The comment period extended from a consumer report, or a care instructions and allows the use of until October 26, 2015. Commission compilation of such records. This rule approved care symbols in lieu of words staff has completed the review of 660 implements Section 216 of the Fair and to disclose care instructions. After comments on the Contact Lens Rule and Accurate Credit Transactions Act of reviewing the comments from a periodic 831 comments on the Eyeglass Rule and 2003, which is designed to reduce the rule review (76 FR 41148, July 13, is formulating next steps. The Contact risk of consumer fraud and related 2011), the Commission concluded on Lens Rule requires contact lens harms, including identity theft, created September 20, 2012, that the Rule prescribers to provide prescriptions to by improper disposal of consumer continued to benefit consumers and their patients upon the completion of a information. would be retained, and sought contact lens fitting, and to verify contact Safeguards Rule (or Standards for comments on potential updates to the lens prescriptions to contact lens sellers Safeguarding Customer Information), 16 Rule, including changes that would authorized by consumers to seek such CFR 314. On September 7, 2016, the allow garment manufacturers and verification. Sellers may provide contact Commission initiated a periodic review marketers to include instructions for lenses only in accordance with a valid of the Safeguards Rule as part of its professional wetcleaning on labels; prescription that is directly presented to ongoing systematic review of all rules permit the use of ASTM Standard the seller or verified with the prescriber. and guides. 81 FR 61632. The comment D5489–07, ‘‘Standard Guide for Care The Eyeglass Rule requires that an period will close on November 7, 2016. Symbols for Care Instructions on Textile optometrist or ophthalmologist must The FTC’s Safeguards Rule, as directed Products,’’ or ISO 3758:2005(E), give the patient, at no extra cost, a copy by the Gramm-Leach-Bliley Act (GLB), ‘‘Textiles—Care labeling code using of the eyeglass prescription immediately requires each financial institution symbols,’’ in lieu of terms; clarify what after the examination is completed. The subject to the FTC’s jurisdiction to can constitute a reasonable basis for care Rule also prohibits optometrists and develop a written information security instructions; and update the definition ophthalmologists from conditioning the program that is appropriate to its size of ‘‘dryclean.’’ 77 FR 58338. On March availability of an eye examination, as and complexity, the nature and scope of 28, 2014, the Commission hosted a defined by the Rule, on a requirement its activities, and the sensitivity of the public roundtable in Washington, DC, that the patient agree to purchase customer information at issue. that analyzed proposed changes to the ophthalmic goods from the optometrist CAN–SPAM Rule, 16 CFR 316. The Rule. Staff anticipates Commission or ophthalmologist. Controlling the Assault of Non-Solicited action by 2017. Holder in Due Course Rule, 16 CFR Pornography and Marketing Act of 2003 Used Car Rule, 16 CFR 455. The Used 433. On December 1, 2015, the sets rules for commercial email, Motor Vehicle Trade Regulation Rule Commission initiated a periodic review establishes requirements for commercial (Used Car Rule), 16 CFR 455, sets out of this Rule, officially the Preservation messages, gives recipients the right to the general duties of a used vehicle of Consumers’ Claims and Defenses have senders of commercial email stop dealer; requires that a completed Buyers Rule. 80 FR 75018. The comment period emailing them, and provides for
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penalties for violations. The FTC issued The extended comment period closed manufacturer or importer of imitation the CAN–SPAM Rule (Rule) to on September 8, 2016. Staff is reviewing political items, who they know, or implement the Act, as authorized by the the comments and is considering next should have known, is violating the statute. As part of its ongoing systematic steps. The Fuel Economy Guide was marking requirements of the Hobby Act review of all Federal Trade Commission adopted in 1975 to prevent deceptive and the Rules. The amendments will be rules and guides, in late 2016 the fuel economy advertising and to effective on November 16, 2016. Commission plans to initiate a periodic facilitate the use of fuel economy Fuel Rating Rule, 16 CFR 306. First review of the Rule. information in advertising. issued in 1979, the Fuel Rating Rule (or Picture Tube Rule, 16 CFR 410. The Green Guides, 16 CFR 260. On August Automotive Fuel Ratings, Certification Picture Tube Rule, officially the Rule on 10, 2016, the FTC released a staff report and Posting Rule) enables consumers to Deceptive Advertising as to Sizes of analyzing an internet-based study that buy gasoline with an appropriate octane Viewable Pictures Shown by Television explored consumer perceptions of rating for their vehicle and establishes Receiving Sets, became effective in 1967 ‘‘organic’’ and ‘‘recycled content’’ standard procedures for determining, and sets forth appropriate methods for claims related to the Commission’s certifying, and posting octane ratings. measuring television screens when that Green Guides (officially Guides for the On January 14, 2016, the Commission measure is included in any Use of Environmental Marketing published final rule amendments that advertisement or promotional material Claims).69 The study, which was co- require entities to rate and certify all for the television set. If the funded by the United States Department ethanol fuels with ethanol content measurement of the screen size is based of Agriculture (USDA), also addressed ranging from above 10 percent to 83 on a measurement other than the consumer perception of pre-consumer percent so as to provide useful horizontal dimension of the actual recycled content claims. The information to consumers about ethanol viewable picture area, the method of Commission and the USDA also held a concentration and suitability for their measurement must be clearly and public roundtable on October 20, 2016, cars and engines (81 FR 2054). The final conspicuously disclosed in close that explored organic claims for non- rule amendments respond to the proximity to the size designation. As food products and ways to reduce comments by providing greater part of the systematic review of its rules deceptive organic claims, including flexibility for businesses to comply with and guides, the Commission plans to through consumer education. the ethanol labeling requirements, and initiate a periodic review of this rule in by not adopting the alternative octane Final Actions 2017. rating method proposed in the 2014 (b) Guides Since the publication of the 2015 Notice of Proposed Rulemaking (79 FR Jewelry Guides, 16 CFR 23. On July 2, Regulatory Plan, the Commission has 18850 April 4, 2014). The amendments 2012, the Commission sought public issued the following final rules or taken took effect on July 14, 2016. comments on its Guides for the Jewelry, other actions to close other rulemaking Telemarketing Sales Rule (TSR), 16 Precious Metals, and Pewter Industries, proceedings. CFR 308. Anti-Fraud Provisions— which are commonly known as the Hobby Rules, 16 CFR 304. On October Following a public comment period, the Jewelry Guides. 77 FR 39202. The 11, 2016, the Commission announced a Commission amended the TSR on Guides explain to businesses how to final rule amending the Hobby Rules to December 14, 2015, to define and avoid making deceptive claims about conform with the 2014 Collectible Coin prohibit the use of certain payment precious metal, pewter, diamond, Protection Act that amended the Hobby methods in all telemarketing gemstone, and pearl products and when Protection Act, 15 U.S.C. 2101–2106. transactions; expand the scope of the they should make disclosures to avoid The Hobby Protection Act prohibits advance fee ban for recovery services; unfair or deceptive trade practices. manufacturing or importing imitation and clarify certain provisions of the Based on comments received, and on numismatic and collectible political Rule (80 FR 77520).70 For inbound or information obtained during a public items unless they are marked in outbound telemarketing transactions by roundtable in June 2013, the FTC accordance with regulations prescribed telemarketers and sellers, the proposed revisions to the Guides on by the Federal Trade Commission. The amendments prohibit novel payment January 12, 2016, regarding below- implementing Rules prescribe that methods that are difficult to trace and threshold alloys, precious metal content imitation political items—such as hard for people to reverse. The of products containing more than one buttons, posters or coffee mugs—must prohibited payment methods include precious metal, surface application of be marked with the calendar year in remotely created checks, remotely precious metals, lead-glass filled stones, which they were manufactured, and created payment orders, cash-to-cash ‘‘cultured’’ diamonds, pearl treatments, imitation numismatic items—including money transfers, and cash reload varietals, and misuse of the word coins, tokens and paper money—must mechanisms. While addressing changes ‘‘gem.’’ 81 FR 1349. The extended be marked with the word ‘‘copy.’’ in the financial marketplace to ensure comment period closed on June 3, 2016, The final rule amendments extend the consumers remain protected by the and Commission staff anticipates scope of the Rules to cover persons or TSR’s antifraud provisions, the forwarding a recommendation to the entities that sell imitation numismatic amendments are narrowly tailored to Commission before the end of 2016. items (coins, paper currency and allow for innovations with respect to Fuel Economy Guide, 16 CFR 259. On commemorative medals), or provide other payment methods that are used by June 6, 2016, the Commission sought substantial assistance or support to any legitimate companies. Portions of the comments on proposed amendments to manufacturer, importer, or seller of changes took effect on February 12, the Guide Concerning Fuel Economy imitation numismatic items, or any 2016, while the remainder took effect on Advertising for New Automobiles (Fuel June 13, 2016. Economy Guide) to reflect current 69 See FTC Staff Report, Consumer Perception of Energy Labeling Rule, 16 CFR 305. On Environmental Protection Agency and ‘‘Recycled Content’’ and ‘‘Organic’’ Claims (Aug. September 15, 2016, the Commission National Highway Traffic Safety 10, 2016), https://www.ftc.gov/system/files/ documents/reports/consumer-perception-recycled- Administration fuel economy labeling content-organic-claims-joint-staff-report-federal- 70 See Ongoing Rule and Guide Reviews for rules and to consider advertising claims trade-commission/consumer_perception_of_ information about a separate ongoing rulemaking prevalent in the market. 81 FR 36216. recycled_content_and_organic_2016-08-10.pdf. proceeding for the Telemarketing Sales Rule.
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amended the Rule to improve access to significant existing regulations. 58 FR 100–497, 102 Stat. 2475) with a primary energy labels online and improve labels 51735 (Sept. 30, 1993). In addition, the purpose of providing ‘‘a statutory basis for refrigerators, ceiling fans, central air final rules issued by the Commission for the operation of gaming by Indian conditioners, and water heaters. 81 FR continue to be consistent with the tribes as a means of promoting tribal 63634. The amendments to 16 CFR President’s Statement of Regulatory economic development, self-sufficiency, 305.3(x), 305.13, and Sample Label 17 of Philosophy and Principles, Executive and strong tribal governments.’’ IGRA Appendix L are effective on September Order 12866, section 1(a), which directs established the National Indian Gaming 17, 2018. All other amendments are agencies to promulgate only such Commission (NIGC) to protect such effective on June 12, 2017.71 regulations as are, inter alia, required by gaming, amongst other things, as a Rule Governing Disclosure of Written law or are made necessary by means of generating tribal revenue. Consumer Product Warranty Terms and compelling public need, such as At its core, Indian gaming is a Conditions and the Pre-Sale Availability material failures of private markets to function of sovereignty exercised by Rule, 16 CFR 701–702. These rules protect or improve the health and safety tribal governments. In addition, the establish (1) requirements for warrantors of the public. Federal Government maintains a for disclosing the terms and conditions The Commission continues to identify government-to-government relationship of written warranties on consumer and weigh the costs and benefits of with the tribes—a responsibility of the products actually costing the consumer proposed regulatory actions and NIGC. Thus, while the NIGC is more than $15.00, and (2) requirements possible alternative actions and to seek committed to strong regulation of Indian for sellers and warrantors to make the and consider the broadest practicable gaming, the NIGC is equally committed terms of any written warranty available array of comment from affected to strengthening government-to- to the consumer prior to the sale of the consumers, businesses, and the public government relations by engaging in product. The E-Warranty Act of 2015, at large. In sum, the Commission’s meaningful consultation with tribes to which was signed into law on regulatory actions are aimed at fulfill IGRA’s intent. The NIGC’s vision September 24, 2015, directed the FTC to efficiently and fairly promoting the is to adhere to principles of good revise the Pre-Sale Availability Rule to ability of ‘‘private markets to protect or government, including transparency to permit the option of using Internet Web improve the health and safety of the promote agency accountability and sites to post warranty terms, in addition public, the environment, or the well- fiscal responsibility, to operate to the other methods that the Pre-Sale being of the American people.’’ consistently to ensure fairness and Availability Rule already allows. On Executive Order 12866, section 1. clarity in the administration of IGRA, September 15, 2016, the FTC issued II. Regulatory and Deregulatory Actions and to respect the responsibilities of final rule amendments, which were each sovereign in order to fully promote effective on October 17, 2016. 81 FR The Commission has no proposed tribal economic development, self- 63664. rules that would be a ‘‘significant sufficiency, and strong tribal Premerger Notification Rules and regulatory action’’ under the definition 72 governments. The NIGC is fully Report Form (or HSR Rules), 16 CFR in Executive Order 12866. The committed to working with tribes to 801–803. On September -1, 2016, the Commission has no proposed rules that ensure the integrity of the industry by Commission amended the HSR Rules to would have significant international exercising its regulatory responsibilities allow for submission of the Premerger impacts under the definition in through technical assistance, Notification and Report Form (Form) Executive Order 13609. Also, there are compliance, and enforcement activities. and accompanying documents on digital no international regulatory cooperation video/versatile disc (DVD), and clarify activities that are reasonably anticipated Retrospective Review of Existing the Instructions to the Form. The final to lead to significant regulations under Regulations Executive Order 13609. rule was effective on September 1, 2016 As an independent regulatory agency, (81 FR 60257). BILLING CODE 6750–01–P the NIGC has been performing a Summary retrospective review of its existing In both content and process, the FTC’s regulations well before Executive Order ongoing and proposed regulatory NATIONAL INDIAN GAMING 13579 was issued on July 11, 2011. The actions are consistent with the COMMISSION NIGC, however, recognizes the importance of Executive Order 13579, President’s priorities. The actions under Statement of Regulatory Priorities consideration inform and protect and its regulatory review is being consumers, while minimizing the In 1988, Congress adopted the Indian conducted in the spirit of Executive regulatory burdens on businesses. The Gaming Regulatory Act (IGRA) (Pub. L. Order 13579, to identify those Commission will continue working regulations that may be outmoded, 72 Section 3(f) of Executive Order 12866 defines ineffective, insufficient, or excessively toward these goals. The Commission’s a regulatory action to be ‘‘significant’’ if it is likely 10-year review program described above burdensome and to modify, streamline, to result in a rule that may: expand, or repeal them in accordance is patterned after provisions in the (1) Have an annual effect on the economy of $100 Regulatory Flexibility Act and complies million or more or adversely affect in a material with input from the public. In addition, with the Small Business Regulatory way the economy; a sector of the economy; as required by Executive Order 13175, productivity; competition; jobs; the environment; Enforcement Fairness Act of 1996. The the NIGC has been conducting public health or safety; or State, local, or tribal government-to-government Commission’s 10-year program also is governments or communities; consultations with tribes regarding each consistent with section 5(a) of Executive (2) Create a serious inconsistency or otherwise Order 12866, which directs executive interfere with an action taken or planned by another regulation’s relevancy, consistency in branch agencies to develop a plan to agency; application, and limitations or barriers (3) Materially alter the budgetary impact of reevaluate periodically all of their to implementation, based on the tribes’ entitlements, grants, user fees, or loan programs, or experiences. The consultation process is the rights and obligations of recipients thereof; or 71 See Ongoing Rule and Guide Reviews for (4) Raise novel legal or policy issues arising out also intended to result in the information about a separate ongoing rulemaking of legal mandates, the President’s priorities, or the identification of areas for improvement proceeding for the Energy Labeling Rule. principles set forth in this Executive order. and needed amendments, if any, new
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regulations, and the possible repeal of clarifying language and reinserting CFR Citation: 25 CFR 542. outdated regulations. critical key controls that were Legal Deadline: None. The following Regulatory Identifier inadvertently removed by the last Abstract: The NIGC is considering Numbers (RINs) are associated with the revisions. removing, revising, or suspending the review: Statement of Need: Periodic review existing Class III minimum internal and revision of existing standards based control standards (MICS) in part 542. RIN Title on input by a wide array of tribal Statement of Need: The NIGC cannot entities ensures that the MICS remain promulgate, implement, or enforce Class 3141–AA32 ...... Definitions. relevant and appropriate. Recent review III MICS. 3141–AA55 ...... Minimum Internal Control has uncovered a need for correction and Summary of Legal Basis: The D.C. Standards. Circuit Court’s decision in Colorado 3141–AA58 ...... Management Contracts. clarification to specific provisions of the MICS, as well as a need to re-insert River Indian Tribes v. National Indian 3141–AA60 ...... Class II Minimum Internal Gaming Commission 383 F.Supp.2d 123 Control Standards. standards that were accidentally 3141–AA62 ...... Buy Indian Goods and overwritten when kiosk standards were (D.D.C. 2005), affd., 466 F.3d 134 (D.C. Services (BIGS). added. Cir. 2006), held that the NIGC cannot 3141–AA64 ...... Class II Minimum Tech- Summary of Legal Basis: The NIGC is promulgate, implement, or enforce Class nical Standards. charged with monitoring class II gaming III control standards. Alternatives: The NIGC has a number 3141–AA65 ...... Privacy Act Procedures. conducted on Indian lands 25 U.S.C. of options: (1) Retain the status quo; (2) 2706(b)(1). With regard to Class II remove the standards; or (3) remove the More specifically, the NIGC is gaming, NIGC’s responsibility includes standards and publish updated currently considering promulgating new inspecting and examining the premises standards as guidance documents. At regulations in the following areas: (i) located on Indian lands on which Class this time, the NIGC continues to Amendments to its regulatory II gaming is conducted and auditing all research and identify all other available definitions to conform to the newly papers, books, and records respecting options. promulgated rules; (ii) the removal, gross revenues of Class II gaming revision, or suspension of the existing Anticipated Cost and Benefits: There conducted on Indian lands, and any are no anticipated cost increases to the minimum internal control standards other matters necessary to carry out the (MICS) in part 542; (iii) updates or Federal Government or to tribal duties of the NIGC pursuant to the governments as a result of this revisions to its management contract Indian Gaming Regulatory Act of 1988 regulations to address the current state regulatory action. (IGRA). 25 U.S.C. 2706(b)(2), (4). Risks: There are no known risks to of the industry; (iv) the review and Alternatives: Maintain the current revision of the minimum internal this regulatory action. regulations. Timetable: control standards for Class II gaming; (v) Anticipated Cost and Benefits: There regulation that would provide a are no anticipated cost increases to the Action Date FR Cite preference to qualified Indian-owned Federal Government or to tribal businesses when purchasing goods or governments as a result of this First NPRM ...... 12/01/04 69 FR 69847 services for the Commission at a fair regulatory action. First NPRM Com- 01/18/05 market price; (vi) revisions to the Risks: There are no known risks to ment Period minimum technical standards for End. this regulatory action. Second NPRM .... 03/10/05 70 FR 11893 gaming equipment used with the play of Timetable: Class II games; and, (vii) revisions to the Second NPRM 04/25/05 Comment Pe- existing Privacy Act Procedures in part Action Date FR Cite riod End. 515 as a means to streamline internal Final Action on 05/04/05 70 FR 23011 processes. NPRM ...... 10/00/17 First NPRM. The NIGC anticipates that the ongoing Final Action on 08/12/05 70 FR 47097 consultations with tribes will continue Regulatory Flexibility Analysis Second NPRM. to play an important role in the Required: No. Third NPRM ...... 11/15/05 70 FR 69293 development of the NIGC’s rulemaking Small Entities Affected: No. Third NPRM 12/30/05 efforts. Government Levels Affected: Tribal. Comment Pe- Agency Contact: Michael Hoenig, riod End. General Counsel, National Indian Final Action on 05/11/06 71 FR 27385 Third NPRM. Gaming Commission, C/O Department NIGC Final Rule; Delay 08/30/12 77 FR 53817 of Interior, 1849 C Street NW., Mailstop of Effective Proposed Rule Stage #1621, Washington, DC 20240, Phone: Date and Re- 202 632–0049. quest for Com- 160. Class II Minimum Internal Control Related RIN: Split from 3141–AA56 ments. Standards RIN: 3141–AA60 Final Rule; Delay 10/04/12 77 FR 60625 Priority: Other Significant. of Effective Legal Authority: 25 U.S.C. 2706(b)(1) Date and Re- to (4); 25 U.S.C. 2706(b)(10); 25 U.S.C. quest for Com- NIGC ments. 2710(d)(7)(B)(vii) Effective Date De- 04/22/14 CFR Citation: 25 CFR 543. Final Rule Stage layed. Legal Deadline: None. Final Action ...... 10/00/17 Abstract: The NIGC continues to 161. Minimum Internal Control Standards review and revise the minimum internal Regulatory Flexibility Analysis control standards (MICS) for Class II Priority: Other Significant. Required: No. gaming. The NIGC anticipates proposing Legal Authority: 25 U.S.C. 2706(b)(1) Government Levels Affected: Tribal. minor but substantive corrections to the to (4); 25 U.S.C. 2706(b)(10); 25 U.S.C. Agency Contact: Michael Hoenig, Class II MICS, including adding 2710(d)(7)(B)(vii) General Counsel, National Indian
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Gaming Commission, C/O Department actions that we are considering issuing security event notification provisions of Interior, 1849 C Street NW., Mailstop in proposed or final form during FY for most classes of NRC licensees with #1621, Washington, DC 20240, Phone: 2017. For additional information on physical security programs. 202 632–0049. these regulatory actions and on a Mitigation of Beyond Design Basis Related RIN: Split from 3141–AA27 broader spectrum of the NRC’s Events (RIN 3150–AJ49; NRC–2011– RIN: 3141–AA55 upcoming regulatory actions, see the 0189, NRC–2014–0240): This final rule BILLING CODE 7565–01–P NRC’s portion of the Unified Agenda of would enhance mitigation strategies for Regulatory and Deregulatory Actions. nuclear power reactors for beyond- A. Proposed Rules design-basis external events. Revision of Fee Schedules: Fee U.S. NUCLEAR REGULATORY 2015 Edition of the American Society Recovery for FY 2017 (RIN 3150–AJ73; COMMISSION STATEMENT OF of Mechanical Engineers Code (RIN NRC–2016–0081): This final rule would REGULATORY PRIORITIES FOR 3150–AJ74; NRC–2016–0082): This amend the NRC’s fee schedules for FISCAL YEAR 2017 proposed rule would amend the NRC’s licensing, inspection, and annual fees I. Introduction regulations to incorporate, by reference, charged to its applicants and licensees. the 2015 American Society of Under the authority of the Atomic Mechanical Engineers Boiler and Energy Act of 1954, as amended, and Pressure Vessel Code and Code for the Energy Reorganization Act of 1974, Operation and Maintenance of nuclear NRC as amended, the U.S. Nuclear power plants. Final Rule Stage Regulatory Commission (NRC) regulates Cyber Security for Fuel Facilities (RIN the possession and use of source, 3150–AJ64): This proposed rule would 162. Modified Small Quantities byproduct, and special nuclear material. assure that NRC-licensed fuel cycle Protocol [NRC–2015–0263] Our regulatory mission is to license and facilities provide reasonable assurance Priority: Other Significant. regulate the Nation’s civilian use of that digital assets associated with safety, Legal Authority: 42 U.S.C. 2201; 42 byproduct, source, and special nuclear security, emergency preparedness, and U.S.C. 5841 materials to ensure adequate protection material control and accountability are CFR Citation: 10 CFR 40; 10 CFR 70; of public health and safety, promote the adequately protected from cyber-attacks. 10 CFR 75 common defense and security, and B. Final Rules Legal Deadline: None. protect the environment. As part of our Abstract: This rule amends the mission, we regulate the operation of Modified Small Quantities Protocol Nuclear Regulatory Commission’s nuclear power plants and fuel-cycle (SQP) (RIN 3150–AJ70): The final rule regulations in 10 CFR parts 40, 70, and plants; the safeguarding of nuclear would amend the NRC’s regulations to 75, as needed, to ensure that the U.S. materials from theft and sabotage; the ensure that the U.S. Government can Government can meet its international safe transport, storage, and disposal of meet its international obligations under obligations under INFCIRC/366. The radioactive materials and wastes; the INFCIRC/366 and the modified SQP. Nuclear Regulatory Commission is decommissioning and safe release for The NRC is responsible for ensuring responsible for ensuring compliance by other uses of licensed facilities that are compliance by the licensees in the U.S. the licensees in the U.S. Caribbean no longer in operation; and the medical, Caribbean Territories. Territories. Changes would go into effect industrial, and research applications of Performance-Based Emergency Core as a final rule, issued without notice nuclear material. In addition, we license Cooling System Acceptance Criteria and comment under 5 U.S.C. 553(a)(1), the import and export of radioactive (RIN 3150–AH42; NRC–2008–0332): which allows agencies to issue rules materials. This final rule would amend the NRC’s involving the foreign affairs functions of As part of our regulatory process, we regulations that specify the fuel the United States without notice and routinely conduct comprehensive cladding acceptance criteria for comment. These rule changes must be regulatory analyses that examine the emergency core cooling system (ECCS) in effect before the U.S. Government can costs and benefits of contemplated loss-of-coolant accidents (LOCA) bring the modified Small Quantities regulations. We have developed internal evaluations. The ECCS acceptance Protocol to INFCIRC/366 into force. procedures and programs to ensure that criteria would be performance-based, Statement of Need: This rule would we impose only necessary requirements and reflect recent research findings that respond to Commission direction to on our licensees and to review existing identified new embrittlement proceed with rulemaking. regulations to determine whether the mechanisms for fuel rods with Summary of Legal Basis: The legal requirements imposed are still zirconium alloy cladding under LOCA basis of this rule is to ensure that the necessary. conditions. U.S. Government meets its obligations Enhanced Weapons, Firearms Our regulatory priorities for Fiscal under the Treaty for the Prohibition of Background Checks, and Security Event Year (FY) 2017 reflect our complex Nuclear Weapons in Latin America and Notifications (RIN 3150–AI49; NRC– mission and will enable us to achieve the Caribbean (Treaty of Tlatelolco). 2008–0465, NRC–2011–0018): This final our two strategic goals described in Alternatives: None. NUREG–1614, Volume 6, ‘‘Strategic rule would amend the NRC’s regulations Anticipated Cost and Benefits: Plan: Fiscal Years 2014–2018 (http:// by implementing the authority in Undefined. www.nrc.gov/reading-rm/doc- Section 161A of the Atomic Energy Act Risks: Undefined. collections/nuregs/staff/sr1614/v6/): (1) of 1954, as amended. The rule would Timetable: To ensure the safe use of radioactive enable access to enhanced weapons materials and (2) to ensure the secure with associated firearms background Action Date FR Cite use of radioactive materials. checks at power reactor facilities, at- reactor Independent Spent Fuel Storage Final Rule ...... 05/00/17 II. Regulatory Priorities Installations, and Category I strategic This section contains information on special nuclear materials facilities. This Regulatory Flexibility Analysis some of our most important regulatory final rule would also modify physical Required: No.
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Small Entities Affected: No. July 21, 2015, the Commission approved Agency Contact: Gregory Trussell, Government Levels Affected: None. initiation of the rulemaking. Nuclear Regulatory Commission, Office International Impacts: This regulatory Specifically, the Commission provided of Nuclear Material Safety and action will be likely to have its clearance for the Circular 175 Safeguards, Washington, DC 20555– international trade and investment memorandum authorizing the 0001, Phone: 301 415–6445, Email: effects, or otherwise be of international Department of State to negotiate and [email protected]. interest. conclude a modified Small Quantities Additional Information: In SECY–15– Protocol between the US and IAEA with RIN: 3150–AJ70 0080 staff requested Commission the treaty for the prohibition of Nuclear BILLING CODE 7590–01–P approval to initiate rulemaking: On June Weapons in Latin America. This [FR Doc. 2016–29848 Filed 12–22–16; 8:45 am] 5, 2015, the staff requested Commission rulemaking will go directly to a final BILLING CODE P approval to initiate the rulemaking. On rule as it has a foreign policy exclusion.
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