Vol. 81 Tuesday, No. 153 August 9, 2016

Pages 52589–52740

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 81, No. 153

Tuesday, August 9, 2016

Agricultural Marketing Service Energy Department RULES See Energy Efficiency and Renewable Energy Office Removal of Program to Assess Organic Certifying Agencies, See Federal Energy Regulatory Commission 52589–52590 NOTICES NOTICES Exclusive License Approvals: Agency Information Collection Activities; Proposals, TNT Ballistic Coating Technologies, Inc., 52668–52669 Submissions, and Approvals: Vegetable and Specialty Crop Marketing Orders, 52610– Energy Efficiency and Renewable Energy Office 52611 NOTICES Agency Information Collection Activities; Proposals, Agriculture Department Submissions, and Approvals, 52669–52670 See Agricultural Marketing Service See Federal Crop Insurance Corporation Environmental Protection Agency See Food and Nutrition Service NOTICES See Forest Service California State Motor Vehicle Pollution Control Standards: On-Highway Heavy-duty Vehicle In-Use Compliance Centers for Disease Control and Prevention Program; 2007 and Subsequent Model Year On- NOTICES Highway Heavy-Duty Engines and Vehicles; Truck Agency Information Collection Activities; Proposals, Requirements: Request for Waiver of Preemption, Submissions, and Approvals, 52694–52695 52678–52680 Agency Information Collection Activities; Proposals, California State Nonroad Engine Pollution Control Submissions, and Approvals; Withdrawal, 52694 Standards: Evaporative Emission Standards and Test Procedures for Central Intelligence Agency Off-Highway Recreational Vehicles, 52684–52686 RULES Meetings: Special Procedures for Discretionary Access to Classified California Air Resources Board, 52680–52682 Historical Central Intelligence Agency Records Requests for Nominations: Requested by Other Federal Agencies in Furtherance of Science Advisory Board Panel to Review Risk and Historical Research, 52591–52592 Technology Review Screening Methods, 52682– 52684 Commerce Department Federal Communications Commission See Economic Development Administration NOTICES See Foreign-Trade Zones Board Meetings; Sunshine Act, 52687 See National Oceanic and Atmospheric Administration Termination of Dormant Proceedings, 52686–52687

Commodity Futures Trading Commission Federal Crop Insurance Corporation NOTICES RULES Agency Information Collection Activities; Proposals, Common Crop Insurance Regulations: Submissions, and Approvals, 52666 Basic Provisions, 52590–52591 Texas Citrus Fruit Crop Insurance Provisions; Correction, Defense Department 52590 NOTICES Agency Information Collection Activities; Proposals, Federal Election Commission Submissions, and Approvals: NOTICES Contractor Use of Interagency Fleet Management System Filing Dates: Vehicles, 52691–52692 Ohio Special Democratic Primary Election in the 8th Pollution Prevention and Right-to-Know Information, Congressional District, 52687–52688 52693 Meetings: Federal Energy Regulatory Commission Government-Industry Advisory Panel, 52666–52668 NOTICES Alleged Violations: Economic Development Administration David Silva, 52677 NOTICES National Energy and Trade, LP, 52676 Trade Adjustment Assistance Eligibility; Petitions, 52613 Combined Filings, 52670, 52674–52678 Competitive Transmission Development Technical Education Department Conference, 52673–52674 NOTICES Initial Market-Based Rate Filings Including Requests for Agency Information Collection Activities; Proposals, Blanket Section 204 Authorizations: Submissions, and Approvals: Desert Wind Farm LLC, 52672 Study of Digital Learning Resources for Instructional Drift Sand Wind Project, LLC, 52672 English Learner Students, 52668 Osborn Wind Energy, LLC, 52677

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Qualifying Conduit Hydropower Facilities: General Services Administration Farmington, NM, 52670–52671 NOTICES Staff Attendances, 52671–52672 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Federal Motor Carrier Safety Administration Contractor Use of Interagency Fleet Management System Vehicles, 52691–52692 PROPOSED RULES Permitting Notice of Initiation, 52692–52693 Meetings: Pollution Prevention and Right-to-Know Information, Medical Review Board, 52608–52609 52693

Federal Reserve System Health and Human Services Department NOTICES See Centers for Disease Control and Prevention Agency Information Collection Activities; Proposals, See Food and Drug Administration Submissions, and Approvals, 52689–52690 See National Institutes of Health Changes in Bank Control: Acquisitions of Shares of a Bank or Bank Holding Homeland Security Department Company, 52691 PROPOSED RULES Formations of, Acquisitions by, and Mergers of Bank Privacy Act; Implementation of Exemptions, 52593–52595 Holding Companies, 52688–52691 NOTICES Formations of, Acquisitions by, and Mergers of Savings and Privacy Act; Systems of Records, 52700–52703 Loan Holding Companies, 52688 Housing and Urban Development Department NOTICES Fish and Wildlife Service Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Endangered and Threatened Wildlife and Plants Permit Energy Benchmarking, 52703–52708 Applications, 52708–52710 HUD-Owned Real Estate Sales Contract and Addendums, 52708 Food and Drug Administration NOTICES Interior Department Meetings: See Fish and Wildlife Service General and Plastic Surgery Devices Panel of the Medical See Land Management Bureau Devices Advisory Committee, 52695–52696 See National Park Service International Trade Commission Food and Nutrition Service NOTICES NOTICES Investigations; Determinations, Modifications, and Rulings, Food Distribution Programs: etc.: Value of Donated Foods July 1, 2016 through June 30, Access Control Systems and Components Thereof, 52713 2017, 52611–52612 Cold-Rolled Steel Flat Products from Brazil, India, Korea, Russia, and the United Kingdom, 52712 Foreign Assets Control Office NOTICES Judicial Conference of the United States Blocking or Unblocking of Persons and Properties, 52737– NOTICES 52739 Hearings: Advisory Committees on the Federal Rules of Appellate, Bankruptcy, Civil and Criminal Procedure, 52713– Foreign Claims Settlement Commission 52714 NOTICES Meetings; Sunshine Act, 52714 Justice Department See Foreign Claims Settlement Commission Foreign-Trade Zones Board NOTICES NOTICES Proposed Consent Decrees under Clean Air Act, 52714 Alternative Site Framework; Expansions: Land Management Bureau Foreign-Trade Zone 225, Springfield, MO, 52613–52614 Alternative Site Framework; Reorganizations: NOTICES Foreign-Trade Zone 103, Grand Forks, ND, 52614 Applications for Withdrawal of Public Lands: Expansion of Foreign-Trade Zone: California; Opportunity for Public Meeting, 52710–52711 Trade Zone 149 under Alternative Site Framework Management and Budget Office Freeport, Texas, 52614 NOTICES Uniform Administrative Requirements, Cost Principles, and Forest Service Audit Requirements, 52714–52715 NOTICES Meetings: National Aeronautics and Space Administration Lake Tahoe Basin Federal Advisory Committee, 52612– NOTICES 52613 Agency Information Collection Activities; Proposals, New Fee Sites, 52612 Submissions, and Approvals, 52715–52716

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Agency Information Collection Activities; Proposals, Postal Regulatory Commission Submissions, and Approvals: NOTICES Contractor Use of Interagency Fleet Management System New Postal Products, 52717 Vehicles, 52691–52692 Pollution Prevention and Right-to-Know Information, Securities and Exchange Commission 52693 NOTICES Meetings; Sunshine Act, 52721 National Highway Traffic Safety Administration Self-Regulatory Organizations; Proposed Rule Changes: NOTICES Bats BZX Exchange, Inc., et al,, 52722–52730 Petitions for Inconsequential Noncompliance: Bats EDGX Exchange, Inc., 52718–52721 Baby Jogger, LLC, 52734–52737 Investors Exchange, LLC, 52717–52718, 52730–52733

National Institutes of Health Small Business Administration NOTICES PROPOSED RULES Government-Owned Inventions; Availability for Licensing, Business Loan and Surety Bond Guarantee Programs, 52697–52700 52595–52608 Meetings: Center for Scientific Review, 52697 State Department National Institute of Neurological Disorders and Stroke, NOTICES 52698–52699 Meetings: National Institute on Deafness and Other Communication International Security Advisory Board, 52733 Disorders, 52696–52697 Surface Transportation Board National Oceanic and Atmospheric Administration NOTICES NOTICES Abandonment Exemptions: Environmental Assessments; Availability, etc.: Norfolk Southern Railway Co., Charleston, SC, 52733– Integrated Ocean Observing System Advisory Committee, 52734 52665–52666 Meetings: Transportation Department Caribbean Fishery Management Council, 52635–52636 See Federal Motor Carrier Safety Administration Evaluation of State Coastal Management Programs, See National Highway Traffic Safety Administration 52636–52637 North Pacific Fishery Management Council, 52636 Treasury Department Takes of Marine Mammals Incidental to Specified See Foreign Assets Control Office Activities: Bravo Wharf Recapitalization Project, 52637–52645 Veterans Affairs Department Pier Replacement Project, 52645–52665 NOTICES Waterfront Improvement Projects, 52614–52635 Meetings: Geriatrics and Gerontology Advisory Committee, 52739 National Park Service NOTICES Agency Information Collection Activities; Proposals, Reader Aids Submissions, and Approvals: Special Park Use Applications, 52711–52712 Consult the Reader Aids section at the end of this issue for phone numbers, online resources, finding aids, and notice Nuclear Regulatory Commission of recently enacted public laws. NOTICES To subscribe to the Federal Register Table of Contents License Amendments: LISTSERV electronic mailing list, go to http:// Tennessee Valley Authority; Watts Bar Nuclear Plant, listserv.access.gpo.gov and select Online mailing list Unit 1; Maximum Number of Tritium Producing archives, FEDREGTOC-L, Join or leave the list (or change Burnable Absorber Rods, 52716–52717 settings); then follow the instructions.

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CFR PARTS AFFECTED IN THIS ISSUE

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

6 CFR Proposed Rules: 5...... 52593 7 CFR 37...... 52589 457 (2 documents) ...... 52590 13 CFR Proposed Rules: 115...... 52595 120...... 52595 32 CFR 1911...... 52591 49 CFR Proposed Rules: 391...... 52608

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Rules and Regulations Federal Register Vol. 81, No. 153

Tuesday, August 9, 2016

This section of the FEDERAL REGISTER SW., Room 3932–S, STOP 0258, 1400 RFA, because the services are voluntary contains regulatory documents having general Independence Avenue SW., and provided on a fee-for-service basis, applicability and legal effect, most of which Washington, DC 20250–0258. and are not subject to scalability based are keyed to and codified in the Code of Comments will be made available for on the business size. Moreover, there are Federal Regulations, which is published under public inspection at the above address no entities being provided services 50 titles pursuant to 44 U.S.C. 1510. during regular business hours or online under this part. The Code of Federal Regulations is sold by at www.regulations.gov. AMS is committed to complying with the Superintendent of Documents. Prices of FOR FURTHER INFORMATION CONTACT: the E-Government Act to promote the new books are listed in the first FEDERAL Jeffrey Waite, Branch Chief, Auditing use of the Internet and other REGISTER issue of each week. Services Branch, Quality Assessment information technologies to provide Division; Livestock, Poultry, and Seed increased opportunities for citizen Program, Agricultural Marketing access to government information and DEPARTMENT OF AGRICULTURE Service, U.S. Department of Agriculture, services, and for other purposes. USDA has not identified any relevant Room 3932–S, STOP 0258, 1400 Agricultural Marketing Service Federal rules that duplicate, overlap, or Independence Avenue SW., conflict with this rule. 7 CFR Part 37 Washington, DC 20250–0258; telephone (202) 720–4411, or email Jeffrey.Waite@ Paperwork Reduction Act [Doc. # AMS–LPS–15–0054] ams.usda.gov. In accordance with the Paperwork SUPPLEMENTARY INFORMATION: Removal of Program To Assess Reduction Act of 1995 [44 U.S.C. Organic Certifying Agencies in 7 CFR Executive Orders 12866 and 13563 chapter 35], it has been determined that Part 37 this rule will not change the information Executive Orders 12866 and 13563 collection and recordkeeping AGENCY: Agricultural Marketing Service, direct agencies to assess all costs and requirements previously approved, and USDA. benefits of available regulatory will not impose additional reporting or alternatives and, if regulation is ACTION: Direct final rule. recordkeeping burden on users. necessary, to select regulatory The information collection and SUMMARY: This final rule informs the approaches that maximize net benefits recordkeeping requirements of this part public that the Agricultural Marketing (including potential economic, were approved by OMB under 44 U.S.C. Service (AMS) of the United States environmental, public health and safety chapter 35 and assigned OMB Control Department of Agriculture (USDA) is effects, distributive impacts, and Number 0581–0183. The information removing the Program to Assess Organic equity). Executive Order 13563 collection was retired by OMB on its Certifying Agencies from the Code of emphasizes the importance of expiration date of April 30, 2003. A Federal Regulations. This action quantifying both costs and benefits, change of worksheet was submitted to removes unnecessary regulations from reducing costs, harmonizing rules, and OMB on February 21, 2003, to terminate the CFR. Since the publication of the promoting flexibility. This rule has been that collection because form LS–314 organic regulations, the Program to determined not to be significant for Application for Service was obsolete. Assess Organic Certifying Agencies is purposes of Executive Order 12866 or Form LS–313 Application for Service no longer applicable or necessary. Executive Order 13563. Accordingly, and the ISO 65 Guidelines were DATES: This rule is effective November the Office of Management and Budget transferred to OMB Control Number 7, 2016 without further action, unless (OMB) has waived the review process. 0581–0191 for the National Organic adverse comment is received by Executive Order 13175 Program (NOP). As a result, no September 8, 2016. If adverse comment information collection under 7 CFR part This rule has been reviewed in is received, AMS will publish a timely 37 remained. accordance with the requirements of withdrawal of the rule in the Federal Executive Order 13175, Consultation Executive Order 12988 Register. and Coordination with Indian Tribal This rule has been reviewed under ADDRESSES: Comments should be Governments. The review reveals that Executive Order 12988, Civil Justice submitted online at this regulation does not have tribal Reform. This rule is not intended to www.regulations.gov. Comments implications, in that it would not have have retroactive effect. There are no received will be posted without change, substantial direct effects on Tribal civil justice implications associated including any personal information governments. with this direct final rule. provided. All comments should reference the docket number AMS–LPS– Regulatory Flexibility Act Civil Rights Review 15–0054, the date of submission, and The purpose of the Regulatory AMS has considered the potential the page number of this issue of the Flexibility Act (RFA) [5 U.S.C. 601–612] civil rights implications of this rule on Federal Register. Comments may also is to fit regulatory actions to the scale of minorities, women, or persons with be submitted to: Jeffrey Waite, Branch businesses subject to such actions so disabilities to ensure that no person or Chief, Auditing Services Branch, small businesses will not be unduly or group shall be discriminated against on Quality Assessment Division; Livestock, disproportionately burdened. AMS has the basis of race, color, national origin, Poultry, and Seed Program, Agricultural determined that this rule will not have gender, religion, age, disability, sexual Marketing Service, U.S. Department of a significant impact on a substantial orientation, marital or family status, Agriculture, 400 Independence Avenue number of small entities, as defined by political beliefs, parental status, or

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protected genetic information. This rule Dated: July 29, 2016. List of Subjects in 7 CFR Part 457 does not require affected entities to Elanor Starmer, Crop insurance, Texas citrus fruit, relocate or alter their operations in ways Administrator, Agricultural Marketing Reporting and recordkeeping that could adversely affect such persons Service. requirements, Correction of publication. or groups. Further, this rule will not [FR Doc. 2016–18436 Filed 8–8–16; 8:45 am] Accordingly, 7 CFR part 457 is deny any persons or groups the benefits BILLING CODE 3410–02–P corrected by making the following of a program or subject any persons or correcting amendments: groups to discrimination. DEPARTMENT OF AGRICULTURE Executive Order 13132 PART 457—COMMON CROP Federal Crop Insurance Corporation INSURANCE REGULATIONS This rule has been reviewed under ■ 1. The authority citation for 7 CFR Executive Order 13132, Federalism, 7 CFR Part 457 which directs agencies to construe, in part 457 continues to read as follows: regulations and otherwise, a Federal Authority: 7 U.S.C. 1506(l), 1506(o). [Docket No. FCIC–15–0002] statute to preempt state law only when ■ 2. Amend § 457.119 as follows: the statute contains an express ■ RIN 0563–AC48 a. In section 1. Definitions, by revising preemption provision. There are no the definition of ‘‘Production guarantee federalism implications associated with Common Crop Insurance Regulations; (per acre)’’; and this rule. Texas Citrus Fruit Crop Insurance ■ b. In section 7(a)(4), by removing the Background Provisions; Correction term ‘‘the’’ following the phrase ‘‘That has produced an average yield of at least The Program to Assess Organic AGENCY: Federal Crop Insurance three tons per acre’’. Certifying Agencies was published Corporation, USDA. The addition reads as follows: through a Federal Register Interim Final ACTION: Final rule; correcting Notice (64 FR 30867) on June 9, 1999, § 457.119 Texas citrus fruit crop insurance amendment. under the authority of the Agricultural provisions. * * * * * Marketing Act of 1946 [7 U.S.C. 1621– SUMMARY: This document contains 1627]. It authorized AMS to assess corrections to the final regulation which 1. Definitions certifying agencies to the International was published June 13, 2016 (81 FR Organization for Standardization/ * * * * * 38061–38067). The regulation, as here Production guarantee (per acre). In International Electrotechnical pertinent, related to the insurance of Commission (ISO/IEC) Guide 65:1996 lieu of the definition contained in Texas Citrus Fruit. section 1 of the Basic Provisions, the General requirements for bodies production guarantee will be operating product certification systems. DATES: This rule is effective August 9, determined by stage as follows: While the Organic Foods Production 2016. (a) First stage production guarantee— Act of 1990 had been signed into law, FOR FURTHER INFORMATION CONTACT: Tim The second stage production guarantee AMS had not yet promulgated Hoffmann, Director, Product multiplied by forty percent (40%). regulations to establish the NOP. In Administration and Standards Division, (b) Second stage production their absence, the Program to Assess Risk Management Agency, United States guarantee. The quantity of citrus (in Organic Certifying Agencies provided Department of Agriculture, Beacon tons) determined by multiplying the AMS the legal framework to assess Facility, Stop 0812, Room 421, P.O. Box yield determined in accordance with organic certifying agencies. However, 419205, Kansas City, MO 64141–6205, section 3(e) of these Crop Provisions by when AMS published the national telephone (816) 926–7730. the coverage level percentage you elect. standards for organic products on December 21, 2000, no action was taken SUPPLEMENTARY INFORMATION: * * * * * to remove 7 CFR part 37. The Background Signed in Washington, DC, on August 2, publication of the NOP Final Rule (7 2016. CFR part 205) nullified the Program to The final regulation that is the subject Timothy J. Gannon, Assess Organic Certifying Agencies. of this correction revised the Common Acting Manager, Federal Crop Insurance Crop Insurance Regulations, Texas Corporation. List of Subjects in 7 CFR Part 37 Citrus Fruit Crop Insurance Provisions [FR Doc. 2016–18748 Filed 8–8–16; 8:45 am] published June 13, 2016, (81 FR 38061– Administrative practice and BILLING CODE 3410–08–P 38067). procedure, Agriculture, Assessment of organic certifying agencies, Need for Correction Incorporation by reference, Organically DEPARTMENT OF AGRICULTURE As published, the final regulation produced agricultural commodities, Federal Crop Insurance Corporation Reporting and recordkeeping contains sections where text was requirements. inadvertently removed that may prove to be misleading and needs to be 7 CFR Part 457 Accordingly, under the authority 7 corrected. In section 1, the definition of U.S.C. 1621–1627, and as discussed in production guarantee (per acre) needs to Common Crop Insurance Regulations, the preamble, the Agency is amending be corrected to add section (a). Basic Provisions 7 CFR chapter 1 by removing part 37. Additionally, in paragraph 7(a)(4), the AGENCY: Federal Crop Insurance term ‘‘the’’ was inadvertently repeated Corporation, USDA. PART 37—[REMOVED] following the phrase ‘‘That has ACTION: Final rule; correcting produced an average yield of at least amendment. ■ 1. Remove part 37. three tons per acre.’’

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SUMMARY: This document contains a CENTRAL INTELLIGENCE AGENCY PART 1911—SPECIAL PROCEDURES correction to the link in the definition FOR DISCRETIONARY ACCESS TO of ‘‘limited resource farmer’’ that is 32 CFR Part 1911 CLASSIFIED HISTORICAL CENTRAL currently provided in the CFR. INTELLIGENCE AGENCY RECORDS Special Procedures for Discretionary DATES: Effective Date: August 9, 2016. REQUESTED BY OTHER FEDERAL Access to Classified Historical Central AGENCIES FOR FURTHER INFORMATION CONTACT: Tim Intelligence Agency Records Hoffmann, Director, Product Requested by Other Federal Agencies Sec. Management, Product Administration in Furtherance of Historical Research 1911.1 Authority and purpose. and Standards Division, Risk 1911.2 Definitions. 1911.3 Applicability. Management Agency, United States AGENCY: Central Intelligence Agency. Department of Agriculture, Beacon 1911.4 Federal agency requests for access Facility, Stop 0812, Room 421, P.O. Box ACTION: Final rule. and processing procedures. 419205, Kansas City, MO 64141–6205, Authority: 50 U.S.C. 3001 et seq.; 50 telephone (816) 926–7730. SUMMARY: Consistent with the National U.S.C. 3141 et seq.; Executive Order 13526, 75 FR 707, 3 CFR 2010 Comp., p. 298–327, SUPPLEMENTARY INFORMATION: Security Act of 1947, as amended, the Central Intelligence Agency Act of 1949, (or successor Orders); Executive Order 12333, Background 40 FR 235, 3 CFR 1981 Comp., p. 200 (or as amended, and Executive Order successor Orders). This correction is being published to 13526, as amended (or successor correct the link that is no longer valid Orders), and section 1.6 of Executive § 1911.1 Authority and purpose. provided in the definition of ‘‘limited Order 12333, as amended (or successor (a) Authority. This part is issued resource farmer.’’ Orders), CIA is providing greater clarity under the authority of the National about the procedures under which, as a Security Act of 1947, as amended, the List of Subjects in 7 CFR Part 457 matter of discretion, it may provide Central Intelligence Agency Act of 1949, Administrative practice and access to classified historical CIA as amended, Executive Order 13526 (or procedure, Crop insurance, Reporting records requested by other Federal successor Orders), and section 1.6 of and recordkeeping requirements. agencies in furtherance of historical Executive Order 12333, as amended (or research when such access is not successor Orders). Need for Correction (b) Purpose. This part prescribes expressly required by statute. This rule procedures for providing, as a matter of As currently published, 7 CFR 457.8 is being issued as a final rule without discretion, appropriately cleared staff contains an outdated link in the prior notice of proposed rulemaking as definition of ‘‘limited resource farmer.’’ and contractor personnel of other allowed by the Administrative Federal agencies with access to Accordingly, 7 CFR part 457 is corrected Procedure Act for rules of agency by making the following amendment: classified historical CIA records that procedure and interpretation. their agency has requested when such PART 457—COMMON CROP DATES: Effective August 9, 2016. access is not expressly required by INSURANCE REGULATIONS statute. FOR FURTHER INFORMATION CONTACT: § 1911.2 Definitions. ■ 1. The authority citation for 7 CFR Joseph W. Lambert, (703) 613–1379. As used in this part: part 457 continues to read as follows: SUPPLEMENTARY INFORMATION: Consistent Agency Release Panel (ARP) means Authority: 7 U.S.C. 1506(l) and 1506(o). with the National Security Act of 1947, the CIA Agency Release Panel set forth as amended, the Central Intelligence ■ in part 1900 of this chapter. 2. Amend § 457.8, in the Common Agency Act of 1949, as amended, Crop Insurance Policy, as follows: CIA means the United States Central Executive Order 13526, as amended (or ■ a. In section 1. Definitions, by revising Intelligence Agency. successor Orders), and section 1.6 of Control means ownership or the the definition of ‘‘Limited resource Executive Order 12333, as amended (or farmer’’. authority of the CIA pursuant to Federal successor Orders), the CIA has revised statute or privilege to regulate official or § 457.8 The application and policy. its regulations to more clearly set forth public access to records. * * * * * the procedures used to provide, as a Federal agency means any executive matter of discretion, access to classified department, military department or Common Crop Insurance Policy historical CIA records requested by other establishment or entity included * * * * * other Federal agencies in furtherance of in the definition of agency in 5 U.S.C. historical research and when such 552(f). 1. Definitions access is not expressly required by Information means any knowledge * * * * * statute. This rule is being issued as a that can be communicated or Limited resource farmer. Has the same final rule without prior notice of documentary material, regardless of its meaning as the term defined by USDA proposed rulemaking as allowed by the physical form that is owned by, at http://lrftool.sc.egov.usda.gov/LRP_ Administrative Procedure Act, 5 U.S.C. produced by or for, or is under the control of the United States Definition.aspx or successor Web site. 553(b)(3)(A) for rules of agency Government. * * * * * procedure and interpretation. Interested party means any official in Signed in Washington, DC, on July 29, List of Subjects in 32 CFR Part 1911 the executive, military, congressional, or 2016. judicial branches of government, United Timothy J. Gannon, Archives and records, Classified States or foreign, or under U.S. Acting Manager, Federal Crop Insurance information, Historical records. Government contract who, in the sole Corporation. Accordingly, the CIA is adding a new discretion of the CIA, has a subject [FR Doc. 2016–18751 Filed 8–8–16; 8:45 am] matter or physical interest in the 32 CFR part 1911 to read as follows: BILLING CODE 3410–08–P documents or information at issue.

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Records mean records as defined by considering any input received, the document will be submitted to the 44 U.S.C. 3301. Coordinator will either make or not Coordinator for declassification review; make the determinations set forth in (8) That the information and § 1911.3 Applicability. paragraph (c), in consultation with the documents will remain classified until a This part does not apply to requests ARP, and forward the request and the final declassification review and release for access to current information or Coordinator’s recommendation to the decision is made by CIA; and, finished intelligence that is routinely Chief, Information Review and Release (9) That the request for access is an disseminated to other Federal agencies Group (IRRG), Information Management official agency request, made in the in support of the CIA’s intelligence, Services for decision on whether or not requester’s official capacity on behalf of counterintelligence, or special activities to provide the access requested. A the requester’s agency. responsibilities, or for administrative negative determination by the Chief of (d) Limitations. (1) With respect to purposes. This part applies to special IRRG shall be reviewed by the Director, requests for access to classified requests for access to CIA information Information Management Services, who and equities residing outside of CIA, historical CIA records in furtherance of shall issue the final CIA decision historical research and not expressly upon a favorable CIA determination in whether or not to grant the request for accordance with paragraph (c) of this required by statute that fall outside of access. the regular channels and procedures section, the CIA will notify both the (c) Determinations. As a condition requester and the agency holding the that CIA has already established to precedent for access, the Coordinator provide information to U.S. Government records with CIA equities. The requester must make all of the following customers. Examples include, but are will need to follow the access determinations with respect to each not limited to, a Federal agency, requirements of the agency holding the request: including a branch of the military, records in addition to any access (1) That the requester is a current staff conducting research in preparation for requirements mandated by CIA. employee or contractor of the U.S. the production of a set of historical (2) If access to classified historical Government; studies, an official agency history, or a CIA records is granted, as a rule, such (2) That the requester is currently review of past military activities, that access shall be provided on CIA cleared, or security approved, for access require access to classified historical premises only. No copies of any to classified information and that the CIA records. classified historical CIA records shall be specific clearance or security approval provided to the requester for reference § 1911.4 Federal agency requests for and access levels of that individual has and use on requester premises without access and processing procedures. been officially recorded; the express approval of the Director, (a) Federal agency requests. Cleared (3) That the scope of the request for Information Management Services. In staff and contractor personnel, working information is clearly delineated; exceptional cases, if the provision of for a Federal agency, and seeking access (4) That the information requested is classified CIA historical records to the to classified CIA historical records in an reasonably accessible and can be located requester for reference and use on official capacity, shall send the request and compiled with a reasonable effort; requester premises is permitted, the to the CIA Information and Privacy (5) That a nondisclosure agreement classified CIA historical records Coordinator (Coordinator) identifying with a prepublication review clause has provided shall not be disclosed or the particular records needed, the been executed by the requester; disseminated beyond the requesting purpose for which the records are (6) That all notes and any resulting agency, and shall be returned to CIA or needed, whether declassification of the document will be appropriately destroyed when use of the records has information contained in the records safeguarded, that further access will be ended. Similarly, any notes taken that will be required, and the position and appropriately limited, and that no are derived from classified historical security clearances or security approvals further dissemination of information CIA records that have been accessed in held by the requester. such as that marked ORCON accordance with this part shall not be (b) Special procedures. The (Dissemination and Extraction of disclosed or disseminated beyond the Coordinator shall review the request Information Controlled by Originator) or requesting agency. and solicit input from the Director of the HUMINT (Human Intelligence) shall be Center for the Study of Intelligence and made beyond the requesting agency Dated: June 10, 2016. other interested parties concerning unless CIA permission is obtained; Joseph W. Lambert, whether or not the required (7) That if the resulting document Director, Information Management Services. determinations set forth in paragraph (c) containing CIA information or equities [FR Doc. 2016–15896 Filed 8–8–16; 8:45 am] of this section can be made. After is intended to be declassified, the BILLING CODE 6310–02–P

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Proposed Rules Federal Register Vol. 81, No. 153

Tuesday, August 9, 2016

This section of the FEDERAL REGISTER Docket: For access to the docket to Counterterrorism and Criminal contains notices to the public of the proposed read background documents or Exploitation Unit (CTCEU) collects issuance of rules and regulations. The comments received, go to http:// personally identifiable information (PII) purpose of these notices is to give interested www.regulations.gov. from key Department of Homeland persons an opportunity to participate in the Security (DHS) databases and analyzes rule making prior to the adoption of the final FOR FURTHER INFORMATION CONTACT: rules. Amber Smith, Privacy Officer, (202– it to identify individuals who are 732–3300), U.S. Immigration and suspected status violators. The Customs Enforcement, 500 12th Street Counterterrorism and Criminal DEPARTMENT OF HOMELAND SW., Mail Stop 5004, Washington, DC Exploitation Unit will also use LeadTrac SECURITY 20536, email: [email protected], or to collect information about Jonathan R. Cantor (202–343–1717), organizations such as schools, Office of the Secretary Acting Chief Privacy Officer, Privacy universities, and exchange visitor Office, Department of Homeland programs being investigated by CTCEU, 6 CFR Part 5 Security, Washington, DC 20528. as well as information about individuals, including designated [Docket No. DHS–2016–0052] SUPPLEMENTARY INFORMATION: school officials (DSOs) and associates of Privacy Act of 1974: Implementation of I. Background suspected status violators. Exemptions; Department of Homeland The Department of Homeland ICE collects information in LeadTrac Security/U.S. Immigration and Security (DHS) is giving concurrent about suspected status violators and Customs Enforcement–015 LeadTrac notice of a newly established system of organizations to help enforce System of Records records pursuant to the Privacy Act of compliance with U.S. immigration laws. 1974 for the ‘‘DHS/U.S. Immigration Specifically, the information is collected AGENCY: Department of Homeland and Customs Enforcement (ICE)–015 and used to support the following DHS Security (DHS), Privacy Office. LeadTrac System of Records’’ and this activities: Investigating and determining ACTION: Notice of proposed rulemaking. proposed rule. In this rulemaking, the immigration status and criminal history Department proposes to exempt information of individuals; carrying out SUMMARY: The Department of Homeland the appropriate enforcement activity Security is giving concurrent notice of a portions of the system of records from one or more provisions of the Privacy required; identifying fraudulent schools newly established system of records and/or organizations and the people pursuant to the Privacy Act of 1974 for Act because of criminal, civil, and administrative enforcement affiliated with the school or the ‘‘Department of Homeland Security/ organization; providing HSI and ICE U.S. Immigration and Customs requirements. The LeadTrac System of Records Enforcement and Removal Operations Enforcement–015 LeadTrac System of describes the operation of an ICE (ERO) with viable lead information to Records’’ and this proposed rulemaking. information technology system of the further investigate suspected status In this proposed rulemaking, the same name, which is owned by ICE’s violators; and carrying out the required Department proposes to exempt Homeland Security Investigations (HSI) enforcement activity. portions of the system of records from directorate. This system contains a The CTCEU and Overstay Analysis one or more provisions of the Privacy repository of data that is ingested on a Unit (OAU) personnel query a variety of Act because of criminal, civil, and routine or ad hoc basis from other DHS and non-DHS information systems administrative enforcement existing sources, and an index created and enter the results into LeadTrac to requirements. from that data. LeadTrac incorporates build a unified picture of an DATES: Comments must be received on tools that allow the data to be queried, individual’s entry/exit, visa, criminal or before September 9, 2016. analyzed, and presented in a variety of and immigration history, and will ADDRESSES: You may submit comments, formats that can help illuminate comparably process information about identified by docket number DHS– relationships among the various data associated individuals and 2016–0052, by one of the following elements. The purpose of LeadTrac is to organizations. Using this assembled methods: help ICE HSI personnel conduct information, CTCEU will determine • Federal e-Rulemaking Portal: http:// research and analysis using advanced which individuals or organizations www.regulations.gov. Follow the analytic tools in support of their law warrant additional investigation for instructions for submitting comments. enforcement mission. possible status violations or the • Fax: 202–343–4010. operation of fraudulent institutions, and • Mail: Jonathan Cantor, Acting Chief LeadTrac Overview will request that the appropriate HSI Privacy Officer, Privacy Office, This record system allows DHS to field offices initiate investigations. Department of Homeland Security, collect and maintain information about Some of the individuals about whom Washington, DC 20528. foreign students, exchange visitors, and ICE collects information in LeadTrac, Instructions: All submissions received other non-immigrant visitors to the such as DSOs and associates of must include the agency name and United Sates who overstay their period suspected status violators, may have docket number for this notice. All of admission or otherwise violate the lawful permanent resident (LPR) status comments received will be posted terms of their visa, immigrant, or non- or be U.S. citizens. without change to http:// immigrant status (collectively, status Consistent with the Department’s www.regulations.gov, including any violators), and associated organizations information sharing mission, personal information provided. and individuals. Using LeadTrac, the information stored in the DHS/ICE–015

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LeadTrac System of Records may be parties and other sources; and to protect enforcement activities; provide lead shared with other DHS components that the privacy of third parties. Disclosure information for investigative inquiry and have a need to know the information to of information to the subject of the follow-up; assist in the conduct of ICE carry out their national security, law inquiry could also permit the subject to criminal and administrative investigations; assist in the disruption of terrorist or other enforcement, immigration, intelligence, avoid detection or apprehension. criminal activity; and discover previously or other homeland security functions. In In appropriate circumstances, when unknown connections among existing ICE addition, DHS/ICE information may be compliance would not appear to investigations. shared with appropriate federal, state, interfere with or adversely affect the law The Secretary of Homeland Security, local, tribal, territorial, foreign, or enforcement purposes of this system pursuant to 5 U.S.C. 552a(j)(2), has exempted international government agencies and the overall law enforcement this system from the following provisions of consistent with the routine uses set process, the applicable exemptions may the Privacy Act: 5 U.S.C. 552a(c)(3), (c)(4); forth in the system of records notice and be waived on a case-by-case basis. (d); (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), as otherwise authorized under the A system of records notice for DHS/ (e)(4)(I), (e)(5), (e)(8); (f); and (g). Additionally, the Secretary of Homeland Privacy Act. ICE–015 LeadTrac System of Records is Security, pursuant to 5 U.S.C. 552a(k)(2), has This newly established system will be also published in this issue of the exempted this system from the following included in DHS’s inventory of record Federal Register. provisions of the Privacy Act: 5 U.S.C. systems. List of Subjects in 6 CFR Part 5 552a(c)(3), (c)(4); (d); (e)(1), (e)(4)(G), II. Privacy Act (e)(4)(H), (e)(4)(I); and (f). When a record Freedom of information; Privacy. received from another system has been The Privacy Act embodies fair For the reasons stated in the exempted in that source system under 5 information practice principles in a preamble, DHS proposes to amend U.S.C. 552a(j)(2) or (k)(2), DHS will claim the statutory framework governing the chapter I of title 6, Code of Federal same exemptions for those records that are means by which Federal Government Regulations, as follows: claimed for the original primary systems of agencies collect, maintain, use, and records from which they originated and disseminate individuals’ records. The PART 5—DISCLOSURE OF RECORDS claims any additional exemptions set forth here. Privacy Act applies to information that AND INFORMATION Exemptions from these particular is maintained in a ‘‘system of records.’’ ■ subsections are justified, on a case-by-case A ‘‘system of records’’ is a group of any 1. The authority citation for part 5 basis to be determined at the time a request records under the control of an agency continues to read as follows: is made, for the following reasons: from which information is retrieved by Authority: Pub. L. 107–296, 116 Stat. 2135; (a) From subsection (c)(3) and (4) the name of an individual or by some (6 U.S.C. 101 et seq.); 5 U.S.C. 301. Subpart (Accounting for Disclosures) because release identifying number, symbol, or other A also issued under 5 U.S.C. 552. Subpart B of the accounting of disclosures could alert identifying particular assigned to the also issued under 5 U.S.C. 552a. the subject of an investigation of an actual or potential criminal, civil, or regulatory individual. In the Privacy Act, an ■ 2. Add paragraph 74 to Appendix C to individual is defined to encompass U.S. violation to the existence of that investigation read as follows: and reveal investigative interest on the part citizens and lawful permanent of DHS as well as the recipient agency. residents. As a matter of policy, DHS Appendix C to Part 5—DHS Systems of Records Exempt From the Privacy Act Disclosure of the accounting would therefore extends administrative Privacy Act present a serious impediment to law protections to all individuals when * * * * * enforcement efforts and/or efforts to preserve systems of records maintain information 74. The DHS/ICE–015 LeadTrac System of national security. Disclosure of the on U.S. citizens, lawful permanent Records consists of electronic and paper accounting would also permit the individual residents, and visitors. records and will be used by ICE investigative who is the subject of a record to impede the The Privacy Act allows Government and homeland security personnel. The DHS/ investigation, to tamper with witnesses or agencies to exempt certain records from ICE–015 LeadTrac System of Records evidence, and to avoid detection or the access and amendment provisions. If contains aggregated data from ICE and DHS apprehension, which would undermine the law enforcement and homeland security IT entire investigative process. Disclosure of an agency claims an exemption, it must systems, as well as data uploaded by ICE corrections or notations of dispute may issue a rule to make clear to the public personnel for analysis from various public, impede investigations by requiring DHS to the reasons why a particular exemption private, and commercial sources during the inform each witness or individual contacted is claimed, and provide an opportunity course of an investigation or analytical during the investigation of each correction or to comment. project. This information may include some notation pertaining to information provided DHS is claiming exemptions from or all of the following types of personally them during the investigation. certain requirements of the Privacy Act identifiable information: Identifying and (b) From subsection (d) (Access to Records) for DHS/ICE–015 LeadTrac System of biographic data such as name and date of because access to the records contained in Records. Some information in this birth; citizenship and immigration data; this system of records could inform the system of records relates to official DHS border crossing data; customs import-export subject of an investigation of an actual or history; criminal history; contact potential criminal, civil, or regulatory national security, law enforcement, and information; criminal associates; family violation to the existence of that investigation immigration activities. These relationships; photographs and other media; and reveal investigative interest on the part exemptions are needed to protect and employment and education information. of DHS or another agency. Access to the information relating to DHS activities The records also include tips received by ICE records could permit the individual who is from disclosure to subjects or others from the public concerning suspicious or the subject of a record to impede the related to these activities. Specifically, potentially illegal activity, as well as investigation, to tamper with witnesses or the exemptions are required to preclude telephone call detail records, which contain evidence, and to avoid detection or subjects of these activities from call transactions and subscriber data, apprehension. Amendment of the records frustrating these processes; to avoid obtained via lawful process during the course could interfere with ongoing investigations of an investigation. This information is and law enforcement activities and would disclosure of activity techniques; to maintained by ICE for analytical and impose an unreasonable administrative protect the identities and physical safety investigative purposes and is made accessible burden by requiring investigations to be of confidential informants and law to ICE personnel via the LeadTrac system continually reinvestigated. In addition, enforcement personnel; to ensure DHS’s interface. The system is used to conduct permitting access and amendment to such ability to obtain information from third research supporting the production of law information could disclose classified and

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other security-sensitive information that SMALL BUSINESS ADMINISTRATION Washington, DC 20416; telephone: (202) could be detrimental to homeland security. 205–7654; email: robert.carpenter@ (c) From subsection (e)(1) (Relevancy and 13 CFR Parts 115 and 120 sba.gov. Necessity of Information) because in the course of investigations into potential RIN 3245–AF85 SUPPLEMENTARY INFORMATION: violations of federal law, the accuracy of I. Background Information information obtained or introduced Miscellaneous Amendments to occasionally may be unclear, or the Business Loan Programs and Surety Executive Order 13563, Improving information may not be strictly relevant or Bond Guarantee Program Regulation and Regulatory Review, 76 necessary to a specific investigation. In the FR 3821 (January 21, 2011), directs interests of effective law enforcement, it is AGENCY: U.S. Small Business agencies to ensure that regulations are appropriate to retain all information that may Administration. accessible, consistent, written in plain aid in establishing patterns of unlawful ACTION: Proposed rule. language, and easy to understand in activity. order to foster economic growth and job (d) From subsection (e)(2) (Collection of SUMMARY: The U.S. Small Business creation. Executive Order 13563 Information from Individuals) because Administration (SBA) continues to provides that our regulatory system requiring that information be collected from review the regulations governing the ‘‘must identify and use the best, most the subject of an investigation would alert the delivery and oversight of its business innovative and least burdensome tools subject to the nature or existence of the lending programs. SBA is proposing for achieving regulatory ends.’’ investigation, thereby interfering with that changes to some of these regulations for investigation and related law enforcement Executive Order 13563 further provides clarity and to increase participation in: that ‘‘[t]o facilitate the periodic review activities. The Surety Bond Guarantee (SBG) (e) From subsection (e)(3) (Notice to of existing significant regulations, Subjects) because providing such detailed Program, the 7(a) Loan Program, the agencies shall consider how best to information could impede law enforcement Microloan Program, and the promote retrospective analysis of rules by compromising the existence of a Development Company Loan Program that may be outmoded, ineffective, confidential investigation or reveal the (504 Loan Program). In addition, the insufficient, or excessively burdensome, identity of witnesses or confidential proposed changes will streamline the and to modify, streamline, expand, or informants. regulations by removing or revising any repeal them in accordance with what (f) From subsections (e)(4)(G), (e)(4)(H), outdated regulations. has been learned.’’ SBA has reviewed its and (e)(4)(I) (Agency Requirements) and (f) DATES: SBA must receive comments to regulations with regard to the Business (Agency Rules), because portions of this the proposed rule on or before October Loan Programs, as defined below, and is system are exempt from the individual access 11, 2016. provisions of subsection (d) for the reasons proposing a number of amendments and noted above, and therefore DHS is not ADDRESSES: You may submit comments, revisions to accomplish this goal. required to establish requirements, rules, or identified by RIN 3245–AF85, by any of The SBA programs affected by this procedures with respect to such access. the following methods: proposed rule are the 7(a) Loan Program Providing notice to individuals with respect • Federal eRulemaking Portal: http:// authorized pursuant to section 7(a) of to existence of records pertaining to them in www.regulations.gov. Follow the the Small Business Act (the Act) (15 the system of records or otherwise setting up instructions for submitting comments. U.S.C. 636(a)), the Microloan Program procedures pursuant to which individuals • Mail: Mary Frias, Office of authorized pursuant to section 7(m) of may access and view records pertaining to Financial Assistance, Office of Capital the Act (15 U.S.C. 636(m)), the Surety themselves in the system would undermine Access, Small Business Administration, Bond Guarantee Program authorized investigative efforts and reveal the identities 409 Third Street SW., Washington, DC pursuant to part B of title IV of the of witnesses, and potential witnesses, and Small Business Investment Act of 1958 confidential informants. 20416. • Hand Delivery/Courier: Mary Frias, (15 U.S.C. 694b et seq.), and the (g) From subsection (e)(5) (Collection of Development Company Program (the Information) because with the collection of Office of Financial Assistance, Office of information for law enforcement purposes, it Capital Access, Small Business 504 Loan Program) authorized pursuant is impossible to determine in advance what Administration, 409 Third Street SW., to title V of the Small Business information is accurate, relevant, timely, and Washington, DC 20416. Investment Act of 1958 (15 U.S.C. 695 complete. Compliance with subsection (e)(5) SBA will post all comments on et seq.) (collectively referred to as the would preclude DHS agents from using their www.regulations.gov. If you wish to Business Loan Programs). investigative training and exercise of good submit confidential business The Agency requests comments on all judgment to both conduct and report on information (CBI) as defined in the User aspects of the regulatory revisions in investigations. this proposed rule and on any related (h) From subsection (e)(8) (Notice on Notice at www.regulations.gov, please submit the information to Office of issues affecting the Business Loan Individuals) because compliance would Programs. interfere with DHS’s ability to obtain, serve, Financial Assistance, Office of Capital and issue subpoenas, warrants, and other law Access, 409 Third Street SW., II. Summary of Proposed Business Loan enforcement mechanisms that may be filed Washington, DC 20416. Highlight the Program Changes under seal and could result in disclosure of information that you consider to be CBI SBA’s proposed changes are described investigative techniques, procedures, and and explain why you believe SBA in this section, with additional details evidence. should hold this information as (i) From subsection (g)(1) (Civil Remedies) on each located in the section-by- confidential. SBA will review the section analysis that follows: to the extent that the system is exempt from information and make the final other specific subsections of the Privacy Act. determination whether it will publish A. Surety Bond Guarantee Program Dated: August 3, 2016. the information. 1. Threshold Change. SBA proposes Jonathan R. Cantor, FOR FURTHER INFORMATION CONTACT: to change the threshold amounts set Acting Chief Privacy Officer, Department of Robert Carpenter, Financial Analyst, forth in §§ 115.19, 115.32, and 115.67 Homeland Security. Office of Financial Assistance, Office of under which Sureties are required to [FR Doc. 2016–18812 Filed 8–8–16; 8:45 am] Capital Access, Small Business notify SBA, or obtain SBA’s prior BILLING CODE 9111–28–P Administration, 409 Third Street SW., written approval, of changes in the

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contract or bond amounts for which an interest in the EPC for the benefit of an regulation at § 120.220(b) to provide for SBA bond guarantee has been issued. eligible OC. SBA also proposes to revise the electronic payment of the up-front This change would remove the $100,000 § 120.111(a)(3) to clarify that rent or guaranty fee on all loans and to modify threshold and rely solely on the 25% lease payments cannot exceed the the timing of that payment on certain threshold. amount necessary to make the loan loans. Finally, SBA proposes 2. Quarterly Contract Completion payment to the lender, and an corresponding changes to § 120.220(c) Notification. SBA proposes to add a additional amount to cover the EPC’s governing when SBA will refund the requirement that all participating direct expenses of holding the property, guaranty fee on certain loans. sureties must notify SBA of all contracts such as maintenance, insurance and 9. Fees which a Lender May Collect successfully completed on a quarterly property taxes. from an Applicant. SBA proposes to add basis through the submission of a 3. Personal Guarantee Conditions for clarifying language to this section in an quarterly contract completion report Eligible Passive Companies (EPCs) and introductory paragraph explaining that identifying all contracts successfully Operating Companies (OCs). For the fees listed in § 120.221 are the only completed and any changes in the consistency with § 120.160(a), SBA fees a Lender is permitted to collect contract amount and related fees during proposes to add language in from an applicant in connection with the preceding fiscal quarter. This new § 120.111(a)(6) to state that SBA may the loan application. SBA also proposes requirement will be addressed in a new require the personal guarantee of those to remove the current language in section at § 115.22, Quarterly Contract owning less than 20 percent of the EPC § 120.221(e), which prohibits a Lender Completion Report. or the OC. Additionally, SBA proposes from charging a Borrower a pre-payment 3. Quick Bond Guarantee Application to add language to provide that SBA fee, and replace that language with the and Agreement (SBA Form 990A) may require the personal guarantee of current language found in § 120.222(e), Increased Contract Limit. SBA proposes those owning less than 5 percent which permits a Lender to charge an to allow Sureties participating in the ownership when circumstances warrant. Applicant for certain legal fees. Prior Approval Program to use the Finally, SBA proposes to clarify that the 10. Fees which the Lender or Quick Bond Guarantee Application and personal guarantee requirements apply Associate May Not Collect from the Agreement (SBA Form 990A), when an individual has an ownership Borrower or Share with Third Parties. authorized by 13 CFR 115.30(d)(2), for interest in either the EPC or the OC. SBA proposes to revise § 120.222 to contracts that do not exceed $400,000. 4. Restrictions on uses of proceeds. remove all of the text except the The current contract limit for use of this SBA proposes to revise § 120.130 to add prohibition on sharing premiums for form is $250,000. a new paragraph (e) and redesignate secondary market sales. In conjunction 4. Preferred Surety Bond Guarantee paragraphs (e) and (f) as paragraphs (f) with the proposed changes to § 120.221, Program. SBA was recently authorized and (g), respectively. The new SBA proposes to include the fees a to increase its guarantee percentage for paragraph (e) will include the text Lender may charge an Applicant or bonds issued in the Preferred Surety currently found in § 120.160(d), Taxes, Borrower in one regulation; unless Bond (PSB) Guarantee Program from which prohibits the use of loan otherwise permitted by SBA Loan ‘‘not to exceed 70 per centum’’ to ‘‘not proceeds to pay past-due Federal or Program Requirements, any fees not to exceed 90 per centum’’ by section 874 state payroll taxes. SBA also proposes to included in § 120.221 will be of title VIII of Division A of the National revise paragraph (g) to remove the prohibited. Defense Authorization Act (NDAA), reference to ‘‘§ 120.203’’ and replace it 11. Use of Proceeds in the Builders 2016, Public Law 114–92, 129 Stat. 726. with ‘‘§ 120.202’’. Loan Program. In § 120.394, SBA This increase will become effective on 5. Personal Guarantees (for loans proposes to increase the limit on loan November 25, 2016. Accordingly, SBA other than to EPCs/OCs). SBA proposes proceeds being used to acquire land is proposing to amend its regulations to to modify the language in § 120.160(a) to under a line of credit under the implement this change, including clarify that SBA may require the Builder’s Loan Program. increasing the guarantee percentages in personal guarantee of those owning less 12. On-Site/Off-Site Reviews for 7(a) the PSB Program and requiring that, for than 5 percent ownership when Lenders, CDCs and Microloan a period of at least nine months circumstances warrant. Intermediaries (Intermediaries). Due to following the admission of new Sureties 6. Use of Computer Forms. SBA SBA’s improved electronic methods, into the PSB Program, Sureties obtain proposes to remove § 120.194 as it is virtual reviews, such as Analytical and SBA’s prior written approval before outdated and no longer necessary. Targeted Reviews, may cover much of executing a bond greater than $2 7. Variable Interest Rates on 7(a) what was previously performed in the million. Loans. SBA proposes to revise the scope of ‘‘on-site’’ reviews, diminishing language in § 120.214 with respect to the distinction between ‘‘off-site’’ and B. 7(a) and 504 Loan Programs and when the allowable base rate is ‘‘on-site’’ reviews. Accordingly, SBA Microloan Program determined and when adjustments in proposes to remove all references to 1. Consumer and Marketing the variable interest rate will be ‘‘on-site’’ reviews in §§ 120.410(a)(2), Cooperatives. SBA proposes to remove permitted. 120.424(b), 120.433(b), 120.434(c), consumer and marketing cooperatives 8. Fees that Lender pays SBA. SBA 120.630(a)(5), 120.710(e)(1), 120.812(c), from the ineligible types of businesses proposes to add a new § 120.220(a)(3) to 120.816(c), 120.839, 120.841(c), identified in § 120.110. incorporate the provision under Public 120.1050, 120.1051, 120.1070 and 2. Change of Ownership Among Law 114–38, section 2 (Veterans 120.1400(c)(4). SBA will, however, Existing Owners in Eligible Passive Entrepreneurship Act of 2015), which retain the term ‘‘review/examination Companies (EPC) and Operating waives the up-front guaranty fee for assessments’’ in these regulations. SBA Companies (OC). SBA proposes to SBA Express loans provided to is also proposing to replace references to revise the regulation at § 120.111 to businesses owned and controlled by ‘‘off-site’’ reviews and monitoring with permit loans to finance a change of veterans or spouses of veterans under ‘‘monitoring’’ in §§ 120.1025 and ownership when an existing owner of certain circumstances. In order to 120.1051(a). the Eligible Passive Company (EPC) is incorporate advances in technology, 13. ‘‘Good Standing’’ now referred to purchasing a departing co-owner’s SBA also proposes to update the as being ‘‘Satisfactory.’’ SBA proposes

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to replace the term ‘‘Good Standing’’ as 21. Ineligible Costs for 504 Loans. 27. First Lien Position 504 Loan it relates to a Lender’s status with its SBA proposes to replace the term (‘‘FMLP’’) Program. SBA proposes to Federal Financial Institution Regulator ‘‘meeting the IRS definition of capital add language to § 120.1707 to ensure (FFIR) with ‘‘Satisfactory’’ in equipment’’ in § 120.884(e)(3) with that an allonge to the First Lien Position §§ 120.410(e), 120.630(a)(4), and ‘‘having a remaining useful life of at 504 Loan Pool Guarantee Agreement, in 120.1703(a)(4). least 10 years.’’ form acceptable to SBA, is executed 14. The Certified Lenders Program. 22. Confidentiality of Reports, Risk with a transfer of a Seller’s retained SBA proposes to remove regulations Ratings and related Confidential interest in an FMLP Pool Loan. pertaining to SBA’s Certified Lenders Information Disclosure Prohibitions. 28. Systemically Important Secondary Program (CLP). Section 120.440 will be SBA proposes a limited expansion of Market Broker-Dealers (SISMBD) Loan replaced with a new regulation (see parties identified in § 120.1060 as Program. SBA proposes to remove discussion immediately below), and ‘‘permitted parties’’ who should be §§ 120.1800–1900, Subpart K, in its § 120.441 will be reserved for future use. afforded access to, a lender’s Review/ entirety to remove all references to the 15. Delegated Authority Criteria. SBA Exam Report information, Risk Rating, SISMBD Loan Program. The program proposes to add a new title and text in and Confidential Information. Access to was established under the American place of § 120.440 to include in the these permitted parties is granted only Recovery and Reinvestment Act (ARRA) regulations the criteria for delegated for the purpose of assisting a lender in in 2009 and the program authority authority in the 7(a) Loan Program. With improving the SBA Lender’s, expired on February 16, 2013. the addition of this regulation on Intermediary’s or Non-lending III. Section by Section Analysis delegated authority in general, the Technical Assistance Provider’s 1. Section 115.19 Denial of liability. specific regulation at § 120.451, How (NTAP’s) SBA program operation in Under the current regulation, the dollar does a Lender become a PLP Lender, is conjunction with SBA’s Lender threshold for determining when an no longer necessary and will be Oversight Program and SBA’s portfolio increase in the Contract or bond removed and reserved for future use. management. 16. When is SBA Released from amounts may result in denial of liability 23. Lender Oversight Fees. Due to the Liability on its Guarantee? SBA as the result of a material breach or a SBA’s improved electronic methods for proposes to revise § 120.524(b) to allow substantial regulatory violation is 25% SBA to utilize all legal means available oversight that allows for virtual Reviews or $100,000, whichever is less. Based on when recovering any moneys paid on and other oversight activities to be feedback from the surety industry and the guarantee plus interest, including conducted without an ‘‘on-site’’ visit, other stakeholders, SBA has determined administrative offset and judicial SBA proposes to eliminate the that the existing threshold is outdated, remedies. distinction between ‘‘on-site’’ and ‘‘off- and no longer reflects current industry 17. Suspension or Revocation from site’’ in the fee components set forth in practices and this change is being made SBA’s Secondary Market. SBA proposes § 120.1070. Consistent with eliminating to align SBA requirements with the to revise § 120.660 to require that any this distinction, the proposed rule prevailing industry practice, while action taken under this section be would also provide flexibility in how managing the increased bond liability to approved by both the Director, Office of SBA allocates its costs for Reviews, the Government. Currently, under Financial Assistance (D/FA) and the Examinations, Monitoring, or Other § 115.32(d), the surety is required to Director, Office of Credit Risk Lender Oversight Activities (e.g., notify SBA if any contract or bond Management (D/OCRM). Authority is allocating actual costs assessed to each increases in the aggregate by 25% or also proposed for suspension or Lender versus apportioning costs by $100,000, whichever is less. Further, if revocation of a Lender participating in portfolio size). the bond increases as a result of a single SBA’s Secondary Market based upon 24. Grounds for Enforcement change order by 25% or $100,000, specific regulatory action issued by a Actions—SBA Lenders. SBA proposes to whichever is less, the surety is required Lender’s primary regulator or a going revise language to provide for consent to to obtain SBA’s prior written approval concern opinion issued by the Lender’s the appointment of a Receiver and/or of the increase. Prevailing industry auditor. Finally, SBA proposes to other relief by SBA Supervised Lenders practice allows increases to the contract remove the reference to an obsolete (except Other Regulated SBLCs) and by and bond without prior notification to form. CDCs in § 120.1400(a). the surety. To better align SBA 18. Removal of Board Overlap 25. Types of Enforcement Actions— requirements with that of the industry, Restriction. SBA proposes to remove SBA Lenders. SBA proposes to revise while managing the increased bond language from § 120.823(c)(5) that the language permitting SBA to initiate liability to the Government, this change prohibits a CDC from having more than a request for appointment of a Receiver would eliminate the dollar threshold of one of its Directors employed by, or of an SBA Supervised Lender in $100,000, while retaining the 25% serving on, the Board of Directors of any § 120.1500(c)(3) and add language threshold for purposes of denying other non-CDC entity. permitting SBA to initiate a request for liability under paragraphs (c)(1), (d), 19. Removal of Reference to Members appointment of a Receiver of a CDC in and (e)(2) of § 115.19. for CDC Boards of Directors. SBA § 120.1500(e)(3). 2. Section 115.22 Quarterly Contract proposes to replace the term ‘‘members’’ 26. General Procedures for Completion Report. At present, SBA with the term ‘‘individuals’’ in Enforcement Actions Against SBA does not receive a final accounting of § 120.823(d)(4)(ii), Loan Committee. Lenders, SBA Supervised Lenders, Other fees due and paid by the surety and 20. Case-by-Case Application to Make Regulated SBLCs, Management principal on contracts that are a 504 Loan Outside of a CDC’s Area of Officials, Other Persons, Intermediaries, successfully completed. Consequently, Operations. SBA proposes to replace the and NTAPs. SBA proposes to add SBA is unable to ensure that fees due term ‘‘District Office’’ in § 120.839 with language regarding the procedures for the Government as a result of an the term ‘‘504 loan processing center.’’ appointment of a Receiver over a CDC increase in the contract amount are paid SBA also proposes to streamline the text or an SBA Supervised Lender in in a timely manner on contracts that do in the introductory paragraph of this §§ 120.1600(a), 120.1600(a)(6), and not default. To better track fee payments section. 120.1600(b)(4). and complement periodic on-site audits

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at surety company locations, sureties $100,000 while retaining the 25% paid if: (i) The total amount of the participating in the SBA Surety Bond threshold. Contract at the time of Execution of the Guarantee Program would be required 5. Section 115.60 Selection and bond is $100,000 or less. Like the Prior under this provision to submit a admission of PSB Sureties. SBA is Approval Program, when the Contract quarterly contract completion report proposing to amend this provision to amount increases to more than $100,000 within 45 days of the close of each provide that, for a period of nine after bond Execution, the guarantee quarter, identifying completed months following admission into the percentage would decrease by one contracts, any changes in contract PSB Program, the Surety must obtain percentage point for each $5,000 of amount, and any related fees. SBA’s prior written approval before increase or part thereof, but would not 3. Section 115.30 Submission of executing a bond greater than $2 decrease below 80%. If the Contract Surety’s guarantee application. Section million. With the increase in the decreases to $100,000, or less, after 115.30(d)(2) provides a streamlined guarantee percentage to up to 90% (as bond Execution, the guarantee Quick Bond Guarantee Application and discussed below), SBA wants the percentage would increase to 90% if the Agreement (SBA Form 990A) (Quick opportunity to evaluate the Surety’s Surety provides SBA with evidence Bond) that is used in the Prior Approval underwriting and claims and recovery supporting the decrease and any other Program for smaller contract amounts. It processes to be assured that the PSB information or documents requested; or complements the surety industry Surety has demonstrated a successful (ii) the bond was issued on behalf of a practice of providing a shorter period of operations. At its discretion, small business owned and controlled by application for smaller contract SBA may extend this period to further socially and economically amounts, and has helped to address evaluate the Surety. disadvantaged individuals, on behalf of sureties’ perceptions about excessive 6. Section 115.67(a) Increases. a qualified HUBZone small business paperwork in SBA’s bond guarantee Under the current regulation, a concern, or on behalf of a small business application process. The Quick Bond Preferred Surety Bond Surety must pay owned and controlled by Veterans or a has been widely accepted by the additional fees due from the small business owned and controlled by participating sureties. Principal and the Surety on increases Service-Disabled Veterans; aggregating 25% of the contract or bond The proposed rule would increase the (2) SBA would reimburse a PSB amount or $100,000, whichever is less. Quick Bond eligible contract limit from Surety in an amount not to exceed 80% For consistency with the changes $250,000 to $400,000. Implementation of the Loss incurred and paid on bond proposed to §§ 115.19 and 115.32, the for Contracts in excess of $100,000 of the higher contract limit would proposed rule would eliminate the which are executed on behalf of non- increase the use of the Quick Bond and dollar threshold while retaining the disadvantaged concerns; and would provide access to bonding for 25% threshold. (3) If the Contract or Order amount is more small contractors. It would more 7. Section 115.68 Guarantee increased above the Applicable closely conform to the contract limits Percentage. There are two SBA surety Statutory Limit (as defined in § 115.10) allowed in the abbreviated applications bond guarantee programs: The Prior after bond Execution, SBA’s share of the offered in the surety industry, and Approval Program and the Preferred Loss is limited to that percentage of the would respond to sureties’ requests to Surety Bond (PSB) Program. Under the increased Contract or Order amount that raise the current limit. Prior Approval Program, SBA approves the Applicable Statutory Limit Experience with the Quick Bond has each bond guarantee individually, and represents multiplied by the guarantee been favorable at the $250,000 limit. guarantees between 80% and 90% of a percentage approved by SBA. For Since its implementation in August of bond issued, depending on the status of example, if a contract amount increases 2012, SBA has guaranteed more than the contractor or the amount of the to $6,800,000, SBA’s share of the loss 1,500 bonds and only 27 defaults have Contract at the time the bond was under an 80% guarantee is limited to occurred. If the contract amount is executed. Under the PSB Program, 76.5% (6,500,000/6,800,000 = 95.6% × increased, SBA would continue to sureties are authorized to issue, monitor 80% = 76.5%.) closely monitor its experience with the and service bonds without prior SBA 8. Section 120.110 What businesses Quick Bond. approval, but the SBA currently are ineligible for SBA business loans? 4. Section 115.32(d)(1) Notification guarantees only up to 70% of the bond. SBA proposes to remove the existing and Approval. Under the current Over the past several years, SBA has § 120.110(l) that identifies consumer regulation, a Prior Approval Surety experienced a sharp decline in the PSB and marketing cooperatives as ineligible must notify SBA of any increases or Program activity due to the lower types of businesses for SBA financial decreases in the Contract or bond guarantee rate. To increase participation assistance. Cooperatives are a form of amount that aggregate 25% of $100,000, in the PSB Program, and thereby assist organization and there is no reason why whichever is less, as soon as the Surety more small businesses, Congress cooperatives should be excluded from acquires knowledge of the change, and amended section 411(c)(1) of the Small eligibility. As such, all cooperatives may also must obtain SBA’s prior written Business Investment Act of 1958 (15 be eligible for SBA financing, provided approval of an increase in the original U.S.C. 694b(c)(1)), to authorize SBA to they comply with all other Loan bond amount as a result of a single guarantee up to 90% in the PSB Program Requirements. change order of at least 25% or Program. The effective date of this 9. Section 120.111 What conditions $100,000, whichever is less. As increase was delayed until November must an Eligible Passive Company discussed above under § 115.19, 25, 2016, to allow time for the necessary satisfy? SBA proposes to amend two prevailing industry practice allows rulemaking. paragraphs in § 120.111: increases to the contract and bond Accordingly, SBA is proposing to (1) Introductory paragraph. Presently, without prior notification to the surety. amend § 115.68 to adopt the same the Eligible Passive Company (EPC) may To better align SBA requirements with guarantee percentages for the PSB only use loan proceeds ‘‘to acquire or that of the industry, while managing the Program that are provided in the Prior lease, and/or improve or renovate, real increased bond liability to the Approval Program under § 115.31: or personal property (including eligible Government, this change would (1) SBA would reimburse a PSB refinancing), that it leases to one or eliminate the dollar threshold of Surety for 90% of the Loss incurred and more Operating Companies for

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conducting the Operating Company’s the circumstances warrant, such as on short-term loans creates a bottleneck business.’’ SBA proposes to include Cooperatives where no one member may that delays the processing center’s turn- language to permit SBA loan proceeds have an ownership interest of at least around time for these loans. to be used to finance a change of 5%. Given the longer timeframe for the ownership between existing owners of 12. Section 120.194 Use of computer Lender to pay the fee, SBA also the Eligible Passive Company (EPC), forms. SBA proposes to remove the proposes to remove the first two provided the transaction meets all regulation at § 120.194 in its entirety as sentences of § 120.220(c), which state conditions described in § 120.111. it is outdated. The regulation will be when SBA will refund the guaranty fee (2) Paragraph (a)(3). The lease reserved for future use. paid on a short-term loan. With the between the EPC and the OC. SBA 13. Section 120.214 What conditions additional time provided for payment of proposes to clarify that rent or lease apply for variable interest rates? The the fee, there will be no need for payments made by the OC to the EPC current regulation governing variable refunds. cannot exceed the amount necessary to interest rates in § 120.214 provides that, 15. Section 120.221 Fees which the make the loan payment to the lender, when a Lender uses the prime or Lender may collect from a loan and an additional amount to cover the London Interbank Offered Rate (LIBOR) applicant. SBA proposes to add EPC’s direct expenses of holding the rate as the base rate in a variable interest clarifying language to this section in an property, such as maintenance, rate loan, the base rate will be ‘‘that introductory paragraph explaining that, insurance and property taxes. which is in effect on the first business unless otherwise permitted by SBA (3) Paragraph (a)(6). Who must day of the month, as printed in a Loan Program Requirements (e.g., the guarantee the loan. SBA proposes to national financial newspaper published guaranty fee under § 120.220), the fees clarify that owners of 20 percent or each business day.’’ (§ 120.214(c)) listed in § 120.221 are the only fees a more of either the EPC or the OC are Further, the current regulation also lender is permitted to charge and collect required to personally guarantee the provides that the ‘‘first change in the from an Applicant or Borrower. SBA loan. Also, for consistency with variable rate may occur on the first also proposes to remove the current § 120.160(a), SBA proposes to add calendar day of the month following language in § 120.221(e) because it language to § 120.111(a)(6) to provide initial disbursement using the base rate incorrectly refers to a prohibited fee that SBA may, in its discretion and in (see paragraph (c) of this section) in (‘‘pre-payment fees’’). SBA proposes to consultation with the Lender, require effect on the first business day of the move the language that permits Lenders the personal guarantee of owners with month.’’ (§ 120.214(a)) SBA proposes to to collect fees for legal services less than 20% ownership of the EPC or revise the language in §§ 120.214(a) and presently found in § 120.222(e) to the OC. Additionally, SBA proposes to (c) to change when the base rate is § 120.221(e). By making these changes, add language to provide that SBA may determined and to permit adjustments the guidance on permissible fees a require the personal guarantee of those in the variable interest rate other than Lender may charge and collect from an owning less than 5% ownership when just on the first business day of the Applicant or Borrower will be contained circumstances warrant. month, provided the changes occur no in one regulation in an effort to reduce 10. Section 120.130 Restrictions on more frequently than monthly. confusion. uses of proceeds. SBA proposes to 14. Section 120.220 Fees that Lender 16. Section 120.222 Fees which the revise § 120.130 to add a new paragraph pays SBA. SBA proposes to add a new Lender or Associate may not collect (e) and redesignate paragraphs (e) and paragraph § 120.220(a)(3) to incorporate from the Borrower or share with third (f) as paragraphs (f) and (g), respectively. into the regulations the statutory waiver parties. SBA proposes to retitle The new paragraph (e) will include the of the up-front guaranty fee for SBA § 120.222 to read ‘‘Prohibition on text currently found in § 120.160(d), Express loans made to businesses sharing premiums for secondary market Taxes. The current text in § 120.160(d) owned and controlled by veterans and/ sales.’’ SBA also proposes to remove prohibit the use of proceeds for payment or spouses of veterans in fiscal years paragraphs (a), (b), (c), and (e), and of past-due Federal or state withholding when the subsidy rate for the 7(a) revise the text of paragraph (d). The taxes, which is more applicable to program is zero, as set forth in section removal of the fees currently included § 120.130. SBA also proposes some 7(a)(31) of the Small Business Act (15 in § 120.222(a), (b), and (c) does not minor modifications to the language to U.S.C. 636(a)(31)). The conditions a mean that Lenders will now be clarify the restriction. SBA also business must meet to qualify for this permitted to charge these fees. On the proposes to revise newly designated fee waiver will be explained in SBA contrary, the proposal to remove the paragraph (g) to remove the reference Loan Program Requirements. fees from § 120.222 in conjunction with ‘‘§ 120.203’’ and replace it with In § 120.220(b), in an effort to the proposed changes to § 120.221 are ‘‘§ 120.202’’. The regulation § 120.203 incorporate advances in technology, intended to place the guidance on cited in this section was removed in SBA proposes to update the regulation allowable fees in a single regulation. 1996. The correction to remove the to advise Lenders to pay the guaranty Unless otherwise permitted by SBA reference to § 120.203 and replace it fee electronically and to revise the Loan Program Requirements, any fee not with the reference to § 120.202 in timeframe within which a Lender must identified in § 120.221 is prohibited. § 120.130(f) was not made at the time pay the guaranty fee to SBA for loans SBA proposes to retain the prohibition and this oversight is being corrected with a maturity of 12 months or less on the sharing of secondary market fees here. The redesignation of paragraphs (‘‘short-term loans’’). SBA proposes to in § 120.222 for consistency with 13 (e) and (f) to (f) and (g) in the section revise the timing of payment of the fee CFR 103.5(c), which prohibits a lender improves the flow with the inclusion of on a short-term loan from the time of from sharing any secondary market the new § 120.130(e). application to within ten business days premium with a lender service provider. 11. Section 120.160(a) Loan of SBA’s approval of the loan. The 17. Section 120.394 What are the conditions. SBA proposes to add the current requirement was implemented eligible uses of proceeds? SBA proposes word ‘‘generally’’ to the last sentence of when Lenders paid fees using checks. to increase the regulatory limitation on § 120.160(a) to clarify that SBA may Currently, fees are paid electronically how much of the proceeds of a line of require a personal guarantee of an through Pay.gov. Requiring payment of credit under the Builder’s Loan Program owner who holds less than 5% when the fee with the application for guaranty can be used for land acquisition from

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20% to 33%. SBA recognizes that the for the PLP, SBA Express and Export (NASD) and replace it with the current limitation is reflective of limits Express Programs. Under this new Financial Industry Regulatory Authority imposed in 1977, and has not allowed provision, SBA, in its discretion, would (FINRA), as NASD no longer exists. SBA for increases due to the passage of time consider whether the Lender: also proposes to remove the term ‘‘on- and increases in land and development (a) Has the continuing ability to site’’ while retaining the term ‘‘review/ costs. evaluate, process, close, disburse, examination assessments’’ in 18. Section 120.410 Requirements service, liquidate and litigate SBA loans. subparagraph (a)(5). for all participating Lenders. SBA This includes the ability to develop and 26. Section 120.660 Suspension or proposes to replace the term ‘‘Good analyze complete loan packages. SBA revocation. SBA proposes to revise Standing,’’ as it relates to a Lender’s may consider the experience and § 120.660 to require that any action status with its Federal Financial capability of Lender’s management and taken under this section be approved by Institution Regulator, with ‘‘considered staff. both the D/FA and the D/OCRM. SBA Satisfactory by its Federal Financial (b) Has satisfactory SBA performance proposes to add a 120-day limit to the Institution Regulator’’ (FFIR) in (as defined in § 120.410(a)(2)); proposed suspension period to give paragraph (e) to better align with (c) Is in compliance with SBA Loan participants sufficient time to resolve terminology used by the FFIRs. Finally, Program Requirements (e.g., Form 1502 any correctable issues. Additionally, given the diminished distinction reporting, timely payment of all fees to SBA proposes to reduce the timeframe between ‘‘on-site’’ and ‘‘off-site’’ SBA); for a revocation under this section to no reviews due to incorporation of virtual (d) Has completed to SBA’s more than two (2) years. SBA also methods for oversight in SBA’s Revised satisfaction all required corrective proposes to identify regulatory orders or Risk-Based Review Protocol, SBA actions; supervisory actions brought by a proposes to remove the references to (e) Is subject to any enforcement Lender’s primary regulator or by SBA or ‘‘on-site’’ reviews/examinations in action, order or agreement with other a going concern opinion by the Lender’s § 120.410(a)(2) (and in all other regulators or the presence of other auditor as additional reasons for which regulations) while retaining the term regulatory concerns as determined by SBA may suspend or revoke a Lender’s ‘‘review/examination assessments.’’ SBA; and privilege to participate in SBA’s 19. Section 120.424 What are basic (f) Whether Lender exhibits other risk Secondary Market. The issuance of any conditions a Lender must meet to factors (e.g., has rapid growth; low SBA regulatory order or supervisory action securitize? In paragraph (b), SBA activity; SBA loan volume; Lender, an by the Lender’s primary regulator will proposes to remove the term ‘‘on-site’’ officer or director is under investigation require notice to SBA within 5 business while retaining the term ‘‘review/ or indictment). days (or as soon as practicable examination assessments’’ in this With respect to ‘‘low SBA activity,’’ thereafter) to the D/OCRM and D/FA. In section. SBA considers making 5 SBA- addition, SBA proposes to add a new 20. Section 120.433 What are SBA’s guaranteed loans or less in a 2 year paragraph (d) to this regulation to other requirements for sales and sales of period to be low activity. Additionally, provide for early termination of a participating interests? In paragraph (b), with respect to SBA loan volume, SBA suspension or revocation under this SBA proposes to remove the term ‘‘on- would look at the Lender’s proportion of section, in the D/FA and the D/OCRM’s site’’ while retaining the term ‘‘review/ SBA lending relative to the Lender’s discretion, if termination is warranted. examination assessments’’ in this total loan portfolio. SBA also proposes to eliminate the section. Section 120.441 will be reserved for reference to SBA Form 1085 within this 21. Section 120.434 What are SBA’s future use. section as SBA Form 1085 is obsolete. requirements for loan pledges? In 23. Section 120.451 How does a 27. Section 120.710(e)(1) What Must paragraph (c), SBA proposes to remove Lender become a PLP Lender? As a an Intermediary Demonstrate to Get a the term ‘‘on-site’’ while retaining the result of replacing § 120.440 with a new Reduction in the Loan Loss Reserve term ‘‘review/examination assessments’’ regulation setting out the criteria for Fund? SBA proposes to remove the in this section. delegated authority, the existing reference to ‘‘on-site’’ reviews or 22. Sections 120.440 and 120.441 regulation at § 120.451 would no longer examinations, while retaining the term The Certified Lenders Program (‘‘CLP’’); be necessary and would be removed and ‘‘review/examination assessments.’’ As replaced with new Delegated Authority reserved for future use. SBA increases its use and application of section. SBA proposes to remove the 24. Section 120.524 When is SBA electronic technology in lender title and all language in §§ 120.440 and released from liability on its guarantee? oversight and reviews and 120.441, The Certified Lenders Program, SBA proposes to clarify that its rights to examinations, the ‘‘on-site’’ review as implementation of newer, more collect monies paid on a guarantee from language is no longer generally efficient methods of processing, closing, which SBA determines it has been applicable. The proposed language servicing, and liquidating have made released of liability include judicial reflects a more current representation of this program unnecessary and obsolete. remedies and the right to offset funds reviews and examinations. Beginning on the effective date of the due the Lender for the guaranty 28. Section 120.812 Probationary final rule, the CLP would be terminated. purchase of another loan. SBA’s right to period for newly certified CDCs. In SBA also proposes to add a new seek these remedies arises under paragraph (c), SBA proposes to remove heading before § 120.440 that reads contract law as interpreted by the the term ‘‘on-site’’ while retaining the ‘‘Delegated Authority Criteria’’ and to courts. term ‘‘review/examination add new language in § 120.440 that sets 25. Section 120.630 Qualifications assessments.’’ forth the criteria for Lenders when to be a Pool Assembler. In paragraph 29. Section 120.816 CDC non-profit applying for initial approval or renewal (a)(4) SBA proposes to replace the term status and good standing. SBA proposes of delegated authority in the 7(a) Loan ‘‘good standing’’ with ‘‘satisfactory’’ to remove the term ‘‘on-site’’ while Program. These criteria are essentially when it relates to other federal retaining the term ‘‘review/examination identical to the criteria currently regulators and SBA proposes to update assessments’’ in paragraph (c). included in SBA’s Standard Operating the reference to the National 30. Section 120.823 CDC Board of Procedure (SOP) 50 10 5(H), subpart A Association of Securities Dealers Directors. SBA proposes to revise

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§ 120.823(c)(5) to eliminate the language § 120.884(e)(3) without reference to the a lender’s Report, Risk Rating, and in this rule that currently prevents more IRS definition and to add the Confidential Information for this group, than one Board member of a CDC from requirement that the equipment have a obviating the need for case-by-case being employed by, or serving as a remaining useful life of at least 10 years. approval for these parties going forward. Director on the Board of, other entities, SBA currently requires that heavy duty 38. Section 120.1070 Lender except for civic or charitable construction equipment must be integral oversight fees. With the advent of new organizations not involved in financial to the business’ operations and meet the technologies, generally less costly and services or economic development IRS definition of capital equipment. IRS less burdensome virtual reviews such as activities. This provision was intended no longer publishes a definition for Analytical and Targeted Reviews may to apply to associations not covered by ‘‘capital equipment.’’ cover much of what was previously 13 CFR 120.820, under which a CDC 34. Section 120.1025 Off-site reviews performed within the scope of on-site may be affiliated, including through and monitoring. SBA proposes to reviews, diminishing the distinction common board members, with the remove specific reference to ‘‘off-site’’ between ‘‘off-site’’ and ‘‘on-site’’ entities described in that section. regarding reviews and monitoring in reviews. Therefore, SBA is proposing to However, § 120.823(c)(5) has created § 120.1025, including in the title, and refine § 120.1070 to delete the confusion among the CDCs with respect replace it with ‘‘monitoring’’. distinctions based on ‘‘on-site’’ and ‘‘off- to what other entities a CDC Director 35. Section 120.1050 On-site reviews site,’’ and to categorize the fee may be employed by or associated with and examinations. SBA proposes to components only as Examinations, as a Director. SBA has reconsidered this remove specific reference to ‘‘on-site’’ Reviews, Monitoring, and Other Lender provision and determined that the regarding reviews and examinations in Oversight Activities. affiliation restrictions set forth in § 120.1050, including in the title. 36. Section 120.1051 Frequency of With respect to Reviews, under § 120.820 sufficiently limit the ability of current regulations, SBA charges another entity to control the CDC. SBA on-site reviews and examinations. SBA proposes to remove specific reference to Lenders a fee for the following types of will retain the sentence in this provision Reviews, including but not limited to, that references § 120.851(b) to reinforce ‘‘on-site’’ regarding reviews and examinations in § 120.1051, including PARRiS Full Reviews, PARRiS the prohibition against a CDC Board Analytical Reviews, Targeted Reviews, member from serving on the Board of in the title. SBA proposes to remove specific reference to ‘‘off-site review/ and Delegated Authority Reviews. This another CDC. fee is assessed based on the cost that SBA also proposes to insert the word monitoring’’ in paragraph (a) and SBA incurs under its contract for these ‘‘individuals’’ in place of ‘‘members’’ to replace it with ‘‘results of monitoring’’. Reviews. Under the proposed rule, SBA clarify in § 120.823(d)(4)(ii)(C) that 37. Section 120.1060 Confidentiality is specifying that SBA can charge a individuals serving on the loan of Reports, Risk Ratings and related Lender the actual cost for Lender Loan committee of a CDC do not have to be Confidential Information. SBA proposes Reviews (e.g., Secondary Market Loan Members of the CDC or the CDC’s a limited expansion of its definition in Reviews) and corrective action Board. SBA no longer requires a CDC to § 120.1060 of ‘‘permitted parties’’ who have a membership and some CDC’s demonstrate a legitimate need to know assessments, which is consistent with were confused by the use of the term a lender’s Review/Exam Report SBA’s policy that Lenders that represent ‘‘member’’ in this section. Therefore, information, Risk Rating, and increased risk and warrant additional SBA intends to change the word Confidential Information for the oversight should bear the expense of ‘‘member’’ to ‘‘individual’’. purpose of assisting a lender in that oversight rather than that expense 31. Section 120.839 Case-by-case improving the SBA Lender’s, being apportioned to all Lenders. application to make a 504 loan outside Intermediary’s or NTAP’s SBA program The proposed section would also of a CDC’s Area of Operations. SBA operations in conjunction with SBA’s provide that SBA has discretion in how proposes to replace the term ‘‘District Lender Oversight Program and SBA’s it allocates the costs to Lenders to allow Offices’’ in this Section with ‘‘504 loan portfolio management. This limited contracting flexibility in how SBA pays processing center’’ to reflect the SBA expansion of permitted parties may for this cost. It would specify, consistent office that processes 504 loan include the lender’s parent entity, with SBA’s current practice and current applications. A revision to the directors, auditors and those lender contracts, that in general, where the regulation is needed in order to reflect consultants under written contract costs that SBA incurs for the oversight the current protocol that the 504 loan specifically to assist the Lender in activity are specific to a Lender, SBA processing center, not the District addressing SBA Findings and Corrective will charge that Lender for the actual Office, submits its recommendation to Actions Required to SBA’s satisfaction. costs and, where the costs that SBA the D/FA or designee, along with the Consultants do not include Lender incurs for the oversight activity are not application and supporting materials for Service Providers. The consultant sufficiently specific to a particular the final decision if the applicant CDC contract must provide for both (1) the Lender but may be a flat fee paid to a meets the specific criteria to be consultant’s agreement to abide by the vendor, SBA will charge a Lender based authorized to make a loan outside of its disclosure prohibition in § 120.1060(b); on that Lender’s portion of SBA stated Area of Operations. SBA also and (2) agreement not to use the Report, guarantees in the portfolio or segment of proposes to remove the term ‘‘on-site’’ Risk Rating, and Confidential the portfolio the activity covers. For while retaining ‘‘review/examination Information for any other purpose than example, under its current review assessments’’ in this section. to assist Lender in addressing SBA contract, SBA pays its contractor for 32. Section 120.841(c) CDC Reviews. Findings and Corrective Actions. This each specific Lender’s Full Review and SBA proposes to remove the term ‘‘on- expansion may improve an SBA SBA passes that cost along to the Lender site’’ while retaining the term ‘‘review/ Lender’s, Intermediary’s or NTAP’s for which the Review was conducted. examination assessments’’ in ability to address SBA Findings and Under the L/LMS contract, SBA pays its § 120.841(c). Corrective Actions or make other contractor a flat fee for providing L/LMS 33. Section 120.884 Ineligible costs necessary improvements within their services that cover all Lenders and this for 504 loans. SBA proposes to define SBA operations. The change codifies amount is apportioned among all heavy duty construction equipment in SBA practice of approving disclosure of Lenders based on portfolio size.

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39. Section 120.1400(a) Grounds for 43. Section 120.1707 Seller’s 3. What alternatives have been enforcement actions—SBA Lenders. retained Loan Interest. SBA is currently considered? SBA proposes to amend § 120.1400(a) to using an allonge to the First Lien One ‘‘alternative’’ would be to provide that by making SBA 7(a) Position 504 Loan Pool Guarantee eliminate even more regulatory burdens. guaranteed loans or SBA 504 loans after Agreement, as opposed to requiring the The Agency will consider public a certain date, SBA Supervised Lenders execution of a new First Lien Position comment and suggestions on how that (except Other Regulated SBLCs) or 504 Loan Pool Guarantee Agreement, to can be done responsibly without CDCs, as applicable, consent to the substantiate the transfer of a Seller’s substantially increasing the risk of appointment of a Receiver and such interest in an FMLP Pool Loan. The use waste, fraud, or abuse of the programs. injunctive or other equitable relief as of an allonge will require the purchaser Executive Order 13563 appropriate, and waive in advance any of a Seller’s retained interest to assume defenses to such relief as sought by the original responsibilities of the Seller A description of the need for this SBA, in connection with an with regard to the FMLP Pool Loan. The regulatory action and benefits and costs enforcement action. SBA is conditioning allonge must be in form acceptable to associated with this action, including its guarantee of 7(a) loans made by SBA SBA and the purchaser must possible distributional impacts that Supervised Lenders (except Other acknowledge, assume and accept all of relate to Executive Order 13563, are Regulated SBLCs) and 504 debentures the original obligations and included above in the Regulatory Impact after a certain date on consent to this responsibilities of the Seller under the Analysis under Executive Order 12866. relief in an enforcement action because initial or subsequent First Lien Position SBA’s Business Loan Programs the injury to SBA and its supervision 504 Loan Pool Guarantee Agreement. operate through the Agency’s lending and regulatory oversight of the SBA The proposed change will conform the partners, which are Surety Bond Supervised Lender or CDC due to the rule to the current practice. Companies for the Surety Bond SBA Supervised Lender’s or CDC’s 44. Subpart K—Establishment of an Guarantee Program, 7(a) Lenders for the default under its agreement(s) with SBA SBA Direct Loan Program for 7(a) Loan Program, third party lenders, would be irreparable and the amount of Systemically Important Secondary CDCs for the 504 Loan Program, and damage would be difficult to ascertain, Market Broker-Dealers (SISMBD Loan Microloan Intermediaries for the making this relief necessary and Program). Since the SISMBD Loan Microloan Program. The Agency has required. A consent to receivership is Program expired on February 16, 2013, participated in public forums and not without precedent in other federal and was not extended by statute, SBA meetings which have included outreach agency practice and has been upheld by proposes to remove this subpart in its to hundreds of its lending partners to the courts as valid and legally entirety. seek valuable insight, guidance, and enforceable. See, e.g., U.S. v. Mountain suggestions for program reform. Compliance With Executive Orders Village Company, 424 F. Supp. 822 (D. 13563, 12866, 12988, and 13132, the Executive Order 12988 Mass. 1976). Paperwork Reduction Act (44 U.S.C., This action meets applicable 40. Section 120.1500 Types of Ch. 35), and the Regulatory Flexibility standards set forth in sections 3(a) and enforcement actions—SBA Lenders. Act (5 U.S.C. 601–612) 3(b)(2) of Executive Order 12988, Civil SBA proposes to revise § 120.1500(c)(3) Justice Reform, to minimize litigation, Executive Order 12866 and to add § 120.1500(e)(3) to clarify eliminates ambiguity, and reduce when SBA may initiate a request for The Office of Management and Budget burden. The action does not have appointment of a Receiver to administer (OMB) has determined that this retroactive or preemptive effect. and operate an SBA Supervised Lender proposed rule is not a ‘‘significant’’ and to permit SBA to initiate a request regulatory action for the purposes of Executive Order 13132 for appointment of a Receiver of a CDC. Executive Order 12866. In the interest of SBA has determined that this 41. Section 120.1600 General transparency, however, SBA has drafted proposed rule will not have substantial, procedures for enforcement actions a Regulatory Impact Analysis for the direct effects on the States, on the against SBA Lenders, SBA Supervised public’s information in the next section. relationship between the national Lenders, Other Regulated Small This is not a major rule under the government and the States, or on the Business Lending Companies (SBLCs), Congressional Review Act, 5 U.S.C. 800. distribution of power and Management Officials, Other Persons, responsibilities among the various Regulatory Impact Analysis Intermediaries, and Non-Lending levels of government. Therefore, for the Technical Assistance Providers 1. Is there a need for this regulatory purposes of Executive Order 13132, (NTAPs). SBA proposes to add language action? SBA has determined that this proposed into §§ 120.1600(a), 120.1600(a)(6) and The Agency believes it needs to rule has no federalism implications 120.1600(b)(4) providing that if SBA streamline and reduce regulatory warranting preparation of a federalism undertakes the appointment of a burdens to facilitate robust participation assessment. Receiver for a CDC or an SBA in the business loan and surety bond Supervised Lender, SBA will follow the programs that assist small and Paperwork Reduction Act, 44 U.S.C., applicable procedures under federal law underserved U.S. businesses. Ch. 35 to obtain such remedies and to enforce 2. What are the potential benefits and SBA has determined that this the CDC’s or SBA Supervised Lender’s costs of this regulatory action? proposed rule imposes additional consent and waiver in advance to those As stated above, the potential benefits reporting requirements under the remedies. of this proposed rule are based on its Paperwork Reduction Act (PRA). As 42. Section 120.1703 Qualifications elimination of unnecessary participation described above, SBA proposes to to be a Pool Originator. In paragraph burdens. Participants will benefit from require all participating sureties to (a)(4) SBA proposes to replace the term clear and simpler regulatory directions notify SBA of all contracts that were ‘‘good standing’’ with ‘‘Satisfactory’’ that enable them to provide small successfully completed on a quarterly when it relates to other federal business loans and bonds in a more basis. The public is invited to comment regulators. efficient and cost effective manner. on this proposed new report and to

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submit any comments by the deadline Estimated Response Time: It is significant impact on sureties, stated in the DATES section of this estimated that each surety would need microloan intermediaries, participant document to: SBA Desk Officer, Office approximately 1 hour to complete the lenders, CDCs, or small businesses. of Information and Regulatory Affairs, proposed report. List of Subjects Office of Management and Budget, Total Estimated Annual Hour Burden: Room 10202, 725 17th Street NW., 92 hours. 13 CFR Part 115 Estimated Annual Cost Burden: Washington, DC 20503. Claims, Reporting and recordkeeping $4,604. SBA invites comments on: (1) requirements, Small businesses, Surety Whether the proposed collection of Regulatory Flexibility Act, 5 U.S.C. 601– bonds. information is necessary for the proper 612 performance of SBA’s functions, 13 CFR Part 120 When an agency issues a rulemaking including whether the information will Community development, Equal proposal, the Regulatory Flexibility Act have a practical utility; (2) the accuracy employment opportunity, Loan (RFA), 5 U.S.C. 601–612, requires the of SBA’s estimate of the burden of the agency to ‘‘prepare and make available programs—business, Reporting and proposed collection of information, for public comment an initial regulatory recordkeeping requirements, Small including the validity of the analysis’’ which will ‘‘describe the businesses. methodology and assumptions used; (3) impact of the proposed rule on small For the reasons stated in the ways to enhance the quality, utility, and entities.’’ Section 605 of the RFA allows preamble, SBA proposes to amend 13 clarity of the information to be an agency to certify a rule, in lieu of CFR parts 115 and 120 as follows: collected; and (4) ways to minimize the preparing an analysis, if the proposed PART 115—SURETY BOND burden of the collection of information rulemaking is not expected to have a GUARANTEE on respondents, including through the significant economic impact on a use of automated collection techniques, substantial number of small entities. when appropriate, and other forms of ■ 1. The authority citation for part 115 There are 23 sureties (none of them continues to read as follows: information technology. SBA will small entities) that participate in the submit the proposed form and other SBG Program, and no part of this rule Authority: 5 U.S.C. app 3; 15 U.S.C. 687b, documents required under the 687c, 694a, 694b note; and Pub. L. 110–246, would impose any significant cost or Sec. 12079, 122 Stat. 1651. Paperwork Reduction Act to OMB for burden on them. Although the review and approval. rulemaking will impact all of the § 115.19 [Amended] A summary description of this approximately 5,000 7(a) Lenders (some ■ 2. Amend § 115.19 by removing the information collection, the respondents, of which are small), all of the phrase ‘‘or $100,000, whichever is less’’ and the estimate of the annual hour approximately 250 CDCs (all of which in paragraph (c)(1), the second sentence burden resulting from this new process are small), and 145 Microloan of paragraph (d), and paragraph (e)(2). is provided below. Included in the Intermediaries (most of which are small) ■ 3. Add § 115.22 to subpart A to read estimate is the time for reviewing SBA does not believe the impact will be as follows: instructions, searching existing data significant. The proposed rule will sources, gathering information needed, reduce the burden of the Agency’s § 115.22 Quarterly Contract Completion and completing and reviewing the lending partners because they choose Report. responses. their own level of program participation The Surety must submit a Quarterly Title: Quarterly Contract Completion (i.e., 7(a) Lenders and CDCs are not Contract Completion Report within 45 Report. required to process more loan days after the close of each fiscal year Description: The Quarterly Contract applications simply because there is a quarter ending December 31, March 31, Completion Report would be submitted reduced burden for small businesses to June 30, and September 30, that by all participating surety companies to apply for a business loan). Therefore the identifies each contract successfully provide SBA with information about proposed modernization of certain completed during the quarter. successfully completed contracts. The program participation requirements The report shall include: information reported would include the would not have a substantial economic (a) The SBA Surety Bond Guarantee Surety Bond Guarantee number, the impact or cost on the small business Number, (b) Name of the Principal, name of the Principal, the original borrower, lender, or CDC, and in fact, (c) The original Contract Dollar Contract dollar amount, the revised may reduce costs to lender participants. Amount, Contract dollar amount (if applicable), SBA believes that this proposed rule (d) The revised Contract Dollar the date of Contract completion, and a encompasses best practice guidance that Amount (if applicable), fee recap. Reports would be due to SBA aligns with the Agency’s mission to (e) The date of Contract completion, within 45 days of each fiscal quarter. increase access to capital for small and OMB Control Number: New businesses and facilitate American job (f) A summary specifying the fee Collection. preservation and creation with the amounts paid to SBA by the Surety and Description of and Estimated Number removal of unnecessary regulatory Principal, the fee amounts due to SBA of Respondents: The proposed new requirements. A review of the summary as a result of any increases in the collection would be submitted by the and preamble above will provide more Contract amount, and the fee amounts to surety companies that participate in the detailed explanations discussing the be refunded to the Principal or rebated SBG Program. The burden estimate for specific improvements that will reduce to the Surety as a result of any decreases this requirement is based on the 23 regulatory burdens and encourage in the Contract amount. current participants. increased program participation. For Estimated Number of Responses: Each these reasons, SBA has determined that § 115.30 [Amended] of the estimated 23 sureties would be there is no negative impact on a ■ 4. Amend § 115.30 by removing required to submit the report to SBA 4 substantial number of small entities. ‘‘$250,000’’ from the second sentence of times per year, for a total of 92 SBA invites comment from members of paragraph (d)(2)(i) and adding in its responses. the public who believe there will be a place ‘‘$400,000’’.

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§ 115.32 [Amended] (a) * * * ■ 15. Amend § 120.214 by revising the ■ 5. Amend § 115.32 by removing ‘‘or (3) The lease between the Eligible second sentence in paragraph (a) and $100,000, whichever is less’’ from the Passive Company and the Operating revising paragraph (c) to read as follows: first and second sentences of paragraph Company must be in writing and must be subordinated to SBA’s mortgage, § 120.214 What conditions apply for (d)(1). variable interest rates? ■ 6. Amend § 115.60 by adding third trust deed lien, or security interest on and fourth sentences at the end of the property. Also, the Eligible Passive * * * * * paragraph (b) to read as follows: Company (as landlord) must furnish as (a) * * * Subsequent changes may collateral for the loan an assignment of occur 2 business days (or more) after a § 115.60 Selection and admission of PSB all rents paid under the lease. The rent change in the identified base rate; Sureties. or lease payments cannot exceed the however, such changes may not occur * * * * * amount necessary to make the loan more often than monthly. (b) * * * For a period of nine months payment to the lender, and an * * * * * following admission to the PSB additional amount to cover the EPC’s (c) Base rate. (1) The base rate will be program, the Surety must obtain SBA’s direct expenses of holding the property, one of the following: prior written approval before executing such as maintenance, insurance and (i) The prime rate; a bond greater than $2 million so that property taxes; (ii) The thirty-day (1-month) London SBA may evaluate the Surety’s * * * * * performance in its underwriting and Interbank Offered Rate (LIBOR) plus 3 (6) Each holder of an ownership percentage points; or claims and recovery functions. At the interest constituting at least 20 percent end of this nine month period, SBA may of either the Eligible Passive Company (iii) The Optional Peg Rate. in its discretion extend this period to or the Operating Company must (2) The prime or LIBOR rate will be allow SBA to further evaluate the guarantee the loan (the trustee shall that which is in effect on the date SBA Surety’s performance. execute the guaranty on behalf of any receives a complete loan application. § 115.67 [Amended] trust). SBA, in its discretion, consulting The initial prime or LIBOR base rate and subsequent changes to the prime or ■ 7. Amend § 115.67 by removing the with the Participating Lender, may require other appropriate individuals to LIBOR base rate must follow the rates as phrase ‘‘or $100,000, whichever is less’’ printed in a national financial from the second sentence of paragraph guarantee the loan as well, except SBA generally will not require personal newspaper or Web site published each (a). business day. ■ 8. Revise § 115.68 to read as follows: guarantees from those owning less than 5 percent ownership. * * * * * § 115.68 Guarantee percentage. * * * * * ■ 16. Amend § 120.220 by adding SBA reimburses a PSB Surety in the ■ 12. Amend § 120.130 by redesignating paragraph (a)(3), revising the first and same percentages and under the same paragraphs (e) and (f) as paragraphs (f) third sentences of paragraph (b), and terms as set forth in § 115.31. and (g) respectively, adding new removing the first two sentences of paragraph (e), and revising newly paragraph (c). PART 120—BUSINESS LOANS redesignated paragraph (g). The additions and revisions read as ■ 9. The authority citation for part 120 The addition and revisions read as follows: follows: is revised to read as follows: § 120.220 Fees that Lender pays SBA. Authority: 15 U.S.C. 634(b)(6), (b)(7), § 120.130 Restrictions on uses of * * * * * (b)(14), (h) and note, 636(a), (h) and (m), 650, proceeds. (a) * * * 687(f), 696(3) and 697(a) and (e); Pub. L. 111– * * * * * (3) For loans approved under section 5, 123 Stat. 115; Pub. L. 111–240, 124 Stat. (e) The applicant may not use any of 7(a)(31) of the Small Business Act to 2504; Pub. L. 114–38, 129 Stat. 437. the proceeds to pay past-due Federal or veterans and/or the spouse of a veteran. state payroll taxes; § 120.110 [Amended] In fiscal years when the 7(a) program is ■ 10. Remove and reserve § 120.110(l). * * * * * at zero subsidy, SBA will not collect a ■ 11. Amend § 120.111 by revising the (g) Any use restricted by §§ 120.201, guarantee fee in connection with a loan introductory text and paragraphs (a)(3) 120.202, and 120.884 (specific to 7(a) made under section 7(a)(31) of the Small and (6) to read as follows: loans and 504 loans respectively). Business Act to a business owned and ■ 13. Amend § 120.160 by revising the § 120.111 What conditions must an controlled by a veteran or the spouse of second sentence of paragraph (a) and by a veteran. Eligible Passive Company satisfy? removing paragraph (d). (b) * * * For a loan with a maturity An Eligible Passive Company must The revision reads as follows: use loan proceeds to either acquire or of twelve (12) months or less, the lease, and/or improve or renovate, real § 120.160 Loan conditions. Lender must pay the guaranty fee to or personal property (including eligible * * * * * SBA electronically within 10 business refinancing), that it leases to one or (a) * * * SBA, in its discretion, days after SBA gives its loan approval. more Operating Companies for consulting with the Participating * * * For a loan with a maturity in conducting the Operating Company’s Lender, may require other appropriate excess of twelve (12) months, the business (references to Operating individuals to guarantee the loan as Lender must pay the guaranty fee to Company in paragraphs (a) and (b) of well, except SBA generally will not SBA electronically within 90 days after this section mean each Operating require personal guarantees from those SBA gives its loan approval. * * * Company) or to finance a change of owning less than 5 percent ownership. * * * * * ownership between the existing owners * * * * * ■ 17. Amend § 120.221 by revising the of the Eligible Passive Company. Any section heading, adding introductory ownership structure or legal form may § 120.194 [Removed and reserved] text, and revising paragraph (e) to read qualify as an Eligible Passive Company. ■ 14. Remove and reserve § 120.194. as follows:

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§ 120.221 Fees and expenses which the § 120.440 How does a Lender obtain ■ 29. Amend § 120.630 by revising Lender may collect from a loan applicant or delegated authority? paragraph (a)(4) to read as follows and Borrower. (a) In making its decision to grant or paragraph (a)(5) by removing the term Unless otherwise allowed by SBA renew a delegated authority, SBA ‘‘on-site’’ from the third sentence: Loan Program Requirements, the Lender considers whether the Lender, as determined by SBA in its discretion: § 120.630 Qualifications to be a Pool may charge and collect from the Assembler. applicant or Borrower only the (1) Has the continuing ability to (a) * * * following fees and expenses: evaluate, process, close, disburse, (4) Is in good standing with SBA (as * * * * * service, liquidate and litigate SBA loans. This includes the ability to develop and the D/FA determines in his or her (e) Legal services. Lender may charge analyze complete loan packages. SBA discretion), and is Satisfactory with the the Borrower for legal services, but only may consider the experience and Office of the Comptroller of the for hourly charges for requested services capability of Lender’s management and Currency (‘‘OCC’’) if it is a national actually rendered. staff. bank, the Federal Deposit Insurance ■ 18. Revise § 120.222 to read as (2) Has satisfactory SBA performance Corporation if it is a bank not regulated follows: (as defined in § 120.410(a)(2)); by the OCC, or the Financial Industry (3) Is in compliance with SBA Loan Regulatory Authority (‘‘FINRA’’) if it is § 120.222 Prohibition on sharing a member as determined by SBA. premiums for secondary market sales. Program Requirements (e.g., Form 1502 reporting, timely payment of all fees to * * * * * The Lender or its Associates may not SBA); ■ 30. Amend § 120.660 by: share in any premium received from the (4) Has completed to SBA’s ■ a. Revising paragraph (a) introductory sale of an SBA guaranteed loan in the satisfaction all required corrective text and paragraphs (a)(1)(ii) and (a)(2); secondary market with a Service actions; ■ b. Adding paragraph (a)(3); Provider, packager, or other loan-referral (5) Is subject to any enforcement ■ c. Revising paragraph (c); and ■ source. action, order or agreement with a d. Adding paragraph (d) to read as follows: § 120.394 [Amended] regulator or the presence of other regulatory concerns as determined by § 120.660 Suspension or revocation. ■ 19. Amend § 120.394 in the third SBA; and (a) Temporary suspension or sentence by removing the term ‘‘20’’ and (6) Whether Lender exhibits other risk adding in its place the term ‘‘33’’. revocation of Lender, broker, dealer, or factors (e.g., has rapid growth; low SBA Registered Holder for violation of ■ 20. Amend § 120.410 in paragraph activity; SBA loan volume; Lender, an Secondary Market rules and regulations. (a)(2) by removing the term ‘‘on-site’’ officer or director is under investigation The D/FA together with the Director, from the third sentence and by revising or indictment). Office of Credit Risk Management (D/ paragraph (e) to read as follows: (b) Delegated authority decisions are OCRM) may suspend for a period of no made by the appropriate SBA official in more than 120 calendar days or revoke § 120.410 Requirements for all accordance with Delegations of participating Lenders. for a period of no more than two (2) Authority, and are final. years, the privilege of a Lender, broker, * * * * * (c) If delegated authority is approved dealer, or Registered Holder to sell, (e) Be in good standing with SBA, as or renewed, Lender must execute a purchase, broker, or deal in loans or defined in § 120.420(f) (and determined Supplemental Guarantee Agreement, by SBA in its discretion), and, as Certificates for: which will specify a term not to exceed (1) * * * applicable, with its state regulator and two years. SBA may grant shortened (ii) Any provisions in the contracts be considered satisfactory by its Federal renewals based on risk or any of the entered into by the parties, including Financial Institution Regulator (as other delegated authority criteria. SBA Forms 1086, 1088 and 1454; determined by SBA and based on, for Lenders with less than 3 years of SBA (2) Knowingly submitting false or example, information in published lending experience will be limited to a fraudulent information to the SBA or orders/agreements and call reports); and term of 1 year or less. FTA; or * * * * * § 120.441 [Removed and reserved] (3) A Lender’s receipt, from its primary regulator, of a cease and desist § 120.424 [Amended] ■ 26. Remove and reserve § 120.441. order, a consent agreement affecting ■ 21. Amend § 120.424(b) by removing § 120.451 [Removed and reserved] capital or commercial lending issues, a the term ‘‘on-site’’ from the third ■ 27. Remove and reserve § 120.451. supervisory action citing unsafe or sentence. ■ 28. Amend § 120.524 by revising unsound banking practices or other § 120.433 [Amended] paragraph (b) to read as follows: items of concern to SBA and its potential risk to SBA through loan sales; ■ 22. Amend § 120.433(b) by removing § 120.524 When is SBA released from or a going concern opinion issued by the the term ‘‘on-site’’ from the third liability on its guarantee? Lender’s auditor. A Lender subject to sentence. * * * * * such action or opinion must notify the § 120.434 [Amended] (b) If SBA determines, at any time, D/FA and the D/OCRM within five that any of the events set forth in business days (or as soon as practicable ■ 23. Amend § 120.434(c) by removing paragraph (a) of this section occurred in thereafter) of the issuance of any such the term ‘‘on-site’’ from the third connection with that loan, SBA is action or opinion, including providing sentence. entitled to recover any moneys paid on copies of the relevant documents for ■ 24. Revise the undesignated center the guarantee plus interest from the review. heading following § 120.435 to read Lender. In the exercise of its rights, SBA * * * * * ‘‘Delegated Authority Criteria’’. may utilize all legal means available, (c) Notice to suspend or revoke. The ■ 25. Revise § 120.440 to read as including offset and judicial remedies. D/FA and the D/OCRM shall notify the follows: * * * * * affected party in writing, providing the

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reasons therefore, at least 10 business (ii) * * * ■ 39. Amend § 120.1050 by revising the days prior to the effective date of the (C) Have at least two individuals with section heading and removing the suspension or revocation. The affected commercial lending experience phrase ‘‘on-site’’ wherever it occurs. party may appeal the suspension or satisfactory to SBA; and The revision reads as follows: revocation made under this section * * * * * pursuant to the procedures set forth in ■ 35. Amend § 120.839 by revising the § 120.1050 Reviews and examinations. part 134 of this chapter. The action introductory text to read as follows: * * * * * taken by the D/FA and the D/OCRM will ■ 40. Amend § 120.1051 by revising the remain in effect pending resolution of § 120.839 Case-by-case application to section heading and paragraph (a) and make a 504 loan outside of a CDC’s Area removing the phrase ‘‘on-site’’ wherever the appeal. of Operations. (d) Early termination of suspension or it occurs. A CDC may apply to make a 504 loan revocation. SBA may, by written notice, The revisions read as follows: for a Project outside its Area of terminate a secondary market Operations by submitting a request to § 120.1051 Frequency of reviews and suspension or revocation under this the 504 loan processing center. The examinations. section, if the D/FA and the D/OCRM, applicant CDC must demonstrate that it * * * * * in their sole discretion, determine that can adequately fulfill its 504 program (a) Results of monitoring, including such termination is warranted for good responsibilities for the 504 loan, an SBA Lender’s, Intermediary’s or cause. including proper servicing. In addition, NTAP’s Risk Rating; § 120.710 [Amended] the CDC must have satisfactory SBA * * * * * ■ 31. Amend § 120.710 by removing the performance, as determined by SBA in ■ 41. Revise § 120.1060(b) to read as term ‘‘on-site’’ from the third sentence its discretion. The CDC’s Risk Rating, follows: among other factors, will be considered of paragraph (e)(1). § 120.1060 Confidentiality of Reports, Risk ■ 32. Amend § 120.812 by revising the in determining satisfactory SBA performance. Other factors may include, Ratings and related Confidential last sentence of paragraph (c) to read as Information. follows: but are not limited to, review/ examination assessments, historical * * * * * § 120.812 Probationary period for newly performance measures, loan volume to (b) Disclosure prohibition. Each SBA certified CDCs. the extent that it impacts performance Lender, Intermediary, and NTAP is * * * * * measures, and other performance prohibited from disclosing its Report, (c) * * * Other factors may include, related measurements and information Risk Rating, and Confidential but are not limited to review/ (such as contribution toward SBA Information, in full or in part, in any examination assessments, historical mission). The 504 loan processing manner, without SBA’s prior written performance measures, loan volume to center may approve the application if: permission. An SBA Lender, the extent that it impacts performance * * * * * Intermediary, and NTAP may use the measures, and other performance ■ 36. Amend § 120.841 by revising the Report, Risk Rating, and Confidential related measurements and information last sentence of paragraph (c) to read as Information for confidential use within (such as contribution toward SBA follows: its own immediate corporate mission). organization. SBA Lenders, § 120.841 Qualifications for the ALP. * * * * * Intermediaries, and NTAPs must restrict * * * * * ■ 33. Amend § 120.816 by revising the access to their Report, Risk Rating and (c) * * * Other factors may include, Confidential Information to their last sentence of paragraph (c) to read as but are not limited to review/ follows: respective parent entities, officers, examination assessments, historical directors, employees, auditors and § 120.816 CDC non-profit status and good performance measures, loan volume to consultants, in each case who standing. the extent that it impacts performance demonstrate a legitimate need to know * * * * * measures, and other performance such information for the purpose of (c) * * * Other factors may include, related measurements and information assisting in improving the SBA but are not limited to, review/ (such as contribution toward SBA Lender’s, Intermediary’s, or NTAP’s examination assessments, historical mission); SBA program operations in conjunction performance measures, loan volume to * * * * * with SBA’s Program and SBA’s portfolio the extent that it impacts performance ■ 37. Amend § 120.884 by revising management (for purposes of this measures, and other performance paragraph (e)(3) to read as follows: regulation, each referred to as a related measurements and information § 120.884 Ineligible costs for 504 loans. ‘‘permitted party’’), and to those for (such as contribution toward SBA whom SBA has approved access by * * * * * prior written consent, and those for mission). (e) * * * * * * * * (3) Construction equipment (except whom access is required by applicable ■ 34. Amend § 120.823 by revising for heavy duty construction equipment law or legal process. If such law or paragraphs (c)(5) and (d)(4)(ii)(C) to read integral to the business’ operations with process requires SBA Lender, as follows: a remaining useful life of a minimum of Intermediary, or NTAP to disclose the Report, Risk Rating, or Confidential § 120.823 CDC Board of Directors. 10 years). ■ 38. Amend § 120.1025 by revising the Information to any person other than a * * * * * section heading and removing ‘‘off-site permitted party, SBA Lender, (c) * * * reviews and monitoring’’ and adding in Intermediary, or NTAP will promptly (5) No CDC Board member may serve its place ‘‘monitoring’’. notify SBA and SBA’s Information on the Board of another CDC in The revision reads as follows: Provider in writing and in advance of accordance with § 120.851(b). such disclosure so that SBA and the (d) * * * § 120.1025 Monitoring. Information Provider have, within their (4) * * * * * * * * discretion, the opportunity to seek

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appropriate relief such as an injunction corrective action assessments, delegated delegated authority, or other remedy or protective order prior to disclosure. loan reviews), including any expenses available under law. For purposes of this regulation, that are incurred in relation to the ■ 43. Amend § 120.1400 by revising ‘‘consultants’’ means only those review and such activities. paragraph (a) to read as follows: consultants that are under written (3) Monitoring. The costs of contract with an SBA Lender, conducting monitoring reviews of a § 120.1400 Grounds for enforcement actions—SBA Lenders. Intermediary or NTAP specifically to Lender, including any expenses that are assist with addressing its Report incurred in relation to the monitoring (a) Agreements. By making SBA 7(a) Findings and Corrective Actions to review activities. guaranteed loans or 504 loans, SBA SBA’s satisfaction. The consultant (4) Other lender oversight activities. Lenders automatically agree to the contract must provide for both the The costs of additional expenses that terms, conditions, and remedies in Loan consultant’s agreement to abide by the SBA incurs in carrying out other lender Program Requirements, as promulgated disclosure prohibition in this paragraph oversight activities (for example, the or issued from time to time and as if and the consultant’s agreement not to salaries and travel expenses of SBA fully set forth in the SBA Form 750 use the Report, Risk Rating, and employees and equipment expenses that (Loan Guaranty Agreement), Confidential Information for any are directly related to carrying out Development Company 504 Debenture, purpose other than to assist with lender oversight activities, technical CDC Certification, Servicing Agent addressing the Report Findings and assistance and analytics to support the Agreement, or other applicable Corrective Actions. ‘‘Information monitoring and review program, and participation, guaranty, or supplemental Provider’’ means any contractor that supervision and enforcement activity agreement. SBA Lenders further agree provides SBA with the Risk Rating. costs). that a violation of Loan Program Each SBA Lender, Intermediary, and (b) Allocation. SBA will assess to Requirements constitutes default under NTAP must ensure that each permitted Lender(s) the costs associated with the their respective agreements with SBA. party is aware of and agrees to these review, examination, monitoring, or (1) Additional agreements by CDCs. regulatory requirements and must other lender oversight activity, as By obtaining approval for 504 loans ensure that each such permitted party determined by SBA in its discretion. after [date 60 days from publication of abides by them. Any disclosure of the (1) In general: final rule in the Federal Register], a (i) Where the costs that SBA incurs for Report, Risk Rating, or Confidential CDC consents to the remedies in a review, exam, or other lender Information other than as permitted by § 120.1500(e)(3) and waives in advance oversight activity are specific to a this regulation may result in appropriate any defenses to such relief as sought by particular Lender, SBA will charge that action as authorized by law. An SBA SBA. The CDC agrees that its consent to Lender a fee for the actual costs of Lender, Intermediary, and NTAP will SBA’s application to a federal court of conducting the review, exam, or other indemnify and hold harmless SBA from competent jurisdiction for appointment lender oversight activity; and and against any and all claims, of a receiver of SBA’s choosing, an (ii) Where the costs that SBA incurs injunction or other equitable relief, and demands, suits, actions, and liabilities for the lender oversight activity are not to any degree based upon or resulting the CDC’s consent in advance to the sufficiently specific to a particular court’s granting of SBA’s application, from any unauthorized use or disclosure Lender, SBA will assess a fee based on of the Report, Risk Rating, or includes a waiver of objection to a each Lender’s portion of the total dollar receiver or other such relief and may be Confidential Information. Information amount of SBA guarantees in SBA’s Provider contact information is enforced upon any basis in law or total portfolio or in the relevant equity recognized by the court. available from the Office of Capital portfolio segment being reviewed or (2) Additional agreements by SBA Access. examined, to cover the costs of such ■ 42. Amend § 120.1070 by: Supervised Lenders (except Other ■ a. Revising paragraphs (a)(1) through activity. (2) SBA may waive the assessment of Regulated SBLCs). By making SBA 7(a) (4); this fee for all Lenders owing less than guaranteed loans after [date 60 days ■ b. Redesignating paragraphs (b) and a threshold amount below which SBA from publication of final rule in the (c) as paragraphs (c) and (d), determines that it is not cost effective to Federal Register], an SBA Supervised respectively; collect the fee. Lender (except an Other Regulated ■ c. Adding a new paragraph (b); SBLC) consents to the remedies in ■ d. Revising the first and second (c) * * * For the examinations or reviews conducted under paragraphs § 120.1500(c)(3) and waives in advance sentences of newly redesignated any defenses to such relief as sought by paragraph (c); and (a)(1) and (2) of this section, SBA will bill each Lender for the amount owed SBA. The SBA Supervised Lender ■ e. Revising the final sentence of newly agrees that its consent to SBA’s redesignated paragraph (d). following completion of the examination, review or related activity. application to a federal court of The additions and revisions read as competent jurisdiction for appointment follows: For monitoring conducted under paragraph (a)(3) of this section and the of a receiver of SBA’s choosing, an § 120.1070 Lender oversight fees. other lender oversight activity expenses injunction or other equitable relief, and * * * * * incurred under paragraph (a)(4) of this the SBA Supervised Lender’s consent in (a) * * * section, SBA will bill each Lender for advance to the court’s granting of SBA’s (1) Examinations. The costs of the amount owed on an annual basis. application, includes a waiver of conducting a safety and soundness *** objection to a receiver or other such examination and related activities of an (d) * * * In addition, a Lender’s relief and may be enforced upon any SBA-Supervised Lender, including any failure to pay any of the fee components basis in law or equity recognized by the expenses that are incurred in relation to described in this section, or to pay court. the examination and such activities. interest, charges and penalties that have * * * * * (2) Reviews. The costs of conducting been charged, may result in a decision ■ 44. Amend § 120.1500 by revising a review of a Lender or a Lender’s loans, to suspend or revoke a participant’s paragraph (c)(3) and adding paragraph and related review activities (e.g., eligibility, limit a participant’s (e)(3) to read as follows:

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§ 120.1500 Types of enforcement section will not apply and SBA will Dated: July 21, 2016. actions—SBA Lenders. follow the applicable procedures under Maria Contreras-Sweet, * * * * * federal law to obtain such remedies and Administrator. (c) * * * to enforce the Certified Development [FR Doc. 2016–18044 Filed 8–8–16; 8:45 am] (3) Initiate request for appointment of Company’s consent and waiver in BILLING CODE 8025–01–P receiver and/or other relief. The SBA advance to those remedies. may make application to any federal (b) * * * court of competent jurisdiction for the (4) Receiverships, transfer of assets court to take exclusive jurisdiction, and servicing activities. If SBA DEPARTMENT OF TRANSPORTATION without notice, of an SBA Supervised undertakes the appointment of a Lender, and SBA shall be entitled to the Federal Motor Carrier Safety receiver for, or the transfer of assets or Administration appointment of a receiver of SBA’s servicing rights of an SBA Supervised choosing to hold, administer, operate, Lender and/or injunctive or other 49 CFR Part 391 and/or liquidate the SBA Supervised equitable relief, SBA will follow the Lender; and to such injunctive or other applicable procedures under federal law equitable relief as may be appropriate. [Docket No. FMCSA–2008–0362 and to obtain such remedies and to enforce FMCSA–2015–0419] Without limiting the foregoing and with the SBA Supervised Lender’s consent SBA’s written consent, the receiver may and waiver in advance to those Medical Review Board (MRB) Meeting: take possession of the portfolio of 7(a) remedies. Public Meeting loans and sell such loans to a third * * * * * party, and/or take possession of AGENCY: Federal Motor Carrier Safety ■ servicing activities of 7(a) loans and sell 46. Amend § 120.1703 by revising Administration (FMCSA), DOT. paragraph (a)(4) to read as follows: such servicing rights to a third party. ACTION: Advance notice of proposed * * * * * § 120.1703 Qualifications to be a Pool rulemaking; announcement of a public (e) * * * Originator. MRB advisory committee meeting. (3) Apply to any federal court of (a) * * * SUMMARY: FMCSA announces a meeting competent jurisdiction for the court to (4) Is in good standing with SBA (as take exclusive jurisdiction, without of its Medical Review Board (MRB) on the SBA determines), and is Satisfactory Monday and Tuesday, August 22–23, notice, of the CDC, and SBA shall be with the Office of the Comptroller of the entitled to the appointment of a receiver 2016. The MRB will make Currency (OCC) if it is a national bank, recommendations to the Agency on the of SBA’s choosing to hold, administer, the Federal Deposit Insurance operate and/or liquidate the CDC; and to disposition of comments from medical Corporation if it is a bank not regulated professionals and associations, as well such injunctive or other equitable relief by the OCC, the Financial Institutions as may be appropriate. Without limiting as safety advocacy, labor, and industry Regulatory Authority, if it is a member, groups, to the Agency’s and the Federal the foregoing and with SBA’s consent, the National Credit Union the receiver may take possession of the Railroad Administration’s (FRA) Administration if it is a credit union, as Advance Notice of Proposed portfolio of 504 loans and/or pending determined by SBA; and 504 loan applications, including for the Rulemaking (ANPRM) of March 10, purpose of carrying out an enforcement * * * * * 2016, on safety-sensitive rail and order under paragraph (e)(1) of this ■ 47. Revise § 120.1707 by revising the commercial motor vehicle (CMV) section. fifth sentence and adding a sixth drivers with moderate to severe ■ 45. Amend § 120.1600 by: sentence to read as follows: Obstructive Sleep Apnea (OSA). ■ Additionally, the MRB will review its a. Revising paragraph (a) introductory § 120.1707 Seller’s retained Loan Interest. text; previously issued report on OSA from ■ b. Adding paragraph (a)(6); and * * * In addition, in order to 2012 to determine whether the report ■ c. Revising paragraph (b)(4). complete such sale, Seller must have the should be updated based on any The revisions and additions read as purchaser of its rights to the Pool Loan changes to medical standards and follows: execute an allonge to the Seller’s First practice or the comments received at the Lien Position 504 Loan Pool Guarantee listening sessions and to the docket. § 120.1600 General procedures for Agreement in form acceptable to SBA, Meetings are open to the public for their enforcement actions against SBA Lenders, acknowledging and accepting all terms entirety, and the public will be allowed SBA Supervised Lenders, Other Regulated of the Seller’s First Lien Position 504 Small Business Lending Companies to comment during the proceedings. (SBLCs), Management Officials, Other Loan Pool Guarantee Agreement, and TIMES AND DATES: The meeting will be Persons, Intermediaries, and Non-Lending deliver the executed original allonge held on Monday and Tuesday, August Technical Assistance Providers (NTAPs). and a copy of the corresponding First 22–23, 2016, from 9 a.m. to 4:30 p.m., (a) In general. Except as otherwise set Lien Position 504 Loan Pool Guarantee Eastern Daylight Time (E.T.), at the forth for the enforcement actions listed Agreement to the CSA. All Pool Loan FMCSA National Training Center, 1310 in paragraphs (a)(6), (b) and (c) of this payments related to a Seller Receipt and N. Courthouse Road, Arlington, VA, 6th section, SBA will follow the procedures Servicing Retention Amount proposed floor. Copies of the task statement and listed below.* * * for sale will be withheld by the CSA an agenda for the entire meeting will be pending SBA acknowledgement of * * * * * made available in advance of the receipt of all executed documents (6) Receiverships of Certified meeting at www.fmcsa.dot.gov/mrb. required to complete the transfer. Development Companies and/or other FOR FURTHER INFORMATION CONTACT: Ms. relief. If SBA undertakes the Subpart K—[Removed and Reserved] Shannon L. Watson, Senior Advisor to appointment of a receiver for a Certified the Associate Administrator for Policy, Development Company and/or ■ 48. Remove and reserve subpart K, Federal Motor Carrier Safety injunctive or other equitable relief, consisting of §§ 120.1800 through Administration, U.S. Department of paragraphs (a)(1) through (5) of this 120.1900. Transportation, 1200 New Jersey

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Avenue SE., Washington, DC 20590, of commercial motor vehicles that will • Federal eRulemaking Portal: Go to (202) 366–5221, [email protected]. ensure that the physical condition of http://www.regulations.gov. Follow the operators of commercial motor vehicles online instructions for submitting Services for Individuals With is adequate to enable them to operate comments. Disabilities the vehicles safely.’’ The MRB operates • Fax: 202–493–2251. For information on facilities or in accordance with FACA under the • Mail: Docket Management Facility; services for individuals with disabilities terms of its charter, filed November 25, U.S. Department of Transportation, 1200 or to request special assistance at the 2015. New Jersey Avenue SE., West Building, meeting, contact Eran Segev at (617) II. Meeting Participation Room W12–140, Washington, DC 20590. 494–3174, [email protected], by • Hand Delivery: U.S. Department of Wednesday, August 17. Oral comments from the public will Transportation, 1200 New Jersey SUPPLEMENTARY INFORMATION: be heard during the meeting, subject to Avenue SE., Room W12–140, the discretion of the Chairman. I. Background Washington, DC, between 9 a.m. and 5 Members of the public may submit p.m., E.T. Monday through Friday, The MRB is composed of five medical written comments on the topics to be except Federal holidays. experts who each serve 2-year terms. considered during the meeting by Section 4116 of SAFETEA–LU requires Wednesday, August 17, to Federal Issued on: August 2, 2016. the Secretary of Transportation, with the Docket Management System (FDMC) Larry W. Minor, advice of the MRB and the chief medical Docket Number FMCSA–2008–0362 and Associate Administrator for Policy. examiner, to establish, review, and FMCSA–2015–0419 for the MRB using [FR Doc. 2016–18726 Filed 8–8–16; 8:45 am] revise ‘‘medical standards for operators any of the following methods: BILLING CODE 4910–EX–P

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Notices Federal Register Vol. 81, No. 153

Tuesday, August 9, 2016

This section of the FEDERAL REGISTER be made public on the Internet at the regulations and most of their contains documents other than rules or address provided above. information collection requirements are proposed rules that are applicable to the FOR FURTHER INFORMATION CONTACT: not active: 953 (North Carolina/Virginia public. Notices of hearings and investigations, Andrew Hatch, Marketing Order and potatoes); and 993 (California dried committee meetings, agency decisions and prunes). The North Carolina/Virginia rulings, delegations of authority, filing of Agreement Division, Specialty Crops petitions and applications and agency Program, AMS, USDA, 1400 potato marketing order, 953, is currently statements of organization and functions are Independence Avenue SW., STOP 0237, suspended and the industry will examples of documents appearing in this Room 1406–S, Washington, DC 20250– determine whether to reactivate or section. 0237; Telephone: (202) 720–6862; Fax: permanently terminate its marketing (202) 720–8938; or Email: order by March 1, 2017. All North [email protected]. Carolina/Virginia potato forms were DEPARTMENT OF AGRICULTURE Small businesses may request deleted from the previously approved information on this notice by contacting OMB package. The California dried Agricultural Marketing Service Antoinette Carter, Marketing Order and prune industry maintains the committee [Doc. No. AMS–SC–16–0055; SC16–900–2 Agreement Division, Specialty Crops and marketing order 993, which work in NC] Program, AMS, USDA, 1400 partnership with State programs. In Independence Avenue SW., STOP 0237, addition, the import regulation for Vegetable and Specialty Crop Room 1406–S, Washington, DC 20250– California dried prunes, as contained in Marketing Orders; Notice of Request 0237; Telephone (202) 720–2491; Fax: 7 CFR 999.200—Regulation governing for Extension and Revision of a (202) 720–8938; or Email: the importation of prunes—is Currently Approved Information [email protected]. indefinitely suspended, effective Collection SUPPLEMENTARY INFORMATION: January 17, 2009 (Federal Register, Vol. 74 No. 11). AGENCY: Agricultural Marketing Service, Title: Vegetable and Specialty Crop Marketing order regulations help USDA. Marketing Orders. OMB Number: 0581–0178. ensure adequate supplies of high quality ACTION: Notice and request for Expiration Date of Approval: April 30, product and adequate returns to comments. 2017. producers. Marketing orders are authorized under the Agricultural SUMMARY: In accordance with the Type of Request: Extension and Paperwork Reduction Act of 1995 (44 Revision of a currently approved Marketing Agreement Act of 1937 (Act), U.S.C. Chapter 35), this notice information collection. as amended (7 U.S.C. 601–674). The announces the Agricultural Marketing Abstract: Agricultural Marketing Secretary of Agriculture is authorized to Service’s (AMS) intention to request an Service recently changed the name of oversee the marketing order operations extension and revision to the approved the ‘‘Fruit and Vegetable Program’’ to and issue regulations recommended by forms and information collection for the ‘‘Specialty Crops Program.’’ a committee of representatives from marketing orders covering various Marketing order programs provide an each commodity industry. vegetable and specialty crops. opportunity for producers of fresh fruits, The information collection vegetables and specialty crops, in requirements in this request are DATES: Comments on this notice are due specified production areas, to work essential to carry out the intent of the by October 11, 2016 to be assured of together to solve marketing problems Act, to provide the respondents the type consideration. that cannot be solved individually. This of service they request, and to ADDRESSES: Interested persons are notice covers the following marketing administer the marketing orders. Under invited to submit written comments order citations: 7 CFR parts 932 the Act, marketing orders may concerning this notice. Comments must (California olives), 945 (Idaho/Oregon authorize: Production and marketing be sent to the Docket Clerk, Marketing potatoes), 946 (Washington potatoes), research, including paid advertising; Order and Agreement Division, 948 (Colorado potatoes), 953 (North volume regulations; reserves, including Specialty Crops Program, AMS, USDA, Carolina/Virginia potatoes), 955 (Vidalia pools and producer allotments; 1400 Independence Avenue SW., STOP onions), 956 (Walla Walla onions), 958 container regulations; and quality 0237, Washington, DC 20250–0237; Fax: (Idaho/Oregon onions), 959 (South control. Assessments are levied on (202) 720–8938; or Internet: Texas onions), 966 (Florida tomatoes), handlers regulated under the marketing www.regulations.gov. Comments should 981 (California almonds), 982 (Oregon/ orders. Section 8e of the Act requires reference the docket number and the Washington hazelnuts), 984 (California imports of 14 commodities to meet date and page number of this issue of walnuts), 985 (Northwest spearmint oil), certain standards. Included among these the Federal Register and will be 987 (California dates), 989 (California commodities are some covered in this available for public inspection in the raisins), 993 (California dried prunes), forms package; olives, potatoes, onions, Office of the Docket Clerk during regular and 999 (Specialty Crop Import tomatoes, walnuts, dates, dried prunes, business hours, or can be viewed at: Regulation). and raisins. www.regulations.gov. All comments Marketing Order 947 (Oregon/ USDA requires several forms to be submitted in response to this notice will California potatoes) has been terminated filed to enable the administration of be included in the record and will be since the last renewal period. Currently, each marketing order. These include made available to the public. Please be the following marketing orders are forms covering the selection process for advised that the identity of individuals suspended at the respective industry’s industry members to serve on a or entities submitting the comments will request, meaning their handling marketing order’s committee or board

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and ballots used in referenda to amend manufacturers, importers, and public DEPARTMENT OF AGRICULTURE or continue marketing orders. members. Food and Nutrition Service Under Federal marketing orders, Estimated Number of Respondents: producers and handlers are nominated 17,750. by their peers to serve as representatives Food Distribution Program: Value of on a committee or board which Estimated Number of Responses: Donated Foods From July 1, 2016 administers each program. Nominees 97,129.29. Through June 30, 2017 must provide information on their Estimated Number of Responses per AGENCY: Food and Nutrition Service, qualifications to serve on the committee Respondent: 5.47. USDA. or board. Qualified nominees are then ACTION: Notice. appointed by the Secretary. Formal Estimated Total Annual Burden on Respondents: 25,219.72 hours. rulemaking amendments must be SUMMARY: This notice announces the approved in referenda conducted by Comments are invited on: (1) Whether national average value of donated foods USDA and the Secretary. For the the proposed collection of information or, where applicable, cash in lieu of purposes of this action, ballots are is necessary for the proper performance donated foods, to be provided in school considered information collections and of the functions of the agency, including year 2017 (July 1, 2016 through June 30, are subject to the Paperwork Reduction whether the information will have 2017) for each lunch served by schools Act. If a marketing order is amended, practical utility; (2) the accuracy of the participating in the National School handlers are asked to sign an agreement agency’s estimate of the burden of the Lunch Program (NSLP), and for each indicating their willingness to abide by proposed collection of information lunch and supper served by institutions the provisions of the amended including the validity of the participating in the Child and Adult marketing order. methodology and assumptions used; (3) Care Food Program (CACFP). Some forms are required to be filed DATES: Effective date: July 1, 2016. with the committee or board. The ways to enhance the quality, utility and FOR FURTHER INFORMATION CONTACT: marketing orders and their rules and clarity of the information to be regulations authorize the respective collected; and (4) ways to minimize the Polly Fairfield, Program Analyst, Policy commodities’ committees and boards, burden of the collection of information Branch, Food Distribution Division, the agencies responsible for local on those who are to respond, including Food and Nutrition Service, U.S. administration of the marketing orders, through the use of appropriate Department of Agriculture, 3101 Park to require handlers and producers to automated, electronic, mechanical, or Center Drive, Alexandria, Virginia submit certain information. Much of the other technological collection 22302–1594, or telephone (703) 305– information is compiled in aggregate techniques or other forms of information 2680. and provided to the respective technology. SUPPLEMENTARY INFORMATION: These industries to assist in marketing Comments should reference OMB No. programs are listed in the Catalog of decisions. The committees and boards 0581–0178 OMB Vegetable and Federal Domestic Assistance under Nos. 10.555 and 10.558 and are subject to the have developed forms as a means for Specialty Crop Marketing Orders, and persons to file required information provisions of Executive Order 12372, be sent to the USDA in care of the relating to supplies, shipments, and which requires intergovernmental Docket Clerk at the address above. All dispositions of their respective consultation with State and local commodities, and other information comments received will be available for officials. (See 2 CFR 415.9) needed to effectively carry out the public inspection during regular This notice imposes no new reporting purpose of the Act and their respective business hours at the same address. or recordkeeping provisions that are orders, and these forms are utilized All responses to this notice will be subject to Office of Management and accordingly. summarized and included in the request Budget review in accordance with the The forms covered under this for OMB approval. All comments will Paperwork Reduction Act of 1995 (44 information collection require also become a matter of public record. U.S.C. 3507). This action is not a rule respondents to provide the minimum as defined by the Regulatory Flexibility AMS is committed to complying with information necessary to effectively Act (5 U.S.C. 601–612) and thus is the E-Government Act to promote the carry out the requirements of the exempt from the provisions of that Act. marketing orders, and use of these forms use of the internet and other This notice was reviewed by the Office is necessary to fulfill the intent of the information technologies, to provide of Management and Budget under Act as expressed in the marketing increased opportunities for citizen Executive Order 12866. access to Government information and orders’ rules and regulations. National Average Minimum Value of The information collected is used services, and for other purposes. Donated Foods for the Period July 1, only by authorized employees of the A 60-day comment period is provided 2016 Through June 30, 2017 committees and authorized to allow interested persons to respond representatives of the USDA, including to the notice. This notice implements mandatory AMS, Specialty Crops Program’s provisions of sections 6(c) and regional and headquarters’ staff. Dated: August 4, 2016. 17(h)(1)(B) of the Richard B. Russell Authorized committee or board Elanor Starmer, National School Lunch Act (the Act) (42 employees are the primary users of the Administrator, Agricultural Marketing U.S.C. 1755(c) and 1766(h)(1)(B)). information and AMS is the secondary Service. Section 6(c)(1)(A) of the Act establishes user. [FR Doc. 2016–18848 Filed 8–8–16; 8:45 am] the national average value of donated Estimate of Burden: Public reporting BILLING CODE 3410–02–P food assistance to be given to States for burden for this collection of information each lunch served in the NSLP at 11.00 is estimated to average 0.26 hours per cents per meal. Pursuant to section response. 6(c)(1)(B), this amount is subject to Respondents: Producers, handlers, annual adjustments on July 1 of each processors, dehydrators, cooperatives, year to reflect changes in a three-month

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average value of the Producer Price White Mountain Pass, which covers 27 meet in South Lake Tahoe, CA. The Index for Foods Used in Schools and day use sites on the Forest, will also Committee is established consistent Institutions for March, April, and May cover Zealand Picnic Area in the pass. with the Federal Advisory Committee each year (Price Index). Section Fees are determined based on the level Act of 1972. Additional information 17(h)(1)(B) of the Act provides that the of amenities and services provided, cost concerning the Committee, including same value of donated foods (or cash in of operation, maintenance, and market meeting summary/minutes, can be lieu of donated foods) for school assessment. Funds from fees will be found by visiting the Committee’s Web lunches shall also be established for used for the continued operation and site at: http://www.fs.usda.gov/goto/ lunches and suppers served in the maintenance of the sites. ltbmu/LTFAC. The summary/minutes of CACFP. Notice is hereby given that the National recreation passes such as the the meetings will be posted within 21 national average minimum value of Interagency Annual Pass, Senior Pass, days of the meetings. donated foods, or cash in lieu thereof, Access Pass, or White Mountain DATES: The meeting will be held on per lunch under the NSLP (7 CFR part National Forest Annual Pass would be August 26, 2016, from 10:00 to 12:00 210) and per lunch and supper under valid for day use fees at these sites. p.m. All meetings are subject to the CACFP (7 CFR part 226) shall be DATES: Comments on the proposal will cancellation. For updated status of the 23.00 cents for the period July 1, 2016 be accepted through October 11, 2016. meeting prior to attendance, please through June 30, 2017. Fees for Zealand Picnic Area will go contact the person listed under FOR The Price Index is computed using into effect spring of 2017 pending a FURTHER INFORMATION CONTACT. five major food components in the recommendation from the Eastern ADDRESSES: The meeting will be held at Bureau of Labor Statistics Producer Region Recreation Resource Advisory the Forest Service, Lake Tahoe Basin Price Index (cereal and bakery products; Committee (RRAC). Management Unit, Emerald Bay meats, poultry and fish; dairy; processed ADDRESSES: Forest Supervisor, White Conference Room, 35 College Drive, fruits and vegetables; and fats and oils). Mountain National Forest, 71 White South Lake Tahoe, California. Written Each component is weighted using the Mountain Drive, Campton, NH 03223. comments may be submitted as relative weight as determined by the FOR FURTHER INFORMATION CONTACT: described under SUPPLEMENTARY Bureau of Labor Statistics. The value of Marianne Leberman, Recreation & INFORMATION. All comments, including food assistance is adjusted each July 1 Wilderness Program Leader (603) 536– names and addresses, when provided, by the annual percentage change in a 6236. Information about the proposed are placed in the record and are three-month average value of the Price fee changes can also be found on the available for public inspection and Index for March, April, and May each White Mountain National Forest Web copying. The public may inspect year. The three-month average of the site: http://www.fs.usda.gov/ comments received at the Forest Price Index decreased by 3.55 percent whitemountain. Service, 35 College Drive, South Lake from 209.20 for March, April, and May Tahoe, California. Please call ahead at of 2015, as previously published in the SUPPLEMENTARY INFORMATION: The 530–543–2774 to facilitate entry to the Federal Register, to 201.77 for the same Federal Recreation Lands Enhancement building. three months in 2016. When computed Act (Title VII, Pub. L. 108–447) directed on the basis of unrounded data and the Secretary of Agriculture to publish FOR FURTHER INFORMATION CONTACT: rounded to the nearest one-quarter cent, a six month advance notice in the Karen Kuentz, Lake Tahoe Basin the resulting national average for the Federal Register whenever new Management Unit, Forest Service, 35 period July 1, 2016 through June 30, recreation fee areas are established. College Drive, South Lake Tahoe, 2017 will be 23.00 cents per meal. This Prior to these fees going into effect, the California 96150, by phone at 530–543– is a decrease of three quarters of a cent White Mountain National Forest will 2774, or by email at [email protected]. from the school year 2016 (July 1, 2015 present this proposal to the Eastern Individuals who use telecommunication through June 30, 2016) rate. Region Recreation Resource Advisory devices for the deaf (TDD) may call the Committee (RRAC). The Federal Lands Federal Information Relay Service Authority: Sections 6(c)(1)(A) and (B), (FIRS) at 1–800–877–8339 between 8:00 6(e)(1), and 17(h)(1)(B) of the Richard B. Recreation Enhancement Act requires a Russell National School Lunch Act (42 U.S.C. recommendation from the Eastern a.m. and 8:00 p.m., Eastern Standard 1755(c)(1)(A) and (B) and (e)(1), and Region Recreation Resource Advisory Time, Monday through Friday. 1766(h)(1)(B)). Committee (RRAC) prior to a decision SUPPLEMENTARY INFORMATION: The Dated: August 3, 2016. and implementation. purpose of this meeting is to provide: Audrey Rowe, Dated: August 1, 2016. 1. Presentation on past LTFAC SNPLMA Administrator, Food and Nutrition Service. Thomas G. Wagner, project approval [FR Doc. 2016–18833 Filed 8–8–16; 8:45 am] White Mountain National Forest Supervisor. 2. Presentation on SNPLMA secondary projects on current list BILLING CODE 3410–30–P [FR Doc. 2016–18832 Filed 8–8–16; 8:45 am] BILLING CODE 3411–15–P 3. Agreement process for LTFAC 4. LTFAC prep for Lake Tahoe Summit DEPARTMENT OF AGRICULTURE The meeting is open to the public. DEPARTMENT OF AGRICULTURE Anyone who would like to bring related Forest Service matters to the attention of the Forest Service Committee may file written statements Notice of New Fee Sites with the Committee staff before the Lake Tahoe Basin Federal Advisory meeting. The agenda will include time AGENCY: White Mountain National Committee (LTFAC) Forest, USDA Forest Service. for people to make oral statements of ACTION: Notice. AGENCY: Forest Service, USDA. three minutes or less. Individuals ACTION: Notice of meeting. wishing to make an oral statement SUMMARY: The White Mountain National should submit a request in writing by Forest proposes to add Zealand Picnic SUMMARY: The Lake Tahoe Basin Federal June 2, 2016. Written comments and Area to the Recreation Fee Program. The Advisory Committee (Committee) will time requests for oral comments must be

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sent to Karen Kuentz, Forest Service, Dated: August 1, 2016. ACTION: Notice and opportunity for Lake Tahoe Basin Management Unit, 35 Jeff Marsolais, public comment. College Drive, South Lake Tahoe, Forest Supervisor. Pursuant to Section 251 of the Trade California 96150, or by email at [FR Doc. 2016–18838 Filed 8–8–16; 8:45 am] [email protected], or via facsimile to Act 1974, as amended (19 U.S.C. 2341 BILLING CODE 3410–11–P et seq.), the Economic Development 530–543–2693. Administration (EDA) has received Meeting Accommodations: If you are petitions for certification of eligibility to a person requiring reasonable apply for Trade Adjustment Assistance accommodation, please make requests DEPARTMENT OF COMMERCE from the firms listed below. in advance for sign language Accordingly, EDA has initiated interpreting, assistive listening devices Economic Development Administration investigations to determine whether or other reasonable accommodation for increased imports into the United States Notice of Petitions by Firms for access to the facility or proceedings by of articles like or directly competitive Determination of Eligibility To Apply contacting the person listed in the with those produced by each of these for Trade Adjustment Assistance section titled FOR FURTHER INFORMATION firms contributed importantly to the CONTACT total or partial separation of the firm’s . All reasonable AGENCY: Economic Development workers, or threat thereof, and to a accommodation requests are managed Administration, Department of on a case-by-case basis. decrease in sales or production of each Commerce. petitioning firm.

LIST OF PETITIONS RECEIVED BY EDA FOR CERTIFICATION ELIGIBILITY TO APPLY FOR TRADE ADJUSTMENT ASSISTANCE [7/1/2016 through 8/4/2016]

Date Firm name Firm address accepted for Product(s) investigation

Brighton NC Machine Corporation 7300 Whitmore Lake Road, Brigh- 7/27/2016 The firm manufactures oilpans and other precision ton, MI 48116. machined engine and drivetrain components. Potomac Electric Corporation ...... One Westinghouse Plaza, Boston, 8/2/2016 The firm manufactures innovative electric motors, MA 02136. control electronics and complex electromechanical systems for industrial and military applications. John R. Bromiley Company, Inc .... 105 South Bristol Road, Chalfont, 8/2/2016 The firm manufactures parts that are metal or plas- PA 18914. tic, machined to customer specifications. Mack Hils, Inc...... 544 North Avenue, Moberly, MO 8/2/2016 The firm produces metal products fabrication, metal 65270. stamping and precision machining. Bilco Tools, Inc...... 107 Clendenning Road, Houma, 8/3/2016 The firm manufactures handling tools and wellbore LA 70363. clean-up tools for the oil industry. Capital, LLC d/b/a Freeman Manu- 900 West Chicago Road, Sturgis, 8/3/2016 The firm manufacturers support garments, medical facturing Company. MI 49091. compression stockings, prosthetic supplies, and traction equipment. Automation Engineering Company, 110 Smith Road, Greenville, SC 8/3/2016 The firm designs, manufactures and installs com- LLC. 29615. plete industrial automated equipment. sevenOKs, Inc ...... 3539 Monroe Street, La Porte, IN 8/4/2016 The firm manufactures insulated bags for food stor- 46350. age and delivery as well as bags for storage and transport of a wide variety of manufactured arti- cles. SuperTrapp Industries, Inc...... 4540 West 160th Street, Cleve- 8/4/2016 The firm manufacturers motorcycle parts and acces- land, OH 44135. sories such as exhaust and brake components.

Any party having a substantial Dated: August 4, 2016. Trade Zones Board (the Board) adopts the interest in these proceedings may Miriam Kearse, following Order: request a public hearing on the matter. Lead Program Analyst. A written request for a hearing must be Whereas, the Board adopted the [FR Doc. 2016–18851 Filed 8–8–16; 8:45 am] alternative site framework (ASF) (15 submitted to the Trade Adjustment BILLING CODE 3510–WH–P Assistance for Firms Division, Room CFR Sec. 400.2(c)) as an option for the 71030, Economic Development establishment or reorganization of zones; Administration, U.S. Department of DEPARTMENT OF COMMERCE Commerce, Washington, DC 20230, no Whereas, the City of Springfield later than ten (10) calendar days Foreign-Trade Zones Board Airport Board, grantee of Foreign-Trade following publication of this notice. Zone 225, submitted an application to Please follow the requirements set [Order No. 2008] the Board (FTZ Docket B–51–2015, forth in EDA’s regulations at 13 CFR docketed August 10, 2015, amended 315.9 for procedures to request a public Expansion of Foreign-Trade Zone 225 February 19, 2016) for authority to hearing. The Catalog of Federal Under Alternative Site Framework expand the zone under the ASF to Domestic Assistance official number Springfield, Missouri include a new magnet site (proposed and title for the program under which Pursuant to its authority under the Foreign- Site 4) in Neosho, Missouri, adjacent to these petitions are submitted is 11.313, Trade Zones Act of June 18, 1934, as the Springfield Customs and Border Trade Adjustment Assistance for Firms. amended (19 U.S.C. 81a–81u), the Foreign- Protection port of entry;

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Whereas, notice inviting public examiner’s report, and finds that the Board’s standard 2,000-acre activation comment was given in the Federal requirements of the FTZ Act and the limit for the zone. Register (80 FR 48806–48807, August Board’s regulations are satisfied; Signed at Washington, DC, this 29th day of 14, 2015) and the amended application Now, Therefore, the Board hereby July 2016. has been processed pursuant to the FTZ orders: Ronald K. Lorentzen, Act and the Board’s regulations; and, The application to expand FTZ 149— Site 1 under the ASF is approved, Acting Assistant Secretary of Commerce for Whereas, the Board adopts the Enforcement and Compliance, Alternate findings and recommendation of the subject to the FTZ Act and the Board’s Chairman, Foreign-Trade Zones Board. regulations, including Section 400.13, to examiner’s report, and finds that the [FR Doc. 2016–18789 Filed 8–8–16; 8:45 am] requirements of the FTZ Act and the the Board’s standard 2,000-acre BILLING CODE 3510–DS–P Board’s regulations are satisfied; activation limit for the zone. Now, Therefore, the Board hereby Signed at Washington, DC, this 29th day of orders: 2016. DEPARTMENT OF COMMERCE The amended application to expand Ronald K. Lorentzen, FTZ 225 under the ASF is approved, Acting Assistant Secretary of Commerce for National Oceanic and Atmospheric subject to the FTZ Act and the Board’s Enforcement and Compliance, Alternate Administration regulations, including Section 400.13, to Chairman, Foreign-Trade Zones Board. RIN 0648–XE74 the Board’s standard 2,000-acre [FR Doc. 2016–18784 Filed 8–8–16; 8:45 am] activation limit for the zone, and to an BILLING CODE 3510–DS–P Takes of Marine Mammals Incidental to ASF sunset provision for magnet sites Specified Activities; Taking Marine that would terminate authority for Site Mammals Incidental to Waterfront 4 if not activated within five years from DEPARTMENT OF COMMERCE Improvement Projects the month of approval. Signed at Washington, DC, this 29th day of Foreign-Trade Zones Board AGENCY: National Marine Fisheries July, 2016. [Order No. 2011] Service (NMFS), National Oceanic and Ronald K. Lorentzen, Atmospheric Administration (NOAA), Acting Assistant Secretary of Commerce for Reorganization of Foreign-Trade Zone Commerce. Enforcement and Compliance, Alternate 103 Under Alternative Site Framework ACTION: Notice; proposed incidental Chairman, Foreign-Trade Zones Board. Grand Forks, North Dakota harassment authorization; request for [FR Doc. 2016–18791 Filed 8–8–16; 8:45 am] comments. Pursuant to its authority under the Foreign- BILLING CODE 3510–DS–P Trade Zones Act of June 18, 1934, as SUMMARY: NMFS has received a request amended (19 U.S.C. 81a–81u), the Foreign- from the U.S. Department of the Navy Trade Zones Board (the Board) adopts the (Navy) for authorization to take marine DEPARTMENT OF COMMERCE following Order: mammals incidental to construction Foreign-Trade Zones Board Whereas, the Board adopted the activities as part of waterfront alternative site framework (ASF) (15 [Order No. 2009] improvement projects at several berths. CFR Sec. 400.2(c)) as an option for the Pursuant to the Marine Mammal Expansion of Foreign-Trade Zone 149 establishment or reorganization of Protection Act (MMPA), NMFS is Under Alternative Site Framework zones; requesting public comment on its Freeport, Texas Whereas, the Grand Forks Regional proposal to issue an incidental Airport Authority, grantee of Foreign- harassment authorization (IHA) to the Pursuant to its authority under the Foreign- Trade Zone 103, submitted an Navy to incidentally take marine Trade Zones Act of June 18, 1934, as application to the Board (FTZ Docket B– mammals, by Level B harassment only, amended (19 U.S.C. 81a–81u), the Foreign- 27–2016, docketed May 2, 2016) during the specified activity at Trade Zones Board (the Board) adopts the requesting to reorganize under the ASF following Order: Portsmouth Naval Shipyard (the with a service area of Grand Forks Shipyard) in Kittery, Maine. Whereas, the Board adopted the County, North Dakota, in and adjacent DATES: Comments and information must alternative site framework (ASF) (15 to the Grand Forks U.S. Customs and be received no later than September 8, CFR Sec. 400.2(c)) as an option for the Border Protection port of entry, and to 2016. establishment or reorganization of remove existing Sites 1, 2 and 3 from zones; the zone; ADDRESSES: Comments on the Whereas, Port Freeport, grantee of Whereas, notice inviting public application should be addressed to Jolie Foreign-Trade Zone 149, submitted an comment was given in the Federal Harrison, Chief, Permits and application to the Board (FTZ Docket B– Register (81 FR 27410–27411, May 6, Conservation Division, Office of 65–2015, docketed September 22, 2015) 2016) and the application has been Protected Resources, National Marine for authority to expand existing Site 1 processed pursuant to the FTZ Act and Fisheries Service. Physical comments of the zone under the ASF to include the Board’s regulations; and, should be sent to 1315 East-West additional acreage in Freeport, Texas, Whereas, the Board adopts the Highway, Silver Spring, MD 20910, and adjacent to the Freeport Customs and findings and recommendations of the electronic comments should be sent to Border Protection port of entry; examiner’s report, and finds that the [email protected]. Whereas, notice inviting public requirements of the FTZ Act and the Instructions: NMFS is not responsible comment was given in the Federal Board’s regulations are satisfied; for comments sent by any other method, Register (80 FR 58464, September 29, Now, Therefore, the Board hereby to any other address or individual, or 2015) and the application has been orders: received after the end of the comment processed pursuant to the FTZ Act and The application to reorganize FTZ 103 period. Comments received the Board’s regulations; and, under the ASF is approved, subject to electronically, including all Whereas, the Board adopts the the FTZ Act and the Board’s regulations, attachments, must not exceed a 25- findings and recommendation of the including Section 400.13, and to the megabyte file size. Attachments to

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electronic comments will be accepted in commercial fishing) within a specified harassment of marine mammals. The Microsoft Word or Excel or Adobe PDF geographical region if certain findings term ‘‘pile driving’’ throughout this file formats only. All comments are made and either regulations are document shall include vibratory received are a part of the public record issued or, if the taking is limited to driving, impact pile driving, vibratory and will generally be posted to the harassment, a notice of a proposed pile extraction as well as pile drilling Internet at http://www.nmfs.noaa.gov/ authorization is provided to the public unless unless specified otherwise. pr/permits/incidental/construction.htm for review. Species with the potential to be present without change. All personal identifying An authorization for incidental during the project timeframe include information (e.g., name, address) takings shall be granted if NMFS finds harbor porpoise (Phocoena phocoena), voluntarily submitted by the commenter that the taking will have a negligible gray seal (Halichoerus grypus), harbor may be publicly accessible. Do not impact on the species or stock(s), will seal (Phoca vitulina), hooded seal submit confidential business not have an unmitigable adverse impact (Crystphora cristata) and harp seal information or otherwise sensitive or on the availability of the species or (Pagophilus groenlandicus). protected information. stock(s) for subsistence uses (where Description of the Specified Activity FOR FURTHER INFORMATION CONTACT: Rob relevant), and if the permissible Pauline, Office of Protected Resources, methods of taking and requirements Overview pertaining to the mitigation, monitoring NMFS, (301) 427–8401. The U.S. Department of the Navy SUPPLEMENTARY INFORMATION: and reporting of such takings are set forth. NMFS has defined ‘‘negligible (Navy) is proposing to restore and Availability impact’’ in 50 CFR 216.103 as ‘‘an modernize waterfront infrastructure associated with Dry Docks 1 and 3 at the An electronic copy of the Navy’s impact resulting from the specified Shipyard in Kittery, York County, application and supporting documents, activity that cannot be reasonably Maine (See Figure 1–1 in the as well as a list of the references cited expected to, and is not reasonably likely Application). The proposed action in this document, may be obtained by to, adversely affect the species or stock would include two waterfront visiting the Internet at: through effects on annual rates of improvement projects, structural repairs www.nmfs.noaa.gov/pr/permits/ recruitment or survival.’’ to Berths 11, 12, and 13 and incidental/construction.htm. In case of Except with respect to certain replacement of the Dry Dock 3 caisson. problems accessing these documents, activities not pertinent here, the MMPA The purpose of the proposed action is please call the contact listed above (see defines ‘‘harassment’’ as: Any act of to modernize and maximize dry dock FOR FURTHER INFORMATION CONTACT). pursuit, torment, or annoyance which (i) has the potential to injure a marine capabilities for performing current and National Environmental Policy Act mammal or marine mammal stock in the future missions efficiently and with The Navy has prepared a draft wild [Level A harassment]; or (ii) has maximum flexibility. The need for the Environmental Assessment (Waterfront the potential to disturb a marine proposed action is to correct Improvement Projects, Portsmouth mammal or marine mammal stock in the deficiencies associated with the pier Naval Shipyard, Kittery, ME) in wild by causing disruption of behavioral structure at Berths 11, 12, and 13 and accordance with the National patterns, including, but not limited to, the Dry Dock 3 caisson and concrete Environmental Policy Act (NEPA) and migration, breathing, nursing, breeding, seats and ensure that the Shipyard can the regulations published by the feeding, or sheltering [Level B continue to support its primary mission Council on Environmental Quality. harassment]. to service, maintain, and overhaul submarines. By supporting the NMFS will independently evaluate the Summary of Request Environmental Assessment (EA) and Shipyard’s mission, the proposed action determine whether or not to adopt it. On Wednesday February 17, 2016, would assist in meeting the larger need We may prepare a separate NEPA NMFS received an application from the for the Navy to provide capabilities for analysis and incorporate relevant Navy for the taking of marine mammals training and equipping combat-capable portions of Navy’s EA by reference. incidental to Waterfront Improvement naval forces ready to deploy worldwide. Information in the Navy’s application, Projects. NMFS determined that the Proposed activities included as part of EA, and this notice collectively provide application was adequate and complete the Waterfront Improvement Projects the environmental information related on April 1, 2016. The Navy is proposing with potential to affect marine mammals to proposed issuance of this IHA for to restore and modernize waterfront within the waterways adjacent to the public review and comment. These infrastructure associated with Dry Docks Shipyard include vibratory and impact documents will be posted at the 1 and 3 at the Shipyard in Kittery, York pile driving as well as pile drilling foregoing Web site. We will review all County, Maine. The proposed action operations in the project area. would include two waterfront comments submitted in response to this Dates and Duration notice as we complete the NEPA improvement projects, structural repairs process, including a decision of whether to Berths 11, 12, and 13, and In-water construction associated with to sign a Finding of No Significant replacement of the Dry Dock 3 caisson. the Proposed Action would occur in Impact (FONSI), prior to a final decision The waterfront improvement projects phases over a six-year construction on the incidental take authorization would be constructed between October period. In-water construction is request. 2016 and October 2022, with in-water scheduled to begin in January 2017 and work expected to begin no earlier than be completed by October 2022. This Background January 2017. The requested IHA would application is for the first year of in- Sections 101(a)(5)(A) and (D) of the run from January 1, 2017 through water construction, from January 1, MMPA (16 U.S.C. 1361 et seq.) direct December 31, 2017. 2017 to December 31, 2017. No seasonal the Secretary of Commerce to allow, The use of vibratory and impact pile limitations would be imposed on the upon request, the incidental, but not driving for pile installation and removal construction timeline. Construction intentional, taking of small numbers of as well as drilling is expected to schedules for in-water work at Berth 11 marine mammals by U.S. citizens who produce underwater sound at levels that are under development and subject to engage in a specified activity (other than have the potential to result in behavioral change based on operational

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requirements. Therefore, this IHA extraction, driving, and drilling, number of pile driving days, thus application covers all in-water scheduled to take place during the making the total days described below construction planned for Berth 11 timeframe covered by this IHA a conservative estimate. Total driving structural repairs. The Navy intends to application. Note that pile driving days time will be approximately 72 days apply for sequential IHAs to cover each are not necessarily consecutive. Also which includes the installation of 327 of the subsequent years of construction. note that certain activities may occur at piles and removal of 141 piles. Table 1 summarizes the in-water the same time, decreasing the total construction activities including pile

TABLE 1—ACTIVITY SUMMARY FOR YEAR 1 OF THE BERTHS 11, 12, AND 13 STRUCTURAL REPAIRS

Number of Number of Number of Activity/method Timing days Pile type piles installed piles extracted

Extract timber piles/vibratory hammer ...... January 2017 to De- 1 10 15-inch timber pile ...... 77 cember 2017. Install temporary sister piles for trestle sys- January 2017 to De- 2 16 14-inch steel H-type .. 64 ...... tem/vibratory hammer. cember 2017. Install permanent king piles for bulkhead/ January 2017 to De- 10 36-inch steel H-type 94 ...... auger drilling. cember 2017. piles. Install steel sheet-pile bulkhead/vibratory January 2017 to De- 6 24-inch steel sheet- 112 ...... hammer (sheet piles and sheet pile re- cember 2017. piles. turns). Install permanent sister piles/impact ham- January 2017 to De- 2 13 14-inch steel H-type .. 50 ...... mer. cember 2017. Install timber dolphin ...... January 2017 to Jan- 1 1 15-inch timber piles .. 7 ...... uary 2017. Extract temporary sister piles for trestle sys- January 2017 to De- 2 16 14-inch steel H-type ...... 64 tem/vibratory hammer. cember 2017.

Totals ...... 72 ...... 327 141 1 Estimate based on assumption of 30 minutes to drive each pile and 30-minute transition and set up time, resulting in one pile per hour and eight piles per day (ICF Jones and Strokes and Illingworth and Rodkin, Inc. 2012). 2 Estimate based on assumption of a one-hour transition and set up time, resulting in one pile per two hours and four piles per day (ICF Jones and Strokes and Illingworth and Rodkin, Inc. 2012). Note: The Navy provided the following information in response to technical questions: King Piles—estimate of 10 per day. Sheet piles—estimate of 20 per day, based on 20 piles in 8 hours (i.e., one day) because they will be installed two at a time.

Specified Geographic Region in-water construction at Berths 11, 12, construct a temporary construction and 13 as well as for the replacement of trestle or place a jack-up barge alongside The Shipyard is located along the the Dry Dock 3 caisson. the berths to provide additional Piscataqua River in Kittery, Maine. The construction workspace. Pile driving Pile Driving Operations Shipyard occupies the whole of Seavey and extraction would also be needed to Island, encompassing 278 acres on what Piles of differing sizes will be utilized construct and disassemble the were originally five separate islands during construction activities including temporary construction trestle if the (Seavey, Pumpkin, Dennett’s, Clarks, 25-inch steel sheet piles driven by construction contractor selects this and Jamaica). Over the past 200 years, vibratory hammer at Berth 11; 14-inch method over use of a jack-up barge, as a result of expansion from land- steel H-type piles driven using impact which would require no pile driving. making activity, four of these islands hammer at Berth 11; 15-inch timber The trestle system has been included in (Seavey, Pumpkin, Dennett’s, and piles installed via vibratory hammer to this analysis in order to model a Jamaica) were consolidated into one reconstruct dolphins at the corner of conservative, worst-case scenario. If a large island, which kept the name Berth 11; and 36-inch steel H-type piles jack-up barge is used instead of a trestle Seavey Island. Clarks Island is now at Berth 11. Additionally 14-inch steel system, less pile driving will be needed, attached to Seavey Island by a H-type piles would be used to align and resulting in fewer marine mammal takes causeway. Seavey Island is located in construct the trestle that would be than predicted in this application. the lower Piscataqua River extracted using vibratory hammer at For the proposed king pile and approximately 547 yards from its Berth 11 and 15-inch timber fender concrete shutter panel bulkhead (see southwest bank, 219 yards from its piles, which would be extracted using a Figures 2–1 and 2–2 in Application), the north bank, and approximately 2.5 miles vibratory hammer at Berth 11 and the contractor would likely create templates from the mouth of the river. timber dolphin at the corners of Berths and work in increments along the berth Detailed Description of Activities 11 and 12. from the trestle or jack-up barge. For The number of piles that can be example, an approximately 50-foot-long The Navy’s application focuses driven per day varies for different template would allow installation of primarily on the in-water construction project elements and is subject to about 10 king piles and 20 sheet piles activities that will occur during the first change based on site conditions at the (along segments of the berths where year of construction, including time. At the beginning of the in-water sheet piles would be installed). The completion of the king pile and concrete work, existing timber piles would be work would consist of setting a template shutter panel bulkhead at Berth 11. removed from the berth faces and the (including temporary piles and Additional applications will be timber dolphin at the western end of the horizontal members), which might take submitted for each subsequent year of berth, and the contractor either would one or two days. Then the contractor

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would drill the rock sockets, which were estimated based on information Description of Marine Mammals in the could take about one day per socket. compiled from ICF Jones and Strokes Area of the Specified Activity King piles would be regularly spaced and Illingworth and Rodkin, Inc. (2012). along the berths and grouted into If sufficient construction funds are Five marine mammal species, sockets drilled into the bedrock (i.e., available, the Navy may install a king including one cetacean and four ‘‘rock-socketed’’). pile and concrete shutter panel pinnipeds, may inhabit or transit the The concrete shutter panels would bulkhead at Berth 11C as part of Phase waters near the Shipyard in the lower then be installed in stacks between the 1. The bulkhead would extend from the Piscataqua River during the specified king piles along most of the length of western end of Berth 11B to the activity. These include the harbor Berth 11. Installation of the concrete southern end of Berth 12. The in-water porpoise (Phocoena phocoena), Gray piles is not included in the noise construction process would be the same seal (Halichoerus grypus), harbor seal analysis because no pile driving would as the process described above. The (Phoca vitulina), hooded seal be required. Along an approximately 16- analysis in this application includes (Crystphora cristata), and harp seal foot section at the eastern end of Berth construction at Berth 11C. Once the (Pagophilus groenlandicus). None of the 11A and an additional 101 feet between Berth 11 bulkheads are complete, the marine mammals that may be found in Berths 11A and 11B, the depth to timber dolphins at the western end of the Piscataqua River are listed under the bedrock is greater, thus allowing a the berth would be replaced with a Endangered Species Act (ESA). Table 2 conventional sheet-pile bulkhead to be similar dolphin constructed of lists the marine mammal species that constructed. The steel sheet-piles would approximately seven piles. could occur in the vicinity of the be driven to bedrock using a vibratory Additional in-water work would be Shipyard and their estimated densities hammer. Sheet piles installed with a required to install steel H-type sister within the Project area. As there are not vibratory hammer also would be used to piles at the location of the inboard construct ‘‘returns,’’ which would be portal crane rail beam at Berth 11, specific density data for any of the shorter bulkheads connecting the new including Berth 11C. The sister piles species in the Piscataqua River, density bulkheads to the existing bulkhead would provide additional support for data from the nearshore zone outside under the pier. Installation of the the portal crane rail system and restore the mouth the Piscataqua River in the sheeting with a vibratory hammer is its load-bearing capacity. The sister Atlantic Ocean have been used instead. estimated to take less than one hour per piles would be driven into the bedrock Therefore, it can be assumed that the pair of sheets. The contractor would below the pier, in water generally less density estimates presented here for probably install two sheets at a time and than 10 feet deep, using an impact each species are conservative and much so the time required install the sheeting hammer. The timing of this work higher than densities that would (10 pairs = 20 sheets) using vibratory depends on operational schedules at the typically be expected in an estuarine hammers would only be about 8 hours berths. The sister piles may be installed environment such as the lower per 10 pairs of sheets. Time either before or after the bulkheads are Piscataqua River in the vicinity of the requirements for all other pile types constructed. Shipyard. TABLE 2—MARINE MAMMAL SPECIES POTENTIALLY PRESENT IN THE PISCATAQUA RIVER IN THE VICINITY OF THE SHIPYARD

Approximate density in the vicinity of the project Relative Season(s) of area Species Stock(s) abundance 1 occurrence in (individuals per km2) 3 Piscataqua River occurrence Winter Spring Summer Fall

Harbor Porpoise, Phocoena phocoena, 79,883 (CV = 0.32) ...... Occasional use ..... Spring to Fall (April 1.2122 1.1705 0.7903 0.9125 Gulf of Maine/Bay of Fundy stock. to December). 4 Gray Seal, Halichoerus grypus, West- 331,000 2 ...... Common ...... Year-round ...... 0.2202 0.2202 0.2202 0.2202 ern North Atlantic stock. Harbor Seal, Phoca vitulina, Western 75,834 (CV = 0.15) ...... Common ...... Year-round ...... 0.1998 0.1998 0.1998 0.1998 North Atlantic stock. Hooded Seal, Crystphora cristata, 592,100 2 ...... Rare ...... Winter to Spring N/A N/A N/A N/A Western North Atlantic stock. (January–May). Harp Seal, Pagophilus groenlandicus, 7,100,000 ...... Rare ...... Winter to Spring 0.0125 0.0125 0.0125 0.0125 Western North Atlantic stock. (January–May). Source: Waring et al., 2015, except where noted. Notes: 1 No population estimate is available for the U.S. western North Atlantic stock; therefore, the best population estimates are those for the Canadian populations as reported in Waring et al., 2015. 2 Source: Waring et al., 2007. The population estimate for the Western North Atlantic hooded seal population was not updated in Waring et al., 2015. 3 Density data are taken from the Navy Marine Species Density Database (Crain 2015; Krause 2015). It should be noted that these data overestimate the potential species density in the Piscataqua River. The Navy Marine Species Density Database data presented in the table are based on a relative environmental suitability study and represent data with low confidence. These data are generally used for broad-scale offshore activities; however, due to a lack of any other data within the general Project area, these data are presented as the best available data for the Piscataqua River. 4 Densities shown for seasons when each species would not be likely to occur in the river. Key: CV = coefficient of variation. km2 = square kilometer.

We have reviewed the Navy’s detailed site (www.nmfs.noaa.gov/pr/species/ waters of both the Atlantic and Pacific species descriptions, including life mammals) for generalized species Oceans. In the western North Atlantic, history information, for accuracy and accounts. the species is found in both U.S. and completeness and refer the reader to Canadian waters. More specifically, the Harbor Porpoise Section 3 of the Navy’s Application species can be found between West instead of reprinting the information Harbor porpoises are found Greenland and Cape Hatteras, North here. Please also refer to NMFS’ Web commonly in coastal and offshore Carolina (NOAA Fisheries Service

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2014a). Based on genetic analysis, it is can be found year-round in the coastal Atlantic stock of harbor seal was 70,142 assumed that harbor porpoises in the waters of the Gulf of Maine (Waring et animals. The minimum population was U.S. and Canadian waters are divided al., 2014). estimated as 55,409 animals (also based into four populations, as follows: (1) There are currently no population on the 2012 aerial abundance survey). Gulf of St. Lawrence; (2) Newfoundland; estimates for the western North Atlantic No trend analysis has been conducted (3) Greenland; and (4) Gulf of Maine/ gray seal stock (Waring et al., 2014). for this species, likely because of the Bay of Fundy. For management However, estimates are available for long interval between the 2012 survey purposes in U.S. waters, harbor portions of the total population for and the previous 2001 survey and the porpoises have been divided into 10 certain time periods (Waring et al., somewhat imprecise abundance stocks along both the East and West 2014). For example, between 1993 and estimates that were generated from Coasts. Of those 10 stocks, only one, the 2004, the Gray seal population in them. In the Piscataqua River, harbor Gulf of Maine/Bay of Fundy stock, is Canada was estimated at between seals are the most abundant pinniped found along the U.S. East Coast, and 144,000 and 223,220 individuals. This species (Smith n.d.). thus only individuals from this stock estimate was based on three separate could be found in the Project area. The surveys and also depended on the Hooded Seal species is primarily found over the population-estimation model that was Continental Shelf in waters less than used (Mohn and Bowen 1996; Hooded seals are also members of the approximately 500 feet deep (Waring et Department of Fisheries and Oceans true seal family (Phocidae) and are al., 2014). In general, the species is 2003; Trzcinski et al., 2005). The most generally found in deeper waters or on commonly found in bays, estuaries, and recent Canadian gray seal population drifting pack ice. The world population harbors (NOAA Fisheries Service estimate is 331,000. This estimate is of hooded seals has been divided into 2014a). based on surveys conducted during three stocks, which coincide with Line-transect surveys have been 2012 in the Gulf of St. Lawrence, Nova specific breeding areas, as follows: (1) conducted in the Gulf of Maine between Scotia Eastern Shore, and Sable Island Northwest Atlantic, (2) Greenland Sea, 1991 and 2011. Based on the 2011 aerial (Waring et al., 2014). In U.S. waters, and (3) White Sea (Waring et al., 2007). surveys, the best abundance estimate for gray seals are known to pup at three The hooded seal is a highly migratory the Gulf of Maine/Bay of Fundy stock of separate locations: (1) Muskeget Island, species, and its range can extend from harbor porpoise is 79,883 animals (CV = Massachusetts; (2) Green Island, Maine; the Canadian arctic to Puerto Rico. In 0.32). The aerial surveys included and (3) Seal Island, Maine. Surveys of the U.S. waters, the species has an central Virginia to the lower Bay of these areas indicate that in these increasing presence in the coastal Fundy. The minimum population colonies pup production is increasing, waters between Maine and Florida estimate is 61,415 animals (Waring et as are the colony populations. General (Waring et al., 2007). In the United al., 2014). Because no trend analysis has population increases in U.S. waters are States, they are considered members of been conducted for this stock, no likely a result of this natural increase the western North Atlantic stock and population trend is available. A and immigration of individuals from generally occur in New England waters Bayesian population model was used to Canadian populations (Waring et al., from January through May and further determine the currently accepted 2014). south in the summer and fall seasons population growth rate. Fertility data Harbor Seal (Waring et al., 2007). and age-at-death data from stranded Harbor seals are also members of the Population abundance of hooded animals and animals taken in gillnets seals in the western North Atlantic is were used for the model (Waring et al., true seal family (Phocidae) and can be found in nearshore waters along both derived from pup production estimates. 2014). It was then determined that the These estimates are developed from potential natural growth rate for the the North Atlantic and North Pacific whelping pack surveys. The most recent Gulf of Maine/Bay of Fundy stock of coasts, generally at latitudes above 30° population estimate in the western harbor porpoises was 0.046 (Waring et N. (Burns 2009). In the western Atlantic North Atlantic was derived in 2005. al., 2014). The harbor porpoise is likely Ocean, the harbor seal’s range extends There have been no recent surveys the most abundant cetacean within the from the eastern Canadian Arctic to Piscataqua River (Smith n.d.) New York; however, they can be found conducted or population estimates as far south as the Carolinas (Waring et developed for this species. The 2005 Gray Seal al., 2014). In New England, the species best population estimate for hooded Gray seals, which are members of the can be found in coastal waters year- seals is 592,100 individuals, with a ‘‘true seal’’ family (Phocidae), are a round (Waring et al., 2014). Overall, minimum population estimate of coastal species that generally remains there are five recognized subspecies of 512,000 individuals (Waring et al., within the Continental Shelf region. harbor seal, two of which occur in the 2007). Currently, not enough data are Gray seals can be found on both sides Atlantic Ocean. The western Atlantic available to determine what percentage of the North Atlantic. Within this area, harbor seal (Phoca vitulina concolor) is of this estimate may represent the the species is split into three primary the subspecies likely to occur in the population within U.S. waters. A populations: (1) Eastern Canada, (2) project area. There is some uncertainly population trend also cannot be northwestern Europe, and (3) the Baltic about the overall population stock developed for this species due to a lack Sea (Katona et al., 1993). Gray seals structure of harbor seals in the western of sufficient data. Hooded seals are within U.S. waters are considered the North Atlantic Ocean. However, it is known to occur in the Piscataqua River; western North Atlantic stock and are theorized that harbor seals along the however, they are not as abundant as expected to be part of the eastern eastern U.S. and Canada are all from a the more commonly observed harbor Canadian population (Waring et al., single population (Temte et al., 1991). seal. Anecdotal sighting information 2014). In U.S. waters, year-round An aerial abundance survey was indicates that two hooded seals were breeding of approximately 400 animals conducted in 2012 during the pupping observed from the Shipyard in August has been documented on areas of outer season along the entire Maine coast. As 2009, but no other observations have Cape Cod and Mukeget Island in a result of this survey, the best estimate been recorded (Trefry November 20, Massachusetts. In general, this species of abundance for the western North 2015).

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Harp Seal analysis of how this specific activity for in the summation of pressure levels Harp seals are also members of the will impact marine mammals and will (Hastings and Popper, 2005). This true seal family and classified into three consider the content of this section, the measurement is often used in the stocks, which coincide with specific ‘‘Estimated Take by Incidental context of discussing behavioral effects, pupping sites on pack ice, as follows: (1) Harassment’’ section, and the ‘‘Proposed in part because behavioral effects, Eastern Canada, including the areas off Mitigation’’ section to draw conclusions which often result from auditory cues, the coast of Newfoundland and regarding the likely impacts of this may be better expressed through Labrador and the area near the activity on the reproductive success or averaged units than by peak pressures. When underwater objects vibrate or Magdalen Islands in the Gulf of St. survivorship of individuals and from that on the affected marine mammal activity occurs, sound-pressure waves Lawrence; (2) the West Ice off eastern populations or stocks. In the following are created. These waves alternately Greenland, and (3) the ice in the White discussion, we provide general compress and decompress the water as Sea off the coast of Russia (Waring et al., background information on sound and the sound wave travels. Underwater 2014). The harp seal is a highly marine mammal hearing before sound waves radiate in all directions migratory species, and its range can considering potential effects to marine away from the source (similar to ripples extend from the Canadian arctic to New mammals from sound produced by pile on the surface of a pond), except in Jersey. In U.S. waters, the species has an driving. cases where the source is directional. increasing presence in the coastal The compressions and decompressions waters between Maine and New Jersey Description of Sound Sources associated with sound waves are (Waring et al., 2014). In the United Sound travels in waves, the basic detected as changes in pressure by States, they are considered members of components of which are frequency, aquatic life and man-made sound the western North Atlantic stock and wavelength, velocity, and amplitude. receptors such as hydrophones. generally occur in New England waters Frequency is the number of pressure Even in the absence of sound from the from January through May in the winter waves that pass by a reference point per specified activity, the underwater and spring (Waring et al., 2014). The unit of time and is measured in hertz environment is typically loud due to observed influx of harp seals and (Hz) or cycles per second. Wavelength is ambient sound. Ambient sound is geographic distribution in New England the distance between two peaks of a defined as environmental background to mid-Atlantic waters is based sound wave; lower frequency sounds sound levels lacking a single source or primarily on strandings and secondarily have longer wavelengths than higher point (Richardson et al., 1995), and the on fishery bycatch. frequency sounds and attenuate sound level of a region is defined by the Population abundance of harp seals in (decrease) more rapidly in shallower total acoustical energy being generated the western North Atlantic is derived water. Amplitude is the height of the by known and unknown sources. These from aerial surveys and mark-recapture sound pressure wave or the ‘loudness’ sources may include physical (e.g., (Waring et al., 2014). The most recent of a sound and is typically measured waves, earthquakes, ice, atmospheric population estimate in the western using the decibel (dB) scale. A dB is the sound), biological (e.g., sounds North Atlantic was derived in 2012 from ratio between a measured pressure (with produced by marine mammals, fish, and an aerial harp seal survey. The 2012 best sound) and a reference pressure (sound invertebrates), and anthropogenic sound population estimate for hooded seals is at a constant pressure, established by (e.g., vessels, dredging, aircraft, 7.1 million individuals (Waring et al., scientific standards). It is a logarithmic construction). A number of sources 2014). Currently, not enough data are unit that accounts for large variations in contribute to ambient sound, including available to determine what percentage amplitude; therefore, relatively small the following (Richardson et al., 1995): of this estimate may represent the changes in dB ratings correspond to • Wind and waves: The complex population within U.S. waters. A large changes in sound pressure. When interactions between wind and water population trend also cannot be referring to sound pressure levels (SPLs; surface, including processes such as developed for this species due to a lack the sound force per unit area), sound is breaking waves and wave-induced of sufficient data, as recent increases in referenced in the context of underwater bubble oscillations and cavitation, are a strandings may not be indicative of sound pressure to 1 microPascal (mPa). main source of naturally occurring population size. Harp seals are known One pascal is the pressure resulting ambient noise for frequencies between to occur in the Piscataqua River; from a force of one newton exerted over 200 Hz and 50 kHz (Mitson, 1995). In however, they are not as abundant as an area of one square meter. The source general, ambient sound levels tend to the more commonly observed harbor level (SL) represents the sound level at increase with increasing wind speed seal (Crain 2015). a distance of 1 m from the source and wave height. Surf noise becomes (referenced to 1 mPa). The received level important near shore, with Potential Effects of the Specified is the sound level at the listener’s measurements collected at a distance of Activity on Marine Mammals and Their position. Note that all underwater sound 8.5 km from shore showing an increase Habitat levels in this document are referenced of 10 dB in the 100 to 700 Hz band This section includes a summary and to a pressure of 1 mPa and all airborne during heavy surf conditions. discussion of the ways that stressors, sound levels in this document are • Precipitation: Sound from rain and (e.g., pile driving,) and potential referenced to a pressure of 20 mPa. hail impacting the water surface can mitigation activities, associated with the Root mean square (rms) is the become an important component of total proposed waterfront improvement quadratic mean sound pressure over the noise at frequencies above 500 Hz, and project may impact marine mammals duration of an impulse. Rms is possibly down to 100 Hz during quiet and their habitat. The ‘‘Estimated Take calculated by squaring all of the sound times. by Incidental Harassment’’ section later amplitudes, averaging the squares, and • Biological: Marine mammals can in this document will include a then taking the square root of the contribute significantly to ambient noise quantitative analysis of the number of average (Urick, 1983). Rms accounts for levels, as can some fish and shrimp. The individuals that are expected to be taken both positive and negative values; frequency band for biological by this activity. The ‘‘Negligible Impact squaring the pressures makes all values contributions is from approximately 12 Analysis’’ section will include the positive so that they may be accounted Hz to over 100 kHz.

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• Anthropogenic: Sources of ambient In the vicinity of the Project area, the pressure to a maximal pressure value noise related to human activity include average broadband ambient underwater followed by a rapid decay period that transportation (surface vessels and noise levels are commonly 52.8 to 80.5 may include a period of diminishing, aircraft), dredging and construction, oil dB SEL re 1mPa with substantially oscillating maximal and minimal and gas drilling and production, seismic higher maximum peak readings (79.9 to pressures, and generally have an surveys, sonar, explosions, and ocean 103.9 Lpeak dB re 1mPa) due to passing increased capacity to induce physical acoustic studies. Shipping noise boats and industrial noise (ESS Group, injury as compared with sounds that typically dominates the total ambient Inc. 2015). However, boat traffic was lack these features. noise for frequencies between 20 and limited the day of the study; three boats Non-pulsed sounds can be tonal, 300 Hz. In general, the frequencies of passed at a distance greater than 66 narrowband, or broadband, brief or anthropogenic sounds are below 1 kHz yards from site. Therefore, given the prolonged, and may be either and, if higher frequency sound levels short duration of the measurements, it continuous or non-continuous (ANSI, are created, they attenuate rapidly would be difficult to determine whether 1995; NIOSH, 1998). Some of these non- (Richardson et al., 1995). Sound from vessel noise associated with the pulsed sounds can be transient signals identifiable anthropogenic sources other Proposed Action would add greatly to of short duration but without the than the activity of interest (e.g., a the existing background vessel noise in essential properties of pulses (e.g., rapid passing vessel) is sometimes termed the lower Piscataqua River. However, rise time). Examples of non-pulsed background sound, as opposed to based on these measurements, it cannot sounds include those produced by ambient sound. be assumed that the sound produced by vessels, aircraft, machinery operations vibratory pile driving would be such as drilling or dredging, vibratory The sum of the various natural and completely masked by background pile driving, and active sonar systems anthropogenic sound sources at any vessel noise, especially in areas close to (such as those used by the U.S. Navy). given location and time—which the vibratory hammer. The duration of such sounds, as comprise ‘‘ambient’’ or ‘‘background’’ There are two general categories of received at a distance, can be greatly sound—depends not only on the source sound types: Impulse and non-pulse. extended in a highly reverberant levels (as determined by current Vibratory pile driving is considered to environment. weather conditions and levels of be continuous or non-pulsed while Impact hammers operate by biological and shipping activity) but impact pile driving is considered to be repeatedly dropping a heavy piston onto also on the ability of sound to propagate an impulse or pulsed sound type. The a pile to drive the pile into the substrate. through the environment. In turn, sound distinction between these two sound Sound generated by impact hammers is propagation is dependent on the types is important because they have characterized by rapid rise times and spatially and temporally varying differing potential to cause physical high peak levels, a potentially injurious properties of the water column and sea effects, particularly with regard to combination (Hastings and Popper, floor, and is frequency-dependent. As a hearing (e.g., Ward, 1997 in Southall et 2005). Vibratory hammers install piles result of the dependence on a large al., 2007). Please see Southall et al., by vibrating them and allowing the number of varying factors, ambient (2007) for an in-depth discussion of weight of the hammer to push them into sound levels can be expected to vary these concepts. the sediment. Vibratory hammers widely over both coarse and fine spatial Pulsed sound sources (e.g., produce significantly less sound than and temporal scales. Sound levels at a explosions, gunshots, sonic booms, impact hammers. Peak SPLs may be 180 given frequency and location can vary impact pile driving) produce signals dB or greater, but are generally 10 to 20 by 10–20 dB from day to day that are brief (typically considered to be dB lower than SPLs generated during (Richardson et al., 1995). The result is less than one second), broadband, atonal impact pile driving of the same-sized that, depending on the source type and transients (ANSI, 1986; Harris, 1998; pile (Oestman et al., 2009). Rise time is its intensity, sound from the specified NIOSH, 1998; ISO, 2003; ANSI, 2005) slower, reducing the probability and activity may be a negligible addition to and occur either as isolated events or severity of injury, and sound energy is the local environment or could form a repeated in some succession. Pulsed distributed over a greater amount of distinctive signal that may affect marine sounds are all characterized by a time (Nedwell and Edwards, 2002; mammals. relatively rapid rise from ambient Carlson et al., 2005).

TABLE 3—REPRESENTATIVE SOUND LEVELS OF ANTHROPOGENIC SOURCES

Frequency Sound source range Underwater sound level Reference (Hz)

Small vessels ...... 250–1,000 151 dB rms at 1 m ...... Richardson et al., 1995. Tug docking gravel barge ...... 200–1,000 149 dB rms at 100 m ...... Blackwell and Greene, 2002. Vibratory driving of 72-in steel pipe pile ...... 10–1,500 180 dB rms at 10 m ...... Reyff, 2007. Impact driving of 36-in steel pipe pile ...... 10–1,500 195 dB rms at 10 m ...... Laughlin, 2005. Impact driving of 66-in cast-in-steel-shell (CISS) pile .. 10–1,500 195 dB rms at 10 m ...... Reviewed in Hastings and Popper, 2005.

The likely or possible impacts of the mammals, however, are expected to effects. To appropriately assess these proposed project on marine mammals primarily be acoustic in nature. potential effects, it is necessary to could involve both non-acoustic and understand the frequency ranges marine Marine Mammal Hearing acoustic stressors. Potential non- mammals are able to hear. Current data acoustic stressors could result from the Hearing is the most important sensory indicate that not all marine mammal physical presence of the equipment and modality for marine mammals, and species have equal hearing capabilities personnel. Any impacts to marine exposure to sound can have deleterious (e.g., Richardson et al., 1995; Wartzok

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and Ketten, 1999). To reflect this, Acoustic Effects, Underwater effects such as behavioral disturbance or Southall et al., (2007) recommended Potential Effects of Pile Driving tactile perception to physical that marine mammals be divided into Sound—The effects of sounds from pile discomfort, slight injury of the internal functional hearing groups based on driving might result in one or more of organs and the auditory system, or measured or estimated hearing ranges the following: Temporary or permanent mortality (Yelverton et al., 1973). Hearing Impairment and Other on the basis of available behavioral data, hearing impairment, non-auditory Physical Effects—Marine mammals audiograms derived using auditory physical or physiological effects, exposed to high intensity sound evoked potential techniques, anatomical behavioral disturbance, and masking repeatedly or for prolonged periods can modeling, and other data. The lower (Richardson et al., 1995; Gordon et al., experience hearing threshold shift (TS), and/or upper frequencies for some of 2004; Nowacek et al., 2007; Southall et which is the loss of hearing sensitivity these functional hearing groups have al., 2007). The effects of pile driving on at certain frequency ranges (Kastak et been modified from those designated by marine mammals are dependent on al., 1999; Schlundt et al., 2000; Southall et al., (2007). The functional several factors, including the size, type, Finneran et al., 2003, 2005). TS can be groups and the associated frequencies and depth of the animal; the depth, are indicated below (note that these permanent (PTS), in which case the loss intensity, and duration of the pile of hearing sensitivity is not recoverable, frequency ranges do not necessarily driving sound; the depth of the water correspond to the range of best hearing, or temporary (TTS), in which case the column; the substrate of the habitat; the animal’s hearing threshold would which varies by species): standoff distance between the pile and • recover over time (Southall et al., 2007). Low-frequency cetaceans the animal; and the sound propagation (mysticetes): Functional hearing is Marine mammals depend on acoustic properties of the environment. Impacts cues for vital biological functions, (e.g., estimated to occur between to marine mammals from pile driving approximately 7 Hz and 25 kHz orientation, communication, finding activities are expected to result prey, avoiding predators); thus, TTS (extended from 22 kHz; Watkins, 1986; primarily from acoustic pathways. As Lucifredi and Stein, 2007; Ketten and may result in reduced fitness in survival such, the degree of effect is intrinsically and reproduction. However, this Mountain, 2009; Tubelli et al., 2012); related to the received level and • depends on the frequency and duration Mid-frequency cetaceans (larger duration of the sound exposure, which toothed whales, beaked whales, and of TTS, as well as the biological context are in turn influenced by the distance in which it occurs. TTS of limited most delphinids): Functional hearing is between the animal and the source. The estimated to occur between duration, occurring in a frequency range further away from the source, the less that does not coincide with that used for approximately 150 Hz and 160 kHz; intense the exposure should be. recognition of important acoustic cues, • High-frequency cetaceans The substrate and depth of the habitat would have little to no effect on an (porpoises, river dolphins, and members affect the sound propagation properties animal’s fitness. Repeated sound of the genera Kogia and of the environment. Shallow exposure that leads to TTS could cause Cephalorhynchus; now considered to environments are typically more PTS. PTS constitutes injury, but TTS include two members of the genus structurally complex, which leads to does not (Southall et al., 2007). The Lagenorhynchus on the basis of recent rapid sound attenuation. In addition, following subsections discuss in echolocation data and genetic data substrates that are soft (e.g., sand) would somewhat more detail the possibilities [May-Collado and Agnarsson, 2006; absorb or attenuate the sound more of TTS, PTS, and non-auditory physical Kyhn et al., 2009, 2010; Tougaard et al., readily than hard substrates (e.g., rock) effects. 2010]): Functional hearing is estimated which may reflect the acoustic wave. Temporary Threshold Shift—TTS is to occur between approximately 200 Hz Soft porous substrates would also likely the mildest form of hearing impairment and 180 kHz; and require less time to drive the pile, and that can occur during exposure to a • Pinnipeds in water: Functional possibly less forceful equipment, which strong sound (Kryter, 1985). While hearing is estimated to occur between would ultimately decrease the intensity experiencing TTS, the hearing threshold approximately 75 Hz to 100 kHz for of the acoustic source. Much of the rises, and a sound must be stronger in Phocidae (true seals) and between 100 shoreline in the project area has been order to be heard. In terrestrial Hz and 48 kHz for Otariidae (eared characterized as hard shores (rocky mammals, TTS can last from minutes or seals), with the greatest sensitivity intertidal). In general, rocky intertidal hours to days (in cases of strong TTS). between approximately 700 Hz and 20 areas consist of bedrock that alternates For sound exposures at or somewhat kHz. The pinniped functional hearing between marine and terrestrial habitats, above the TTS threshold, hearing group was modified from Southall et al., depending on the tide. Rocky intertidal sensitivity in both terrestrial and marine (2007) on the basis of data indicating areas are characterized by bedrock, mammals recovers rapidly after that phocid species have consistently stones, or boulders that singly or in exposure to the sound ends. Few data demonstrated an extended frequency combination cover 75 percent or more of on sound levels and durations necessary range of hearing compared to otariids, an area that is covered less than 30 to elicit mild TTS have been obtained especially in the higher frequency range percent by vegetation. for marine mammals, and none of the (Kastelein et al., 2009; Reichmuth et al., In the absence of mitigation, impacts published data concern TTS elicited by 2013). to marine species would be expected to exposure to multiple pulses of sound. The single cetacean species likely to result from physiological and behavioral Available data on TTS in marine occur in the proposed project area and responses to both the type and strength mammals are summarized in Southall et for which take is requested, is classified of the acoustic signature (Viada et al., al., (2007). as a high-frequency cetacean (i.e., 2008). The type and severity of Given the available data, the received harbor porpoise) (Southall et al., 2007). behavioral impacts are more difficult to level of a single pulse (with no Additionally, gray seals, harbor seals, document due to limited studies frequency weighting) might need to be hooded seals, and harp seals are addressing the behavioral effects of approximately 186 dB re 1 mPa2-s (i.e., classified as members of the phocid impulse sounds on marine mammals. 186 dB sound exposure level [SEL] or pinnipeds in-water functional hearing Potential effects from impulsive sound approximately 221–226 dB p-p [peak]) group. sources can range in severity from in order to produce brief, mild TTS.

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Exposure to several strong pulses that need to exceed the TTS threshold by at The available data do not allow each have received levels near 190 dB least 15 dB for there to be risk of PTS. identification of a specific exposure rms (175–180 dB SEL) might result in Thus, for cetaceans, Southall et al., level above which non-auditory effects cumulative exposure of approximately (2007) estimate that the PTS threshold can be expected (Southall et al., 2007) 186 dB SEL and thus slight TTS in a might be an M-weighted SEL (for the or any meaningful quantitative small odontocete, assuming the TTS sequence of received pulses) of predictions of the numbers (if any) of threshold is (to a first approximation) a approximately 198 dB re 1 mPa2-s (15 dB marine mammals that might be affected function of the total received pulse higher than the TTS threshold for an in those ways. Marine mammals that energy (Southall et al. 2007). impulse). Given the higher level of show behavioral avoidance of pile The above TTS information for sound necessary to cause PTS as driving, including some odontocetes odontocetes is derived from studies on compared with TTS, it is considerably and some pinnipeds, are especially the bottlenose dolphin (Tursiops less likely that PTS could occur. unlikely to incur auditory impairment truncatus) and beluga whale. There is Although no marine mammals have or non-auditory physical effects. no published TTS information for other been shown to experience TTS or PTS species of cetaceans. However, as a result of being exposed to pile Disturbance Reactions preliminary evidence from a harbor driving activities, captive bottlenose Disturbance includes a variety of porpoise exposed to pulsed sound dolphins and beluga whales exhibited effects, including subtle changes in suggests that its TTS threshold may changes in behavior when exposed to behavior, more conspicuous changes in have been lower (Lucke et al., 2009). strong pulsed sounds (Finneran et al., activities, and displacement. Behavioral Furthermore, harbor porpoise are high 2000, 2003, 2005). The animals tolerated responses to sound are highly variable frequency hearing specialists so they are high received levels of sound before and context-specific and reactions, if not as sensitive to lower frequency exhibiting aversive behaviors. any, depend on species, state of sounds produced by pile driving as Experiments on a beluga whale showed maturity, experience, current activity, much as belugas and bottlenose that exposure to a single watergun reproductive state, auditory sensitivity, dolphins are. As summarized above, impulse at a received level of 207 kPa time of day, and many other factors data that are now available imply that (30 psi) p-p, which is equivalent to 228 (Richardson et al., 1995; Wartzok et al., TTS is unlikely to occur unless dB p-p, resulted in a 7 and 6 dB TTS 2003; Southall et al., 2007). odontocetes are exposed to pile driving in the beluga whale at 0.4 and 30 kHz, Habituation can occur when an pulses stronger than 180 dB re 1 mPa respectively. Thresholds returned to animal’s response to a stimulus wanes rms. within 2 dB of the pre-exposure level with repeated exposure, usually in the Permanent Threshold Shift—When within four minutes of the exposure absence of unpleasant associated events PTS occurs, there is physical damage to (Finneran et al., 2003). Although the (Wartzok et al., 2003). Animals are most the sound receptors in the ear. In severe source level of pile driving from one likely to habituate to sounds that are cases, there can be total or partial hammer strike is expected to be much predictable and unvarying. The opposite deafness, while in other cases the lower than the single watergun impulse process is sensitization, when an animal has an impaired ability to hear cited here, animals being exposed for a unpleasant experience leads to sounds in specific frequency ranges prolonged period to repeated hammer subsequent responses, often in the form (Kryter, 1985). There is no specific strikes could receive more sound of avoidance, at a lower level of evidence that exposure to pulses of exposure in terms of SEL than from the exposure. Behavioral state may affect sound can cause PTS in any marine single watergun impulse (estimated at the type of response as well. For mammal. However, given the possibility 188 dB re 1 mPa2-s) in the example, animals that are resting may that mammals close to a sound source aforementioned experiment (Finneran et show greater behavioral change in can incur TTS, it is possible that some al., 2003). However, in order for marine response to disturbing sound levels than individuals might incur PTS. Single or mammals to experience TTS or PTS, the animals that are highly motivated to occasional occurrences of mild TTS are animals have to be close enough to be remain in an area for feeding not indicative of permanent auditory exposed to high intensity sound levels (Richardson et al., 1995; NRC, 2003; damage, but repeated or (in some cases) for a prolonged period of time. Based on Wartzok et al., 2003). single exposures to a level well above the best scientific information available, Controlled experiments with captive that causing TTS onset might elicit PTS. these SPLs are far below the thresholds marine mammals showed pronounced Relationships between TTS and PTS that could cause TTS or the onset of behavioral reactions, including thresholds have not been studied in PTS. avoidance of loud sound sources marine mammals but are assumed to be Non-auditory Physiological Effects— (Ridgway et al., 1997; Finneran et al., similar to those in humans and other Non-auditory physiological effects or 2003). Observed responses of wild terrestrial mammals, based on injuries that theoretically might occur in marine mammals to loud pulsed sound anatomical similarities. PTS might marine mammals exposed to strong sources (typically seismic guns or occur at a received sound level at least underwater sound include stress, acoustic harassment devices, but also several decibels above that inducing neurological effects, bubble formation, including pile driving) have been varied mild TTS if the animal were exposed to resonance effects, and other types of but often consist of avoidance behavior strong sound pulses with rapid rise organ or tissue damage (Cox et al., 2006; or other behavioral changes suggesting time. Based on data from terrestrial Southall et al., 2007). Studies examining discomfort (Morton and Symonds, 2002; mammals, a precautionary assumption such effects are limited. In general, little Thorson and Reyff, 2006; see also is that the PTS threshold for impulse is known about the potential for pile Gordon et al., 2004; Wartzok et al., sounds (such as pile driving pulses as driving to cause auditory impairment or 2003; Nowacek et al., 2007). Responses received close to the source) is at least other physical effects in marine to continuous sound, such as vibratory 6 dB higher than the TTS threshold on mammals. Available data suggest that pile installation, have not been a peak-pressure basis and probably such effects, if they occur at all, would documented as well as responses to greater than 6 dB (Southall et al., 2007). presumably be limited to short distances pulsed sounds. On an SEL basis, Southall et al., (2007) from the sound source and to activities With both types of pile driving, it is estimated that received levels would that extend over a prolonged period. likely that the onset of pile driving

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could result in temporary, short term marine mammals. Therefore, under this proposed action masking acoustic changes in an animal’s typical behavior certain circumstances, marine mammals signals important to the behavior and and/or avoidance of the affected area. whose acoustical sensors or survival of marine mammal species is These behavioral changes may include environment are being severely masked likely to be negligible. Vibratory pile (Richardson et al., 1995): Changing could also be impaired from maximizing driving is also relatively short-term, durations of surfacing and dives, their performance fitness in survival with rapid oscillations occurring for number of blows per surfacing, or and reproduction. If the coincident approximately one and a half hours per moving direction and/or speed; (masking) sound were anthropogenic, it pile. It is possible that vibratory pile reduced/increased vocal activities; could be potentially harassing if it driving resulting from this proposed changing/cessation of certain behavioral disrupted hearing-related behavior. It is action may mask acoustic signals activities (such as socializing or important to distinguish TTS and PTS, important to the behavior and survival feeding); visible startle response or which persist after the sound exposure, of marine mammal species, but the aggressive behavior (such as tail/fluke from masking, which occurs only during short-term duration and limited affected slapping or jaw clapping); avoidance of the sound exposure. Because masking area would result in insignificant areas where sound sources are located; (without resulting in TS) is not impacts from masking. Any masking and/or flight responses (e.g., pinnipeds associated with abnormal physiological event that could possibly rise to Level flushing into water from haul-outs or function, it is not considered a B harassment under the MMPA would rookeries). Pinnipeds may increase their physiological effect, but rather a occur concurrently within the zones of haul-out time, possibly to avoid in- potential behavioral effect. behavioral harassment already water disturbance (Thorson and Reyff, Masking occurs at the frequency band estimated for vibratory and impact pile 2006). which the animals utilize so the driving, and which have already been The biological significance of many of frequency range of the potentially taken into account in the exposure these behavioral disturbances is difficult masking sound is important in analysis. to predict, especially if the detected determining any potential behavioral Acoustic Effects, Airborne disturbances appear minor. However, impacts. Because sound generated from the consequences of behavioral in-water vibratory pile driving is mostly Marine mammals that occur in the modification could be expected to be concentrated at low frequency ranges, it project area could be exposed to biologically significant if the change may have less effect on high frequency airborne sounds associated with pile affects growth, survival, or echolocation sounds made by porpoises. driving that have the potential to cause reproduction. Significant behavioral However, lower frequency man-made harassment, depending on their distance modifications that could potentially sounds are more likely to affect from pile driving activities. Airborne lead to effects on growth, survival, or detection of communication calls and pile driving sound would not impact reproduction include: other potentially important natural cetaceans because sound from • Drastic changes in diving/surfacing sounds such as surf and prey sound. It atmospheric sources does not transmit patterns (such as those thought to cause may also affect communication signals well underwater (Richardson et al., beaked whale stranding due to exposure when they occur near the sound band 1995); thus, airborne sound may only be to military mid-frequency tactical and thus reduce the communication an issue for pinnipeds either hauled-out sonar); space of animals (e.g., Clark et al., 2009) or looking with heads above water in • Habitat abandonment due to loss of and cause increased stress levels (e.g., the project area. Most likely, airborne desirable acoustic environment; and Foote et al., 2004; Holt et al., 2009). sound would cause behavioral • Cessation of feeding or social Masking affects both senders and responses similar to those discussed interaction. receivers of the signals and can above in relation to underwater sound. The onset of behavioral disturbance potentially have long-term chronic For instance, anthropogenic sound from anthropogenic sound depends on effects on marine mammal species and could cause hauled-out pinnipeds to both external factors (characteristics of populations. Recent research suggests exhibit changes in their normal sound sources and their paths) and the that low frequency ambient sound levels behavior, such as reduction in specific characteristics of the receiving have increased by as much as 20 dB vocalizations, or cause them to animals (hearing, motivation, (more than three times in terms of SPL) temporarily abandon their habitat and experience, demography) and is difficult in the world’s ocean from pre-industrial move further from the source. Studies to predict (Southall et al., 2007). periods, and that most of these increases by Blackwell et al., (2004) and Moulton are from distant shipping (Hildebrand, et al., (2005) indicate a tolerance or lack Auditory Masking 2009). All anthropogenic sound sources, of response to unweighted airborne Natural and artificial sounds can such as those from vessel traffic, pile sounds as high as 112 dB peak and 96 disrupt behavior by masking, or driving, and dredging activities, dB rms. However, since there are no interfering with, a marine mammal’s contribute to the elevated ambient regular haul-outs in the vicinity of the ability to hear other sounds. Masking sound levels, thus intensifying masking. site of the proposed project area, we occurs when the receipt of a sound is The most intense underwater sounds believe that incidents of incidental take interfered with by another coincident in the proposed action are those resulting from airborne sound or visual sound at similar frequencies and at produced by impact pile driving. Given disturbance are unlikely. similar or higher levels. Chronic that the energy distribution of pile exposure to excessive, though not high- driving covers a broad frequency Vessel Interaction intensity, sound could cause masking at spectrum, sound from these sources Besides being susceptible to vessel particular frequencies for marine would likely be within the audible strikes, cetacean and pinniped mammals that utilize sound for vital range of marine mammals present in the responses to vessels may result in biological functions. Masking can project area. Impact pile driving activity behavioral changes, including greater interfere with detection of acoustic is relatively short-term, with rapid variability in the dive, surfacing, and signals such as communication calls, pulses occurring for approximately respiration patterns; changes in echolocation sounds, and fifteen minutes per pile. The probability vocalizations; and changes in swimming environmental sounds important to for impact pile driving resulting from speed or direction (NRC 2003). There

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will be a temporary and localized and temporary due to the short fish habitat, populations of fish species increase in vessel traffic during timeframe for the project. or marine mammal foraging habitat at construction. the project area. Furthermore, any Effects to Foraging Habitat impacts to marine mammal habitat that Potential Effects on Marine Mammal During the course of the proposed may occur are not expected to cause Habitat project, various activities are expected significant or long-term consequences The proposed activities at Portsmouth to disturb the sediment. These activities for individual marine mammals or their Naval Shipyard would not result in include pile driving, dredging, and populations. filling. In order to minimize the amount permanent impacts to habitats used Proposed Mitigation Measures directly by marine mammals, but may of debris, sediment, and silt escaping have potential short-term impacts to when backfilling the Berth 11 bulkhead, In order to issue an IHA under section food sources such as forage fish and the Navy will install geotextile fabric 101(a)(5)(D) of the MMPA, NMFS must may affect acoustic habitat (see masking against the interior of the bulkhead to set forth the permissible methods of discussion above). There are no known catch debris, sediment, and silt forced taking pursuant to such activity, ‘‘and foraging hotspots or other ocean bottom through seams in the bulkhead when other means of effecting the least structure of significant biological the backfill is compacted. In addition, a practicable impact on such species or importance to marine mammals present temporary silt curtain and boom would stock and its habitat, paying particular in the marine waters of the project area. be installed outside of Berth 11, attention to rookeries, mating grounds, approximately 18 feet off the berth, and areas of similar significance, and on Therefore, the main impact issue during backfilling to catch additional the availability of such species or stock associated with the proposed activity debris, sediment, and silt that escapes for taking’’ for certain subsistence uses. would be temporarily elevated sound the bulkhead. NMFS regulations require applicants for levels and the associated direct effects Pile driving and dredging activities incidental take authorizations to include on marine mammals, as discussed may re-suspend disturbed sediment and information about the availability and previously in this document. The most result in turbid conditions within the feasibility (economic and technological) likely impact to marine mammal habitat immediate project area. Suspended of equipment, methods, and manner of would be the effect of pile driving on sediments may be transported and re- conducting such activity or other means likely marine mammal prey (i.e., fish) deposited downstream of the prevailing of effecting the least practicable adverse and minor impacts to the immediate currents, which could increase siltation impact upon the affected species or substrate during installation and in the vicinity of the Shipyard. stocks, their habitat. 50 CFR removal of piles. Resulting sedimentation is also 216.104(a)(11). For the proposed project, Potential Pile Driving Effects on Prey expected to be localized and temporary. the Navy worked with NMFS and Since the currents are so strong in the proposed the following mitigation Construction activities may produce area, suspended sediments in the water measures to minimize the potential both pulsed (i.e., impact pile driving) column should dissipate and quickly impacts to marine mammals in the and continuous (i.e., vibratory pile return to background levels. Following project vicinity. The primary purposes driving) sounds. Fish react to sounds the completion of sediment-disturbing of these mitigation measures are to which are especially strong and/or activities, the turbidity levels within the minimize sound levels from the intermittent low-frequency sounds. temporary offshore workspace are activities, and to monitor marine Short duration, sharp sounds can cause expected to return to normal ambient mammals within designated zones of overt or subtle changes in fish behavior levels following the end of construction influence corresponding to NMFS’ and local distribution. Hastings and in all construction scenarios. Turbidity current Level A and B harassment Popper (2005) identified several studies within the water column has the thresholds which are depicted in Table that suggest fish may relocate to avoid potential to reduce the level of oxygen 9 found later in the Estimated Take by certain areas of sound energy. in the water and irritate the gills of Incidental Harassment section. Additional studies have documented cetacean or pinniped prey fish species In addition to the measures described effects of pile driving (or other types of in the project area. However, turbidity later in this section, the Navy would sounds) on fish, although several are plumes associated with the project employ the following standard based on studies in support of large, would be temporary and localized, and mitigation measures: multiyear bridge construction projects fish in the project area would be able to Time Restrictions—Pile driving/ (e.g., Scholik and Yan, 2001, 2002; move away from and avoid the areas removal (vibratory as well as impact), Popper and Hastings, 2009). Sound where plumes may occur. Therefore, it drilling, and vibratory extraction will pulses at received levels of 160 dB re 1 is expected that the impacts on prey fish only be conducted during daylight mPa may cause subtle changes in fish species from turbidity, and therefore on hours. behavior. SPLs of 180 dB may cause marine mammals, would be minimal Establishment of Shutdown Zone— noticeable changes in behavior (Pearson and temporary. In general, the area During pile driving and removal, the et al., 1992; Skalski et al., 1992). SPLs likely impacted by the project is shutdown zone shall include all areas of sufficient strength have been known relatively small compared to the where the underwater SPLs are to cause injury to fish and fish available habitat in Great Bay Estuary. anticipated to equal or exceed the Level mortality. The most likely impact to fish As a result, activity at the project site A (injury) harassment criteria for marine from pile driving activities at the project would be inconsequential in terms of its mammals (180 dB rms isopleth for area would be temporary behavioral effects on marine mammal foraging. cetaceans; 190 dB rms isopleth for avoidance of the area. The duration of In summary, given the short daily pinnipeds). During all pile driving and fish avoidance of this area after pile duration of sound associated with removal activities, regardless of driving stops is unknown, but a rapid individual pile driving events and the predicted SPLs, the entire Level A zone, return to normal recruitment, relatively small areas being affected, or shutdown zone, will be monitored to distribution and behavior is anticipated. pile driving activities associated with prevent injury to marine mammals from In general, impacts to marine mammal the proposed action are not likely to their physical interaction with prey species are expected to be minor have a permanent, adverse effect on any construction equipment during in-water

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activities. Pile driving or removal All shutdown and disturbance zones shall have no other construction-related operations will cease if a marine will initially be based on the distances tasks while conducting monitoring and mammal approaches the zone. Pile from the source that were predicted for will be trained on the observation zones, driving/removal operations will restart each threshold level. species identification, how to observe, once the marine mammal is visibly seen Soft Start—The use of a soft start and how to fill out the data sheets by leaving the Level A zone, or after 15 procedure is believed to provide the Navy Natural Resources Manager minutes have passed with no sightings additional protection to marine prior to any pile driving activities. During all in-water construction or mammals by providing a warning and/ • The Navy shall conduct a pre- demolition activities having the or giving marine mammals a chance to construction briefing with the potential to affect marine mammals, a leave the area prior to the hammer contractor. During the briefing, all shutdown zone of 10 m will be operating at full capacity. The Navy will contractor personnel working in the implemented to ensure marine use soft-start techniques (ramp-up/dry Project area will watch the Navy’s mammals are not present within this fire) recommended by NMFS for impact Marine Species Awareness Training zone. These activities could include, but driving. Soft start must be conducted at video. An informal guide will be are not limited to: (1) Pile driving and beginning of day’s activity and at any included with the monitoring plan to removal and the the removal of a pile time pile driving has ceased for more aid in identifying species if they are from the water column/substrate via a than 30 minutes. For impact hammer observed in the vicinity of the Project crane (i.e., a ‘‘dead pull’’). These driving, contractors are required to area. precautionary measures would also provide an initial set of three strikes • Prior to the start of pile driving/ further reduce the possibility of from the impact hammer at 40 percent removal activity, the shutdown and auditory injury and behavioral impacts energy, followed by a 30-second waiting safety zones will be monitored for 15 as well as limit the unlikely possibility period, then two subsequent 3-strike minutes to ensure that they are clear of of injury from direct physical sets. The 30-second waiting period is marine mammals. Pile driving will only interaction with construction proposed based on the Navy’s recent commence once observers have declared operations. For in-water heavy experience and consultation with the shutdown zone clear of marine machinery work other than pile driving NOAA Fisheries Service on a similar mammals; animals will be allowed to (using, e.g., standard barges, tug boats), project at Naval Base Kitsap at Bangor remain in the disturbance zone and if a marine mammal comes within 10 m, (Department of the Navy 2010). their behavior will be monitored and operations shall cease and vessels shall Monitoring Protocols documented. reduce speed to the minimum level • In the unlikely event of conditions required to maintain steerage and safe Visual Marine Mammal that prevent the visual detection of working conditions. Observation—The Navy will collect marine mammals, such as heavy fog, Establishment of Disturbance Zone or sighting data and behavioral responses activities with the potential to result in Zone of Influence—Disturbance zones to construction for marine mammal Level A or Level B harassment will not or zones of influence (ZOI) are the areas species observed in the region of be initiated. Pile driving would be in which SPLs equal or exceed 160 dB activity during the period of activity. All curtailed, but vibratory pile driving or rms for impact driving and 120 dB rms observers will be trained in marine extraction would be allowed to continue for vibratory driving. Disturbance zones mammal identification and behaviors if such conditions arise after the activity provide utility for monitoring and are required to have no other has begun. conducted for mitigation purposes (i.e., construction-related tasks while • The waters will continue to be shutdown zone monitoring) by conducting monitoring. The Navy will scanned for at least 30 minutes after pile establishing monitoring protocols for monitor the shutdown zone and driving has completed each day. areas adjacent to the shutdown zones. disturbance zone before, during, and Monitoring of disturbance zones enables after pile driving, with observers located Mitigation Conclusions observers to be aware of and at the best practicable vantage points. NMFS has carefully evaluated the communicate the presence of marine Based on NMFS requirements, the applicant’s proposed mitigation mammals in the project area but outside Marine Mammal Monitoring Plan would measures and considered a range of the shutdown zone and thus prepare for implement the following procedures for other measures in the context of potential shutdowns of activity. pile driving and removal: ensuring that NMFS prescribes the However, the primary purpose of • Impact Installation: Monitoring will means of affecting the least practicable disturbance zone monitoring is for be conducted within the Level A impact on the affected marine mammal documenting incidents of Level B harassment shutdown zone during all species and stocks and their habitat. Our harassment; disturbance zone pile driving operations and the Level B evaluation of potential measures monitoring is discussed in greater detail harassment buffer zone during two- included consideration of the following later (see ‘‘Proposed Monitoring and thirds of pile driving days. Monitoring factors in relation to one another: Reporting’’). Nominal radial distances will take place from 15 minutes prior to • The manner in which, and the for disturbance zones are shown in initiation through 30 minutes post- degree to which, the successful Table 9 in this Notice. Due to the completion of pile driving/removal implementation of the measure is increased costs associated with activities. expected to minimize adverse impacts monitoring the entire Level B zone, or • A minimum of two marine mammal to marine mammals; buffer zone, the zone will be monitored observers (MMOs) will be in place • The proven or likely efficacy of the during two-thirds of all pile driving during all pile-driving/removal specific measure to minimize adverse days. If a marine mammal is observed operations. MMOs designated by the impacts as planned; and entering the buffer zone, an exposure contractor will be placed at the best • The practicability of the measure would be recorded and behaviors vantage point(s) practicable to monitor for applicant implementation. documented. The Navy will extrapolate for marine mammals and implement Any mitigation measure(s) prescribed data collected during monitoring days shutdown/delay procedures when by NMFS should be able to accomplish, and extrapolate and calculate total takes applicable by calling for the shutdown have a reasonable likelihood of for all pile driving days. to equipment operators. The MMOs accomplishing (based on current

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science), or contribute to the include the suggested means of confirm measured contours associated accomplishment of one or more of the accomplishing the necessary monitoring with the acoustic ZOIs. Acoustic sound general goals listed below: and reporting that will result in recordings will be collected sufficient to 1. Avoidance or minimization of increased knowledge of the species and document sound source levels for 10 injury or death of marine mammals of the level of taking or impacts on percent of the proposed piles to be wherever possible (goals 2, 3, and 4 may populations of marine mammals that are driven and extracted. The Navy will contribute to this goal). expected to be present in the proposed conduct acoustic monitoring at the 2. A reduction in the numbers of action area. The Navy submitted a source (33 feet) and, where the potential marine mammals (total number or marine mammal monitoring plan as part for Level A harassment exists, at a number at biologically important time of the IHA application. It can be found second representative monitoring or location) exposed to received levels in Section 13 of the application. http:// location at an intermediate distance of pile driving, or other activities www.nmfs.noaa.gov/pr/permits/ between the cetacean and pinniped expected to result in the take of marine incidental/construction.htm. shutdown zones. In conjunction with mammals (this goal may contribute to 1, Monitoring measures prescribed by measurements of SPLs at the source and above, or to reducing harassment takes NMFS should accomplish one or more shutdown monitoring locations, there only). of the following general goals: will also be intermittent verification for 3. A reduction in the number of times 1. An increase in the probability of impact driving or pile driving and (total number or number at biologically detecting marine mammals, both within extraction to determine the actual important time or location) individuals the mitigation zone (thus allowing for distance to either the 120 dB re 1mPa would be exposed to received levels of more effective implementation of the rms isopleth or the point at which the pile driving, or other activities expected mitigation) and in general to generate SPL (maximum rms) from the to result in the take of marine mammals more data to contribute to the analyses equipment diminishes to the median (this goal may contribute to 1, above, or mentioned below; ambient SPL (rms) and hence becomes to reducing harassment takes only). 2. An increase in our understanding indistinguishable. Acoustic 4. A reduction in the intensity of of how many marine mammals are measurements will continue during exposures (either total number or likely to be exposed to levels of pile subsequent years of in-water number at biologically important time driving that we associate with specific construction for the Project. or location) to received levels of pile adverse effects, such as behavioral driving, or other activities expected to harassment, TTS, or PTS; Visual Marine Mammal Observations result in the take of marine mammals 3. An increase in our understanding The Navy will collect sighting data (this goal may contribute to a, above, or of how marine mammals respond to and behavioral responses to to reducing the severity of harassment stimuli expected to result in take and construction for marine mammal takes only). how anticipated adverse effects on species observed in the region of 5. Avoidance or minimization of individuals (in different ways and to activity during the period of adverse effects to marine mammal varying degrees) may impact the construction. All observers will be habitat, paying special attention to the population, species, or stock trained in marine mammal food base, activities that block or limit (specifically through effects on annual identification and behaviors. NOAA passage to or from biologically rates of recruitment or survival) through Fisheries Service requires that the important areas, permanent destruction any of the following methods: observers have no other construction- of habitat, or temporary destruction/ D Behavioral observations in the related tasks while conducting disturbance of habitat during a presence of stimuli compared to monitoring. biologically important time. observations in the absence of stimuli The Navy will monitor the shutdown 6. For monitoring directly related to (need to be able to accurately predict zone and safety zone before, during, and mitigation—an increase in the received level, distance from source, after pile driving activities. Based on probability of detecting marine and other pertinent information); NOAA Fisheries Service requirements, mammals, thus allowing for more D Physiological measurements in the the Marine Mammal Monitoring Plan effective implementation of the presence of stimuli compared to would include the following mitigation. observations in the absence of stimuli Based on our evaluation of the procedures: (need to be able to accurately predict • MMOs will be primarily located on applicant’s proposed measures, as well received level, distance from source, as other measures considered by NMFS, boats, docks, and piers at the best and other pertinent information); vantage point(s) in order to properly see our preliminarily determination is that D Distribution and/or abundance the entire shut down zone(s); the proposed mitigation measures comparisons in times or areas with • MMOs will be located at the best provide the means of effecting the least concentrated stimuli versus times or vantage point(s) to observe the zone practicable impact on marine mammals areas without stimuli; species or stocks and their habitat, 4. An increased knowledge of the associated with behavioral impact paying particular attention to rookeries, thresholds; affected species; and • mating grounds, and areas of similar 5. An increase in our understanding During all observation periods, significance. of the effectiveness of certain mitigation observers will use binoculars and the and monitoring measures. naked eye to search continuously for Proposed Monitoring and Reporting marine mammals; In order to issue an ITA for an Acoustic Monitoring • Monitoring distances will be activity, section 101(a)(5)(D) of the The Navy will implement in situ measured with range finders; MMPA states that NMFS must set forth, acoustic monitoring efforts to measure • Distances to animals will be based ‘‘requirements pertaining to the SPL from in-water construction on the best estimate of the MMO, monitoring and reporting of such activities. The Navy will collect and relative to known distances to objects in taking.’’ The MMPA implementing evaluate acoustic sound record levels the vicinity of the MMO; regulations at 50 CFR 216.104 (a)(13) for 10 percent of the pile-driving • Bearing to animals will be indicate that requests for ITAs must activities conducted, sufficient to determined using a compass; and

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• Pile driving activities will be as an injury, serious injury or mortality decomposition, or scavenger damage), curtailed under conditions of fog or (e.g., ship-strike, gear interaction, and/or The Navy would report the incident to poor visibility that might obscure the entanglement), the Navy shall the Chief of the Permits and presence of a marine mammal within immediately cease the specified Conservation Division, Office of the shutdown zone; activities and report the incident to the Protected Resources, NMFS, and the Chief of the Permits and Conservation Greater Atlantic Regional Stranding Post-Activity Monitoring Division, Office of Protected Resources, Coordinator within 24 hours of the Monitoring of the shutdown and NMFS, and the Northeast/Greater discovery. The Navy would provide disturbance zones will continue for 30 Atlantic Regional Stranding photographs or video footage (if minutes following the completion of the Coordinator. The report would include available) or other documentation of the activity. the following information: stranded animal sighting to NMFS and • the Marine Mammal Stranding Network. Data Collection Time, date, and location (latitude/ longitude) of the incident; Estimated Take by Incidental MMOs will use NMFS’ approved data • Name and type of vessel involved; Harassment forms. Among other pieces of • Vessel’s speed during and leading information, the Navy will record up to the incident; Except with respect to certain detailed information about any • Description of the incident; activities not pertinent here, section implementation of shutdowns, • Status of all sound source use in the 3(18) of the MMPA defines including the distance of animals to the 24 hours preceding the incident; ‘‘harassment’’ as: ‘‘any act of pursuit, pile and description of specific actions • Water depth; torment, or annoyance which (i) has the that ensued and resulting behavior of • Environmental conditions (e.g., potential to injure a marine mammal or the animal, if any. At a minimum, the wind speed and direction, Beaufort sea marine mammal stock in the wild [Level following information would be state, cloud cover, and visibility); A harassment]; or (ii) has the potential collected on the sighting forms: • Description of all marine mammal to disturb a marine mammal or marine • Date and time that monitored observations in the 24 hours preceding mammal stock in the wild by causing activity begins or ends; the incident; disruption of behavioral patterns, • Construction activities occurring • Species identification or including, but not limited to, migration, during each observation period; description of the animal(s) involved; breathing, nursing, breeding, feeding, or • Weather parameters (e.g., percent • Fate of the animal(s); and sheltering [Level B harassment].’’ • cover, visibility); Photographs or video footage of the All anticipated takes would be by • Water conditions (e.g., sea state, animal(s) (if equipment is available). Level B harassment resulting from pile tide state); Activities would not resume until driving and are likely to involve • Species, numbers, and, if possible, NMFS is able to review the temporary changes in behavior. Physical sex and age class of marine mammals; circumstances of the prohibited take. injury or lethal takes are not expected • Description of any observable NMFS would work with the Navy to due to the expected source levels and marine mammal behavior patterns, determine what is necessary to sound source characteristics associated including bearing and direction of travel minimize the likelihood of further with the activity, and the proposed and distance from pile driving activity; prohibited take and ensure MMPA mitigation and monitoring measures are • Distance from pile driving activities compliance. The Navy would not be expected to further minimize the to marine mammals and distance from able to resume their activities until possibility of such take. the marine mammals to the observation notified by NMFS via letter, email, or Given the many uncertainties in point; telephone. predicting the quantity and types of • Locations of all marine mammal In the event that the Navy discovers impacts of sound on marine mammals, observations; and an injured or dead marine mammal, and it is common practice to estimate how • Other human activity in the area. the lead MMO determines that the cause many animals are likely to be present of the injury or death is unknown and within a particular distance of a given Reporting Measures the death is relatively recent (i.e., in less activity, or exposed to a particular level The Navy would provide NMFS with than a moderate state of decomposition of sound, where NMFS believes take is a draft monitoring report within 60 days as described in the next paragraph), the likely. prior to any subsequent authorization, Navy would immediately report the The Navy has requested authorization whichever is sooner. A monitoring incident to the Chief of the Permits and for the incidental taking of small report is required before another Conservation Division, Office of numbers of harbor porpoise, harbor seal, authorization can be issued to the Navy. Protected Resources, NMFS, and the gray seal, hooded seal and harp seal that This report will detail the monitoring Greater Atlantic Regional Stranding may result from vibratory and impact protocol, summarize the data recorded Coordinator. The report would include pile driving and removal during during monitoring, and estimate the the same information identified in the activities associated with the waterfront number of marine mammals that may paragraph above. Activities would be improvement project. have been harassed. If no comments are able to continue while NMFS reviews In order to estimate the potential received from NMFS within 30 days, the the circumstances of the incident. incidents of take that may occur draft final report will constitute the final NMFS would work with the Navy to incidental to the specified activity, we report. If comments are received, a final determine whether modifications in the must first estimate the extent of the report must be submitted within 30 days activities are appropriate. sound field that may be produced by the after receipt of comments. The report In the event that the Navy discovers activity and then consider in should include data and information an injured or dead marine mammal, and combination with information about listed in Section 13.3 of the application. the lead MMO determines that the marine mammal density or abundance In the unanticipated event that the injury or death is not associated with or in the project area. We first provide specified activity clearly causes the take related to the activities authorized in the information on applicable sound of a marine mammal in a manner IHA (e.g., previously wounded animal, thresholds for determining effects to prohibited by the IHA (if issued), such carcass with moderate to advanced marine mammals before describing the

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information used in estimating the such that a take by harassment might criterion) in specific contexts; however, sound fields, the available marine occur. To date, no studies have been useful contextual information that may mammal density or abundance conducted that explicitly examine inform our assessment of effects is information, and the method of impacts to marine mammals from pile typically lacking and we consider these estimating potential incidences of take. driving sounds or from which empirical thresholds as step functions. NMFS is Sound Thresholds sound thresholds have been established. working to revise these acoustic These thresholds (Table 4) are used to guidelines; for more information on that We use generic sound exposure estimate when harassment may occur process, please visit thresholds to determine when an activity that produces sound might (i.e., when an animal is exposed to www.nmfs.noaa.gov/pr/acoustics/ result in impacts to a marine mammal levels equal to or exceeding the relevant guidelines.htm.

TABLE 4—UNDERWATER INJURY AND DISTURBANCE THRESHOLD DECIBEL LEVELS FOR MARINE MAMMALS

Criterion Criterion definition Threshold *

Level A harassment ...... PTS (injury) ** ...... 190 dB RMS for pinnipeds. 180 dB RMS for cetaceans. Level B harassment ...... Behavioral disruption for impulse noise (e.g., impact pile driving) ...... 160 dB RMS. Level B harassment ...... Behavioral disruption for non-pulse noise (e.g., vibratory pile driving, 120 dB RMS.*** drilling). * All decibel levels referenced to 1 micropascal (re: 1 μPa). Note all thresholds are based off root mean square (RMS) levels. ** PTS = Permanent Threshold Shift conservatively based on TTS (Temporary Threshold Shift) Distance to Sound Thresholds.

Underwater Sound Propagation data and under conditions where water • 15-inch timber fender piles, which Formula—Pile driving generates increases with depth as the receiver would be extracted using a vibratory underwater noise that can potentially moves away from the shoreline, hammer at Berth 11 and the timber result in disturbance to marine resulting in an expected propagation dolphin at the corners of Berths 11 and mammals in the project area. environment that would lie between 12. Transmission loss (TL) is the decrease spherical and cylindrical spreading loss Source levels for the two pile driving in acoustic intensity as an acoustic conditions. Practical spreading loss (4.5 methods that are proposed for use pressure wave propagates out from a dB reduction in sound level for each during the project were obtained from source. TL parameters vary with doubling of distance) was used in water the ‘‘Compendium of Pile Driving frequency, temperature, sea conditions, depths ranging from 3 meters to 15 Sound Data,’’ which is included as current, source and receiver depth, meters which is the greatest depth at Appendix I to ‘‘Technical Guidance for water depth, water chemistry, and which pile driving activities will take Assessment and Mitigation of the bottom composition and topography. place for this project. The formula for Hydroacoustic Effects of Pile Driving on This formula neglects loss due to cylindrical spreading transmission loss Fish’’ (ICF Jones & Stokes and scattering and absorption, which is is TL = 15 log10 (R/10), where R is the Illingworth & Rodkin, Inc. 2012). The assumed to be zero here. The degree to distance from the source assuming the information presented in the which underwater sound propagates near source levels are measured at 10 compendium is a compilation of sound away from a sound source is dependent meters (33 feet). pressure levels recorded during various on a variety of factors, most notably the This transmission loss model was in-water pile driving projects in water bathymetry and presence or used for the piles being driven (or California, Oregon, Washington, and absence of reflective or absorptive drilled) in water depths of between Nebraska. The compendium is a conditions including in-water structures approximately 10 and 50 feet. These commonly used reference document for and sediments. pile types and sizes included: pile driving source levels when Cylindrical spreading occurs in an • 25-inch steel sheet piles, which analyzing impacts on protected species, environment in which sound would be driven using a vibratory including marine mammals, from pile propagation is bounded by the water hammer at Berth 11. driving activities. Source levels were collected for the surface and sea bottom, resulting in a • 14-inch steel H-type piles, which four types of piles that would be reduction of 3 dB in sound level for would be driven using an impact installed and two pile driving methods each doubling of distance from the hammer at Berth 11during trestle proposed for the project: source. The formula for practical alignment and construction. • • 14-inch steel H-type piles will be spreading transmission loss is TL = 10 15-inch timber piles, which would used as sister piles to align and log10 (R/10), where R is the distance be installed using a vibratory hammer to construct the trestle; installed via from the source assuming the near reconstruct timber dolphins at the impact hammer. source levels are measured at 10 meters corner of Berths 11 and 12. • 15-inch timber piles will be used • (33 feet). This transmission loss model 36-inch steel H-type (king) piles at for re-installation of dolphins and was used for piles being driven in a Berth 11 which would be drilled and installed via vibratory hammer. water depth less than approximately 3 rock-socketed into the bedrock. • 25-inch steel sheet piles will be meters (10 feet). Specifically, the model This model was also used for piles used for the bulkhead at Berth 11 and was used for the 14-inch H-type (sister) extracted in water depths of 10 to 50 installed via vibratory hammer. piles that would be driven using an feet and included: Reference source levels for the Project impact hammer at Rail Beam 1 at Berth • 14-inch steel H-type piles, which were determined using data for piles of 11,12, and 13. would be used to align and construct similar sizes, the same pile driving A practical spreading value of fifteen the trestle that would be extracted using method as that proposed for the Project, is often used in the absence of reliable a vibratory hammer at Berth 11. and at similar water depths. While the

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pile sizes and water depths chosen as available, and it is assumed that the type and associated pile driving proxies do not exactly match those for source levels shown in Table 5 and 6 are method. the Project, they are the closest matches the most representative for each pile

TABLE 5—SOURCE LEVELS FOR IN-WATER IMPACT HAMMER 14-INCH STEEL H-TYPE (SISTER) PILES

Distance Pile size and pile type Water measured Peak RMS SEL Location depth (m) (m) (dB) (dB) (dB)

12-inch Steel H-type pile—Thick ...... 5 10 200 183 170 CA (Specific location unknown). 15-inch Steel H-type pile—Thick ...... 3 10 195 180 170 Ballena Isle Marina, Alameda, CA, San Francisco Bay. 12- to 15-inch H-type pile—Thick (Average) ..... 4 10 198 182 170 Source: ICF Jones & Stokes and Illingworth & Rodkin, Inc. 2012. Note: All source levels are referenced to 1 microPascal (re 1 μPa). 1 As printed in source material. Key: dB = decibel; m = meter; RMS = root mean square; SEL = sound exposure level.

TABLE 6—SOURCE LEVELS FOR IN-WATER VIBRATORY HAMMER 25-INCH STEEL SHEET PILES, 20-INCH STEEL SHEET PILES AND 15-INCH TIMBER PILES

Water Distance Pile size and pile type depth measured Peak RMS SEL Location (m) (m) (dB) (dB) (dB)

24-inch AZ * Steel Sheet 1 ...... 15 10 177 163 162 Berth 23, Port of Oakland, CA. 24-inch AZ Steel Sheet 1 ...... 15 10 175 162 162 Berth 30, Port of Oakland, CA. 24-inch AZ Steel Sheet 1 ...... 15 10 177 163 163 Berth 35/37 Port of Oakland, CA. 24-inch AZ Steel Sheet—Typical 1 ...... 15 10 175 160 160 CA (Specific location unknown). 24-inch AZ Steel Sheet—Loudest 1 ...... 15 10 182 165 165 CA (Specific location unknown). 24-inch AZ Steel Sheet (Average) 1 ...... 15 10 178 163 163 15-inch Timber Pile 2 ...... 10 16 164 150 NP WSF Port Townsend Ferry Ter- minal, WA. Source: 1 ICF Jones & Stokes and Illingworth & Rodkin, Inc. 2012. 2 WSDOT 2010.

The exact source level for a given pile used in the propagation models activities. One such activity was auger and pile driving method largely described above. drilling (including installation and depends not only on the pile size and Drilling removal of the associated steel casing). water depth but also on site-specific The average sound pressure levels re 1 conditions such as environmental and Drilling is considered an intermittent, mPa RMS were displayed for casing physical factors, including water non-impulsive noise source, similar to installation, auger drilling (inside the vibratory pile driving. Very little temperature and sediment composition. casing), and casing removal. For the information is available regarding Therefore, in this analysis, several purposes of this plan, it is assumed that source levels of in-water drilling source levels for each pile type and activities associated with nearshore pile the casing installation and removal associated pile driving method were installation such as that proposed for activities would be conducted in a averaged when multiple levels were the Berths 11, 12, and 13 structural manner similar to that described in available. These averaged source levels repairs project. Dazey et al., (2012) Dazey et al., (2012), primarily via were used as inputs to determine attempted to characterize the source oscillation. These average source levels transmission loss, which, in turn, was levels of several marine pile-drilling are reported in Table 7.

TABLE 7—AVERAGE SOURCE LEVELS FOR AUGER DRILLING ACTIVITIES DURING PILE INSTALLATION

Distance Drilling activity Water depth measured RMS Location (m) (m) (dB)

Casing Installation ...... 1–5 1 157 Bechers Bay Santa Rosa Island, CA. Auger Drilling ...... 1–5 1 151 Bechers Bay Santa Rosa Island, CA. Casing Removal ...... 1–5 1 152 Bechers Bay Santa Rosa Island, CA. Source: Dazey et al., 2012. Note: All source levels are referenced to 1 microPascal (re 1 μPa).

IHA applications for other assumed that pile drilling would these activities and the assumption that construction projects have reported that, produce less in-water noise than both in-water noise from pile drilling would due to a lack of information regarding impact and vibratory pile driving. Based be less than either impact or vibratory pile drilling source levels, it is generally on the general lack of information about pile driving, it is assumed that the

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source levels presented in Table 7 are for the Washington State Department of including ICF Jones & Stokes and the most applicable for acoustic impact Transportation Office of Air Quality and Illingworth & Rodkin, Inc. (2012) report analysis at Berths 11, 12, and 13. For the Noise (WSDOT 2010) and is shown in the same values for vibratory purposes of this proposed IHA we will Table 8. installation and extraction, assuming conservatively assume that drilling has Source levels for vibratory extraction that the two activities would produce similar source levels as vibratory of H-type piles were obtained from similar source levels if water depth, pile driving when calculating zones of ‘‘Underwater Acoustic Measurements of size, and equipment remain constant. influences. Vibratory Pile Driving at the Pipeline 5 Reference source levels for the project Crossing in the Snohomish River, were determined using data for piles of Pile Extraction Everett, Washington,’’ prepared by similar size, the same extraction method Vibratory pile extraction is considered Greeneridge Science, Inc., for the City of as that proposed for the project, and at an intermittent, non-impulsive noise Everett (Burgess et al., 2005). similar water depths. While the pile source. Little information is available For vibratory pile extraction of the 24- sizes and water depths chosen as specific to vibratory extraction for most inch steel sheet piles (used as a proxy proxies do not exactly match those for types of piles. The source level for for the 20-inch steel sheet piles that the project, they are the closest matches timber-pile extraction was obtained would be extracted at the circular, available, and it is assumed that the from ‘‘Port Townsend Test Pile Project: cellular cofferdam), the average value source levels shown in Table 8 and are Underwater Noise Monitoring Draft for the vibratory installation source representative of the vibratory pile Final Report,’’ prepared by Jim Loughlin levels from Table 6 was used. Sources extraction method used for the project.

TABLE 8—AVERAGE SOURCE LEVEL FOR VIBRATORY PILE EXTRACTION 15-INCH TIMBER FENDER PILES 1

Distance Pile size and pile type Water depth measured Peak RMS Location (m) (m) (dB) (dB)

15-inch Timber Fender Pile 2 ...... 10m 16m 164 150 WSF Port, Townsend Ferry Ter- minal, WA. Notes: 1 All source levels are referenced to 1 microPascal (re 1 μPa). 2 WSDOT 2010.

Zones of Influence been developed using the propagation would result in the longest attenuation models described above. Modeling was distances were selected as the worst- Attenuation distances to the NOAA performed for each driving, drilling, case sound exposure distances that Fisheries thresholds for Level B takes installing, and removing activity would determine the ZOI for each for pile driving are described in Table described above using the depth- project location. 9. These attenuation distances have appropriate model. Activities that

TABLE 9—PILE DRIVING SOUND EXPOSURE DISTANCES [In-water]

Behavioral thresholds Drilling activity for cetaceans and Propagation model Attenuation distance pinnipeds to threshold

Vibratory Hammer ...... 120 dB RMS ...... Practical Spreading Loss (3 m to 4.57 mi (7.35 km). 15 m water depth). Impact Hammer ...... 160 dB RMS ...... Cylindrical Spreading Loss (<3 m 0.984 mi (1.58 km). water depth). Note: All source levels are referenced to 1 microPascal (re 1 μPa).

During vibratory hammer operation River, these attenuation distances are are shown on Figure 6–1 in the modeled sound would attenuate to 120 extremely conservative. application. Work would occur in dB at approximately 4.57 miles from the No Level A takes are expected phases over several years. All of the Berth 11 Structural Repairs Project. because attenuation out to the pinniped construction-related in-water sound During operation of the impact hammer, injury threshold of 190 dB rms is occurring within the waters of these modeled sound would attenuate to 160 calculated at 5 feet (1.58 meters), and ZOIs would exceed the designated dB at approximately 0.98 miles from the attenuation out to the 180 dB RMS NOAA Fisheries thresholds for Berths 11 Structural Repairs Project site. injury threshold for cetaceans is behavioral take. The ZOIs were used to Note that these attenuation distances are calculated at 52 feet (15.8 meters). These calculate potential takes from each based on sound characteristics in open very small areas can easily be monitored sound source and would be monitored water. The Project area is located in a for marine mammals, and mitigative during in-water work at Berth 11 to river surrounded by topographic measures would be implemented to estimate actual harassment takes of features and not in open water; ensure that no Level A takes occur. marine mammals. The total area therefore, given the numerous land The ZOIs for each of the two separate ensonified by these two sources is 0.36 features and islands within the vicinity sound sources (impact driving and square miles (mi2) (233.4 acres). of the Project sites in the Piscataqua vibratory driving/drilling) at Berth 11

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The numerous topographic features assumed that any hauled out animals take estimate. Because the estimate must present in and along the Piscataqua within the disturbance zone will also be a whole number, this value was River would greatly limit the area that enter the water and be exposed to rounded up. would be impacted from in-water underwater noise. Therefore, acoustic The ZOI impact area is the estimated sound. Sound from either source would disturbance to pinniped resulting from range of impact on marine mammals be truncated with minimal attenuation. airborne sound from pile driving and during in-water construction. The ZOI is Due to the numerous islands and other drilling are not considered further in the area in which in-water sound would land features at and around the site, the this application. exceed designated NOAA Fisheries actual ZOIs for both the vibratory The take calculations presented here Service thresholds. The formula for hammer and impact hammer are relied on the best data currently determining the area of a circle (p * identical even though the calculated available for marine mammal radius2) was used to calculate the ZOI ZOIs are different. This is illustrated in populations within close proximity to around each pile, for each threshold. Figure 6–1 in the Application. the Piscataqua River. There are not The distances specified were used for No sound is expected to fully population data for any marine mammal the radius in the equation. The ZOI attenuate to the 120-decibel threshold species specifically within the impact area does not encompass for vibratory pile driving because Piscataqua River; however, the landforms that may occur within the topographic features (e.g. islands, population data used are from the most circle. The ZOI also took into shorelines) in the river would prevent recent NMFS Stock Assessment Reports consideration the possible affected area attenuation to the full distance of 4.57 (SAR) for the Atlantic Ocean. The most of the Piscataqua River from the furthest miles. Very little sound would reach the recent SAR population number was pile driving/extraction site with 160 dB threshold at the full distance of used for each species. The specific SAR attenuation due to land shadowing from 0.984 miles for the impact hammer due used is discussed within each species islands in the river as well as the river to these same sound-blocking take calculation in Sections 6.6.1 shoreline. topographical features. The longest through 6.6.5 of the application. The attenuation distance from the Berth 11 formula was developed for calculating Harbor Porpoise Project site would occur to the southeast take due to pile driving, extraction, and Harbor porpoises may be present in where, during impact pile driving, drilling and applied to the species- the Project area during spring, summer, sound would attenuate through the specific noise-impact threshold. The and fall, from April to December. Based waters east of Pierce Island to the 160 formula is founded on the following on density data from the Navy Marine dB threshold (a distance of 0.88 miles) assumptions: Species Density Database, their presence at Goat Island (See Figure 6–1 in • All piles to be installed would have is highest in spring, decreases in application). The actual ZOI used to a noise disturbance distance equal to the summer, and slightly increases in fall. estimate exposure excludes water areas pile that causes the greatest noise blocked by topographical features. However, in general, porpoises are disturbance. known to occasionally occur in the • Airborne Exposure Pile driving could potentially occur river. Average density for the predicted every day of the in-water work window; Airborne transmission loss was seasons of occurrence was used to however, it is estimated no more than a calculated using the spherical spreading determine abundance of animals that few hours of pile driving would occur model above. Using this model, the could be present in the area for per day. greatest possible distances to airborne exposure, using the equation abundance • An individual can only be taken harassment thresholds were estimated, = n * ZOI. Estimated abundance once per day due to sound from pile using a source level of 111 dB 20 mPa estimate for harbor porpoises was 0.90 driving, whether from impact or rms for 24″ round steel piles, as 552.5 animals generated from the equation vibratory pile driving, or vibratory 2 2 ft (168.3 m) to the 90 dB threshold for (0.9445 km * 0.9578 animals/km ). harbor seals and 174.5 ft (53.2 m) to the extraction Therefore, the number of Level B harbor The conservative assumption is made 100 dB threshold for all other seals. porpoises exposures within the ZOIs is Other types of pile driving and that all pinnipeds within the ZOI would (72 days * 0.90 animals/day) which extraction that would occur during the be underwater during at least a portion equals 65 animals. Therefore, the total project would generate lower airborne of the noise generating activity and, requested harbor seal takes is 65. hence, exposed to sound at the sound pressures, with smaller distances Gray Seal and areas of potential disturbance, and predicted levels. for that reason are not considered The calculation for marine mammal Gray seals may be present year-round further in this application. Since takes is estimated by: in the project vicinity, with constant protective measures are in place out to Take estimate = (n * ZOI) * X days of densities throughout the year. Gray seals the distances calculated for the total activity are less common in the Piscataqua River underwater Level B thresholds, the Where: than the harbor seal. Average density for distances for the airborne thresholds n = density estimate used for each species the predicted seasons of occurrence was will be effectively covered by X = number of days of pile driving, estimated used to determine abundance of animals monitoring. The closest known haul-out based on the total number of piles and that could be present in the area for site for seals within the Piscataqua River the average number of piles that the exposure, using the equation abundance is 1.5 miles (2414 m) downstream of the contractor can install per day. = n * ZOI. Estimated abundance for gray Project area while the attenuation ZOI = noise threshold zone of influence (ZOI) seals was 0.21/day generated from the distance to the 90 dB threshold is 0.108 impact area equation (0.9445 km2 * 0.2202 animals/ miles (174.5 m) and the 100 dB The calculation n * ZOI produces an km2). The number of Level B harbor threshold is 0.033 miles (53.2 m). While estimate of the abundance of animals porpoises exposures within the ZOIs is there are no documented haul-outs, that could be present in the area of (72 days * 0.21 animals/day) resulting animals do occasionally haul-out on exposure per day. The abundance is in up to 15 Level B exposures of gray nearby rocks/jetties and could be then multiplied by the total number of seals within the ZOIs. Total requested flushed into the water. However, it is days of pile driving to determine the gray seal takes is 15.

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Harbor Seal spring, from January through February. much rarer than the harbor seal and gray Harbor seals may be present year- In general, harp seals are much rarer seal in the Piscataqua River. Anecdotal round in the project vicinity, with than the harbor seal and gray seal in the sighting information indicates that two constant densities throughout the year. Piscataqua River. Average density for hooded seals were observed from the Harbor seals are the most common the predicted seasons of occurrence was Shipyard in August 2009, but no other pinniped in the Piscataqua River near used to determine abundance of animals observations have been recorded (Trefry the Shipyard. Average density for the that could be present in the area for November 20, 2015). Average density predicted seasons of occurrence was exposure, using the equation abundance for the predicted seasons of occurrence used to determine abundance of animals = n * ZOI. Abundance for harp seals was used to determine abundance of that could be present in the area for was 0.012/day generated from the animals that could be present in the area 2 2 exposure, using the equation abundance equation (0.9445 km * 0.0125 km ). for exposure. Since the average density = n * ZOI. Abundance for harbor seals The number of Level B harp seal for hooded seals is unknown and the exposures within the ZOI is (72 days * was 0.19/day generated from the animal is described as being rare, no 2 0.012 animals/day) resulting in one equation (0.9445 km * 0.1998 animals/ authorized take of hooded seals is 2 Level B exposure. Therefore, the total km ). The number of Level B harbor seal requested. exposures within the ZOIs is (72 days * requested harp seal takes is 1. The total numbers of takes proposed 0.19 animals/day) resulting in 14 harbor Hooded Seal seals. Therefore, total requested harbor for the five marine mammal species that seal takes is 14. Hooded seals may be present in the may occur within the Navy’s project project vicinity during the winter and area during the duration of proposed in- Harp Seal spring, from January through May, water construction activities are Harp seals may be present in the though their exact seasonal densities are presented in Table 10. Project vicinity during the winter and unknown. In general, hooded seals are

TABLE 10—CALCULATIONS FOR INCIDENTAL TAKE ESTIMATION

Animals in Proposed authorized takes Species ensonified Number of area/day days of activity Level A Level B

Harbor Porpoise ...... 0.90 72 0 65 Gray Seal ...... 0.21 72 0 15 Harbor Seal ...... 0.19 72 0 14 Harp Seal ...... 0.012 72 0 1

Total Exposures ...... 95

Analysis and Preliminary To avoid repetition, the discussion of the implementation of the following Determinations our analyses applies to all the species planned mitigation measures. The Navy listed in Table 2, given that the will employ a ‘‘soft start’’ when Negligible Impact anticipated effects of this pile driving initiating impact driving activities. Negligible impact is ‘‘an impact project on marine mammals are Given sufficient ‘‘notice’’ through use of resulting from the specified activity that expected to be relatively similar in soft start, marine mammals are expected cannot be reasonably expected to, and is nature. There is no information about to move away from a pile driving not reasonably likely to, adversely affect the size, status, or structure of any source. The Navy will delineate and the species or stock through effects on species or stock that would lead to a monitor shutdown and disturbance annual rates of recruitment or survival’’ different analysis for this activity, else zones while the likelihood of marine (50 CFR 216.103). A negligible impact species-specific factors would be mammal detection by trained observers finding is based on the lack of likely identified and analyzed. is high under the environmental adverse effects on annual rates of Pile driving activities associated with conditions described for waters around recruitment or survival (i.e., population- the Navy’s Waterfront Improvement the project area. Furthermore, level effects). An estimate of the number Projects, as outlined previously, have shutdowns will occur if animals come of Level B harassment takes, alone, is the potential to disturb or displace within 10 meters of operational activity not enough information on which to marine mammals. Specifically, the to avoid injury, serious injury, or base an impact determination. In specified activities may result in take, in mortality. The Navy’s proposed addition to considering estimates of the the form of Level B harassment activities are localized and of relatively number of marine mammals that might (behavioral disturbance) only, from short duration. The total time duration be ‘‘taken’’ through behavioral underwater sounds generated from pile will amount to approximately 72 days. harassment, NMFS must consider other driving. Harassment takes could occur if The project also is not expected to factors, such as the likely nature of any individuals of these species are present have significant adverse effects on responses (their intensity, duration, in the ensonified zone when pile affected marine mammals’ habitat, as etc.), the context of any responses driving is happening. analyzed in detail in the ‘‘Anticipated (critical reproductive time or location, No injury, serious injury, or mortality Effects on Marine Mammal Habitat’’ migration, etc.), as well as the number is anticipated given the nature of the section. No important feeding and/or and nature of estimated Level A activity and measures designed to reproductive areas for marine mammals harassment takes, the number of minimize the possibility of injury to are known to be near the proposed estimated mortalities, effects on habitat, marine mammals. The potential for project area. Project-related activities and the status of the species. these outcomes is minimized through may cause some fish to leave the area

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of disturbance, thus temporarily mortality to marine mammals, and no measures in reducing the effects of the impacting marine mammals’ foraging known long-term adverse consequences specified activity. In combination, we opportunities in a limited portion of the from behavioral harassment. Repeated believe that these factors, as well as the foraging range; but, because of the short exposures of individuals to levels of available body of evidence from other duration of the activities and the sound that may cause Level B similar activities, demonstrate that the relatively small area of the habitat that harassment here are unlikely to result in potential effects of the specified activity may be affected, the impacts to marine hearing impairment or to significantly will have only short-term effects on mammal habitat are not expected to disrupt foraging behavior. Thus, even individuals. The specified activity is not cause significant or long-term negative repeated Level B harassment of some expected to impact rates of recruitment consequences. small subset of the species is unlikely to or survival and will therefore have a These localized Level B exposures result in any significant realized negligible impact on those species. may cause brief startle reactions or decrease in fitness for the affected Therefore, based on the analysis short-term behavioral modification by individuals, and thus would not result contained herein of the likely effects of the animals. Effects on individuals that in any adverse impact to the stock as a the specified activity on marine are taken by Level B harassment, on the whole. Level B harassment will be mammals and their habitat, and taking basis of reports in the literature as well reduced to the level of least practicable into consideration the implementation as monitoring from other similar impact through use of mitigation of the proposed monitoring and activities, will likely be limited to measures described herein. Finally, if mitigation measures, NMFS reactions such as increased swimming sound produced by project activities is preliminarily finds that the total marine speeds, increased surfacing time, or sufficiently disturbing, animals are mammal take from the Navy’s proposed decreased foraging (if such activity were likely to simply avoid the project area Waterfront Improvement Projects will occurring) (e.g., Thorson and Reyff, while the activity is occurring. have a negligible impact on the affected 2006; Lerma, 2014). Most likely, In summary, the negligible impact marine mammal species or stocks. individuals will simply move away analysis is based on the following: (1) Small Numbers from the sound source and be The possibility of injury, serious injury, temporarily displaced from the areas of or mortality may reasonably be Table 11 illustrates the numbers of pile driving, although even this reaction considered discountable; (2) the animals that could be exposed to Level has been observed primarily only in anticipated incidents of Level B B behavioral harassment thresholds association with impact pile driving. harassment consist of, at worst, from work associated with the proposed These reactions and behavioral changes temporary modifications in behavior; (3) Waterfront Improvement Projects. The are expected to subside quickly when the absence of any significant habitat analyses provided represents <0.01% of the exposures cease. The pile driving within the project area, including the populations of these stocks that activities analyzed here are similar to, or rookeries, significant haul-outs, or could be affected by Level B behavioral less impactful than, numerous known areas or features of special harassment. These are small numbers of construction activities conducted in significance for foraging or marine mammals relative to the sizes of other similar locations, which have reproduction; and (4) the anticipated the affected species and population taken place with no reported injuries or efficacy of the proposed mitigation stocks under consideration.

TABLE 11—ESTIMATED NUMBER OF EXPOSURES AND PERCENTAGE OF STOCKS THAT MAY BE SUBJECT TO LEVEL B HARASSMENT

Proposed Stock(s) Percentage of Species authorized abundance total stock akes estimate (percent)

Harbor Porpoise, Gulf of Maine/Bay of Fundy stock ...... 65 79,883 <0.01 Gray Seal, Western North Atlantic stock ...... 15 331,000 <0.01 Harbor Seal, Western North Atlantic stock ...... 14 75,834 <0.01 Harp Seal, Western North Atlantic stock ...... 1 7,100,000 <0.01

Based on the methods used to the availability of such species or stocks the regulations published by the estimate take, and taking into for taking for subsistence purposes. Council on Environmental Quality. consideration the implementation of the Endangered Species Act (ESA) NMFS will independently evaluate the mitigation and monitoring measures, we EA and determine whether or not to preliminarily find that small numbers of No species listed under the ESA are adopt it. We may prepare a separate marine mammals will be taken relative expected to be affected by these NEPA analysis and incorporate relevant to the populations of the affected activities. Therefore, NMFS has portions of Navy’s EA by reference. species or stocks. determined that a section 7 consultation Information in the Navy’s application, under the ESA is not required. EA, and this notice collectively provide Impact on Availability of Affected the environmental information related Species for Taking for Subsistence Uses National Environmental Policy Act (NEPA) to proposed issuance of this IHA for There are no relevant subsistence uses public review and comment. We will The Navy has prepared a draft of marine mammals implicated by this review all comments submitted in Environmental Assessment (Waterfront response to this notice as we complete action. Therefore, NMFS has Improvement Projects, Portsmouth the NEPA process, including a decision determined that the total taking of Naval Shipyard, Kittery, ME) in of whether to sign a Finding of No affected species or stocks would not accordance with the National have an unmitigable adverse impact on Environmental Policy Act (NEPA) and Significant Impact (FONSI), prior to a

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final decision on the incidental take (a) Time Restriction: For all in-water during two-thirds of all vibratory authorization request. pile driving activities, the Navy shall driving activity operate only during daylight hours. (iii) MMOs shall begin observing for Proposed Authorization (b) Pile Driving Weather Delays: Pile marine mammals within the Level A As a result of these preliminary driving shall only take place when the and Level B harassment zones for 15 determinations, NMFS proposes to issue entire ZOI is visible and can be minutes before in-water pile driving an IHA to the Navy for Waterfront adequately monitored. If conditions begins. If a marine mammal(s) is present Improvements Projects at the (e.g., fog) prevent the visual detection of within the 10 meter shutdown zone Portsmouth Naval Shipyard in Kittery, marine mammals, activities with the prior to pile driving or during the ‘‘soft Maine, provided the previously potential to result in Level A or Level start’’ the start of pile driving shall be mentioned mitigation, monitoring, and B harassment will not be initiated. If delayed until the animal(s) leaves the 10 reporting requirements are incorporated. such conditions arise after the activity meter shutdown zone. Pile driving shall The proposed IHA language is provided has begun, impact pile driving would be resume only after the MMOs have next. curtailed, but vibratory pile driving or determined, through sighting or by 1. This Incidental Harassment extraction would be allowed to waiting 15 minutes, that the animal(s) Authorization (IHA) is valid from continue. has moved outside of and is on a path January 1, 2017 through December 31, (c) If a marine mammal approaches away from the 10 meter shutdown zone. 2017. the shutdown zone during the course of (iv) The individuals shall scan the 2. This Authorization is valid only for pile driving/removal operations, pile waters within each monitoring zone in-water construction work associated driving shall be halted and delayed activity using binoculars (25x or with Waterfront Improvement Projects until either the animal has voluntarily equivalent), hand held binoculars (7x) at the Portsmouth Naval Shipyard in left and been visually confirmed beyond and visual observation Kittery, Maine. the shutdown zone or 15 minutes have (v) The waters shall continue to be 3. General Conditions passed without re-detection of the scanned for at least 30 minutes after pile (a) A copy of this IHA must be in the animal. driving has completed each day. possession of the Navy, its designees, (d) Establishment of Level A and B 5. Monitoring and Reporting and work crew personnel operating Harassment (ZOI) The holder of this Authorization is under the authority of this IHA. required to submit a draft report on all (b) The species authorized for taking (i) For all pile driving, the Navy shall implement a minimum shutdown zone monitoring conducted under the IHA 60 are harbor porpoise (Phocoena days prior to the issuance of a phocoena), gray seal (Halichoerus of 10 m radius around the pile. If a marine mammal comes within or subsequent authorization, A final report grypus), harbor seal (Phoca vitulina), shall be prepared and submitted within and harp seal (Pagophilus approaches the shutdown zone, such operations will cease. See Table 9 for thirty days following resolution of groenlandicus). comments on the draft report from (c) The taking, by Level B harassment minimum radial distances required for Level A and Level B disturbance zones. NMFS. This report must contain the only, is limited to the species listed in informational elements described in the (e) Use of Soft-start condition 3(b). See Table 1 below: Monitoring Plan, at a minimum and (i) The project shall utilize soft start shall also include: techniques for impact pile driving. The TABLE 1—AUTHORIZED TAKE (a) Acoustic Monitoring NUMBERS Navy shall conduct an initial set of three (i) The Navy shall conduct acoustic strikes from the impact hammer at 40 monitoring to ensure source levels are Authorized Authorized percent energy, followed by a 1-minute in line what is expected and therefore Species takes— takes— waiting period, then two subsequent Level A Level B the Level A and Level B zones are three strike sets. Soft start shall be accurate. Harbor Porpoise ...... 0 65 required for any impact driving, (b) Data Collection Gray Seal ...... 0 15 including at the beginning of the day, Harbor Seal ...... 0 14 (i) For all marine mammal and Harp Seal ...... 0 1 and at any time following a cessation of acoustic monitoring, information shall pile driving of thirty minutes or longer. be recorded as described in the (d) The taking by injury (Level A (ii) Whenever there has been Monitoring Plan. harassment), serious injury, or death of downtime of 30 minutes or more (c) Reporting Measures any of the species listed in condition without impact driving, the contractor (i) In the unanticipated event that the 3(b) of the Authorization or any taking shall initiate the driving with soft-start specified activity clearly causes the take of any other species of marine mammal procedures described above. of a marine mammal in a manner is prohibited and may result in the (f) Standard mitigation measures prohibited by the IHA, such as an injury modification, suspension, or revocation (i) For in-water heavy machinery (Level A harassment), serious injury or of this IHA. work other than pile driving (using, e.g., mortality (e.g., ship-strike, gear (e) The Navy shall conduct briefings standard barges, tug boats), if a marine interaction, and/or entanglement), the between construction supervisors and mammal comes within 10 m, operations Navy shall immediately cease the crews, marine mammal monitoring shall cease and vessels shall reduce specified activities and the Navy shall team, and staff prior to the start of all speed to the minimum level required to report the incident to the Chief of the in-water pile driving, and when new maintain steerage and safe working Permits and Conservation Division, personnel join the work, in order to conditions. Office of Protected Resources, NMFS, explain responsibilities, communication (g) Visual Marine Mammal and the NMFS Northeast/Greater procedures, marine mammal monitoring Monitoring and Observation Atlantic Regional Stranding Coordinator protocol, and operational procedures. (i) A minimum of two MMOs shall be within 24 hours of the discovery. The 4. Mitigation Measures in place at the best practicable vantage report would include the following The holder of this Authorization is points. information: required to implement the following (ii) Monitoring will be conducted 1. Time, date, and location (latitude/ mitigation measures: during all impact driving activity and longitude) of the incident;

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2. Name and type of vessel involved; within 24 hours of the discovery. The SUPPLEMENTARY INFORMATION: The 3. Vessel’s speed during and leading Navy would provide photographs or Council will hold its 157th regular up to the incident, if applicable; video footage (if available) or other Council Meeting to discuss the items 4. Description of the incident; documentation of the stranded animal contained in the following agenda: 5. Status of all sound source use in sighting to NMFS and the Marine August 23, 2016, 9 a.m.–5:30 p.m. the 24 hours preceding the incident; Mammal Stranding Network. 6. Water depth; 6. This Authorization may be Æ Call to Order 7. Environmental conditions (e.g., modified, suspended or withdrawn if Æ Election of Officers wind speed and direction, Beaufort sea the holder fails to abide by the Æ Adoption of Agenda state, cloud cover, and visibility); conditions prescribed herein, or if Æ Consideration of 156th Council 8. Description of all marine mammal NMFS determines the authorized taking Meeting Verbatim Transcriptions observations in the 24 hours preceding is having more than a negligible impact Æ Executive Director’s Report the incident; on the species or stock of affected Æ Scientific and Statistical Committee 9. Species identification or marine mammals. Report—Dr. Richard Appeldoorn description of the animal(s) involved; —Island Based Fishery Management 10. Fate of the animal(s); and Request for Public Comments Plans (IBFMPs) 11. Photographs or video footage of NMFS requests comment on our —Acceptable Biological Catch Control the animal(s) (if equipment is available). analysis, the draft authorization, and Rule (ii) Activities would not resume until any other aspect of the Notice of Æ Island Based Fishery Management NMFS is able to review the Proposed IHA for the Navy’s Waterfront Plans (IBFMPs) circumstances of the prohibited take. Improvement Projects at Portsmouth —Goals and Objectives of IBFMPs NMFS shall work with the Navy to Navy Shipyard in Kittery, Maine. Please —Review Action 1: Species to include determine what is necessary to include with your comments any for Federal Management in each minimize the likelihood of further supporting data or literature citations to IBFMP prohibited take and ensure MMPA help inform our final decision on the —Review Action 2: Review compliance. The Navy would not be Navy’s request for an MMPA Consolidated List of Stocks, and able to resume their activities until authorization. Stock and Species Complexes notified by NMFS via letter, email, or —Review Action 3: Reference Points Dated: August 3, 2016. telephone. —Update SEDAR 46 U.S. Caribbean (iii) In the event that the Navy Donna S. Wieting, Data Limited Species-Southeast discovers an injured or dead marine Director, Office of Protected Resources, Fisheries Science Center mammal, and the lead MMO determines National Marine Fisheries Service. —ABC Control Rule Work Group that the cause of the injury or death is [FR Doc. 2016–18815 Filed 8–8–16; 8:45 am] Report unknown and the death is relatively BILLING CODE 3510–22–P —Recommendations to the CFMC on recent (i.e., in less than a moderate state ABC Control Rule of decomposition as described in the —Consider Action 4: Framework next paragraph), the Navy shall report DEPARTMENT OF COMMERCE Procedures for IBFMPs the incident to the Chief of the Permits —Consider Essential Fish Habitat and Conservation Division, Office of National Oceanic and Atmospheric Administration (EFH) Designation for New Species Protected Resources, NMFS, and the in the IBFMPs and 5-year Review of NMFS Northeast/Greater Atlantic RIN 0648–XE785 EFH FMP Regional Stranding hotline and/or by Æ CFMC Roadmap to Complete IBFMPs email to the Northeast/Greater Atlantic Caribbean Fishery Management Æ Data Collection in the USVI—Ruth Regional Stranding Coordinator within Council; Public Meeting Go´mez 24 hours of the discovery. The report Æ AGENCY: National Marine Fisheries Developing a Commercial Permit shall include the same information Service (NMFS), National Oceanic and Program for the Snapper Unit 2 identified in the paragraph above. Atmospheric Administration (NOAA), Fishery Operating in Puerto Rico Activities would be able to continue Commerce. EEZ Waters—Reconsideration of while NMFS reviews the circumstances DRAFT Scoping Document ACTION: Notice of a public meeting. of the incident. NMFS would work with —PUBLIC COMMENT PERIOD—(5- the Navy to determine whether SUMMARY: The Caribbean Fishery minutes presentations) modifications in the activities are Management Council (Council) will August 24, 2016, 9 a.m.–5 p.m. appropriate. hold its 157th meeting. (iv) In the event that the Navy Æ DATES: The meeting will be held on Timing of Accountability Measures discovers an injured or dead marine August 23–24, 2016. The Council will —Results from Public Hearings mammal, and the lead MMO determines convene on Tuesday, August 23, 2016, Next Step: Consider taking final that the injury or death is not associated from 9 a.m. to 5:30 p.m., and will action/Review codified text with or related to the activities Æ Development of Regulatory reconvene on Wednesday, August 24, authorized in the IHA (e.g., previously Amendment regarding ACL 2016, from 9 a.m. to 5 p.m. wounded animal, carcass with moderate Overages and Application of to advanced decomposition, or ADDRESSES: The meeting will be held at Accountability Measures: Sector vs. scavenger damage), the Navy shall the Condado Vanderbilt Hotel, Condado Total ACL within a Fishery report the incident to the Chief of the Avenue, Condado, San Juan, Puerto Management Unit Permits and Conservation Division, Rico. Æ Reports to CFMC Office of Protected Resources, NMFS, FOR FURTHER INFORMATION CONTACT: —Standing Committee for and the NMFS Northeast/Greater Caribbean Fishery Management Council, Recreational Sampling Plan Atlantic Regional Stranding hotline 270 Mun˜ oz Rivera Avenue, Suite 401, Development and/or by email to the Northeast/Greater San Juan, Puerto Rico 00918; telephone: —Connectivity Studies Seasonally Atlantic Regional Stranding Coordinator (787) 766–5926. Closed Areas off the West Coast of

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Puerto Rico: Fish Larvae Sources 766–5926, at least 5 days prior to the Dated: August 3, 2016. and Sinks. Where do Fish Larvae go meeting date. Tracey L. Thompson, to when Spawned in the ABT?—Dr. Dated: August 3, 2016. Acting Deputy Director, Office of Sustainable Fisheries, National Marine Fisheries Service. Jorge Capella Tracey L. Thompson, —2015 Spiny Lobster Survey [FR Doc. 2016–18776 Filed 8–8–16; 8:45 am] Results—Aida Rosario Acting Deputy Director, Office of Sustainable Fisheries, National Marine Fisheries Service. BILLING CODE 3510–22–P —Pelagic Fish Distribution—Ricardo Lo´pez [FR Doc. 2016–18775 Filed 8–8–16; 8:45 am] Æ Enforcement Issues BILLING CODE 3510–22–P DEPARTMENT OF COMMERCE —Bottom Tending Gear: Legal Definition of Gear, Regulations in National Oceanic and Atmospheric Place in Seasonally Closed Areas in DEPARTMENT OF COMMERCE Administration the EEZ National Oceanic and Atmospheric Evaluation of State Coastal —Atlantic HMS Caribbean Fisheries— Administration Delisse Ortiz Management Programs Æ Outreach and Education Report—Dr. AGENCY: Office for Coastal Management ´ RIN 0648–XE791 Alida Ortız (OCM), National Ocean Service (NOS), Æ MREP Update—Helena Antoun National Oceanic and Atmospheric Æ Enforcement Reports: North Pacific Fishery Management —Puerto Rico-DNER Council; Public Meeting Administration (NOAA), Department of —U.S. Virgin Islands-DPNR Commerce (DOC). AGENCY: National Marine Fisheries —U.S. Coast Guard ACTION: Notice of request for comment. —NMFS/NOAA Service (NMFS), National Oceanic and SUMMARY: The National Oceanic and Æ Meetings Attended by Council Atmospheric Administration (NOAA), Atmospheric Administration (NOAA), Members and Staff Commerce. Office for Coastal Management will hold PUBLIC COMMENT PERIOD—(5- ACTION: Notice of teleconference. a public meeting to solicit comments on minute presentations) Æ Other Business SUMMARY: The North Pacific Fishery the performance evaluation of the New Æ Next Meeting(s) Management Council (Council) Hampshire Coastal Management Program. The established times for addressing Electronic Monitoring Workgroup items on the agenda may be adjusted as (EMWG) will hold a teleconference on DATES: New Hampshire Coastal necessary to accommodate the timely August 25, 2016. Management Program Evaluation: The completion of discussion relevant to the DATES: The meeting will be held on public meeting will be held on agenda items. To further accommodate Thursday, August 25, 2016, from 8 a.m. September 20, 2016, and written discussion and completion of all items to 5 p.m. (Alaska Time). comments must be received on or before on the agenda, the meeting may be September 30, 2016. ADDRESSES: The meeting will be held extended from, or completed prior to For specific dates, times, and telephonically at the following number: locations of the public meetings, see the date established in this notice. (907) 271–2896. The meeting is open to the public, SUPPLEMENTARY INFORMATION. and will be conducted in English. Council address: North Pacific ADDRESSES: You may submit comments Fishers and other interested persons are Fishery Management Council, 605 W. on the program or reserve NOAA invited to attend and participate with 4th Ave., Suite 306, Anchorage, AK intends to evaluate by any of the oral or written statements regarding 99501–2252; telephone (907) 271–2809. following methods: agenda issues. FOR FURTHER INFORMATION CONTACT: Public Meeting and Oral Comments: Although non-emergency issues not Diana Evans, Council staff; telephone: A public meeting will be held in contained in this agenda may come 907–271–2809. Portsmouth, New Hampshire. For the specific location, see SUPPLEMENTARY before this group for discussion, those SUPPLEMENTARY INFORMATION: issues may not be subjects for formal INFORMATION. action during this meeting. Actions will Agenda Written Comments: Please direct written comments to Pam Kylstra, be restricted to those issues specifically Thursday, August 25, 2016 identified in this notice, and any issues Program Development Specialist, arising after publication of this notice The agenda will include an update on Learning Services Division, Office for that require emergency action under the 2016 pre-implementation program, Coastal Management, 2234 S. Hobson section 305(c) of the Magnuson-Stevens review EM integration initial review Avenue, Charleston, South Carolina Fishery Conservation and Management draft analysis, review of the 2017 pre- 29405, or email comments Act, provided that the public has been implementation proposal, and other [email protected]. notified of the Council’s intent to take business and scheduling. The Agenda is FOR FURTHER INFORMATION CONTACT: Pam final action to address the emergency. subject to change, and the latest version Kylstra, Program Development will be posted at http://www.npfmc Specialist, Learning Services Division, Special Accommodations .org/. Office for Coastal Management, 2234 S. The meeting is physically accessible Hobson Avenue, Charleston, South Special Accommodations to people with disabilities. For more Carolina 29405, or email comments information or request for sign language The meeting is physically accessible [email protected]. Copies of the interpretation and/other auxiliary aids, to people with disabilities. Requests for previous evaluation findings and related please contact Mr. Miguel A. Rolo´n, sign language interpretation or other material (including past performance Executive Director, Caribbean Fishery auxiliary aids should be directed to reports and notices prepared by NOAA’s Management Council, 270 Mun˜ oz Shannon Gleason at (907) 271–2809 at Office for Coastal Management) may be Rivera Avenue, Suite 401, San Juan, least 7 working days prior to the obtained upon written request by Puerto Rico, 00918, telephone (787) meeting date. contacting the person identified under

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FOR FURTHER INFORMATION CONTACT. DEPARTMENT OF COMMERCE The incidental taking of small Copies of the most recent evaluation numbers of marine mammals may be findings may also be downloaded or National Oceanic and Atmospheric allowed only if NMFS (through viewed on the Internet at http:// Administration authority delegated by the Secretary) finds that the total taking by the coast.noaa.gov/czm/evaluations. RIN 0648–XE271 specified activity during the specified SUPPLEMENTARY INFORMATION: Section Takes of Marine Mammals Incidental to time period will (i) have a negligible 312 of the Coastal Zone Management Specified Activities; Taking Marine impact on the species or stock(s) and (ii) Act (CZMA) requires NOAA to conduct Mammals Incidental to the Bravo not have an unmitigable adverse impact periodic evaluations of federally Wharf Recapitalization Project on the availability of the species or approved state and territorial coastal stock(s) for subsistence uses (where programs. The process includes one or AGENCY: National Marine Fisheries relevant). Further, the permissible more public meetings, consideration of Service (NMFS), National Oceanic and methods of taking and requirements written public comments and Atmospheric Administration (NOAA), pertaining to the mitigation, monitoring consultations with interested Federal, Commerce. and reporting of such taking must be set state, and local agencies and members of ACTION: Notice; issuance of an incidental forth, either in specific regulations or in the public. During the evaluation, harassment authorization. an authorization. NOAA will consider the extent to which The allowance of such incidental the state has met the national objectives, SUMMARY: In accordance with the taking under section 101(a)(5)(A), by harassment, serious injury, death, or a adhered to the management program regulations implementing the Marine combination thereof, requires that approved by the Secretary of Commerce, Mammal Protection Act (MMPA) as amended, notification is hereby given regulations be established. and adhered to the terms of financial that we have issued an incidental Subsequently, a Letter of Authorization assistance under the CZMA. When the harassment authorization (IHA) to the may be issued pursuant to the evaluation is completed, NOAA’s Office U.S. Navy (Navy) to incidentally harass prescriptions established in such for Coastal Management will place a marine mammals during construction regulations, providing that the level of notice in the Federal Register activities associated with the bravo taking will be consistent with the announcing the availability of the Final wharf recapitalization project at Naval findings made for the total taking Evaluation Findings. Station Mayport, FL. allowable under the specific regulations. Specific information on the periodic DATES: This authorization is effective Under section 101(a)(5)(D), NMFS may evaluation of the state and territorial from December 1, 2016, through authorize such incidental taking by coastal program that is the subject of November 30, 2017. harassment only, for periods of not more this notice is detailed below as follows: than one year, pursuant to requirements FOR FURTHER INFORMATION CONTACT: and conditions contained within an New Hampshire Coastal Management Laura McCue, Office of Protected IHA. The establishment of prescriptions Program Evaluation Resources, NMFS, (301) 427–8401. through either specific regulations or an SUPPLEMENTARY INFORMATION: authorization requires notice and You may participate or submit oral Availability opportunity for public comment. comments at the public meeting NMFS has defined ‘‘negligible scheduled as follows: An electronic copy of the Navy’s impact’’ in 50 CFR 216.103 as ‘‘. . . an Date: September 20, 2016. application and supporting documents, impact resulting from the specified as well as a list of the references cited activity that cannot be reasonably Time: 1:00 p.m., local time. in this document, may be obtained by expected to, and is not reasonably likely Location: 222 International Drive, visiting the Internet at: to, adversely affect the species or stock Suite 175, Pease Tradeport, Portsmouth, www.nmfs.noaa.gov/pr/permits/ through effects on annual rates of New Hampshire 03801. incidental/construction.htm. A recruitment or survival.’’ Except with memorandum describing our adoption Written public comments must be respect to certain activities not pertinent of the Navy’s Environmental received on or before September 30, here, section 3(18) of the MMPA defines Assessment (2016) and our associated 2016. ‘‘harassment’’ as: ‘‘. . . any act of Finding of No Significant Impact, pursuit, torment, or annoyance which (i) Federal Domestic Assistance Catalog 11.419. prepared pursuant to the National has the potential to injure a marine Coastal Zone Management Program Environmental Policy Act, are also mammal or marine mammal stock in the Administration available at the same site. In case of wild [Level A harassment]; or (ii) has problems accessing these documents, Dated July 27, 2016. the potential to disturb a marine please call the contact listed above (see mammal or marine mammal stock in the John King, FOR FURTHER INFORMATION CONTACT). wild by causing disruption of behavioral Deputy Director, Office for Coastal Background patterns, including, but not limited to, Management, National Ocean Service, migration, breathing, nursing, breeding, National Oceanic and Atmospheric Sections 101(a)(5)(A) and (D) of the feeding, or sheltering [Level B Administration. MMPA (16 U.S.C. 1361 et seq.) direct harassment].’’ [FR Doc. 2016–18840 Filed 8–8–16; 8:45 am] the Secretary of Commerce to allow, BILLING CODE 3510–08–P upon request by U.S. citizens who Summary of Request engage in a specified activity (other than On July 21, 2015, we received a commercial fishing) within a specified request from the Navy for authorization area, the incidental, but not intentional, of the taking, by Level B harassment taking of small numbers of marine only, of marine mammals, incidental to mammals, providing that certain pile driving in association with the findings are made and the necessary Bravo Wharf recapitalization project at prescriptions are established. Naval Station Mayport (NSM), Florida.

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That request was modified on November in-water activities are limited to a consisting of clean gravel and flowable 4 and November 10, and a final version, maximum of 130 days, separated into concrete fill will be placed behind the which we deemed adequate and two phases. If in-water work will extend wall. A concrete cap will be formed complete, was submitted on November beyond the effective dates of the IHA, a along the top and outside face of the 17. In-water work associated with the second IHA application will be wall to tie the entire structure together project is expected to be completed submitted by the Navy. There will be a and provide a berthing surface for within the one-year timeframe of the maximum of 110 days for vibratory pile vessels. The new bulkhead will be IHA (December 1, 2016 through driving (73 days in phase I and 37 days designed for a fifty-year service life. November 30, 2017). in phase II), and a contingent 20 days of All piles will be driven by vibratory The use of both vibratory and impact impact pile driving. The specified hammer, although impact pile driving pile driving is expected to produce activities are expected to occur between may be used as a contingency in cases underwater sound at levels that have the December 1, 2016 and November 30, when vibratory driving is not sufficient potential to result in behavioral 2017. to reach the necessary depth. In the unlikely event that impact driving is harassment of marine mammals. One Specific Geographic Region species of marine mammal has the required, either impact or vibratory potential to be affected by the specified NSM is located in northeastern driving could occur on a given day, but activities: Bottlenose dolphin (Tursiops Florida, at the mouth of the St. Johns concurrent use of vibratory and impact truncatus truncatus). This species may River and adjacent to the Atlantic Ocean drivers will not occur. The Navy occur year-round in the action area. (see Figures 2–1 and 2–2 of the Navy’s estimates that a total of 130 in-water Similar wharf construction and pile application). The St. Johns River is the work days may be required to complete driving activities in Naval Station longest river in Florida, with the final pile driving activity, which includes 20 Mayport have been authorized by NMFS 35 mi flowing through the city of days for contingency impact driving, if in the past for a different construction Jacksonville. This portion of the river is necessary. significant for commercial shipping and project at Wharf C. The first Comments and Responses authorization was effective between military use. At the mouth of the river, September 1, 2014 through August 31, near the action area, the Atlantic Ocean We published a notice of receipt of 2015 (79 FR 27863; May 5, 2014), and is the dominant influence and typical the Navy’s application and proposed the second authorization, which is salinities are above 30 ppm. Outside the IHA in the Federal Register on currently ongoing, is effective from river mouth, in nearshore waters, December 7, 2015 (80 FR 75978). We September 8, 2015 through September 7, moderate oceanic currents tend to flow received one comment, a letter from the 2016 (80 FR 55598; September 16, southward parallel to the coast. Sea Marine Mammal Commission 2015). surface temperatures range from around concurring with NMFS’s preliminary 16 °C in winter to 28 °C in summer. findings. Description of the Specified Activity The specific action area consists of Comment: The Commission the NSM turning basin, an area of recommends the issuance of the IHA, Overview approximately 2,000 by 3,000 ft subject to the inclusion of the proposed Bravo Wharf is a medium draft, containing ship berthing facilities at 16 mitigation, monitoring, and reporting general purpose berthing wharf that was locations along wharves around the measures. constructed in 1970 and lies at the basin perimeter. The basin was Response: We value the Commission’s western edge of the NSM turning basin. constructed during the early 1940s by input and support and appreciate their Bravo Wharf is approximately 2,000 ft dredging the eastern part of Ribault Bay concurrence with our findings. We look long, 125 ft wide, and has a berthing (at the mouth of the St. Johns River), forward to working with them on depth of 50 ft mean lower low water. with dredge material from the basin similar issues in the future. The wharf is one of two primary deep used to fill parts of the bay and other Description of Marine Mammals in the draft berths at the basin and is capable low-lying areas in order to elevate the Area of the Specified Activity of berthing ships up to and including land surface. The basin is currently large amphibious ships; it is one of three maintained through regular dredging at There are four marine mammal primary ordnance handling berths at the a depth of 50 ft, with depths at the species which may inhabit or transit basin. The wharf is a diaphragm steel berths ranging from 30–50 ft. The through the waters nearby NSM at the sheet pile cell structure with a concrete turning basin, connected to the St. Johns mouth of the St. Johns River and in apron, partial concrete encasement of River by a 500-ft-wide entrance channel, nearby nearshore Atlantic waters. These the piling and asphalt paved deck. The will largely contain sound produced by include the bottlenose dolphin, Atlantic wharf is currently in poor condition due project activities, with the exception of spotted dolphin (Stenella frontalis), to advanced deterioration of the steel sound propagating east into nearshore North Atlantic right whale (Eubalaena sheeting and lack of corrosion Atlantic waters through the entrance glacialis), and humpback whale protection. This structural deterioration channel (see Figure 2–2 of the Navy’s (Megaptera novaeangliae). Multiple has resulted in the institution of load application). Bravo Wharf is located in additional cetacean species occur in restrictions within 60 ft of the wharf the western corner of the Mayport South Atlantic waters but would not be face. The purpose of this project is to turning basin. expected to occur in shallow nearshore complete necessary repairs to Bravo waters of the action area. Table 1 lists Wharf. Please refer to the Navy’s Detailed Description of Activities the marine mammal species with application for a schematic of the In order to rehabilitate Bravo Wharf, expected potential for occurrence in the project plan. the Navy proposes to install a new steel vicinity of NSM during the project sheet pile bulkhead at Bravo Wharf. The timeframe and summarizes key Dates and Duration project consists of installing a total of information regarding stock status and The total project is expected to approximately 880 single sheet piles abundance. Taxonomically, we follow require a maximum of 130 days of in- (Phase I—berths B–2 and B–3: 590; Committee on Taxonomy (2014). Please water pile driving. The project may Phase II—berth B–1: 290). The wall will see NMFS’ Stock Assessment Reports require up to 24 months for completion; be anchored at the top and fill (SAR), available at www.nmfs.noaa.gov/

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pr/sars, for more detailed accounts of operating areas of the Southeast (DoN, our Federal Register notice of proposed these stocks’ status and abundance. 2008). The document is publicly authorization (December 7, 2015; 80 FR Please also refer to NMFS’ Web site available at www.navfac.navy.mil/ 75978). For reasons discussed in detail (www.nmfs.noaa.gov/pr/species/ products_and_services/ev/products_ in the notice of proposed authorization, mammals) for generalized species and_services/marine_resources/marine_ right whales, humpback whales, and accounts and to the Navy’s Marine resource_assessments.html (accessed spotted dolphins are unlikely to occur Resource Assessment for the November 2, 2015). We provided in the project area and are not Charleston/Jacksonville Operating Area, additional information for marine considered further. which documents and describes the mammals with potential for occurrence marine resources that occur in Navy in the area of the specified activity in

TABLE 1—MARINE MAMMALS POTENTIALLY PRESENT IN THE VICINITY OF NSM

ESA/MMPA status; Stock abundance Annual Relative occurrence; Species Stock (CV, N , most recent PBR 3 strategic min M/SI 4 season of occurrence abundance survey) 2 (Y/N) 1

Order Cetartiodactyla—Cetacea—Superfamily Mysticeti (baleen whales)

Family Balaenidae

North Atlantic right Western North Atlantic 5 E/D; Y 476 (0; 476; 2013) ...... 1 4.3 Rare inshore, regular whale. near/offshore; Nov– Apr. Humpback whale ...... Gulf of Maine ...... E/D; Y 823 (0; 823; 2008) ...... 2.7 7.6 Rare; Fall–Spring.

Superfamily Odontoceti (toothed whales, dolphins, and porpoises)

Family Delphinidae

Atlantic spotted dolphin Western North Atlantic .. -; N 44,715 (0.43; 31,610; 316 0 Rare; year-round. 2011). Common bottlenose dol- Western North Atlantic -; N 77,532 (0.4; 56,053; 561 43.9 Rare; year-round. phin. Offshore. 2011). Western North Atlantic -/D; Y 9,173 (0.46; 6,326; 63 0–12 Possibly common; 8 Coastal, Southern Mi- 2010–11). Jan–Mar. gratory. Western North Atlantic -/D; Y 1,219 (0.67; 730; 2010– 7 0.4 Possibly common; 8 Coastal, Northern 11). year-round. Florida. Jacksonville Estuarine -; Y 412 7 (0.06; unk; 1994– undet 1.2 Possibly common; 8 System.6 97). year-round. 1 ESA status: Endangered (E), Threatened (T)/MMPA status: Depleted (D). A dash (-) indicates that the species is not listed under the ESA or designated as depleted under the MMPA. Under the MMPA, a strategic stock is one for which the level of direct human-caused mortality ex- ceeds PBR (see footnote 3) or which is determined to be declining and likely to be listed under the ESA within the foreseeable future. Any spe- cies or stock listed under the ESA is automatically designated under the MMPA as depleted and as a strategic stock. 2 CV is coefficient of variation; Nmin is the minimum estimate of stock abundance. In some cases, CV is not applicable. For certain stocks, abundance estimates are actual counts of animals and there is no associated CV. The most recent abundance survey that is reflected in the abundance estimate is presented; there may be more recent surveys that have not yet been incorporated into the estimate. 3 Potential biological removal, defined by the MMPA as the maximum number of animals, not including natural mortalities, that may be re- moved from a marine mammal stock while allowing that stock to reach or maintain its optimum sustainable population size. 4 These values, found in NMFS’ SARs, represent annual levels of human-caused mortality plus serious injury from all sources combined (e.g., commercial fisheries, subsistence hunting, ship strike). Annual M/SI often cannot be determined precisely and is in some cases presented as a minimum value. All values presented here are from the draft 2015 SARs (www.nmfs.noaa.gov/pr/sars/draft.htm). 5 Abundance estimates (and resulting PBR values) for these stocks are new values presented in the draft 2015 SARs. This information was made available for public comment and is currently under review and therefore may be revised prior to finalizing the 2015 SARs. However, we consider this information to be the best available for use in this document. 6 Abundance estimates for these stocks are greater than eight years old and are therefore not considered current. PBR is considered undeter- mined for these stocks, as there is no current minimum abundance estimate for use in calculation. We nevertheless present the most recent abundance estimates and PBR values, as these represent the best available information for use in this document. 7 This abundance estimate is considered an overestimate because it includes non- and seasonally-resident animals. 8 Bottlenose dolphins in general are common in the project area, but it is not possible to readily identify them to stock. Therefore, these three stocks are listed as possibly common as we have no information about which stock commonly only occurs.

Potential Effects of the Specified and of the potential effects of these practicable impact on such species or Activity on Marine Mammals and Their construction activities on marine stock and its habitat, paying particular Habitat mammals and their habitat. attention to rookeries, mating grounds, Mitigation and areas of similar significance, and on Our Federal Register notice of the availability of such species or stock proposed authorization (December 7, In order to issue an IHA under section for taking for certain subsistence uses. 2015; 80 FR 75978) provides a general 101(a)(5)(D) of the MMPA, NMFS must background on sound relevant to the set forth the permissible methods of Measurements from similar pile specified activity as well as a detailed taking pursuant to such activity, and driving events were coupled with description of marine mammal hearing other means of effecting the least practical spreading loss to estimate

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zones of influence (ZOI; see Estimated monitoring) by establishing monitoring equipment is no more than 30 minutes. Take by Incidental Harassment); these protocols for areas adjacent to the Please see the Monitoring Plan values were used to develop mitigation shutdown zones. Monitoring of (www.nmfs.noaa.gov/pr/permits/ measures for pile driving activities at disturbance zones enables observers to incidental/construction.htm), developed NSM. The ZOIs effectively represent the be aware of and communicate the by the Navy in agreement with NMFS, mitigation zone that will be established presence of marine mammals in the for full details of the monitoring around each pile to prevent Level A project area but outside the shutdown protocols. harassment to marine mammals, while zone and thus prepare for potential The following additional measures providing estimates of the areas within shutdowns of activity. However, the apply to visual monitoring: which Level B harassment might occur. primary purpose of disturbance zone (1) Monitoring will be conducted by In addition to the specific measures monitoring is for documenting incidents qualified observers, who will be placed described later in this section, the Navy of Level B harassment; disturbance zone at the best vantage point(s) practicable will conduct briefings between monitoring is discussed in greater detail to monitor for marine mammals and construction supervisors and crews, later (see Proposed Monitoring and implement shutdown/delay procedures marine mammal monitoring team, and Reporting). Nominal radial distances for when applicable by calling for the Navy staff prior to the start of all pile disturbance zones are shown in Table 2. shutdown to the hammer operator. driving activity, and when new Given the size of the disturbance zone Qualified observers are typically trained personnel join the work, in order to for vibratory pile driving, it is biologists, with the following minimum explain responsibilities, communication impossible to guarantee that all animals qualifications: procedures, marine mammal monitoring would be observed or to make • Visual acuity in both eyes protocol, and operational procedures. comprehensive observations of fine- (correction is permissible) sufficient for scale behavioral reactions to sound, and discernment of moving targets at the Monitoring and Shutdown for Pile only a portion of the zone (e.g., what water’s surface with ability to estimate Driving may be reasonably observed by visual target size and distance; use of The following measures will apply to observers stationed within the turning binoculars may be necessary to correctly the Navy’s mitigation through shutdown basin) will be observed. identify the target; and disturbance zones: In order to document observed • Experience and ability to conduct Shutdown Zone—For all pile driving incidents of harassment, monitors field observations and collect data activities, the Navy will establish a record all marine mammal observations, according to assigned protocols (this shutdown zone intended to contain the regardless of location. The observer’s may include academic experience); area in which sound pressure levels location, as well as the location of the • Experience or training in the field (SPLs) equal or exceed the 180 dB rms pile being driven, is known from a GPS. identification of marine mammals, acoustic injury criteria. The purpose of The location of the animal is estimated including the identification of a shutdown zone is to define an area as a distance from the observer, which behaviors; within which shutdown of activity will is then compared to the location from • Sufficient training, orientation, or occur upon sighting of a marine the pile. It may then be estimated experience with the construction mammal (or in anticipation of an animal whether the animal was exposed to operation to provide for personal safety entering the defined area), thus sound levels constituting incidental during observations; preventing injury of marine mammals harassment on the basis of predicted • Writing skills sufficient to prepare a (as described in our notice of proposed distances to relevant thresholds in post- report of observations including but not authorization, serious injury or death processing of observational and acoustic limited to the number and species of are unlikely outcomes even in the data, and a precise accounting of marine mammals observed; dates and absence of mitigation measures). observed incidences of harassment times when in-water construction Modeled radial distances for shutdown created. This information may then be activities were conducted; dates and zones are shown in Table 2. However, used to extrapolate observed takes to times when in-water construction a minimum shutdown zone of 15 m reach an approximate understanding of activities were suspended to avoid (which is larger than the maximum actual total takes. potential incidental injury from predicted injury zone) will be Monitoring Protocols—Monitoring construction sound of marine mammals established during all pile driving will be conducted before, during, and observed within a defined shutdown activities, regardless of the estimated after pile driving activities. In addition, zone; and marine mammal behavior; zone. Vibratory pile driving activities observers shall record all incidents of and are not predicted to produce sound marine mammal occurrence, regardless • Ability to communicate orally, by exceeding the 180-dB Level A of distance from activity, and shall radio or in person, with project harassment threshold, but these document any behavioral reactions in personnel to provide real-time precautionary measures are intended to concert with distance from piles being information on marine mammals prevent the already unlikely possibility driven. Observations made outside the observed in the area as necessary. of physical interaction with shutdown zone will not result in (2) Prior to the start of pile driving construction equipment and to further shutdown; that pile segment will be activity, the shutdown zone will be reduce any possibility of acoustic completed without cessation, unless the monitored for 15 minutes to ensure that injury. For impact driving of steel piles, animal approaches or enters the it is clear of marine mammals. Pile if necessary, the radial distance of the shutdown zone, at which point all pile driving will only commence once shutdown will be established at 40 m. driving activities will be halted. observers have declared the shutdown Disturbance Zone—Disturbance zones Monitoring will take place from 15 zone clear of marine mammals; animals are the areas in which SPLs equal or minutes prior to initiation through 30 will be allowed to remain in the exceed 160 and 120 dB rms (for impulse minutes post-completion of pile driving shutdown zone (i.e., must leave of their and continuous sound, respectively). activities. Pile driving activities include own volition) and their behavior will be Disturbance zones provide utility for the time to install or remove a single monitored and documented. The monitoring conducted for mitigation pile or series of piles, as long as the time shutdown zone may only be declared purposes (i.e., shutdown zone elapsed between uses of the pile driving clear, and pile driving started, when the

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entire shutdown zone is visible (i.e., accomplishing (based on current the species and of the level of taking or when not obscured by dark, rain, fog, science), or contribute to the impacts on populations of marine etc.). In addition, if such conditions accomplishment of one or more of the mammals that are expected to be should arise during impact pile driving general goals listed below: present in the proposed action area. that is already underway, the activity (1) Avoidance or minimization of Any monitoring requirement we will be halted. injury or death of marine mammals prescribe should improve our (3) If a marine mammal approaches or wherever possible (goals 2, 3, and 4 may understanding of one or more of the enters the shutdown zone during the contribute to this goal). following: course of pile driving operations, (2) A reduction in the number (total • Occurrence of marine mammal activity will be halted and delayed until number or number at biologically species in action area (e.g., presence, either the animal has voluntarily left important time or location) of abundance, distribution, density). and been visually confirmed beyond the individual marine mammals exposed to • Nature, scope, or context of likely shutdown zone or 15 minutes have stimuli expected to result in incidental marine mammal exposure to potential passed without re-detection of the take (this goal may contribute to 1, stressors/impacts (individual or animal. Monitoring will be conducted above, or to reducing takes by cumulative, acute or chronic), through throughout the time required to drive a behavioral harassment only). better understanding of: (1) Action or pile. (3) A reduction in the number (total environment (e.g., source number or number at biologically Soft Start characterization, propagation, ambient important time or location) of times any noise); (2) Affected species (e.g., life The use of a soft start procedure is individual marine mammal would be history, dive patterns); (3) Co- believed to provide additional exposed to stimuli expected to result in occurrence of marine mammal species protection to marine mammals by incidental take (this goal may contribute with the action; or (4) Biological or warning or providing a chance to leave to 1, above, or to reducing takes by behavioral context of exposure (e.g., age, the area prior to the hammer operating behavioral harassment only). calving or feeding areas). at full capacity, and typically involves (4) A reduction in the intensity of • Individual responses to acute a requirement to initiate sound from the exposure to stimuli expected to result in stressors, or impacts of chronic hammer at reduced energy followed by incidental take (this goal may contribute exposures (behavioral or physiological). a waiting period. This procedure is to 1, above, or to reducing the severity • How anticipated responses to repeated two additional times. It is of behavioral harassment only). difficult to specify the reduction in (5) Avoidance or minimization of stressors impact either: (1) Long-term energy for any given hammer because of adverse effects to marine mammal fitness and survival of an individual; or variation across drivers and, for impact (2) Population, species, or stock. habitat, paying particular attention to • hammers, the actual number of strikes at the prey base, blockage or limitation of Effects on marine mammal habitat reduced energy will vary because passage to or from biologically and resultant impacts to marine operating the hammer at less than full mammals. important areas, permanent destruction • power results in ‘‘bouncing’’ of the of habitat, or temporary disturbance of Mitigation and monitoring hammer as it strikes the pile, resulting habitat during a biologically important effectiveness. in multiple ‘‘strikes.’’ For impact time. The Navy’s planned monitoring and driving, we require an initial set of three (6) For monitoring directly related to reporting is also described in their strikes from the impact hammer at mitigation, an increase in the Marine Mammal Monitoring Plan, on reduced energy, followed by a thirty- probability of detecting marine the Internet at www.nmfs.noaa.gov/pr/ second waiting period, then two mammals, thus allowing for more permits/incidental/construction.htm. subsequent three strike sets. Soft start effective implementation of the Visual Marine Mammal Observations will be required at the beginning of each mitigation. day’s impact pile driving work and at Based on our evaluation of the Navy’s The Navy will collect sighting data any time following a cessation of impact proposed measures, as well as any other and behavioral responses to pile driving of 30 minutes or longer. potential measures that may be relevant construction for marine mammal We have carefully evaluated the to the specified activity, we have species observed in the region of Navy’s proposed mitigation measures determined that the proposed mitigation activity during the period of activity. All and considered their effectiveness in measures provide the means of effecting observers (MMOs) will be trained in past implementation to determine the least practicable impact on marine marine mammal identification and whether they are likely to effect the least mammal species or stocks and their behaviors and are required to have no practicable impact on the affected habitat, paying particular attention to other construction-related tasks while marine mammal species and stocks and rookeries, mating grounds, and areas of conducting monitoring. The Navy will their habitat. Our evaluation of potential similar significance. monitor the shutdown zone and measures included consideration of the disturbance zone before, during, and following factors in relation to one Monitoring and Reporting after pile driving, with observers located another: (1) The manner in which, and In order to issue an IHA for an at the best practicable vantage points. the degree to which, the successful activity, section 101(a)(5)(D) of the Based on our requirements, the Navy implementation of the measure is MMPA states that NMFS must set forth will implement the following expected to minimize adverse impacts ‘‘requirements pertaining to the procedures for pile driving: to marine mammals, (2) the proven or monitoring and reporting of such • MMOs will be located at the best likely efficacy of the specific measure to taking.’’ The MMPA implementing vantage point(s) in order to properly see minimize adverse impacts as planned; regulations at 50 CFR 216.104(a)(13) the entire shutdown zone and as much and (3) the practicability of the measure indicate that requests for incidental take of the disturbance zone as possible. for applicant implementation. authorizations must include the • During all observation periods, Any mitigation measure(s) we suggested means of accomplishing the observers will use binoculars and the prescribe should be able to accomplish, necessary monitoring and reporting that naked eye to search continuously for have a reasonable likelihood of will result in increased knowledge of marine mammals.

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• If the shutdown zones are obscured of marine mammal monitoring, or 60 to estimate how many animals are likely by fog or poor lighting conditions, pile days prior to the requested date of to be present within a particular driving at that location will not be issuance of any future IHA for projects distance of a given activity, or exposed initiated until that zone is visible. at the same location, whichever comes to a particular level of sound. In Should such conditions arise while first. The report will include marine practice, depending on the amount of impact driving is underway, the activity mammal observations pre-activity, information available to characterize will be halted. during-activity, and post-activity during daily and seasonal movement and • The shutdown and disturbance pile driving days, and will also provide distribution of affected marine zones around the pile will be monitored descriptions of any behavioral responses mammals, it can be difficult to for the presence of marine mammals to construction activities by marine distinguish between the number of before, during, and after any pile driving mammals and a complete description of individuals harassed and the instances or removal activity. all mitigation shutdowns and the results of harassment and, when duration of the Individuals implementing the of those actions and an extrapolated activity is considered, it can result in a monitoring protocol will assess its total take estimate based on the number take estimate that overestimates the effectiveness using an adaptive of marine mammals observed during the number of individuals harassed. In approach. The monitoring biologists course of construction. A final report particular, for stationary activities, it is will use their best professional must be submitted within 30 days more likely that some smaller number of judgment throughout implementation following resolution of comments on the individuals may accrue a number of and seek improvements to these draft report. incidences of harassment per individual than for each incidence to accrue to a methods when deemed appropriate. Estimated Take by Incidental new individual, especially if those Any modifications to protocol will be Harassment coordinated between NMFS and the individuals display some degree of Navy. Except with respect to certain residency or site fidelity and the activities not pertinent here, section impetus to use the site (e.g., because of Data Collection 3(18) of the MMPA defines foraging opportunities) is stronger than We require that observers use ‘‘harassment’’ as: ‘‘. . . any act of the deterrence presented by the approved data forms. Among other pursuit, torment, or annoyance which (i) harassing activity. pieces of information, the Navy will has the potential to injure a marine The turning basin is not considered record detailed information about any mammal or marine mammal stock in the important habitat for marine mammals, implementation of shutdowns, wild [Level A harassment]; or (ii) has as it is a man-made, semi-enclosed basin including the distance of animals to the the potential to disturb a marine with frequent industrial activity and pile and description of specific actions mammal or marine mammal stock in the regular maintenance dredging. The that ensued and resulting behavior of wild by causing disruption of behavioral surrounding waters may be an the animal, if any. In addition, the Navy patterns, including, but not limited to, important foraging habitat for the will attempt to distinguish between the migration, breathing, nursing, breeding, dolphins; however the small area of number of individual animals taken and feeding, or sheltering [Level B ensonification does not extend outside the number of incidences of take. We harassment].’’ of the turning basin and into this require that, at a minimum, the All anticipated takes would be by foraging habitat (see Figure 6–1 in the following information be collected on Level B harassment resulting from Navy’s application). Therefore, the sighting forms: vibratory and impact pile driving and behavioral disturbances that could • Date and time that monitored involving temporary changes in result from anthropogenic sound activity begins or ends; behavior. The planned mitigation and associated with these activities are • Construction activities occurring monitoring measures are expected to expected to affect only a relatively small during each observation period; minimize the possibility of injurious or number of individual marine mammals • Weather parameters (e.g., percent lethal takes such that take by Level A that may venture near the turning basin, cover, visibility); harassment, serious injury, or mortality although those effects could be • Water conditions (e.g., sea state, is considered discountable. However, it recurring over the life of the project if tide state); is unlikely that injurious or lethal takes the same individuals remain in the • Species, numbers, and, if possible, would occur even in the absence of the project vicinity. The Navy has requested sex and age class of marine mammals; planned mitigation and monitoring authorization for the incidental taking of • Description of any observable measures. small numbers of bottlenose dolphins in marine mammal behavior patterns, If a marine mammal responds to a the Mayport turning basin that may including bearing and direction of stimulus by changing its behavior (e.g., result from pile driving during travel, and if possible, the correlation to through relatively minor changes in construction activities associated with SPLs; locomotion direction/speed or the project described previously in this • Distance from pile driving activities vocalization behavior), the response document. to marine mammals and distance from may or may not constitute taking at the In order to estimate the potential the marine mammals to the observation individual level, and is unlikely to incidents of take that may occur point; affect the stock or the species as a incidental to the specified activity, we • Description of implementation of whole. However, if a sound source must first estimate the extent of the mitigation measures (e.g., shutdown or displaces marine mammals from an sound field that may be produced by the delay); important feeding or breeding area for a activity and then consider in • Locations of all marine mammal prolonged period, impacts on animals or combination with information about observations; and on the stock or species could potentially marine mammal density or abundance • Other human activity in the area. be significant (e.g., Lusseau and Bejder, in the project area. We described 2007; Weilgart, 2007). Given the many applicable sound thresholds for Reporting uncertainties in predicting the quantity determining effects to marine mammals A draft report will be submitted to and types of impacts of sound on before describing the information used NMFS within 90 days of the completion marine mammals, it is common practice in estimating the sound fields, the

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available marine mammal density or of proposed authorization (August 5, sound thresholds are provided in Table abundance information, and the method 2015; 80 FR 46545). All calculated 2. of estimating potential incidents of take distances to and the total area in detail in our Federal Register notice encompassed by the marine mammal

TABLE 2—DISTANCES TO RELEVANT UNDERWATER SOUND THRESHOLDS AND AREAS OF ENSONIFICATION

Pile type Method Threshold Distance (m) 1 Area (km2)

Steel sheet piles ...... Vibratory ...... Level A harassment (180 dB) ...... 0 0 Level B harassment (120 dB) 1,166 0.614439 Impact ...... Level A harassment (180 dB) ...... 40 0.002 Level B harassment (160 dB) 858 0.51 1 Areas presented take into account attenuation and/or shadowing by land. Calculated distances to relevant thresholds cannot be reached in most directions form source piles. Please see Figures 6–1 and 6–2 in the Navy’s application.

The Mayport turning basin does not • An individual can only be taken There are a number of reasons why represent open water, or free field, once during a 24-h period; and, estimates of potential incidents of take conditions. Therefore, sounds would • There will be 110 total days of may be conservative, assuming that attenuate as per the confines of the vibratory driving (73 days in phase I and available density or abundance basin, and may only reach the full 37 days in phase II) and 20 days of estimates and estimated ZOI areas are estimated distances to the harassment impact pile driving. accurate. We assume, in the absence of • thresholds via the narrow, east-facing Exposures to sound levels at or information supporting a more refined entrance channel. Distances shown in above the relevant thresholds equate to conclusion, that the output of the Table 2 are estimated for free-field take, as defined by the MMPA. calculation represents the number of The estimation of marine mammal conditions, but areas are calculated per individuals that may be taken by the takes typically uses the following the actual conditions of the action area. specified activity. In fact, in the context calculation: See Figures 6–1 and 6–2 of the Navy’s of stationary activities such as pile application for a depiction of areas in Exposure estimate = (n * ZOI) * days of driving and in areas where resident total activity which each underwater sound threshold animals may be present, this number is predicted to occur at the project area Where: more realistically represents the number due to pile driving. n = density estimate used for each species/ of incidents of take that may accrue to season Marine Mammal Densities ZOI = sound threshold ZOI area; the area a smaller number of individuals. While encompassed by all locations where the pile driving can occur any day For all species, the best scientific SPLs equal or exceed the threshold being throughout the in-water work window, information available was considered evaluated and the analysis is conducted on a per for use in the marine mammal take n * ZOI produces an estimate of the day basis, only a fraction of that time assessment calculations. Density for abundance of animals that could be (typically a matter of hours on any given bottlenose dolphins is derived from site- present in the area for exposure, and is day) is actually spent pile driving. The specific surveys conducted by the Navy rounded to the nearest whole number before multiplying by days of total potential effectiveness of mitigation (see Appendix C of the Navy’s activity. measures in reducing the number of application for more information); it is takes is typically not quantified in the The ZOI impact area is estimated not currently possible to identify take estimation process. For these observed individuals to stock. using the relevant distances in Table 2, taking into consideration the possible reasons, these take estimates may be The following assumptions are made affected area with attenuation due to the conservative. when estimating potential incidents of constraints of the basin. Because the The quantitative exercise described take: basin restricts sound from propagating above indicates that no incidents of • All marine mammal individuals outward, with the exception of the east- Level A harassment would be expected, potentially available are assumed to be facing entrance channel, the radial independent of the implementation of present within the relevant area, and distances to thresholds are not generally required mitigation measures. See Table thus incidentally taken; reached. 3 for total estimated incidents of take.

TABLE 3—CALCULATIONS FOR INCIDENTAL TAKE ESTIMATION

n Proposed Species Activity n * ZOI 1 authorized (animals/km2) takes 2

Phase I (73 days)

Bottlenose dolphin 3 ...... 4.15366 Vibratory driving...... 3 219

Phase II (37 days)

Bottlenose dolphin 3 ...... 4.15366 Vibratory driving...... 3 111

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TABLE 3—CALCULATIONS FOR INCIDENTAL TAKE ESTIMATION—Continued

Proposed n Species Activity n * ZOI 1 authorized (animals/km2) takes 2

Contingency impact driving (20 days)

Bottlenose dolphin 3 ...... 4.15366 Impact driving...... 2 40

Total exposures ...... 370 1 See Table 2 for relevant ZOIs. The product of this calculation is rounded to the nearest whole number. 2 The product of n * ZOI is multiplied by the total number of activity-specific days to estimate the number of takes. 3 It is impossible to estimate from available information which stock these takes may accrue to.

Analyses and Determinations not expected to be required), and this and no known long-term adverse activity does not have the potential to consequences from behavioral Negligible Impact Analysis cause injury to marine mammals due to harassment. Repeated exposures of NMFS has defined ‘‘negligible the relatively low source levels individuals to levels of sound that may impact’’ in 50 CFR 216.103 as ‘‘. . . an produced (less than 180 dB) and the cause Level B harassment are unlikely impact resulting from the specified lack of potentially injurious source to result in hearing impairment or to activity that cannot be reasonably characteristics. Impact pile driving significantly disrupt foraging behavior. expected to, and is not reasonably likely produces short, sharp pulses with Thus, even repeated Level B harassment to, adversely affect the species or stock higher peak levels and much sharper of some small subset of the overall stock through effects on annual rates of rise time to reach those peaks. If impact is unlikely to result in any significant recruitment or survival.’’ A negligible driving is necessary, implementation of realized decrease in viability for the impact finding is based on the lack of soft start and shutdown zones affected individuals, and thus would likely adverse effects on annual rates of significantly reduces any possibility of not result in any adverse impact to the recruitment or survival (i.e., population- injury. Given sufficient ‘‘notice’’ stock as a whole. Level B harassment level effects). An estimate of the number through use of soft start (for impact will be reduced to the level of least of Level B harassment takes alone is not driving), marine mammals are expected practicable impact through use of enough information on which to base an to move away from a sound source that mitigation measures described herein impact determination. In addition to is annoying prior to it becoming and, if sound produced by project considering estimates of the number of potentially injurious. Environmental activities is sufficiently disturbing, marine mammals that might be ‘‘taken’’ conditions in the confined and animals are likely to simply avoid the through behavioral harassment, we protected Mayport turning basin mean turning basin while the activity is consider other factors, such as the likely that marine mammal detection ability occurring. nature of any responses (e.g., intensity, by trained observers is high, enabling a In summary, this negligible impact duration), the context of any responses high rate of success in implementation analysis is founded on the following (e.g., critical reproductive time or of shutdowns to avoid injury. factors: (1) The possibility of injury, location, migration), as well as the Effects on individuals that are taken serious injury, or mortality may number and nature of estimated Level A by Level B harassment, on the basis of reasonably be considered discountable; harassment takes, the number of reports in the literature as well as (2) the anticipated incidents of Level B estimated mortalities, and effects on monitoring from other similar activities, harassment consist of, at worst, habitat. will likely be limited to reactions such temporary modifications in behavior; (3) Pile driving activities associated with as increased swimming speeds, the absence of any significant habitat the wharf construction project, as increased surfacing time, or decreased within the project area, including outlined previously, have the potential foraging (if such activity were occurring) known areas or features of special to disturb or displace marine mammals. (e.g., Thorson and Reyff, 2006; HDR, significance for foraging or Specifically, the specified activities may Inc., 2012). Most likely, individuals will reproduction; (4) the presumed efficacy result in take, in the form of Level B simply move away from the sound of the planned mitigation measures in harassment (behavioral disturbance) source and be temporarily displaced reducing the effects of the specified only, from underwater sounds generated from the areas of pile driving, although activity to the level of least practicable from pile driving. Potential takes could even this reaction has been observed impact. In addition, these stocks are not occur if individuals of these species are primarily only in association with listed under the ESA, although coastal present in the ensonified zone when impact pile driving. The pile driving bottlenose dolphins are designated as pile driving is happening. activities analyzed here are similar to, or depleted under the MMPA. In No injury, serious injury, or mortality less impactful than, numerous other combination, we believe that these is anticipated given the nature of the construction activities conducted in San factors, as well as the available body of activities and measures designed to Francisco Bay and in the Puget Sound evidence from other similar activities, minimize the possibility of injury to region, which have taken place with no demonstrate that the potential effects of marine mammals. The potential for reported injuries or mortality to marine the specified activity will have only these outcomes is minimized through mammals, and no known long-term short-term effects on individuals. The the construction method and the adverse consequences from behavioral specified activity is not expected to implementation of the planned harassment. These activities are also impact rates of recruitment or survival mitigation measures. Specifically, nearly identical to the pile driving and will therefore not result in vibratory hammers will be the primary activities that took place at Wharf C–2 population-level impacts. method of installation (impact driving is at NSM, which also reported zero Based on the analysis contained included only as a contingency and is injuries or mortality to marine mammals herein of the likely effects of the

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specified activity on marine mammals present in coastal Atlantic waters from (40 CFR parts 1500–1508), the Navy and their habitat, and taking into the Georgia/Florida border south to prepared an Environmental Assessment consideration the implementation of the 29.4° N. (Waring et al., 2014), a span of (EA) to consider the direct, indirect and planned monitoring and mitigation more than 90 miles. There is no obvious cumulative effects to the human measures, we find that the total marine boundary defining the offshore extent of environment resulting from the bravo mammal take from the Navy’s wharf this stock. They occur in waters less wharf recapitalization project. NMFS construction activities will have a than 20 m deep; however, they may also made the Navy’s EA available to the negligible impact on the affected marine occur in lower densities over the public for review and comment, in mammal species or stocks. continental shelf (waters between 20 m relation to its suitability for adoption by NMFS in order to assess the impacts to Small Numbers Analysis and 100 m depth) and overlap spatially with the offshore morphotype (Waring the human environment of issuance of As described previously, of the 370 et al., 2014). an IHA to the Navy. Also in compliance incidents of behavioral harassment In summary, JES dolphins are known with NEPA and the CEQ regulations, as predicted to occur for bottlenose to form two groups and exhibit strong well as NOAA Administrative Order dolphin, we have no information site fidelity (i.e., individuals do not 216–6, NMFS has reviewed the Navy’s allowing us to parse those predicted generally range throughout the EA, determined it to be sufficient, and incidents amongst the three stocks of recognized overall JES stock range); and adopted that EA and signed a Finding bottlenose dolphin that may occur in neither stock is expected to occur at all of No Significant Impact (FONSI) in the project area. Therefore, we assessed in a significant portion of the larger ZOI, July, 2016. The 2016 NEPA documents the total number of predicted incidents which is almost entirely confined are available at www.nmfs.noaa.gov/pr/ of take against the best abundance within NSM. Given that the specified permits/incidental/construction.htm. estimate for each stock, as though the activity will be stationary within an Authorization total would occur for the stock in enclosed basin not recognized as an area question. For one of the bottlenose of any special significance that would As a result of these determinations, dolphin stocks, the total predicted serve to attract or aggregate dolphins, we have issued an IHA to the Navy for number of incidents of take authorized we therefore believe that the estimated conducting the described construction would be considered small— numbers of takes, were they to occur, activities at the Bravo Wharf at NSM, approximately four percent for the likely represent repeated exposures of a Jacksonville, FL for one year of southern migratory stock—even if each much smaller number of bottlenose issuance, provided the previously estimated taking occurred to a new dolphins and that these estimated mentioned mitigation, monitoring, and individual. This is an extremely incidents of take represent small reporting requirements are incorporated. unlikely scenario as, for bottlenose numbers of bottlenose dolphins. Dated: August 4, 2016. dolphins in estuarine and nearshore Based on the analysis contained Donna S. Wieting, waters, there is likely to be some herein of the likely effects of the overlap in individuals present day-to- Director, Office of Protected Resources, specified activity on marine mammals National Marine Fisheries Service. day. and their habitat, and taking into The total number of authorized takes [FR Doc. 2016–18846 Filed 8–8–16; 8:45 am] consideration the implementation of the BILLING CODE 3510–22–P for bottlenose dolphins, if assumed to mitigation and monitoring measures, we accrue solely to new individuals of the find that small numbers of marine Jacksonville Estuarine Stock (JES) or mammals will be taken relative to the DEPARTMENT OF COMMERCE northern Florida coastal stocks, is populations of the affected species or higher relative to the total stock stocks. National Oceanic and Atmospheric abundance, which is currently Administration considered unknown for the JES stock Impact on Availability of Affected and is 1,219 for the northern Florida Species for Taking for Subsistence Uses RIN 0648–XE744 coastal stock. However, these numbers There are no relevant subsistence uses Takes of Marine Mammals Incidental to represent the estimated incidents of of marine mammals implicated by this Specified Activities; Taking Marine take, not the number of individuals action. Therefore, we have determined Mammals Incidental to a Pier taken. That is, it is highly likely that a that the total taking of affected species Replacement Project relatively small subset of these or stocks would not have an unmitigable bottlenose dolphins will be harassed by adverse impact on the availability of AGENCY: National Marine Fisheries project activities. such species or stocks for taking for Service (NMFS), National Oceanic and JES bottlenose dolphins range from subsistence purposes. Atmospheric Administration (NOAA), Cumberland Sound at the Georgia- Commerce. Endangered Species Act (ESA) Florida border south to approximately ACTION: Notice; proposed incidental Palm Coast, Florida, an area spanning No marine mammal species listed harassment authorization; request for over 120 linear km of coastline and under the ESA are expected to be comments. including habitat consisting of complex affected by these activities. Therefore, inshore and estuarine waterways. JES we have determined that section 7 SUMMARY: NMFS has received a request dolphins, divided by Caldwell (2001) consultation under the ESA is not from the U.S. Navy (Navy) for into Northern and Southern groups, required. authorization to take marine mammals show strong site fidelity and, although incidental to construction activities as members of both groups have been National Environmental Policy Act part of a pier replacement project. observed outside their preferred areas, it (NEPA) Pursuant to the Marine Mammal is likely that the majority of JES In compliance with the National Protection Act (MMPA), NMFS is dolphins would not occur within waters Environmental Policy Act of 1969 (42 requesting comments on its proposal to ensonified by project activities. U.S.C. 4321 et seq.), as implemented by issue an incidental harassment In the western North Atlantic, the the regulations published by the authorization (IHA) to the Navy to Northern Florida Coastal Stock is Council on Environmental Quality incidentally take marine mammals, by

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Level B Harassment only, during the review and comment. All documents are stock in the wild by causing disruption specified activity. available at the aforementioned Web of behavioral patterns, including, but DATES: Comments and information must site. We will review all comments not limited to, migration, breathing, be received no later than September 8, submitted in response to this notice as nursing, breeding, feeding, or sheltering 2016. we complete the NEPA process, [Level B harassment].’’ including a decision of whether the ADDRESSES: Comments on the Summary of Request application should be addressed to Jolie existing EA and FONSI provide On June 16, 2016, we received a Harrison, Chief, Permits and adequate analysis related to the request from the Navy for authorization Conservation Division, Office of potential environmental effects of issuing an IHA to the Navy, prior to a to take marine mammals incidental to Protected Resources, National Marine pile installation and demolition Fisheries Service. Physical comments final decision on the incidental take authorization request. associated with a pier replacement should be sent to 1315 East-West project in San Diego Bay at Naval Base Highway, Silver Spring, MD 20910 and Background Point Loma in San Diego, CA (NBPL), electronic comments should be sent to Sections 101(a)(5)(A) and (D) of the including a separate monitoring plan. [email protected]. MMPA (16 U.S.C. 1361 et seq.) direct The Navy also submitted a draft Instructions: NMFS is not responsible the Secretary of Commerce to allow, monitoring report on June 2, 2016, for comments sent by any other method, upon request, the incidental, but not pursuant to requirements of the to any other address or individual, or intentional, taking of small numbers of previous IHA. The Navy submitted received after the end of the comment marine mammals by U.S. citizens who revised versions of the request and period. Comments received engage in a specified activity (other than monitoring plan on August 3, 2016, and electronically, including all commercial fishing) within a specified a revised monitoring report on July 12, attachments, must not exceed a 25- geographical region if certain findings 2016. These documents were deemed megabyte file size. Attachments to are made and either regulations are adequate and complete. The pier electronic comments will be accepted in issued or, if the taking is limited to replacement project is planned to occur Microsoft Word or Excel or Adobe PDF harassment, a notice of a proposed over multiple years; this proposed IHA file formats only. All comments authorization is provided to the public would cover only the fourth year of received are a part of the public record for review. work and would be valid for a period of and will generally be posted to the Authorization for incidental takings one year from the date of issuance. Internet at www.nmfs.noaa.gov/pr/ shall be granted if NMFS finds that the Hereafter, use of the generic term ‘‘pile permits/incidental/construction.htm taking will have a negligible impact on driving’’ may refer to both pile without change. All personal identifying the species or stock(s), will not have an installation and removal unless information (e.g., name, address) unmitigable adverse impact on the otherwise noted. voluntarily submitted by the commenter availability of the species or stock(s) for The use of both vibratory and impact may be publicly accessible. Do not subsistence uses (where relevant), and if pile driving, as well as various submit confidential business the permissible methods of taking and demolition techniques, is expected to information or otherwise sensitive or requirements pertaining to the produce underwater sound at levels that protected information. mitigation, monitoring and reporting of have the potential to result in behavioral FOR FURTHER INFORMATION CONTACT: Ben such takings are set forth. NMFS has harassment of marine mammals. Species Laws, Office of Protected Resources, defined ‘‘negligible impact’’ in 50 CFR with the expected potential to be NMFS, (301) 427–8401. 216.103 as ‘‘. . . an impact resulting present during all or a portion of the in- SUPPLEMENTARY INFORMATION: from the specified activity that cannot water work window include the be reasonably expected to, and is not California sea lion (Zalophus Availability reasonably likely to, adversely affect the californianus), harbor seal (Phoca An electronic copy of the Navy’s species or stock through effects on vitulina richardii), northern elephant application and supporting documents, annual rates of recruitment or survival.’’ seal (Mirounga angustirostris), gray as well as a list of the references cited Section 101(a)(5)(D) of the MMPA whale (Eschrichtius robustus), in this document, may be obtained by established an expedited process by bottlenose dolphin (Tursiops truncatus visiting the Internet at: which citizens of the U.S. can apply for truncatus), Pacific white-sided dolphin www.nmfs.noaa.gov/pr/permits/ an authorization to incidentally take (Lagenorhynchus obliquidens), Risso’s incidental/construction.htm. In case of small numbers of marine mammals by dolphin (Grampus griseus), and either problems accessing these documents, harassment. Section 101(a)(5)(D) short-beaked or long-beaked common please call the contact listed above. establishes a 45-day time limit for dolphins (Delphinus spp.). California NMFS review of an application sea lions are present year-round and are National Environmental Policy Act followed by a 30-day public notice and very common in the project area, while (NEPA) comment period on any proposed bottlenose dolphins and harbor seals are The Navy prepared an Environmental authorizations for the incidental common and likely to be present year- Assessment (EA; 2013) for this project. harassment of marine mammals. Within round but with more variable We subsequently adopted the EA and 45 days of the close of the comment occurrence in San Diego Bay. Gray signed our own Finding of No period, NMFS must either issue or deny whales may be observed in San Diego Significant Impact (FONSI) prior to the authorization. Except with respect to Bay sporadically during migration issuing the first IHA for this project, in certain activities not pertinent here, the periods. The remaining species are accordance with NEPA and the MMPA defines ‘‘harassment’’ as ‘‘any known to occur in nearshore waters regulations published by the Council on act of pursuit, torment, or annoyance outside San Diego Bay, but are generally Environmental Quality. Information in which (i) has the potential to injure a only rarely observed near or in the bay. the Navy’s application, the Navy’s EA, marine mammal or marine mammal However, recent observations indicate and this notice collectively provide the stock in the wild [Level A harassment]; that these species may occur in the environmental information related to or (ii) has the potential to disturb a project area and therefore could proposed issuance of this IHA for public marine mammal or marine mammal potentially be subject to incidental

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harassment from the aforementioned the fuel pier, Navy anticipates driving would primarily occur from October activities. approximately 24 30-in steel pipe piles, through April. Pile driving would occur This would be the fourth such IHA, if 81 30 x 24-in concrete piles, and one 16- during normal working hours issued, following the IHAs issued in concrete-filled fiberglass pile. Steel (approximately 7 a.m. to 6 p.m.), and effective from September 1, 2013, pipe piles would be installed to refusal would not occur earlier than 45 minutes through August 31, 2014 (78 FR 44539), using a vibratory driver and then after sunrise or later than 45 minutes from October 8, 2014, through October finished using an impact hammer; before sunset. 7, 2015 (79 FR 65378), and from October concrete piles would be installed to Specific Geographic Region 8, 2015, through October 7, 2016 (80 FR within five feet of tip elevation via 62032). Monitoring reports are available jetting before being finished with an NBPL is located on the peninsula of on the Internet at www.nmfs.noaa.gov/ impact hammer, and the fiberglass pile Point Loma near the mouth and along pr/permits/incidental/construction.htm would be installed entirely using an the northern edge of San Diego Bay (see and provide environmental information impact hammer. At NMAWC, Navy Figures 1–1 and 1–2 in the Navy’s related to proposed issuance of this IHA anticipates driving 21 16-in concrete application). San Diego Bay is a narrow, for public review and comment. piles using an impact hammer and crescent-shaped natural embayment removing forty existing 16-in concrete oriented northwest-southeast with an Description of the Specified Activity piles used for the temporary MMP approximate length of 24 km and a total Overview relocation. See Table 1–4 in the Navy’s area of roughly 4,500 ha. The width of the bay ranges from 0.3 to 5.8 km, and NBPL provides berthing and support application for more detail on piles to be installed. depths range from 23 m mean lower low services for Navy submarines and other The majority of demolition activity of water (MLLW) near the tip of Ballast fleet assets. The existing fuel pier serves the existing pier would occur Point to less than 2 m at the southern as a fuel depot for loading and concurrently during this fourth IHA end (see Figure 2–1 of the Navy’s unloading tankers and Navy underway period, including the removal of application). San Diego Bay is a heavily replenishment vessels that refuel ships approximately 458 steel, concrete, and urbanized area with a mix of industrial, at sea (‘‘oilers’’), as well as transferring plastic piles and 51 concrete-filled steel military, and recreational uses. The fuel to local replenishment vessels and caissons. Removals may occur by northern and central portions of the bay other small craft operating in San Diego multiple means, including vibratory have been shaped by historic dredging Bay, and is the only active Navy fueling removal, hydraulic pile cutter, torch to support large ship navigation. facility in southern California. Portions cutter, dead pull, and diamond saw, as Dredging occurs as necessary to of the pier are over one hundred years determined to be most effective. See maintain constant depth within the old, while the newer segment was Table 1–3 in the Navy’s application for navigation channel. Outside the constructed in 1942. The pier as a whole more detail on piles to be removed. navigation channel, the bay floor is significantly past its design service The proposed actions with the consists of platforms at depths that vary life and does not meet current potential to incidentally harass marine slightly. Sediments in northern San construction standards. mammals within the waters adjacent to Diego Bay are relatively sandy as tidal The Navy plans to demolish and NBPL are vibratory and impact pile currents tend to keep the finer silt and remove the existing pier and associated installation and certain demolition (i.e., clay fractions in suspension, except in pipelines and appurtenances while pile removal) techniques when not harbors and elsewhere in the lee of simultaneously replacing it with a occurring concurrently with pile structures where water movement is generally similar structure that meets installation. Concurrent use of multiple diminished. Much of the shoreline relevant standards for seismic strength pile driving rigs is not planned. consists of riprap and manmade and is designed to better accommodate structures. San Diego Bay is heavily Dates and Duration modern Navy ships. Demolition and used by commercial, recreational, and construction are planned to occur in The proposed activities that would be military vessels, with an average of over two phases to maintain the fueling authorized by this IHA, during the 80,000 vessel movements (in or out of capabilities of the existing pier while fourth year of work associated with the the bay) per year (not including the new pier is being constructed. fuel pier project, would occur for one recreational boating within the Bay) (see During the fourth year of construction year from the date of issuance of this Table 2–2 of the Navy’s application). (the specified activity considered under proposed IHA. Under the terms of a For more information about the specific this proposed IHA), the Navy memorandum of understanding (MOU) geographic region, please see section 2.3 anticipates construction at two between the Navy and the U.S. Fish and of the Navy’s application. locations: the fuel pier area and at the Wildlife Service (FWS), all noise- and Naval Mine and Anti-Submarine turbidity-producing in-water activities Detailed Description of Activities Warfare Command (NMAWC), where in designated least tern foraging habitat In order to provide context, we the Navy’s Marine Mammal Program are to be avoided during the period described the entire project in our (MMP) was temporarily moved during when least terns are present and Federal Register notice of proposed fuel pier construction (see Figure 1–1 in engaged in nesting and foraging (a authorization associated with the first- the Navy’s application). At the fuel pier, window from approximately May 1 year IHA (78 FR 30873; May 23, 2013). the Navy anticipates driving remaining through September 15). However, it is Please see that document for an concrete fender piles and driving possible that in-water work not overview of the entire fuel pier remaining steel piles for mooring expected to result in production of replacement project, or see the Navy’s dolphins. At NMAWC, Navy anticipates significant noise or turbidity (e.g., Environmental Assessment (2013) for extracting and driving concrete piles as demolition activities) could occur at any more detail. Here, we provide an needed to return the existing facility to time during the period of validity of this overview of relevant construction its configuration prior to temporary proposed IHA. The conduct of any such methods before describing only the placement of the MMP, which will be work would be subject to approval from specific project portions scheduled for returned to its previous location near FWS under the terms of the MOU. We completion during the third work the fuel pier. For construction work at expect that in-water construction work window. Please see section 1 of the

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Navy’s application for full detail of primarily using a pile cutter, which is approximately three kilometers to the construction scheduling for this period. a bladed hydraulic device that shears NMAWC (see Figures 1–1 and 1–2 of the For the fourth year of work, the pile off. The preferred method of Navy’s Year 1 monitoring report). approximately 106 steel and concrete removing the caisson elements is to cut Although not subject to the MMPA, piles would be installed, completing in- them at the mudline and then into two SSC’s working animals were water construction work for the new sections using a diamond wire cutting temporarily relocated so that they will pier (with a total of approximately 518 saw. Existing caisson elements would be not be affected by the project. Over the steel and concrete piles installed). The removed with a clamshell, which is a course of 25 in-water construction days Navy anticipates the need to request a dredging bucket consisting of two from January 28 to March 13, 2014, the fifth IHA related to completion of similar halves that open/close at the Navy removed thirty and installed 81 demolition work. bottom and are hinged at the top. The concrete piles (12- and 16-in). See Table Methods, Pile Installation—Vibratory clamshell would be used to grasp and 3–2 of the Navy’s Year 1 monitoring hammers, which can be used to either lift large components. report for details. Installation was install or extract a pile, contain a system Piles may also be removed by simply accomplished via a D19–42 American of counter-rotating eccentric weights dry pulling, or pulling after the pile has Pile Driving Equipment, Inc. (APE) powered by hydraulic motors and are been loosened using a vibratory hammer diesel hammer with energy capacity of designed in such a way that horizontal or a pneumatic chipper. Jetting may be 23,566–42,800 ft-lbs and fitted with a vibrations cancel out, while vertical another option to loosen piles that could hydraulic tripping cylinder with four vibrations are transmitted into the pile. not be removed through the previous adjustable power settings that could be The pile driving machine is lifted and procedures. Pile removal is not reset while driving. Pile removal was positioned over the pile by means of an generally expected to require the use of accomplished by jetting and dead pull. excavator or crane, and is fastened to vibratory extraction or pneumatic The IPP was designed to validate the the pile by a clamp and/or bolts. The chipping, and these methods are length of pile required and the method vibrations produced cause liquefaction considered as contingency in the event of installation (vibratory and impact) as of the substrate surrounding the pile, other methods of extraction are not well as to validate acoustic sound enabling the pile to be extracted or successful. pressure levels of the various sizes and driven into the ground using the weight Construction—Construction work locations (i.e., shallow versus deeper of the pile plus the hammer. Impact during the proposed fourth year of water) of installed piles. Nine steel pipe hammers use a rising and falling piston activity would include driving of steel test piles were vibratory- and impact- to repeatedly strike a pile and drive it pipe piles to complete construction of driven over ten work days from April 28 into the ground. mooring dolphins and driving of to May 15, 2014, including two 30-in Steel piles are typically vibratory- concrete fender piles for the new pier and seven 36-in piles. All piles were driven for their initial embedment and mooring dolphins. This work is initially installed using an APE Variable depths or to refusal and finished with expected to require a total of 53 days. Moment 250 VM Vibratory Hammer an impact hammer for proofing or until Demolition—Demolition of the old Extractor powered by a model 765 the pile meets structural requirements, pier will continue during construction hydraulic power source creating a as necessary. Proofing involves striking activity. Much of the demolition work maximum driving force of 2,389 a driven pile with an impact hammer to will be above-water, involving removal kilonewtons (269 tons). Impact pile verify that it provides the required load- of decking, utilities, and appurtenances, driving equipment consisted of a single bearing capacity, as indicated by the but in-water structure removal will also acting diesel impact hammer model number of hammer blows per foot of occur, as described above under D62–22 DELMAG with energy capacity pile advancement. Non-steel piles are ‘‘Methods, Pile Removal.’’ The in-water of 76,899–153,799 ft-lbs and fitted with typically impact-driven for their entire portion of demolition work planned a hydraulic tripping cylinder with four embedment depth, in part because non- during the period of this proposed IHA adjustable power settings that could be steel piles are often displacement piles is expected to require 156 days in total. reset while driving. One additional 36- (as opposed to pipe piles) and require NMAWC—As described above, the in pile was installed in Spring 2015, some impact to allow substrate Navy also plans to return the MMP to under the Year 2 IHA, to conclude the penetration. However, jetting may be its permanent location near the fuel IPP. used to advance displacement piles to a pier, requiring extraction and Production pile driving associated certain embedment depth. Pile jetting installation of concrete piles to return with construction of the new pier was utilizes a directed and flow of the NMAWC site to its original begun in Fall 2014 and continued into pressurized water to assist in pile condition. This work is expected to Spring 2015. Both vibratory and impact placement. The jetting technique require eighteen days. driving was used, as described above, to liquefies the soils at the pile tip during install 238 steel pipe piles (four 18-in, pile placement, reducing the friction Description of Work Accomplished 31 30-in, and 203 36-in diameter). between adjacent sub-grade soil During the first in-water work season Hammers used were the same as those particles around the water jet. This (2013–14), two primary activities were described above. Demolition activity greatly decreases the bearing capacity of conducted: Relocation of the MMP and was begun in Spring 2015, and included the soils below the pile tip, causing the the Indicator Pile Program (IPP). During the removal of four caissons, eighteen pile to descend toward its final tip the second in-water work season (2014– concrete fender piles, and a portion of elevation with much less soil resistance, 15), the IPP was concluded and concrete decking from the existing fuel largely under its own weight. simultaneous construction of the new pier. In total, this work consisted of one Methods, Pile Removal—There are pier and demolition of the old pier hundred days of activity from October multiple methods for pile removal. begun. Production pile driving 16, 2014, through April 29, 2015. Of During previous demolition, piles were continued during the third in-water these one hundred days of in-water generally removed by cutting at the work season (2015–16). work, eighteen days involved only mudline, which can be accomplished in The Navy MMP, administered by impact driving, fifteen days included various ways. Piles are expected to be Space and Naval Warfare Systems only vibratory driving, and 65 days removed during this fourth-year IHA Command Systems Center, was moved where both types of driving occurred.

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The remaining two days involved only occur in deeper waters in the vicinity of Ballast Point, and a Steller sea lion demolition activities. Please see the San Diego Bay and/or have been (Eumetopias jubatus monteriensis) was Year 2 monitoring report for more observed within the bay during the seen in the project area during Year 2. information. course of this project’s monitoring. These species are not typically observed Production pile driving continued in Although the latter three species of near the project area and, unlike the early 2016 during three distinct cetacean would not generally be previously mentioned species, we do construction periods from January 11 expected to occur within the project not believe it likely that they will occur through April 30, 2016, with 161 piles area, the potential for changes in in the future. Given the unlikelihood of installed over the course of fifty days. occurrence patterns in conjunction with their exposure to sound generated from Because most structural steel pipe piles recent observations leads us to believe the project, these species are not were installed under the Year 2 IHA, that authorization of incidental take is considered further. this work primarily involved placement warranted. Common dolphins have been We have reviewed the Navy’s detailed of non-structural concrete fender piles. documented regularly at the Navy’s species descriptions, including life Both vibratory and impact driving was nearby Silver Strand Training Complex, history information, for accuracy and used, as described above, to install 132 and were observed in the project area completeness and refer the reader to 16-in polycarbonate coated concrete during previous years of project activity. Sections 3 and 4 of the Navy’s fender piles and 23 24 x 30-in concrete The Pacific white-sided dolphin has application instead of reprinting the fender piles. In addition, six 30-in steel been sighted along a previously used information here. Please also refer to pipe piles were installed as structural transect on the opposite side of the NMFS’ Web site (www.nmfs.noaa.gov/ elements to support a mooring dolphin. Point Loma peninsula (Merkel and pr/species/mammals) for generalized Hammers used for the steel piles were Associates, 2008) and there were several species accounts and to the Navy’s the same as those described above. The observations of Pacific white-sided Marine Resource Assessment for the 16-in concrete piles were driven using dolphins during Year 2 monitoring. Southern California and Point Mugu an APE single action diesel impact Risso’s dolphin is fairly common in Operating Areas, which provides hammer model D25–32, with energy southern California coastal waters (e.g., information regarding the biology and capacity of 29,484–58,245 ft-lbs and Campbell et al., 2010), and could occur behavior of the marine resources that fitted with a manual power level in the bay. Northern elephant seals are may occur in those operating areas modulator and shut off trip. The 24 x included based on their continuing (DoN, 2008). The document is publicly 30-in concrete piles were driven using increase in numbers along the Pacific available at www.navfac.navy.mil/ an APE single action diesel impact coast (Carretta et al., 2016) and the products_and_services/ev/products_ hammer model D80–42, with energy likelihood that animals that reproduce and_services/marine_resources/marine_ capacity of 127,008–198,450 ft-lbs and on the islands offshore of Baja California resource_assessments.html (accessed fitted with a manual power level and mainland Mexico—where the July 26, 2016). In addition, we provided modulator and shut off trip. No population is also increasing—could information for the potentially affected demolition occurred during this period. move through the project area during stocks, including details of stock-wide Of the 50 days of in-water work, 45 days migration, as well as the observation of status, trends, and threats, in our involved only impact driving, two days a juvenile seal near the fuel pier in April Federal Register notices of proposed included only vibratory driving, and 2015. authorization associated with the first- three days where both types of driving Note that common dolphins could be and second-year IHAs (78 FR 30873; occurred. Please see the Year 3 either short-beaked (Delphinus delphis May 23, 2013 and 79 FR 53026; monitoring report for more information. delphis) or long-beaked (D. delphis September 5, 2014) and refer the reader Additional work may be conducted bairdii). While it is likely that common to those documents rather than under the existing IHA between dolphins observed in the project area reprinting the information here. September 15 and October 7, 2016, in would be long-beaked, as it is the most Table 1 lists the marine mammal which case the submitted monitoring frequently stranded species in the area species with expected potential for report would be amended as necessary. from San Diego Bay to the U.S.-Mexico occurrence in the vicinity of NBPL border (Danil and St. Leger, 2011), the during the project timeframe and Description of Marine Mammals in the species distributions overlap and it is summarizes key information regarding Area of the Specified Activity unlikely that observers would be able to stock status and abundance. See also There are four marine mammal differentiate them in the field. Figures 3–1 through 3–5 of the Navy’s species which are either resident or Therefore, we consider that any application for observed occurrence of have known seasonal occurrence in the common dolphins observed—and any marine mammals in the project area. vicinity of San Diego Bay, including the incidental take of common dolphins— Taxonomically, we follow Committee California sea lion, harbor seal, could be either stock. on Taxonomy (2016). Please see NMFS’ bottlenose dolphin, and gray whale (see In addition, other species that occur Stock Assessment Reports (SAR), Figures 3–1 through 3–4 and 4–1 in the in the Southern California Bight may available at www.nmfs.noaa.gov/pr/sars, Navy’s application). In addition, have the potential for isolated for more detailed accounts of these common dolphins (see Figure 3–4 in the occurrence within San Diego Bay or just stocks’ status and abundance. All Navy’s application), the Pacific white- offshore. In particular, a short-finned potentially affected species are sided dolphin, Risso’s dolphin, and pilot whale (Globicephala addressed in the Pacific SARs (Carretta northern elephant seals are known to macrorhynchus) was observed off et al., 2016).

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TABLE 1—MARINE MAMMALS POTENTIALLY PRESENT IN THE VICINITY OF NBPL

ESA/MMPA Stock abundance Relative occurrence status; (CV, N , most Species Stock min PBR 3 Annual M/SI 4 in San Diego Bay; Strategic recent abundance season of occurrence (Y/N) 1 survey) 2

Order Cetartiodactyla—Cetacea—Superfamily Mysticeti (baleen whales) Family Eschrichtiidae

Gray whale ...... Eastern North Pacific -; N 20,990 (0.05; 20,125; 624 132 Occasional migratory 2011). visitor; winter.

Superfamily Odontoceti (toothed whales, dolphins, and porpoises) Family Delphinidae

Bottlenose dolphin ..... California coastal ...... -; N 323 5 (0.13; 290; 2.4 0.2 Common; year-round. 2005). Short-beaked com- California/Oregon/ -; N 411,211 (0.21; 3,440 64 Occasional; year- mon dolphin. Washington. 343,990; 2008). round (but more common in warm season). Long-beaked common California ...... -; N 107,016 (0.42; 610 13.8 Occasional; year- dolphin. 76,224; 2009). round (but more common in warm season). Pacific white-sided California/Oregon/ -; N 26,930 (0.28; 21,406; 171 17.8 Uncommon; year- dolphin. Washington. 2008). round. Risso’s dolphin ...... California/Oregon/ -; N 6,272 (0.3; 4,913; 39 1.6 Rare; year-round (but Washington. 2008). more common in cool season).

Order Carnivora—Superfamily Pinnipedia Family Otariidae (eared seals and sea lions)

California sea lion ..... U.S ...... -; N 296,750 (n/a; 9,200 389 Abundant; year- 153,337; 2011). round.

Family Phocidae (earless seals)

Harbor seal ...... California ...... -; N 30,968 (n/a; 27,348; 1,641 43 Common; year-round. 2012). Northern elephant California breeding .... -; N 179,000 (n/a; 81,368; 4,882 8.8 Rare; year-round. seal. 2010). 1 Endangered Species Act (ESA) status: Endangered (E), Threatened (T)/MMPA status: Depleted (D). A dash (-) indicates that the species is not listed under the ESA or designated as depleted under the MMPA. Under the MMPA, a strategic stock is one for which the level of direct human-caused mortality exceeds PBR (see footnote 3) or which is determined to be declining and likely to be listed under the ESA within the foreseeable future. Any species or stock listed under the ESA is automatically designated under the MMPA as depleted and as a strategic stock. 2 CV is coefficient of variation; Nmin is the minimum estimate of stock abundance. In some cases, CV is not applicable. For certain stocks of pinnipeds, abundance estimates are based upon observations of animals (often pups) ashore multiplied by some correction factor derived from knowledge of the species (or similar species) life history to arrive at a best abundance estimate; therefore, there is no associated CV. In these cases, the minimum abundance may represent actual counts of all animals ashore. 3 Potential biological removal, defined by the MMPA as the maximum number of animals, not including natural mortalities, that may be re- moved from a marine mammal stock while allowing that stock to reach or maintain its optimum sustainable population size (OSP). 4 These values, found in NMFS’ SARs, represent annual levels of human-caused mortality plus serious injury from all sources combined (e.g., commercial fisheries, subsistence hunting, ship strike). Annual M/SI often cannot be determined precisely and is in some cases presented as a minimum value. 5 This value is based on photographic mark-recapture surveys conducted along the San Diego coast in 2004–05, but is considered a likely un- derestimate, as it does not reflect that approximately 35 percent of dolphins encountered lack identifiable dorsal fin marks (Defran and Weller, 1999). If 35 percent of all animals lack distinguishing marks, then the true population size would be closer to 450–500 animals (Carretta et al., 2016).

Gray Whale al., 2011), and, in one case where the Island (Weller et al., 2012). In addition, satellite tag remained attached to the two genetic matches of WNP whales Two populations of gray whales are whale for a longer period, a WNP whale have been recorded off of Santa Barbara, recognized, Eastern and Western North was tracked from Russia to Mexico and CA (Lang et al., 2011). More recently, Pacific (ENP and WNP). The two back again (IWC, 2012). Between 22–24 Urban et al. (2013) compared catalogs of populations have historically been WNP whales are known to have photo-identified individuals from considered geographically isolated from occurred in the eastern Pacific through Mexico with photographs of whales off each other; however, recent data from comparisons of ENP and WNP photo- Russia and reported a total of 21 satellite-tracked whales indicates that identification catalogs (IWC, 2012; matches. Therefore, a portion of the there is some overlap between the Weller et al., 2011; Burdin et al., 2011), WNP population is assumed to migrate, stocks. Two WNP whales were tracked and WNP animals comprised 8.1 at least in some years, to the eastern from Russian foraging areas along the percent of gray whales identified during Pacific during the winter breeding Pacific rim to Baja California (Mate et a recent field season off of Vancouver season.

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However, only ENP whales are microPascal (re 1 mPa), unless otherwise first three IHAs associated with this expected to occur in the project area. stated. For airborne sound, SPL in dB is project. For this proposed IHA, data The likelihood of any gray whale being referenced to 20 microPascals (re 20 from acoustic monitoring conducted exposed to project sound to the degree mPa), unless otherwise stated. during the first three years of work was considered in this document is already • Frequency: Frequency is expressed used to estimate zones of influence low, as it would require a migrating in terms of oscillations, or cycles, per (ZOIs; see ‘‘Estimated Take by whale to linger for an extended period second. Cycles per second are Incidental Harassment’’); these values of time, or for multiple migrating whales commonly referred to as hertz (Hz). were used to develop mitigation to linger for shorter periods of time. Typical human hearing ranges from 20 measures for pile driving activities at While such an occurrence is not Hz to 20 kilohertz (kHz). NBPL. The ZOIs effectively represent unknown, it is uncommon. Further, of • Peak sound pressure: The the mitigation zone that would be the approximately 20,000 gray whales instantaneous maximum of the absolute established around each pile to migrating through the Southern positive or negative pressure over the minimize Level A harassment to marine California Bight, it is extremely unlikely frequency range from 20 Hz to 20 kHz mammals, while providing estimates of that one found in San Diego Bay would and presented in dB. the areas within which Level B be one of the approximately twenty • Root mean square (rms) SPL: For harassment might occur. In addition, the WNP whales that have been impact pile driving, overall dB rms Navy has defined buffers to the documented in the eastern Pacific (less levels are characterized by integrating estimated Level A harassment zones to than one percent probability). The sound for each waveform across ninety further reduce the potential for Level A likelihood that a WNP whale would be percent of the acoustic energy in each harassment. In addition to the measures exposed to elevated levels of sound wave and averaging all waves in the pile described later in this section, the Navy from the specified activities is driving event. This value is referred to would conduct briefings between insignificant and discountable and WNP as the rms 90%. With this method, the construction supervisors and crews, whales are not considered further in this time averaging per pulse varies. marine mammal monitoring team, document. • Sound Exposure Level (SEL): A acoustic monitoring team, and Navy measure of energy, specifically the dB staff prior to the start of all pile driving Potential Effects of the Specified level of the time integral of the squared- activity, and when new personnel join Activity on Marine Mammals and Their instantaneous sound pressure, the work, in order to explain Habitat normalized to a one second period. It is responsibilities, communication We provided discussion of the an useful metric for assessing procedures, marine mammal monitoring potential effects of the specified activity cumulative exposure because it enables protocol, and operational procedures. on marine mammals and their habitat in sounds of differing duration, to be Monitoring and Shutdown for Pile our Federal Register notices of compared in terms of total energy. The Driving proposed authorization associated with accumulated SEL (SELcum) is used to the first- and second-year IHAs (78 FR describe the SEL from multiple events The following measures would apply 30873; May 23, 2013 and 79 FR 53026; (e.g., many pile strikes). This can be to the Navy’s mitigation through September 5, 2014). The specified calculated directly as a logarithmic sum shutdown and disturbance zones: activity associated with this proposed of the individual single-strike SELs for Shutdown Zone—For all pile driving IHA is substantially similar to those the pile strikes that were used to install and removal activities, the Navy will considered for the first- and second-year the pile. establish a shutdown zone intended to IHAs and the potential effects of the • Level Z weighted (unweighted), contain the area in which SPLs equal or specified activity are the same as those equivalent (LZeq): LZeq is a value exceed NMFS’ historical 180/190 dB identified in those documents. recorded by the SLM that represents rms acoustic injury criteria. The Therefore, we do not reprint the SEL SPL over a specified time period or purpose of a shutdown zone is to define information here but refer the reader to interval. The LZeq is most typically an area within which shutdown of those documents. referred to in one-second intervals or activity would occur upon sighting of a In the aforementioned Federal over an entire event. marine mammal (or in anticipation of an Register notices, we also provided • Level Z weighted (unweighted), fast animal entering the defined area), thus general background information on (LZFmax): LZFmax is a value recorded by preventing injury of marine mammals sound and marine mammal hearing and the SLM that represents the maximum (serious injury or death are unlikely a description of sound sources and rms value recorded for any 125 outcomes even in the absence of ambient sound and refer the reader to millisecond time frame during each mitigation measures). Estimated radial those documents. However, because individual recording. distances to the relevant thresholds are certain terms are used frequently in this shown in Table 5. For certain activities, document, we provide brief definitions Proposed Mitigation the shutdown zone would not exist of relevant acoustic terminology below: In order to issue an IHA under section because source levels are lower than the • Sound pressure level (SPL): Sound 101(a)(5)(D) of the MMPA, NMFS must threshold, or the source levels indicate pressure is the force per unit area, set forth the permissible methods of that the radial distance to the threshold usually expressed in microPascals (mPa), taking pursuant to such activity, and would be less than 10 m. However, a where one Pascal equals one Newton other means of effecting the least minimum shutdown zone of 10 m will exerted over an area of one square practicable impact on such species or be established during all pile driving meter. The SPL is expressed in decibels stock and its habitat, paying particular and removal activities, regardless of the (dB) as twenty times the logarithm to attention to rookeries, mating grounds, estimated zone. In addition the Navy the base ten of the ratio between the and areas of similar significance, and on proposes to effect a buffered shutdown pressure exerted by the sound to a the availability of such species or stock zone that is intended to significantly referenced sound pressure. SPL is the for taking for certain subsistence uses. reduce the potential for Level A quantity that is directly measured by a The mitigation strategies described harassment given that, in particular, sound level meter. For underwater below largely follow those required and California sea lions are quite abundant sound, SPL in dB is referenced to one successfully implemented under the in the project area and bottlenose

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dolphins may surface unpredictably and acoustic data, and a precise accounting • Experience and ability to conduct move erratically in an area with a large of observed incidences of harassment field observations and collect data amount of construction equipment. The created. Therefore, although the according to assigned protocols (this Navy considered typical swim speeds predicted distances to behavioral may include academic experience); (Godfrey, 1985; Lockyer and Morris, harassment thresholds are useful for • Experience or training in the field 1987; Fish, 1997; Fish et al., 2003; Rohr estimating incidental harassment for identification of marine mammals, et al., 2002; Noren et al., 2006) and past purposes of authorizing levels of including the identification of field experience (e.g., typical elapsed incidental take, actual take may be behaviors; • time from observation of an animal to determined in part through the use of Sufficient training, orientation, or shutdown of equipment) in initially empirical data. experience with the construction defining these buffered zones, and then Acoustic measurements will continue operation to provide for personal safety evaluated the practicality and during observations; during the fourth year of project activity • effectiveness of the zones during the and zones would be adjusted as Writing skills sufficient to prepare a Years 2–3 construction periods. The indicated by empirical data. Please see report of observations including but not Navy will add a buffer of 75 m and 150 the Navy’s Acoustic and Marine Species limited to the number and species of m to the estimated Level A harassment Monitoring Plan (Monitoring Plan; marine mammals observed; dates and zones for impact driving of steel piles available at www.nmfs.noaa.gov/pr/ times when in-water construction for pinnipeds and cetaceans, permits/incidental/construction.htm) activities were conducted; dates and respectively, (incerasing the effective for full details. times when in-water construction zones to 150 m and 450 m radius. These Monitoring Protocols—Monitoring activities were suspended to avoid zones are also shown in Table 5. These would be conducted before, during, and potential incidental injury from precautionary measures are intended to after pile driving activities. In addition, construction sound of marine mammals prevent the already unlikely possibility observers shall record all incidents of observed within a defined shutdown of physical interaction with marine mammal occurrence, regardless zone; and marine mammal behavior; construction equipment and to establish of distance from activity, and shall and • Ability to communicate orally, by a precautionary minimum zone with document any behavioral reactions in radio or in person, with project regard to acoustic effects. concert with distance from piles being personnel to provide real-time Disturbance Zone—Disturbance zones driven. Observations made outside the information on marine mammals are the areas in which SPLs equal or shutdown zone will not result in exceed 160 and 120 dB rms (for impulse observed in the area as necessary. shutdown; that pile segment would be (2) Prior to the start of pile driving and continuous sound, respectively). completed without cessation, unless the Disturbance zones provide utility for activity, the shutdown zone will be animal approaches or enters the monitoring conducted for mitigation monitored for fifteen minutes to ensure shutdown zone, at which point all pile purposes (i.e., shutdown zone that it is clear of marine mammals. Pile driving activities would be halted. monitoring) by establishing monitoring driving will only commence once Monitoring will take place from fifteen protocols for areas adjacent to the observers have declared the shutdown minutes prior to initiation through shutdown zones. Monitoring of zone clear of marine mammals; animals thirty minutes post-completion of pile disturbance zones enables observers to will be allowed to remain in the driving activities. Pile driving activities be aware of and communicate the shutdown zone (i.e., must leave of their include the time to remove a single pile presence of marine mammals in the own volition) and their behavior will be or series of piles, as long as the time project area but outside the shutdown monitored and documented. The zone and thus prepare for potential elapsed between uses of the pile driving shutdown zone may only be declared shutdowns of activity. However, the equipment is no more than thirty clear, and pile driving started, when the primary purpose of disturbance zone minutes. Please see the Monitoring Plan entire shutdown zone is visible (i.e., monitoring is for documenting incidents for full details of the monitoring when not obscured by dark, rain, fog, of Level B harassment; disturbance zone protocols. etc.). In addition, if such conditions monitoring is discussed in greater detail The following additional measures should arise during impact pile driving later (see ‘‘Proposed Monitoring and apply to visual monitoring: that is already underway, the activity Reporting’’). Nominal radial distances (1) Monitoring will be conducted by would be halted. for disturbance zones are shown in qualified observers, who will be placed (3) If a marine mammal approaches or Table 5. at the best vantage point(s) practicable enters the shutdown zone during the In order to document observed (as defined in the Monitoring Plan) to course of pile driving operations, incidents of harassment, monitors monitor for marine mammals and activity will be halted and delayed until record all marine mammal observations, implement shutdown/delay procedures either the animal has voluntarily left regardless of location. The observer’s when applicable by calling for the and been visually confirmed beyond the location, as well as the location of the shutdown to the hammer operator. shutdown zone or fifteen minutes have pile being driven, is known from a GPS. Qualified observers are trained passed without re-detection of the The location of the animal is estimated biologists, with the following minimum animal. Monitoring will be conducted as a distance from the observer, which qualifications: throughout the time required to drive a is then compared to the location from • Visual acuity in both eyes pile and for thirty minutes following the the pile. If acoustic monitoring is being (correction is permissible) sufficient for conclusion of pile driving. conducted for that pile, a received SPL discernment of moving targets at the may be estimated, or the received level water’s surface with ability to estimate Sound Attenuation Devices may be estimated on the basis of past or target size and distance; use of The use of bubble curtains to reduce subsequent acoustic monitoring. It may binoculars may be necessary to correctly underwater sound from impact pile then be determined whether the animal identify the target; driving was considered prior to the start was exposed to sound levels • Advanced education in biological of the project but was determined to not constituting incidental harassment in science or related field (undergraduate be practicable. Use of a bubble curtain post-processing of observational and degree or higher is required); in a channel with substantial current

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may not be effective, as unconfined reduced energy, followed by a thirty- of habitat, or temporary disturbance of bubbles are likely to be swept away and second waiting period, then two habitat during a biologically important confined curtain systems may be subsequent three strike sets. Soft start time. difficult to deploy effectively in high will be required at the beginning of each (6) For monitoring directly related to currents. Data gathered during day’s impact pile driving work and at mitigation, an increase in the monitoring of construction on the San any time following a cessation of impact probability of detecting marine Francisco-Oakland Bay Bridge indicated pile driving of thirty minutes or longer; mammals, thus allowing for more that no reduction in the overall linear the requirement to implement soft start effective implementation of the sound level resulted from use of a for impact driving is independent of mitigation. bubble curtain in deep water with whether vibratory driving has occurred Based on our evaluation of the Navy’s relatively strong current, and the within the prior thirty minutes. proposed measures, as well as any other distance to the 190 dB zone was We have carefully evaluated the potential measures that may be relevant considered to be the same with and Navy’s proposed mitigation measures to the specified activity, we have without the bubble curtain (Illingworth and considered their effectiveness in preliminarily determined that the & Rodkin, 2001). During project past implementation to preliminarily proposed mitigation measures provide monitoring for pile driving associated determine whether they are likely to the means of effecting the least with the Richmond-San Rafael Bridge, effect the least practicable impact on the practicable impact on marine mammal also in San Francisco Bay, it was affected marine mammal species and species or stocks and their habitat, observed that performance in moderate stocks and their habitat. Our evaluation paying particular attention to rookeries, current was significantly reduced of potential measures included mating grounds, and areas of similar (Oestman et al., 2009). Lucke et al. consideration of the following factors in significance. (2011) also note that the effectiveness of relation to one another: (1) The manner Proposed Monitoring and Reporting most currently used curtain designs may in which, and the degree to which, the be compromised in stronger currents successful implementation of the In order to issue an IHA for an and greater water depths. We believe measure is expected to minimize activity, section 101(a)(5)(D) of the that conditions (relatively deep water adverse impacts to marine mammals, (2) MMPA states that NMFS must set forth and strong tidal currents of up to 3 kn) the proven or likely efficacy of the ‘‘requirements pertaining to the at the project site would disperse the specific measure to minimize adverse monitoring and reporting of such bubbles and compromise the impacts as planned; and (3) the taking’’. The MMPA implementing effectiveness of sound attenuation. practicability of the measure for regulations at 50 CFR 216.104(a)(13) applicant implementation. indicate that requests for incidental take Timing Restrictions Any mitigation measure(s) we authorizations must include the In-order to avoid impacts to least tern prescribe should be able to accomplish, suggested means of accomplishing the populations when they are most likely have a reasonable likelihood of necessary monitoring and reporting that to be foraging and nesting, in-water accomplishing (based on current will result in increased knowledge of work will be concentrated from October science), or contribute to the the species and of the level of taking or 1–April 1 or, depending on accomplishment of one or more of the impacts on populations of marine circumstances, to April 30. However, general goals listed below: mammals that are expected to be this limitation is in accordance with (1) Avoidance or minimization of present in the proposed action area. agreements between the Navy and FWS, injury or death of marine mammals Any monitoring requirement we and is not a requirement of this wherever possible (goals 2, 3, and 4 may prescribe should improve our proposed IHA. All in-water construction contribute to this goal). understanding of one or more of the activities would occur only from 45 (2) A reduction in the number (total following: minutes after sunrise to 45 minutes number or number at biologically • Occurrence of marine mammal before sunset. important time or location) of species in action area (e.g., presence, Soft Start individual marine mammals exposed to abundance, distribution, density). stimuli expected to result in incidental • Nature, scope, or context of likely The use of a soft start procedure is take (this goal may contribute to 1, marine mammal exposure to potential believed to provide additional above, or to reducing takes by stressors/impacts (individual or protection to marine mammals by behavioral harassment only). cumulative, acute or chronic), through warning or providing a chance to leave (3) A reduction in the number (total better understanding of: (1) Action or the area prior to the hammer operating number or number at biologically environment (e.g., source at full capacity, and typically involves important time or location) of times any characterization, propagation, ambient a requirement to initiate sound from the individual marine mammal would be noise); (2) Affected species (e.g., life hammer at reduced energy followed by exposed to stimuli expected to result in history, dive patterns); (3) Co- a waiting period. This procedure is incidental take (this goal may contribute occurrence of marine mammal species repeated two additional times. It is to 1, above, or to reducing takes by with the action; or (4) Biological or difficult to specify the reduction in behavioral harassment only). behavioral context of exposure (e.g., age, energy for any given hammer because of (4) A reduction in the intensity of calving or feeding areas). variation across drivers and, for impact exposure to stimuli expected to result in • Individual responses to acute hammers, the actual number of strikes at incidental take (this goal may contribute stressors, or impacts of chronic reduced energy will vary because to 1, above, or to reducing the severity exposures (behavioral or physiological). operating the hammer at less than full of behavioral harassment only). • How anticipated responses to power results in ‘‘bouncing’’ of the (5) Avoidance or minimization of stressors impact either: (1) Long-term hammer as it strikes the pile, resulting adverse effects to marine mammal fitness and survival of an individual; or in multiple ‘‘strikes.’’ The project will habitat, paying particular attention to (2) Population, species, or stock. utilize soft start techniques for impact the prey base, blockage or limitation of • Effects on marine mammal habitat pile driving. We require an initial set of passage to or from biologically and resultant impacts to marine three strikes from the impact hammer at important areas, permanent destruction mammals.

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• Mitigation and monitoring document transmission loss values • MMOs would be located at the best effectiveness. determined from past measurements vantage point(s) in order to properly see Please see the Monitoring Plan and to examine site-specific differences the entire shutdown zone and as much (available at www.nmfs.noaa.gov/pr/ in SPL and affected ZOIs on an as of the disturbance zone as possible. permits/incidental/construction.htm) needed basis. • During all observation periods, for full details of the requirements for Should monitoring results indicate it observers will use binoculars and the monitoring and reporting. Notional is appropriate to do so, marine mammal naked eye to search continuously for monitoring locations (for biological and mitigation zones may be revised as marine mammals. acoustic monitoring) are shown in necessary to encompass actual ZOIs. • If the shutdown zones are obscured Figures 3–1 and 3–2 of the Plan. The Acoustic monitoring will be conducted by fog or poor lighting conditions, pile purpose of this Plan is to provide as specified in the approved Monitoring driving at that location will not be protocols for acoustic and marine Plan. Please see Table 2–2 of the Plan initiated until that zone is visible. mammal monitoring implemented for a list of equipment to be used during Should such conditions arise while during pile driving and removal acoustic monitoring. Monitoring impact driving is underway, the activity activities. We have preliminarily locations will be determined based on would be halted. determined this monitoring plan, which results of previous acoustic monitoring • The shutdown and disturbance is summarized here and which largely effort and the best professional zones around the pile will be monitored follows the monitoring strategies judgment of acoustic technicians. for the presence of marine mammals required and successfully implemented No acoustic data will be collected for before, during, and after any pile driving under the previous IHAs, to be 30-in steel piles as sufficient data has or removal activity. sufficient to meet the MMPA’s been collected for 36-in steel piles One MMO will be placed in the most monitoring and reporting requirements. during previous years. For other effective position near the active The previous monitoring plan was activities, such as fender pile driving construction/demolition platform in modified to integrate adaptive changes and demolition, the Navy will continue order to observe the respective to the monitoring methodologies as well to collect in situ acoustic data to shutdown zones for vibratory and as updates to the scheduled validate source levels and ZOIs. impact pile driving or for applicable construction activities. Monitoring Environmental data would be collected demolition activities. Monitoring would objectives are as follows: including but not limited to: Wind be primarily dedicated to observing the • Monitor in-water construction speed and direction, air temperature, shutdown zone; however, MMOs would activities, including the implementation humidity, surface water temperature, record all marine mammal sightings of in-situ acoustic monitoring efforts to water depth, wave height, weather beyond these distances provided it did continue to measure SPLs from in-water conditions and other factors that could not interfere with their effectiveness at construction and demolition activities contribute to influencing the airborne carrying out the shutdown procedures. not previously monitored or validated and underwater sound levels (e.g., Additional land, pier, or vessel-based during the previous IHAs. This would aircraft, boats). Full details of acoustic MMOs will be positioned to monitor the include collection of acoustic data for monitoring requirements may be found shutdown zones and the buffer zones, as activities and pile types for which in section 4.2 of the Navy’s Monitoring notionally indicated in Figures 3–1 and sufficient data has not previously been Plan. 3–2 of the Navy’s application. During driving of steel piles, at least collected, including for diamond saw Visual Marine Mammal Observations cutting of caissons during fuel pier four additional MMOs (five total) will demolition. The Navy also plans to The Navy will collect sighting data be deployed. Three of the five MMOs collect acoustic data for removal of 30- and behavioral responses to will be positioned in various pier-based in steel piles via either vibratory construction for marine mammal locations around the new fuel pier to extraction or torch cutting. species observed in the region of monitor the ZOIs. Two of these will be • Monitor marine mammal activity during the period of activity. All stationed at the north and south ends of occurrence and behavior during in- observers will be trained in marine the second deck of the new pier, and water construction activities to mammal identification and behaviors one MMO will be stationed on a second minimize marine mammal impacts and and are required to have no other story balcony of a building on the effectively document marine mammals construction-related tasks while existing pier. This building is scheduled occurring within ZOI boundaries. conducting monitoring. The Navy will to be demolished as part of the project. Collection of ambient underwater monitor the shutdown zone and When the building is removed, a sound measurements in the absence of disturbance zone before, during, and suitable secondary location with similar project activities has been concluded, as after pile driving as described under visibility will be used as an observation a rigorous baseline dataset for the ‘‘Proposed Mitigation’’ and in the location. One MMO will be positioned project area has been developed. Monitoring Plan, with observers located in a boat at or near floating docks at the best practicable vantage points. associated, and will focus on the Acoustic Measurements Notional monitoring locations are furthest extent of the 450-m cetacean The primary purpose of acoustic shown in Figures 3–1 and 3–2 of the shutdown ZOI. The fifth MMO will be monitoring is to empirically verify Navy’s Plan. Please see that plan, positioned on a second-story balcony of modeled injury and behavioral available at www.nmfs.noaa.gov/pr/ a Navy building on Ballast Point at the disturbance zones (defined at radial permits/incidental/construction.htm, for entrance to San Diego Bay, will focus on distances to NMFS-specified thresholds; full details of the required marine the furthest extent of the Level B ZOIs, see ‘‘Estimated Take by Incidental mammal monitoring. Section 3.2 of the and will monitor for marine mammals Harassment’’ below). For non-pulsed Plan and section 13 of the Navy’s as they enter or exit San Diego Bay. sound, distances will continue to be application offer more detail regarding One additional team member—the evaluated for attenuation to the point at monitoring protocols. Based on our ‘‘Command’’ position—will remain on which sound becomes indistinguishable requirements, the Navy would the construction barge for the duration from background levels. Empirical implement the following procedures for of monitoring efforts, and will log pile acoustic monitoring data will be used to pile driving: driving start and stop times. This

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position will act as a secondary MMO to protocol will be coordinated between prepared and submitted within thirty during monitoring efforts, but will not NMFS and the Navy. days following resolution of comments log marine species observations as part on the draft report. Required contents of Data Collection of their normal duties. They will use the monitoring reports are described in either verbal or visual communication We require that observers use more detail in the Navy’s Acoustic and procedures to stop active construction if approved data forms. Among other Marine Species Monitoring Plan. an animal enters the shutdown zones. pieces of information, the Navy will During driving of 24 x 30-in concrete record detailed information about any Monitoring Results From Previously fender piles, two MMOs and the implementation of shutdowns, Authorized Activities additional ‘‘Command’’ team member including the distance of animals to the The Navy complied with the will be on duty. The two MMOs would pile and description of specific actions mitigation and monitoring required be stationed on the second deck of the that ensued and resulting behavior of under the previous authorizations for new fuel pier in the most appropriate the animal, if any. In addition, the Navy this project. Acoustic and marine locations. During driving of the 16-in will attempt to distinguish between the mammal monitoring was implemented poly-concrete pile, one MMO and the number of individual animals taken and as required, with marine mammal ‘‘Command’’ position would be on duty. the number of incidents of take. We monitoring occurring before, during, One MMO would be on duty during require that, at a minimum, the and after each pile driving event. During demolition using the diamond saw. following information be collected on the course of Year 3 activities, the Navy During activity at the NMAWC site, at the sighting forms: did not exceed the take levels least two MMOs will be on duty and • Date and time that monitored authorized under the IHA, and no will be located at the most appropriate activity begins or ends; animals were observed to occur within positions. • Construction activities occurring defined Level A harassment zones The MMOs will record all visible during each observation period; (please see the Navy’s monitoring report marine mammal sightings. Confirmed • Weather parameters (e.g., percent for more details and below for further takes will be registered once the cover, visibility); discussion). sightings data has been overlaid with • Water conditions (e.g., sea state, The general objectives of the the isopleths identified in Table 5 and tide state); monitoring plan were similar to those visualized in Figures 6–2, 6–3, and 6– • Species, numbers, and, if possible, described above for the Year 4 4 of the Navy’s application, or based on sex and age class of marine mammals; monitoring plan. For acoustic refined acoustic data, if amendments to • Description of any observable monitoring, the primary goal was to the ZOIs are needed. Acousticians on marine mammal behavior patterns, continue to collect in situ data towards duty may be noting SPLs in real-time, including bearing and direction of travel validation of the acoustic ZOIs defined but, to avoid biasing the observations, and distance from pile driving activity, based on previous data collection efforts will not communicate that information and if possible, the correlation to and using the transmission loss directly to the MMOs. These platforms measured SPLs; modeling effort conducted prior to the may move closer to, or farther from, the • Distance from pile driving activities start of the project, and to continue source depending on whether received to marine mammals and distance from collection of data on background noise SPLs are less than or greater than the the marine mammals to the observation conditions in San Diego Bay. regulatory threshold values. All MMOs point; Acoustic Monitoring Results—For a will be in radio communication with • Description of implementation of full description of acoustic monitoring each other so that the MMOs will know mitigation measures (e.g., shutdown or methodology, please see section 2.3 of when to anticipate incoming marine delay); the Navy’s monitoring report, including mammal species and when they are • Locations of all marine mammal Figure 2–3 for representative monitoring tracking the same animals observed observations; and locations. Results from Years 1–3 are elsewhere. • Other human activity in the area. displayed in Table 2. Please see our If any species for which take is not In addition, photographs would be notices of proposed IHAs for the Years authorized is observed by a MMO taken of any gray whales observed. 2 and 3 IHAs (79 FR 53026; September during applicable construction or These photographs would be submitted 5, 2014 and 80 FR 53115; September 2, demolition activities, all construction to NMFS’ West Coast Regional Office for 2015) or the Navy’s Year 1 and 2 will be stopped immediately. If a boat comparison with photo-identification monitoring reports for more detailed is available, MMOs will follow the catalogs to determine whether the whale description of monitoring accomplished animal(s) at a minimum distance of 100 is a member of the WNP population. during the first two years of the project. m until the animal has left the Level B For acoustic monitoring associated ZOI. Pile driving will commence if the Reporting with impact pile driving, continuous animal has not been seen inside the A draft report would be submitted to hydroacoustic monitoring systems were Level B ZOI for at least one hour of NMFS within 45 calendar days of the positioned at source (10 m from the observation. If the animal is resighted completion of marine mammal pile) and opportunistically at predicted again, pile driving will be stopped and monitoring, or sixty days prior to the 160-dB Level B ZOIs. The far-field data a boat-based MMO (if available) will issuance of any subsequent IHA for this collections were conducted at multiple follow the animal until it has left the project, whichever comes first. The locations during impact driving of 16-in Level B ZOI. report will include marine mammal concrete-filled poly piles and 24 x 30- Individuals implementing the observations pre-activity, during- in concrete fender piles, i.e., monitoring protocol will assess its activity, and post-activity during pile approximately 20 to 550 m from source. effectiveness using an adaptive driving days, and will also provide Hydrophones were deployed from the approach. Monitoring biologists will use descriptions of any behavioral responses dock, barge, or moored vessel at half the their best professional judgment to construction activities by marine water depth. The SPLs for driving of 30- throughout implementation and seek mammals and a complete description of in steel pipe piles were measured improvements to these methods when all mitigation shutdowns and the results intermittently and archived (but not deemed appropriate. Any modifications of those actions. A final report would be reported) because associated SPLs for

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the size, type, and location of the piles measured differences in SPLs recorded square concrete piles showed greatest were previously validated. Source SPLs at the shutdown and far-field locations sound source levels during initial were recorded and analyzed for a for shallow versus deep piles of the impact pile driving which then minimum of five piles for each of the same type and size. SPLs documented decreased once the piles transitioned concrete pile types. Additional during vibratory and impact pile driving through the hardened layer. While measurements were archived. of shallow and deep steel pipe piles of source SPLs were observed to be greater SPLs of pile driving and demolition the same size displayed notable than expected for both pile types, activities conducted during Year 2 fell differences in SPLs at shutdown range attenuation was also greater. Despite within expected levels but varied and to a lesser extent at source. greater than expected source levels, the spatially relative to the existing fuel pier Measurements of impact driving of measured isopleth distances were structure and maximum source levels concrete piles conducted during Year 3 for individual piles (Table 4). For both produced greater than expected SPLs at similar to modeled predictions. Far-field vibratory and impact pile driving source. Differences in the subsurface impact pile driving results varied methods, results from the IPP (Year 1) conditions may account for the substantially between piles and and 2014/2015 production pile driving discrepancy, as a hardened layer is locations for the various pile sizes, (Year 2) showed that transmission loss found at approximately 20–40 m below types, and locations. Both pile types for piles driven in shallow water inside the mudline. SPLs documented during were driven adjacent to the new fuel of the existing fuel pier was greater than driving of 16-in piles generally pier and source SPLs were subject to a piles driven in deep water outside of the displayed relatively low sound source wide variety of boundary conditions existing pier. Differences in depth, levels during initial driving then from recently driven piles and sediment type, and existing in-water appreciable increases observed once the associated pier infrastructure. Further pier/wharf structures likely accounted piles interacted with this layer. detail and discussion is provided in the for variations in transmission loss and Measurements from driving of the Navy’s report. TABLE 2—ACOUSTIC MONITORING RESULTS

Average Average Measured distances to relevant zones Number of underwater airborne (dB rms/dB unweighted) (m) 1 Location Activity Pile type piles SPL at SPL at measured 10 m 15 m 120 160 180 190 90 4 100 4 (dB rms) (LZFmax)

NMAWC ...... Impact ...... 12- and 16-in con- 58 182 108 n/a 126 13 <10 728 105 crete. Fuel Pier (Year 1) ... Vibratory ...... 30- and 36-in steel 9 167 113 2 3,000 n/a <10 <10 233 71 pipe. Impact ...... 36-in steel pipe ...... 7 200 ...... n/a 3 2,500 3 450 3 75 ...... Fuel Pier (Year 2) 6 Vibratory ...... 30-in steel pipe ...... 2 165 107 ...... Impact ...... 30-in steel pipe ...... 2 196 ...... Vibratory ...... 36-in steel pipe ...... 31 178 ...... 2,500 n/a <10 <10 182 78 Impact ...... 36-in steel pipe ...... 31 204 ...... n/a 2,000 350 75 ...... Hydraulic cutting ..... 24-in concrete ..... 4 ...... 154 ...... Diamond saw cut- 72-in caisson ...... 4 5 143 ...... ting. Fuel Pier (Year 3) 7 Impact ...... 16-in poly-concrete .. 6 190 104–110 ...... 270 50 20 149 42 Impact ...... 24 x 30-in concrete .. 3 189 110–113 ...... 470 ...... 1 Site-specific measured transmission loss values (both underwater and airborne) were used to calculate zone distances. See monitoring report for more detail. 2 The 120-dB disturbance zone was initially modeled to be 6,470 m; however, ambient sound in the vicinity of the project site was measured at approximately 128 dB rms (see below). This value was used in conjunction with a site-specific propagation model to arrive at a predicted distance of 3,000 m at which sound should at- tenuate to background levels. This was supported by collection of measured dB rms values for vibratory pile driving during the IPP, as signal could not be distin- guished from background at similar distance. 3 These values are for outside piles. Measured distances to the 160/180/190 dB ZOIs for inside piles were 2,000/100/40 m. Zones calculated on the basis of SPLs from 36-in piles. 4 Distances based on impact driving. 5 Value measured at 15 m from source. 6 Year 2 values are maximum values rather than average. We use these in defining conservative ZOIs. 7 Underwater source level measurements are as reported from Loggerhead DSG acoustic data recorders and described in section 3.2.2 and Appendix E of the report.

Ambient data collection was and on April 5, 2016, were determined section 2.4 of the Navy’s monitoring conducted in a manner consistent with to be outliers due to anthropogenic report, including Figures 2–1 and 2–2 NMFS’ 2012 guidance for measurement corruption. The resulting median for representative monitoring locations of background sound. Ambient ambient SPL was 130.5 dB rms, similar and Figures 2–4, 2–5, and 2–6 for underwater and airborne sound level to the value of approximately 128 dB monitoring zones. Monitoring protocols recordings were collected for three rms resulting from previous were managed adaptively during the eight-hour days in December 2015, and measurement efforts. course of the third-year IHA. Multiple April and May 2016. Ambient sound Marine Mammal Monitoring Results— shutdowns were implemented due to level recordings were collected in the Marine mammal monitoring was marine mammals being observed within absence of construction activities, and conducted as required under the IHA buffered shutdown zones, but no during typical construction time periods and as described in the Year 3 animals were observed within actual (7 a.m. to 6 p.m.), at locations that were monitoring plan and in our Federal predicted Level A harassment zones. between 400 and 750 m from each site. Register notice of proposed Monitoring results are presented in Sites were chosen to minimize boat authorization associated with the Year 3 Table 3. The Navy recorded all traffic effects that might impact results. IHA. For a full description of observations of marine mammals, Data recorded during December 2015 monitoring methodology, please see including pre- and post-construction

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monitoring efforts. Animals observed had been reached. In addition to the region prior to the current El Nin˜ o during these periods or that were results shown in Table 3, the Navy event, it shows that the event may have determined to be outside relevant ZOIs observed two unidentified pinnipeds, been dissipating. In addition, California were not considered to represent which were likely California sea lions. sea lion strandings decreased. No incidents of take. Please see Figures 3– These were not within an active Level evidently significant behavioral changes 13, 3–19, and 3–24 for locations of B harassment zone. were reported. observations and incidents of take There were considerably fewer There was one sighting of a dead relative to the project sites. Take individuals and sightings during the California sea lion in the vicinity of the authorization for the second-year Year 3 IHA when compared to the same project. The dead animal was evaluated authorization was informed by an months during the Year 2 IHA, and only and deemed as having died as a result assumption that 115 days of in-water three species were observed. This may of factors unrelated to the project, likely construction would occur, whereas only be due to environmental fluctuations as due to the unusual mortality event fifty total days actually occurred. part of the on-going El Nin˜ o event. currently ongoing in southern California However, the actual observed rates per Water temperatures during Year 3 were waters. The observation was day were in all cases lower than what cooler than during the same months appropriately reported in accordance was assumed. Therefore, we expect that during Year 2. Although the with the IHA and per protocols agreed- the Navy would not have exceeded the temperatures were still higher than the upon with NMFS’ regional stranding take allowances even if the full 115 days average water temperatures for the coordinator.

TABLE 3—MARINE MAMMAL MONITORING RESULTS

Observed Extrapolated Total Total estimated Species Total sightings individuals incidents of incidents of Level B take Level B take 1 Level B take

California sea lion ...... 331 411 97 96 193 Harbor seal ...... 24 24 9 7 16 Bottlenose dolphin ...... 13 25 2 3 5 1 Assumed density and unmonitored area of assumed Level B ZOI used with actual pile driving time to generate assumed take for unmonitored areas.

Estimated Take by Incidental activity, or exposed to a particular level although those effects could be Harassment of sound. In practice, depending on the recurring over the life of the project if Except with respect to certain amount of information available to the same individuals remain in the activities not pertinent here, section characterize daily and seasonal project vicinity. 3(18) of the MMPA defines movement and distribution of affected The Navy has requested authorization ‘‘harassment’’ as: ‘‘. . . any act of marine mammals, it can be difficult to for the potential taking of small pursuit, torment, or annoyance which (i) distinguish between the number of numbers of California sea lions, harbor individuals harassed and the instances has the potential to injure a marine seals, bottlenose dolphins, common of harassment and, when duration of the mammal or marine mammal stock in the dolphins, Pacific white-sided dolphins, activity is considered, it can result in a wild [Level A harassment]; or (ii) has Risso’s dolphins, northern elephant the potential to disturb a marine take estimate that overestimates the number of individuals harassed. In seals, and gray whales in San Diego Bay mammal or marine mammal stock in the and nearby waters that may result from wild by causing disruption of behavioral particular, for stationary activities, it is more likely that some smaller number of pile driving during construction patterns, including, but not limited to, activities associated with the fuel pier migration, breathing, nursing, breeding, individuals may accrue a number of incidences of harassment per individual replacement project described feeding, or sheltering [Level B previously in this document. In order to harassment].’’ than for each incidence to accrue to a new individual, especially if those estimate the potential incidents of take All anticipated takes would be by that may occur incidental to the Level B harassment resulting from individuals display some degree of specified activity, we typically first vibratory and impact pile driving or residency or site fidelity and the estimate the extent of the sound field demolition and involving temporary impetus to use the site (e.g., because of that may be produced by the activity changes in behavior. The proposed foraging opportunities) is stronger than mitigation and monitoring measures the deterrence presented by the and then consider in combination with (i.e., buffered shutdown zones) are harassing activity. information about marine mammal expected to minimize the possibility of The project area is not believed to be density or abundance in the project Level A harassment such that we particularly important habitat for area. In this case, we have acoustic data believe it is unlikely. We do not expect marine mammals, nor is it considered from project monitoring that provides that injurious or lethal takes would an area frequented by marine mammals empirical information regarding the occur even in the absence of the (with the exception of California sea sound fields likely produced by project planned mitigation and monitoring lions, which are attracted to nearby activities. We first provide information measures. haul-out opportunities). Sightings of on applicable sound thresholds for Given the many uncertainties in other species are relatively rare. determining effects to marine mammals predicting the quantity and types of Therefore, behavioral disturbances that before describing the measured sound impacts of sound on marine mammals, could result from anthropogenic sound fields, the available marine mammal it is common practice to estimate how associated with these activities are density or abundance information, and many animals are likely to be present expected to affect only a relatively small the method of estimating potential within a particular distance of a given number of individual marine mammals, incidents of take.

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Sound Thresholds thresholds should be considered lacking and we consider these guidelines for estimating when thresholds as step functions. However, We have historically used generic harassment may occur (i.e., when an NOAA is currently developing new sound exposure thresholds (see Table 4) animal is exposed to levels equal to or guidance for acoustic injury (equating to to determine when an activity that exceeding the relevant criterion) in Level A harassment under the MMPA); produces sound might result in impacts specific contexts; however, useful for more information on that process, to a marine mammal such that a take by contextual information that may inform please visit www.nmfs.noaa.gov/pr/ harassment might occur. These our assessment of effects is typically acoustics/guidelines.htm.

TABLE 4—CURRENT ACOUSTIC EXPOSURE CRITERIA

Criterion Definition Threshold

Level A harassment (underwater) ... Injury (PTS—any level above that which is known to 180 dB (cetaceans)/190 dB (pinnipeds) (rms). cause TTS). Level B harassment (underwater) ... Behavioral disruption ...... 160 dB (impulsive source)/120 dB (continuous source) (rms). Level B harassment (airborne) ...... Behavioral disruption ...... 90 dB (harbor seals)/100 dB (other pinnipeds) (unweighted).

Distance to Sound Thresholds Acoustic monitoring results that inform For the two types of concrete fender both the take estimates as well as the piles, measured values from Year 3 Background information on mitigation monitoring zones were underwater sound propagation and the acoustic monitoring are louder than reported in Table 2. Here, we present calculation of range to relevant might be expected from other available the calculated distances for predicted thresholds was provided in our Federal literature. We had previously assumed Level A and Level B ZOIs (Table 5). In Register notice of proposed values of 176 dB rms and 173 dB rms some cases, the predicted zones have authorization associated with the first- for impact driving of 24 x 30-in concrete been modified for purposes of year IHA (78 FR 30873; May 23, 2013). piles and 16-in concrete piles, mitigation and/or monitoring For the first-year IHA, the Navy respectively (Caltrans, 2012), but the implementation by adding buffers or by estimated sound fields using a site- Navy’s acoustic monitoring program retaining a more conservative zone size specific model for transmission loss showed that these proxies were too low based on prior assumptions. In all cases, (TL) from pile driving at a central point (see Table 3–2 and Appendix E of the proposed mitigation and/or monitoring at the project site in combination with Navy’s monitoring report). The Navy zones are either equivalent to or larger proxy source levels (as described in the proposed to conservatively use average than those indicated by relevant in situ aforementioned Federal Register maximum rms SPLs for these piles (see data collection. See also Figures 6–2, 6– notice). The model is based on historical Table 6–4 of the Navy’s application), 3, and 6–4 of the Navy’s application for temperature-salinity data and location- i.e., 192 dB rms and 194 dB rms, visual representation of the anticipated dependent bathymetry. In the model, TL respectively. However, as discussed sound fields and their interaction with is the same for different sound source previously acoustic monitoring results local topography. levels and is applied to each of the showed measured isopleth distances Measured source levels for impact different activities to determine the roughly comparable to those previously point at which the applicable thresholds and vibratory driving of 30-in steel piles were 196 dB rms and 165 dB rms, predicted. We use those values (Table 5) are reached as a function of distance for exposure calculations here. from the source. The model’s respectively, but were based on only two measured piles. Here we use Demolition via diamond saw cutting is predictions result in a slightly lower based on limited demolition average rate of TL than practical measured values for 36-in steel piles (204 dB rms and 174 dB rms) as measurements collected during Year 2 spreading, and hence are conservative. monitoring (maximum rms SPLs ranging The model has been further validated conservative proxies. Background sound has been determined to be from 152–155 dB rms), resulting in a using acoustic monitoring data collected conservative maximum assumed source during the first three IHAs (see Figure approximately 128 dB rms, and the distance at which continuous sound level of 155 dB rms. For use of the 6–1 of the Navy’s application). For diamond saw and for vibratory activities conducted at the NMAWC produced by vibratory driving would extraction of piles at NMAWC, practical site, practical spreading loss (15 attenuate to background levels has been spreading loss was assumed and log[distance/10]) is assumed. determined to be approximately 3,000 m. Although Year 2 measurements distances were estimated to the assumed Impact and vibratory driving of steel indicate that such attenuation may background sound level of 128 dB. pipe piles, impact driving of concrete occur closer to 2,500 m, we Continued acoustic monitoring will and concrete-filled fiberglass piles, and conservatively retain the larger distance target impact driving of concrete piles demolition using different techniques for estimating exposures. We (including diamond saw cutting and and use of the diamond saw. Please see conservatively use the vibratory pile potentially vibratory removal) is Tables 6–4 and 6–5 in the Navy’s installation value as proxy for vibratory planned for the next phase of work. application for more detail. pile removal, if it occurs.

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TABLE 5—DISTANCES TO RELEVANT THRESHOLDS

Distance to threshold in meters Activity 190 dB 180 dB 160 dB 120 dB 100 dB 90 dB

Impact driving, 30-in steel piles 1 ...... 1 75 1 350 2,000 n/a 80 233 Vibratory driving, 30-in steel piles ...... 2 <10 <10 n/a 3,000 ...... Impact driving, 24 x 30 concrete piles ..... 20 50 470 n/a 42 149 Impact driving, 16-in concrete-filled fiber- glass piles ...... 20 50 270 n/a ...... Impact driving, 16-in concrete piles (NMAWC) ...... <10 <10 126 n/a 105 728 Vibratory extraction, 16-in concrete piles (NMAWC) ...... <10 <10 n/a 631 ...... Diamond saw cutting (demolition) ...... <10 <10 n/a 631 ...... 1 The buffered zones for use in mitigation will be 150 m and 450 m, respectively. 2 The minimum shutdown zone for all activities is 10 m.

Airborne Sound resulting from airborne sound for species, and we consider all of these pinnipeds is warranted, and airborne data in order to provide the most up-to- Although sea lions are known to haul- sound is not discussed further here. date estimates for marine mammal out regularly on man-made objects in Distances associated with airborne abundances during the period of this the vicinity of the project site (see sound and shown in Table 5 are for proposed IHA. Although Year 3 project Figure 4–1 of the Navy’s application), reference only. monitoring showed declines in marine and harbor seals are occasionally mammal abundance in the vicinity of Marine Mammal Densities observed hauled out on rocks along the the project, we retain prior density shoreline in the vicinity of the project For all species, the best scientific estimates as a conservative measure for site, none of these are within the ZOIs information available was considered estimating exposure. Density for airborne sound, and we believe that for use in the marine mammal take information is shown in Table 7. These incidents of take resulting solely from assessment calculations. Although data are from dedicated line-transect airborne sound are unlikely. The zones various regional offshore surveys for surveys, required project marine for sea lions are within the minimum marine mammals have been conducted, mammal monitoring, opportunistic shutdown zone defined for underwater it is unlikely that these data would be observations for more rarely observed sound and, although the zones for representative of the species or numbers species (see Figures 3–1 through 3–5 of harbor seals are larger, they have not that may be encountered in San Diego the Navy’s application), or the NMSDD. been observed to haul out as readily on Bay. However, the Navy has conducted man-made structure in the immediate a large number of ongoing site-specific Description of Take Calculation vicinity of the project site. There is a marine mammal surveys during The following assumptions are made possibility that an animal could surface appropriate seasons (e.g., Merkel and when estimating potential incidences of in-water, but with head out, within one Associates, 2008; Johnson, 2010, 2011; take: of the defined zones and thereby be Lerma, 2012, 2014). Whereas analyses • All marine mammal individuals exposed to levels of airborne sound that for the first-year IHA relied on surveys potentially available are assumed to be we associate with harassment, but any conducted from 2007–12, continuing present within the relevant area, and such occurrence would likely be surveys by the Navy have generally thus incidentally taken; accounted for in our estimation of indicated increasing abundance of all • An individual can only be taken incidental take from underwater sound. species and the second-year IHA relied once during a 24-h period; • We generally recognize that pinnipeds on 2012–14 survey data. In addition, the The assumed ZOIs and days of occurring within an estimated airborne activity are as shown in Table 6; and, Navy has developed estimates of marine • harassment zone, whether in the water mammal densities in waters associated Exposures to sound levels at or or hauled out, could be exposed to with training and testing areas above the relevant thresholds equate to airborne sound that may result in (including Hawaii-Southern California) take, as defined by the MMPA. behavioral harassment. However, any for the Navy Marine Species Density In this case, the estimation of marine animal exposed to airborne sound above Database (NMSDD). A technical report mammal takes uses the following the behavioral harassment threshold is (Hanser et al., 2015) describes calculation: likely to also be exposed to underwater methodologies and available Exposure estimate = n * ZOI * days of sound above relevant thresholds (which information used to derive these total activity are typically in all cases larger zones densities, which are based upon the best where: than those associated with airborne available information, except where n = density estimate used for each species/ sound). Thus, the behavioral harassment specific local abundance information is season of these animals is already accounted available and applicable to a specific ZOI = sound threshold ZOI area; the area for in these estimates of potential take. action area. The document is publicly encompassed by all locations where the Multiple incidents of exposure to sound available on the Internet at: SPLs equal or exceed the threshold being above NMFS’ thresholds for behavioral nwtteis.com/DocumentsandReferences/ evaluated. harassment are not believed to result in NWTTDocuments/ The ZOI impact area is estimated increased behavioral disturbance, in SupportingTechnicalDocuments.aspx using the relevant distances in Table 5, either nature or intensity of disturbance (accessed July 27, 2016). assuming that sound radiates from a reaction. Therefore, we do not believe Year 2 project monitoring showed central point in the water column that authorization of incidental take even greater abundance of certain slightly offshore of the existing pier and

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taking into consideration the possible best available information, in lieu of the number of days of activity, under the affected area due to topographical density-area method described above, assumption that all of those animals constraints of the action area (i.e., radial we may simply multiply some number will be present and incidentally taken distances to thresholds are not always of animals (as determined through on each day of activity. reached). When local abundance is the counts of animals hauled-out) by the

TABLE 6—AREAS OF ACOUSTIC INFLUENCE AND DAYS OF ACTIVITY

Activity Number of ZOI days (km2)

Impact and vibratory driving, 30-in steel piles 1 ...... 24 5.6752 Vibratory removal, 30-in steel piles ...... 6 5.6752 Impact driving, 24 x 32-in concrete piles ...... 28 0.5377 Impact driving, 16-in concrete-filled fiberglass piles ...... 1 0.2180 Diamond saw cutting ...... 69 0.8842 Impact driving, 16-in concrete piles (NMAWC) ...... 10 0.0436 Vibratory removal, 16-in concrete piles (NMAWC) ...... 8 2.7913 1 We assume that impact driving of 30-in steel piles would always occur on the same day as vibratory driving of the same piles. Therefore, the impact driving ZOI (3.8894 km2) would always be subsumed by the vibratory driving ZOI.

Where appropriate, we use average California Sea Lion analysis, wherein we assumed that three daily number of individuals observed harbor seals could be present for up to The NMSDD reports estimated within the project area during Navy thirty days of the project. However, Year densities for north and central San 2 project monitoring indicated an marine mammal surveys converted to a Diego Bay of 5.8 animals/km2 for the density value by using the largest ZOI average abundance of 2.83 individuals summer and fall periods and 2.5 per day in the project area. Animals as the effective observation area. It is the animals/km2 during the winter and opinion of the professional biologists were seen swimming as well as hauled spring (based on surveys conducted out on rocks along the shoreline of who conducted these surveys that 2007–11; note that the NMSDD does not detectability of animals during these NBPL. Although it is unknown whether present density estimates specific to San this increase in abundance is a surveys, at slow speeds and under calm Diego Bay for other species). For the temporary phenomenon we use this weather and excellent viewing first-year IHA, the Navy reported an new information on a precautionary conditions, approached one hundred average abundance of approximately basis as the best available information, percent. sixty individuals per survey day and assume that this number of animals There are a number of reasons why (approximately equating to the reported could be present on any day of the estimates of potential incidents of take density). However, Year 2 project project. The NMSDD provides a may be conservative, assuming that monitoring showed an average of 90.35 maximum density estimate of 0.02 individuals per day occurring within animals/km2 for southern California, but available density or abundance 2 estimates and estimated ZOI areas are the project area (i.e., 5.6752 km ). This site-specific information indicates that includes both hauled-out and swimming accurate (aside from the contingency harbor seals are more common within individuals. For California sea lions, the correction discussed above). We the northern San Diego Bay project area most common species in northern San than this density would suggest. assume, in the absence of information Diego Bay and the only species with supporting a more refined conclusion, regular occurrence in the project area, Gray Whale that the output of the calculation we determined that this value—derived The NMSDD provides a density of represents the number of individuals from the most recent monitoring effort— 0.115 animals/km2 for southern that may be taken by the specified would be appropriate for use in California waters from shore to 5 nm activity. In fact, in the context of estimating potential incidents of take. west of the Channel Islands (winter/ stationary activities such as pile driving spring only; density assumed to be zero Harbor Seal and in areas where resident animals during summer/fall), a value initially may be present, this number more Harbor seals are relatively uncommon reported by Carretta et al. (2000) for gray realistically represents the number of within San Diego Bay. Previously, whales around San Clemente Island in incidents of take that may accrue to a sightings in the Navy transect surveys of the Southern California Bight. Gray smaller number of individuals. While northern San Diego Bay were limited to whales were seen only from January– pile driving can occur any day individuals outside of the ZOI, on the April. In the project area, observational throughout the period of validity, and south side of Ballast Point. These data for gray whales is limited and their the analysis is conducted on a per day individuals had not been observed occurrence considered infrequent and basis, only a fraction of that time entering or transiting the project area unpredictable. On the basis of limited (typically a matter of hours on any given and were believed to move from this information—in recent years, solitary day) is actually spent pile driving. The location to haul-outs further north at La individuals have entered the bay and potential effectiveness of mitigation Jolla. Separately, marine mammal remained for varying lengths of time in measures in reducing the number of monitoring conducted by the Navy 2009, 2010, 2011, and 2014, and whales takes is typically not quantified in the intermittently from 2010–14 had more regularly transit briefly past the take estimation process. For these documented up to four harbor seals near mouth of San Diego Bay—we assume reasons, these take estimates may be Pier 122 (within the ZOI) at various here that the NMSDD density is times, with the greatest number of applicable, while acknowledging that it conservative. See Table 7 for total sightings during April and May. This likely represents a precautionary estimated incidents of take. information was used in previous IHA estimate for waters within the Bay as

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opposed to those outside the mouth of but have typically been observed in the could be of either long-beaked or short- the bay that whales are more likely to bay only infrequently and were never beaked common dolphins. transit through. Incidental harassment seen during the Navy’s surveys. Pacific White-Sided Dolphin of gray whales could result from some However, the previously described combination of individuals briefly observations of common dolphins in the Pacific white-sided dolphins are not transiting near the mouth of the bay and project area during in 2014 prompted known from the project area, but were from individuals entering the bay and their inclusion in the second IHA, a observed in the bay on several occasions lingering in the project area. decision supported by increased during Year 2 monitoring (0.28 Bottlenose Dolphin observations of common dolphins individuals per day). This information during Year 2. There have not been produces a density estimate slightly Coastal bottlenose dolphins can occur enough sightings of common dolphins lower than that found in Hanser et al. at any time of year in San Diego Bay. in San Diego Bay to develop a reliable (2015), and is the only information Numbers sighted during Navy transect estimate specific to the project area. available for use in estimating potential surveys have been highly variable, Sightings of long-beaked common exposures. ranging from zero to forty individuals dolphins are predominantly near shore, (observed dolphins are assumed to have Risso’s Dolphin and have been documented during Navy been of the coastal stock). An training exercises just offshore and to Although no Risso’s dolphins have uncorrected average of 2.1 bottlenose the south of San Diego Bay, whereas not been observed in the project area, dolphins was observed during recent those of short-beaked common dolphins Navy surveys (September 2012 through they are one of the more common April 2014), although nineteen animals extend throughout the coastal and species known from deeper waters were observed in a single survey. As offshore waters. The NMSDD provides nearby. Therefore, we use the regional reported in the NMSDD, Dudzik et al. an all-season density estimate of 0.1 density estimate from Hanser et al. 2 (2006) provide a uniform density for animals/km for the long-beaked (2015) in estimating potential California coastal dolphins of 0.4 common dolphin within southern exposures. California waters (derived from animals/km2 within 1 km of the coast Northern Elephant Seal from Baja to San Francisco in all four Ferguson and Barlow [2003] and Barlow seasons. However, given the high and Forney [2007]). However, given the Only one elephant seal has been variability observed in terms of numbers large numbers of dolphins and observed in the project area, but given and locations of bottlenose dolphin increasing observations during 2014–15, the increasing regional abundances for sightings, we believe it appropriate to we use the sighting rate of 8.67 dolphins this species, we believe it reasonable to take a precautionary approach to take per day as the basis for a density value. propose take authorization, and the estimation use Year 2 sightings (7.09 Although short-beaked common regional density estimate found in individuals per day) as the basis for a dolphins are less common in nearshore Hanser et al. (2015) is used here. It is density value. waters than are long-beaked, and are unlikely that elephant seals would haul expected to be less likely to occur in the out on any structures within the Common Dolphin project area, we assign a single value to airborne ZOIs, and we do not consider Common dolphins are present in the all common dolphins that may occur in harassment via airborne noise as a coastal waters outside of San Diego Bay, the project area. Any incidents of take possibility for this species.

TABLE 7—CALCULATIONS FOR INCIDENTAL TAKE ESTIMATION

Vibratory Impact Impact Impact Vibratory driving/ driving, driving, Diamond driving, removal, Total proposed Species Density removal, concrete concrete/ saw concrete concrete authorized takes 1 fiberglass (% of total stock) steel 24 x 30 16-in (NMAWC) (NMAWC)

California sea 15.9201 2,710 240 3 971 7 113 4,044 (1.4). lion. Harbor seal .. 0.4987 85 8 0 30 0 4 127 (0.4). Bottlenose 1.2493 213 19 0 76 1 9 318 (64.0).2 dolphin. Common dol- 1.5277 260 23 0 93 1 11 388 (0.4 [LB]/0.1 [SB]).3 phin. Gray whale ... 0.115 20 2 0 7 0 1 30 (0.1). Northern ele- 0.0508 9 1 0 3 0 0 13 (0.01). phant seal. Pacific white- 0.0493 8 1 0 3 0 0 12 (0.04). sided dol- phin. Risso’s dol- 0.2029 35 3 0 12 0 1 51 (0.8). phin. 1 We assume that impact driving of steel piles would occur on the same day as vibratory driving of the same piles and that the zone for vibra- tory driving would always subsume the zone for impact driving. Therefore, separate estimates are not provided for impact driving of steel piles. 2 Total stock assumed to be 500 for purposes of calculation. See Table 1. 3 LB = long-beaked; SB = short-beaked.

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Analyses and Preliminary from a sound source that is annoying (2) the anticipated incidents of Level B Determinations prior to its becoming potentially harassment consist of, at worst, injurious. The likelihood that marine temporary modifications in behavior; (3) Negligible Impact Analysis mammal detection ability by trained the absence of any significant habitat NMFS has defined ‘‘negligible observers is high under the within the project area, including impact’’ in 50 CFR 216.103 as ‘‘. . . an environmental conditions described for rookeries, significant haul-outs, or impact resulting from the specified San Diego Bay (approaching one known areas or features of special activity that cannot be reasonably hundred percent detection rate, as significance for foraging or expected to, and is not reasonably likely described by trained biologists reproduction; and (4) the presumed to, adversely affect the species or stock conducting site-specific surveys) further efficacy of the proposed mitigation through effects on annual rates of enables the implementation of measures in reducing the effects of the recruitment or survival.’’ A negligible shutdowns to avoid injury, serious specified activity to the level of least impact finding is based on the lack of injury, or mortality. practicable impact. In addition, these likely adverse effects on annual rates of Effects on individuals that are taken stocks are not listed under the ESA or recruitment or survival (i.e., population- by Level B harassment, on the basis of considered depleted under the MMPA. level effects). An estimate of the number reports in the literature as well as In combination, we believe that these of Level B harassment takes alone is not monitoring from past years of this factors, as well as the available body of enough information on which to base an project and other similar activities, will evidence from other similar activities, impact determination. In addition to likely be limited to reactions such as demonstrate that the potential effects of considering estimates of the number of increased swimming speeds, increased the specified activity will have only marine mammals that might be ‘‘taken’’ surfacing time, or decreased foraging (if short-term effects on individuals. The through behavioral harassment, we such activity were occurring) (e.g., specified activity is not expected to consider other factors, such as the likely Thorson and Reyff, 2006; HDR, 2012; impact rates of recruitment or survival nature of any responses (e.g., intensity, Lerma, 2014). Most likely, individuals and will therefore not result in duration), the context of any responses will simply move away from the sound population-level impacts. Based on the (e.g., critical reproductive time or source and be temporarily displaced analysis contained herein of the likely location, migration), as well as the from the areas of pile driving, although effects of the specified activity on number and nature of estimated Level A even this reaction has been observed marine mammals and their habitat, and harassment takes, the number of primarily only in association with taking into consideration the estimated mortalities, and effects on impact pile driving. In response to implementation of the proposed habitat. vibratory driving, pinnipeds (which monitoring and mitigation measures, we Construction and demolition may become somewhat habituated to preliminarily find that the total marine activities associated with the pier human activity in industrial or urban mammal take from Navy’s pier replacement project, as outlined waterways) have been observed to orient replacement activities will have a previously, have the potential to disturb towards and sometimes move towards negligible impact on the affected marine or displace marine mammals. the sound. The pile driving activities mammal species or stocks. Specifically, the specified activities may analyzed here are similar to, or less result in take, in the form of Level B impactful than, numerous other Small Numbers Analysis harassment (behavioral disturbance) construction activities conducted in San The number of incidents of take only, from underwater sounds generated Francisco Bay and in the Puget Sound proposed for authorization for these from pile driving. Potential takes could region, which have taken place with no stocks, with the exception of the coastal occur if individuals of these species are reported injuries or mortality to marine bottlenose dolphin (see below), would present in the ensonified zone when mammals, and no known long-term be considered small relative to the pile driving or removal is happening. adverse consequences from behavioral relevant stocks or populations (see No injury, serious injury, or mortality harassment. Repeated exposures of Table 7) even if each estimated taking is anticipated given the nature of the individuals to levels of sound that may occurred to a new individual. This is an activity and measures designed to cause Level B harassment are unlikely extremely unlikely scenario as, for minimize the possibility of injury to to result in hearing impairment or to pinnipeds occurring at the NBPL marine mammals. The potential for significantly disrupt foraging behavior. waterfront, there will almost certainly these outcomes is minimized through Thus, even repeated Level B harassment be some overlap in individuals present the construction method and the of some small subset of the overall stock day-to-day and in general, there is likely implementation of the planned is unlikely to result in any significant to be some overlap in individuals mitigation measures. For example, use realized decrease in fitness for the present day-to-day for animals in of vibratory hammers does not have affected individuals, and thus would estuarine/inland waters. significant potential to cause injury to not result in any adverse impact to the The proposed numbers of authorized marine mammals due to the relatively stock as a whole. Level B harassment take for bottlenose dolphins are higher low source levels produced and the lack will be reduced to the level of least relative to the total stock abundance of potentially injurious source practicable impact through use of estimate and would not represent small characteristics. Impact pile driving mitigation measures described herein numbers if a significant portion of the produces short, sharp pulses with and, if sound produced by project take was for a new individual. However, higher peak levels and much sharper activities is sufficiently disturbing, these numbers represent the estimated rise time to reach those peaks. When animals are likely to simply avoid the incidents of take, not the number of impact driving is necessary, required project area while the activity is individuals taken. That is, it is likely measures (implementation of buffered occurring. that a relatively small subset of shutdown zones) significantly reduce In summary, this negligible impact California coastal bottlenose dolphins any possibility of injury. Given analysis is founded on the following would be incidentally harassed by sufficient ‘‘notice’’ through use of soft factors: (1) The possibility of injury, project activities. California coastal start (for impact driving), marine serious injury, or mortality may bottlenose dolphins range from San mammals are expected to move away reasonably be considered discountable; Francisco Bay to San Diego (and south

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into Mexico) and the specified activity cumulative effects to the human and work crew personnel operating would be stationary within an enclosed environment resulting from the pier under the authority of this IHA. water body that is not recognized as an replacement project. NMFS made the (b) The species authorized for taking area of any special significance for Navy’s EA available to the public for are the harbor seal (Phoca vitulina coastal bottlenose dolphins (and is review and comment, in relation to its richardii), California sea lion (Zalophus therefore not an area of dolphin suitability for adoption by NMFS in californianus), bottlenose dolphin order to assess the impacts to the human aggregation, as evident in Navy (Tursiops truncatus truncatus), common observational records). We therefore environment of issuance of an IHA to dolphin (Delphinus delphis), northern believe that the estimated numbers of the Navy. Also in compliance with elephant seal (Mirounga angustirostris), takes, were they to occur, likely NEPA and the CEQ regulations, as well Pacific white-sided dolphin represent repeated exposures of a much as NOAA Administrative Order 216–6, (Lagenorhynchus obliquidens), Risso’s smaller number of bottlenose dolphins NMFS has reviewed the Navy’s EA, dolphin (Grampus griseus), and gray and that, based on the limited region of determined it to be sufficient, and whale (Eschrichtius robustus). exposure in comparison with the known adopted that EA and signed a Finding distribution of the coastal bottlenose of No Significant Impact (FONSI) on (c) The taking, by Level B harassment dolphin, these estimated incidents of July 8, 2013. only, is limited to the species listed in take represent small numbers of We have reviewed the Navy’s condition 3(b). See Table 1 for numbers bottlenose dolphins. application for a renewed IHA for of take authorized. Based on the analysis contained ongoing construction activities for herein of the likely effects of the 2015–16 and the 2014–15 monitoring TABLE 1—AUTHORIZED TAKE specified activity on marine mammals report. Based on that review, we have NUMBERS, BY SPECIES and their habitat, and taking into determined that the proposed action is consideration the implementation of the very similar to that considered in the Species Authorized mitigation and monitoring measures, we previous IHAs. In addition, no take preliminarily find that small numbers of significant new circumstances or marine mammals will be taken relative information relevant to environmental Harbor seal ...... 118 to the populations of the affected concerns have been identified. Thus, we California sea lion ...... 3,757 species or stocks. have determined preliminarily that the Northern elephant seal ...... 12 preparation of a new or supplemental California coastal bottlenose Impact on Availability of Affected NEPA document is not necessary, and dolphin ...... 295 Species for Taking for Subsistence Uses will, after review of public comments Pacific white-sided dolphin ... 12 There are no relevant subsistence uses determine whether or not the existing Risso’s dolphin ...... 48 of marine mammals implicated by this EA and FONSI provide adequate Common dolphin ...... 361 action. Therefore, we have determined analysis related to the potential Gray whale ...... 27 that the total taking of affected species environmental effects of issuing an IHA or stocks would not have an unmitigable to the Navy. The 2013 NEPA documents (d) The taking by injury (Level A adverse impact on the availability of are available for review at harassment), serious injury, or death of such species or stocks for taking for www.nmfs.noaa.gov/pr/permits/ any of the species listed in condition subsistence purposes. incidental/construction.htm. 3(b) of the Authorization or any taking of any other species of marine mammal Endangered Species Act (ESA) Proposed Authorization is prohibited and may result in the The Navy initiated informal As a result of these preliminary modification, suspension, or revocation consultation under section 7 of the ESA determinations, we propose to issue an of this IHA. with NMFS Southwest Regional Office IHA to the Navy for conducting the (e) The Navy shall conduct briefings (now West Coast Regional Office) on described pier replacement activities in between construction supervisors and March 5, 2013. NMFS concluded on San Diego Bay, for a period of one year May 16, 2013, that the proposed action from the date of issuance, provided the crews, marine mammal monitoring may affect, but is not likely to adversely previously mentioned mitigation, team, acoustic monitoring team, and affect, WNP gray whales. The Navy has monitoring, and reporting requirements Navy staff prior to the start of all pile not requested authorization of the are incorporated. The proposed IHA driving activity, and when new incidental take of WNP gray whales and language is provided next. personnel join the work, in order to no such authorization is proposed, and This section contains a draft of the explain responsibilities, communication there are no other ESA-listed marine IHA itself. The wording contained in procedures, marine mammal monitoring mammals found in the action area. this section is proposed for inclusion in protocol, and operational procedures. Therefore, no consultation under the the IHA (if issued). 4. Mitigation Measures ESA is required. 1. This Incidental Harassment The holder of this Authorization is Authorization (IHA) is valid from required to implement the following National Environmental Policy Act October 8, 2016, through October 7, (NEPA) 2017. mitigation measures: In compliance with the National 2. This IHA is valid only for pile (a) For all pile driving, the Navy shall Environmental Policy Act of 1969 (42 driving and removal activities implement a minimum shutdown zone U.S.C. 4321 et seq.), as implemented by associated with the fuel pier of 10 m radius around the pile. If a the regulations published by the replacement project in San Diego Bay, marine mammal comes within or Council on Environmental Quality (40 California. approaches the shutdown zone, such CFR parts 1500–1508), the Navy 3. General Conditions operations shall cease. See Table 2 for prepared an Environmental Assessment (a) A copy of this IHA must be in the minimum radial distances required for (EA) to consider the direct, indirect and possession of the Navy, its designees, shutdown zones.

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TABLE 2—RADIAL DISTANCE TO SHUTDOWN AND DISTURBANCE ZONES ASSOCIATED WITH RELEVANT THRESHOLDS, INCLUDING BUFFERS

Distance to threshold in meters Activity 190 dB 180 dB 160 dB 120 dB

Impact driving, steel piles ...... 150 450 2,000 n/a Vibratory driving/removal, steel piles ...... 10 10 n/a 3,000 Impact driving, concrete piles ...... 40 100 470 n/a Impact driving, concrete/fiberglass piles ...... 40 100 270 n/a Diamond saw cutting ...... 10 10 n/a 400 Impact driving, concrete piles (NMAWC) ...... 10 10 130 n/a Vibratory removal, concrete piles (NMAWC) ...... 10 10 n/a 2,160

(b) The Navy shall shutdown activity conducted for fifteen minutes to ensure (h) Pile driving shall only be as appropriate upon observation of any that the shutdown zone is clear of conducted during daylight hours. species for which take is not authorized. marine mammals, and pile driving may 5. Monitoring Activity shall not be resumed until commence when observers have The holder of this Authorization is those species have been observed to declared the shutdown zone clear of required to conduct marine mammal leave the relevant zone or until one hour marine mammals. In the event of a delay monitoring during pile driving activity. has elapsed. or shutdown of activity resulting from Marine mammal monitoring and (c) The Navy shall deploy marine marine mammals in the shutdown zone, reporting shall be conducted in mammal observers as described below animals shall be allowed to remain in accordance with the Monitoring Plan. and as indicated in the Acoustic and the shutdown zone (i.e., must leave of (a) The Navy shall collect sighting Marine Species Monitoring Plan their own volition) and their behavior data and behavioral responses to pile (Monitoring Plan; attached). shall be monitored and documented. driving for marine mammal species i. For all pile driving and applicable Monitoring shall occur throughout the observed in the region of activity during demolition activities, a minimum of one time required to drive a pile. The the period of activity. All observers observer shall be stationed at the active shutdown zone must be determined to shall be trained in marine mammal pile driving rig in order to monitor the be clear during periods of good visibility identification and behaviors, and shall shutdown zones. (i.e., the entire shutdown zone and have no other construction-related tasks ii. For pile driving of 30-in steel piles, surrounding waters must be visible to while conducting monitoring. at least four additional observers shall the naked eye). (b) For all marine mammal be positioned for optimal monitoring of (e) If a marine mammal approaches or monitoring, the information shall be the surrounding waters. During impact enters the shutdown zone, all pile recorded as described in the Monitoring driving of steel piles, one of these shall driving activities at that location shall Plan. be stationed for optimal monitoring of be halted. If pile driving is halted or (c) The Navy shall conduct acoustic the cetacean Level A injury zone (see delayed due to the presence of a marine monitoring for representative scenarios Table 2), while others may be mammal, the activity may not of pile driving activity, as described in positioned at the discretion of the Navy commence or resume until either the the Monitoring Plan. for optimal fulfillment of both acoustic animal has voluntarily left and been 6. Reporting monitoring objectives and monitoring of visually confirmed beyond the The holder of this Authorization is the Level B harassment zone. During all shutdown zone or fifteen minutes have other pile driving, at least one required to: passed without re-detection of the additional observer shall be deployed (a) Submit a draft report on all animal. and may be positioned at the discretion monitoring conducted under the IHA of the Navy for optimal fulfillment of (f) Monitoring shall be conducted by within 45 calendar days of the both acoustic monitoring objectives and qualified observers, as described in the completion of marine mammal and monitoring of the Level B harassment Monitoring Plan. Trained observers acoustic monitoring, or sixty days prior zone. shall be placed from the best vantage to the issuance of any subsequent IHA iii. These observers shall record all point(s) practicable to monitor for for this project, whichever comes first. observations of marine mammals, marine mammals and implement A final report shall be prepared and regardless of distance from the pile shutdown or delay procedures when submitted within thirty days following being driven, as well as behavior and applicable through communication with resolution of comments on the draft potential behavioral reactions of the the equipment operator. report from NMFS. This report must animals. Photographs must be taken of (g) The Navy shall use soft start contain the informational elements any observed gray whales. techniques recommended by NMFS for described in the Monitoring Plan, at iv. All observers shall be equipped for impact pile driving. Soft start for impact minimum (see attached), and shall also communication of marine mammal drivers requires contractors to provide include: observations amongst themselves and to an initial set of strikes at reduced i. Detailed information about any other relevant personnel (e.g., those energy, followed by a thirty-second implementation of shutdowns, necessary to effect activity delay or waiting period, then two subsequent including the distance of animals to the shutdown). reduced energy strike sets. Soft start pile and description of specific actions (d) Monitoring shall take place from shall be implemented at the start of each that ensued and resulting behavior of fifteen minutes prior to initiation of pile day’s impact pile driving and at any the animal, if any. driving activity through thirty minutes time following cessation of impact pile ii. Description of attempts to post-completion of pile driving activity. driving for a period of thirty minutes or distinguish between the number of Pre-activity monitoring shall be longer. individual animals taken and the

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number of incidences of take, such as decomposition, scavenger damage), Significant Impact (FONSI) to the ability to track groups or individuals. Navy shall report the incident to the environmental resources within U.S. iii. Results of acoustic monitoring, Office of Protected Resources, NMFS, IOOS regions. including the information described in and the West Coast Regional Stranding In parallel with the preparation of the in the Monitoring Plan. Coordinator, NMFS, within 24 hours of draft and final PEA, IOOS initiated and (b) Reporting injured or dead marine the discovery. Navy shall provide completed a technical review mammals: photographs or video footage or other consultation with National Marine i. In the unanticipated event that the documentation of the stranded animal Fisheries Service (NMFS) Office of specified activity clearly causes the take sighting to NMFS. Habitat Conservation Essential Fish of a marine mammal in a manner 7. This Authorization may be Habitat (EFH), regarding the Magnuson- prohibited by this IHA, such as an modified, suspended or withdrawn if Stevens Act. Furthermore, subsequent to injury (Level A harassment), serious the holder fails to abide by the extensive discussion with and training injury, or mortality, Navy shall conditions prescribed herein, or if the by NMFS Office of Protected Resources immediately cease the specified authorized taking is having more than a (OPR) under the National Marine activities and report the incident to the negligible impact on the species or stock Sanctuaries, Endangered Species and Office of Protected Resources (301–427– of affected marine mammals. Marine Mammal Protection Acts, it has been determined that IOOS observing 8425), NMFS, and the West Coast Request for Public Comments Regional Stranding Coordinator (206– activities would have negligible or no 526–6550), NMFS. The report must We request comment on our analysis, impact to environmental resources include the following information: the draft authorization, and any other under the proposed action. The IOOS A. Time and date of the incident; aspect of this Notice of Proposed IHA proposed action provides a mitigation B. Description of the incident; for Navy’s pier replacement activities. strategy to address any unique C. Environmental conditions (e.g., Please include with your comments any situations, on a site-specific basis, as wind speed and direction, Beaufort sea supporting data or literature citations to more information becomes available. state, cloud cover, and visibility); help inform our final decision on Navy’s The final PEA and signed FONSI are D. Description of all marine mammal request for an MMPA authorization. posted on the IOOS Web site at https:// observations in the 24 hours preceding Dated: August 4, 2016. ioos.noaa.gov/about/governance-and- the incident; Donna S. Wieting, management/environmental- compliance/. E. Species identification or Director, Office of Protected Resources, description of the animal(s) involved; National Marine Fisheries Service. FOR FURTHER INFORMATION CONTACT: F. Fate of the animal(s); and [FR Doc. 2016–18847 Filed 8–8–16; 8:45 am] Regina Evans, U.S. IOOS Program, 1315 East-West Highway, 2nd Floor, Silver G. Photographs or video footage of the BILLING CODE 3510–22–P animal(s). Spring, MD 20910, Silver Spring, MD Activities shall not resume until NMFS 20910; Phone 240–533–9468; Fax 301– is able to review the circumstances of DEPARTMENT OF COMMERCE 713–3281; Email regina.evans@ the prohibited take. NMFS will work noaa.gov. with Navy to determine what measures National Oceanic and Atmospheric SUPPLEMENTARY INFORMATION: Observing are necessary to minimize the likelihood Administration activities support the core mission of of further prohibited take and ensure U.S. IOOS: systematic provision of U.S. Integrated Ocean Observing MMPA compliance. Navy may not readily accessible marine environmental System (IOOS®) Advisory Committee resume their activities until notified by data and data products in an NMFS. AGENCY: National Ocean Service, interoperable, reliable, timely, and user- i. In the event that Navy discovers an National Oceanic and Atmospheric specified manner to end-users/ injured or dead marine mammal, and Administration (NOAA), Department of customers to serve seven critical and the lead observer determines that the Commerce. expanding societal needs: (1) Improve cause of the injury or death is unknown ACTION: Notice of availability for final predictions of climate change and and the death is relatively recent (e.g., programmatic environmental weather and their effects on coastal in less than a moderate state of assessment and finding of no significant communities and the nation; (2) decomposition), Navy shall immediately impact. Improve the safety and efficiency of report the incident to the Office of maritime operations; (3) More Protected Resources, NMFS, and the SUMMARY: The U.S. IOOS office, effectively mitigate the effects of natural West Coast Regional Stranding National Ocean Service (NOS), National hazards; (4) Improve national and Coordinator, NMFS. Oceanic and Atmospheric homeland security; (5) Reduce public The report must include the same Administration (NOAA), has finalized a health risks; (6) More effectively protect information identified in 6(b)(i) of this Programmatic Environmental and restore healthy coastal ecosystems; IHA. Activities may continue while Assessment (PEA) which analyzed the and (7) Enable the sustained use of NMFS reviews the circumstances of the potential environmental impacts ocean and coastal resources. incident. NMFS will work with Navy to associated with ocean observing IOOS’s conclusion of no significant determine whether additional activities including sensors and impact is based on the best available mitigation measures or modifications to instrumentation; vessels (including scientific data and consultations with the activities are appropriate. personal watercraft) and sampling; underwater acoustic experts and ii. In the event that Navy discovers an autonomous underwater vehicles biologists from NMFS. Special emphasis injured or dead marine mammal, and (AUV), gliders, and drifters; moorings, was placed on the impacts to marine the lead observer determines that the marine stations, buoys, and fixed arrays; mammals, endangered species, and injury or death is not associated with or High Frequency radar (HF radar); and essential fish habitat. IOOS has adopted related to the activities authorized in the sound navigation and ranging (sonar) conservation recommendations from IHA (e.g., previously wounded animal, and light detection and ranging (lidar) EFH and project design criteria (PDC), carcass with moderate to advanced and prepared a Finding of No or best management practices, which

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were created to avoid adverse effects to the information collection, including visiting RegInfo.gov. All comments must all ESA-listed species and designated suggestions for reducing the burden, be submitted in English, or if not, critical habitats from OPR. As may be submitted directly to the Office accompanied by an English translation. implemented, the conservation of Information and Regulatory Affairs Comments will be posted as received to recommendations and PDCs would (OIRA) in OMB, within 30 days of the www.cftc.gov. insure that all U.S. IOOS funded notice’s publication, by email at activities (individually and in aggregate) [email protected]. Please FOR FURTHER INFORMATION CONTACT: Gary avoid adverse effects to protected identify the comments by OMB Control Martinaitis, Associate Director, Division resources. No. 3038–0017. Please provide the of Market Oversight, Commodity Futures Trading Commission, (202) Dated: July 26, 2016. Commodity Futures Trading 418–5209; email: [email protected], Zdenka Willis, Commission (‘‘CFTC’’ or ‘‘Commission’’) with a copy of all and refer to OMB Control No. 3038– Director, U.S. Integrated Ocean Observing 0017. A copy may also be obtained from System Office. submitted comments at the address listed below. Please refer to OMB this contact. [FR Doc. 2016–18842 Filed 8–8–16; 8:45 am] Reference No. 3038–0017, found on SUPPLEMENTARY INFORMATION: BILLING CODE P http://reginfo.gov. Comments may also be mailed to the Office of Information Title: Notice of Intent to Renew and Regulatory Affairs, Office of Collection, Market Surveys (OMB COMMODITY FUTURES TRADING Management and Budget, Attention: Control No. 3038–0017). This is a COMMISSION Desk Officer for the Commodity Futures request for extension of a currently approved information collection. Agency Information Collection Trading Commission, 725 17th Street Activities Under OMB Review NW., Washington, DC 20503, and to: Abstract: Under Commission Rule Gary Martinaitis, Associate Director, 21.02, upon call by the Commission, AGENCY: Commodity Futures Trading Division of Market Oversight, information must be furnished related to Commission. Commodity Futures Trading futures or options positions held or ACTION: Notice. Commission, Three Lafayette Centre, introduced by futures commission 1155 21st Street NW., Washington, DC merchants, members of contract SUMMARY: In compliance with the 20581; or through the CFTC Web site at Paperwork Reduction Act of 1995 markets, introducing brokers, and http://comments.cftc.gov. Follow the foreign brokers and, for options (PRA), this notice announces that the instructions for submitting comments Information Collection Request (ICR) positions, by each reporting market. through the Web site. This rule is designed to assist the abstracted below has been forwarded to Comments may also be mailed to: Commission in prevention of market the Office of Management and Budget Christopher J. Kirkpatrick, Secretary of manipulation and is promulgated (OMB) for review and comment. The the Commission, Commodity Futures pursuant to the Commission’s ICR describes the nature of the Trading Commission, Three Lafayette rulemaking authority contained in information collection and its expected Centre, 1155 21st Street NW., section 8a of the Commodity Exchange costs and burden. Washington, DC 20581 or by Hand DATES: Comments must be submitted on Deliver/Courier at the same address. Act, 7 U.S.C. 12a (2010). or before September 8, 2016. A copy of the supporting statements Burden Statement: The respondent ADDRESSES: Comments regarding the for the collection of information burden for this collection is estimated to burden estimated or any other aspect of discussed above may be obtained by be as follows:

ESTIMATED ANNUAL REPORTING BURDEN

Annual 17 CFR § number of Frequency Total annual Hours per Total hours respondents of response responses response

21.02 ...... 400 Annually .... 400 1.75 700

The total annual cost burden per Dated: August 4, 2016. ACTION: Federal advisory committee respondent is estimated to be $38,500. Christopher J. Kirkpatrick, meeting notice. The Commission based its calculation Secretary of the Commission. on a blended hourly wage rate of $55 for [FR Doc. 2016–18859 Filed 8–8–16; 8:45 am] SUMMARY: The Department of Defense is publishing this notice to announce the a Programmer and Compliance BILLING CODE 6351–01–P Manager.1 following Federal advisory committee meeting of the Government-Industry Authority: 44 U.S.C. 3501 et seq. Advisory Panel. This meeting is open to DEPARTMENT OF DEFENSE the public. 1 DATES: The meeting will be held from In arriving at a wage rate for the hourly costs Office of the Secretary imposed, Commission staff used the Management & 9:00 a.m. to 5:00 p.m. on Tuesday, Professional Earnings in the Securities Industry August 23, 2016. Public registration will Report, published in 2013 by the Securities Government-Industry Advisory Panel; Notice of Federal Advisory Committee begin at 8:45 p.m. For entrance into the Industry and Financial Markets Associations meeting, you must meet the necessary (Report). The wage rate used the median salary of Meeting a Programmer and Compliance Manager as requirements for entrance into the published in the 2013 Report and divided that AGENCY: Office of the Under Secretary of Pentagon. For more detailed figure by 2000 annual working hours to arrive at the Defense (Acquisition, Technology, and information, please see the following hourly rate of $55. Logistics), Department of Defense (DoD). link: http://www.pfpa.mil/access.html.

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ADDRESSES: Pentagon Library, for Public Comment; (3) Briefing from information about public access Washington Headquarters Services, Joint Program Executive Office; (4) procedures, should contact LTC Lunoff, 1155 Defense Pentagon, Washington, DC Briefing from Amazon Web Services; (5) the committee DFO, at the email address 20301–1155. The meeting will be held Briefing on data rights effects on major or telephone number listed in the FOR in Room M1. The Pentagon Library is logistics activities; (6) Public Comments; FURTHER INFORMATION CONTACT section, located in the Pentagon Library and (7) Comment Adjudication & Planning at least five (5) business days prior to Conference Center (PLC2) across the for follow-on meeting. the meeting so that appropriate Corridor 8 bridge. Availability of Materials for the arrangements can be made. FOR FURTHER INFORMATION CONTACT: LTC Meeting: A copy of the agenda or any Written Comments or Statements: Andrew Lunoff, Office of the Assistant updates to the agenda for the August 23, Pursuant to 41 CFR 102–3.105(j) and Secretary of Defense (Acquisition), 3090 2016 meeting will be available as 102–3.140 and section 10(a)(3) of the Defense Pentagon, Washington, DC requested or at the following site: Federal Advisory Committee Act, the 20301–3090, email: https://database.faca.gov/committee/ public or interested organizations may [email protected], phone: meetingdocuments.aspx? submit written comments or statements 571–256–9004. flr=141345&cid=2561. Minor changes to to the Government-Industry Advisory the agenda will be announced at the Panel about its mission and/or the SUPPLEMENTARY INFORMATION: meeting. All materials will be posted to topics to be addressed in this public Purpose of the Meeting: This meeting the FACA database after the meeting. meeting. Written comments or is being held under the provisions of the Public Accessibility to the Meeting: statements should be submitted to LTC Federal Advisory Committee Act of Pursuant to 5 U.S.C. 552b, as amended, Lunoff, the committee DFO, via 1972 (FACA) (5 U.S.C., Appendix, as and 41 CFR 102–3.140 through 102– electronic mail, the preferred mode of amended), the Government in the 3.165, and subject to the availability of submission, at the email address listed Sunshine Act of 1976 (5 U.S.C. 552b, as space, this meeting is open to the in the FOR FURTHER INFORMATION amended), and 41 CFR 102–3.150. The public. Registration of members of the CONTACT section in the following Government-Industry Advisory Panel public who wish to attend the meeting formats: Adobe Acrobat or Microsoft will review sections 2320 and 2321 of will begin upon publication of this Word. The comment or statement must title 10, United States Code (U.S.C.), meeting notice and end three business include the author’s name, title, regarding rights in technical data and days (August 18) prior to the start of the affiliation, address, and daytime the validation of proprietary data meeting. All members of the public telephone number. Written comments or restrictions and the regulations must contact LTC Lunoff at the phone statements being submitted in response implementing such sections, for the number or email listed in the FOR to the agenda set forth in this notice purpose of ensuring that such statutory FURTHER INFORMATION CONTACT section to must be received by the committee DFO and regulatory requirements are best make arrangements for Pentagon escort, at least five (5) business days prior to structured to serve the interest of the if necessary. Public attendees should the meeting so that they may be made taxpayers and the national defense. The arrive at the Pentagon’s Visitor’s Center, available to the Government-Industry scope of the panel is as follows: (1) located near the Pentagon Metro Advisory Panel for its consideration Ensuring that the Department of Defense Station’s south exit and adjacent to the prior to the meeting. Written comments (DoD) does not pay more than once for Pentagon Transit Center bus terminal or statements received after this date the same work, (2) Ensuring that the with sufficient time to complete security may not be provided to the panel until DoD contractors are appropriately screening no later than 8:30 a.m. on its next meeting. Please note that rewarded for their innovation and August 23. To complete security because the panel operates under the invention, (3) Providing for cost- screening, please come prepared to provisions of the Federal Advisory effective reprocurement, sustainment, present two forms of identification of Committee Act, as amended, all written modification, and upgrades to the DoD which one must be a pictured comments will be treated as public systems, (4) Encouraging the private identification card. Government and documents and will be made available sector to invest in new products, military DoD CAC holders are not for public inspection. technologies, and processes relevant to required to have an escort, but are still Verbal Comments: Members of the the missions of the DoD, and (5) required to pass through the Visitor’s public will be permitted to make verbal Ensuring that the DoD has appropriate Center to gain access to the Building. comments during the meeting only at access to innovative products, Seating is limited and is on a first-to- the time and in the manner allowed technologies, and processes developed arrive basis. Attendees will be asked to herein. If a member of the public is by the private sector for commercial use. provide their name, title, affiliation, and interested in making a verbal comment Agenda: This will be the fifth meeting contact information to include email at the open meeting, that individual of the Government-Industry Advisory address and daytime telephone number must submit a request, with a brief Panel with a series of meetings planned to the Designated Federal Officer (DFO) statement of the subject matter to be through December 14, 2016. The panel listed in the FOR FURTHER INFORMATION addressed by the comment, at least three will cover details of 10 U.S.C. 2320 and CONTACT section. Any interested person (3) business days in advance to the 2321, begin understanding the may attend the meeting, file written committee DFO, via electronic mail, the implementing regulations and detail the comments or statements with the preferred mode of submission, at the necessary groups within the private committee, or make verbal comments email address listed in the FOR FURTHER sector and government to provide from the floor during the public INFORMATION CONTACT section. The supporting documentation for their meeting, at the times, and in the committee DFO will log each request to review of these codes and regulations manner, permitted by the committee. make a comment, in the order received, during follow-on meetings. Agenda Special Accommodations: The and determine whether the subject items for this meeting will include the meeting venue is fully handicap matter of each comment is relevant to following: (1) Planning, discussion and accessible, with wheelchair access. the panel’s mission and/or the topics to breakdown of statutes 10 U.S.C. 2320 Individuals requiring special be addressed in this public meeting. A and 2321; (2) Discussion on comments accommodations to access the public 30-minute period near the end of the received via Federal Register Request meeting or seeking additional meeting will be available for verbal

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public comments. Members of the SUPPLEMENTARY INFORMATION: The DEPARTMENT OF ENERGY public who have requested to make a Department of Education (ED), in verbal comment and whose comments accordance with the Paperwork Notice of Intent To Grant Exclusive have been deemed relevant under the Reduction Act of 1995 (PRA) (44 U.S.C. License process described in this paragraph, will 3506(c)(2)(A)), provides the general AGENCY: Office of the General Counsel, be allotted no more than three (3) public and Federal agencies with an Department of Energy. minutes during this period, and will be opportunity to comment on proposed, invited to speak in the order in which revised, and continuing collections of ACTION: Notice of intent to grant their requests were received by the DFO. information. This helps the Department exclusive patent license. Dated: August 4, 2016. assess the impact of its information SUMMARY: The Department of Energy Aaron Siegel, collection requirements and minimize (DOE) hereby gives notice that DOE the public’s reporting burden. It also Alternate OSD Federal Register Liaison intends to grant an exclusive license to Officer, Department of Defense. helps the public understand the practice the invention described and Department’s information collection claimed in U.S. Patent Number [FR Doc. 2016–18813 Filed 8–8–16; 8:45 am] requirements and provide the requested BILLING CODE 5001–06–P 8,968,827 for ‘‘Methods of forming data in the desired format. ED is boron nitride’’ to TNT Ballistic Coating soliciting comments on the proposed Technologies, Inc. having its principal information collection request (ICR) that DEPARTMENT OF EDUCATION place of business at Chicago, Illinois. is described below. The Department of The patent is owned by United States of [Docket No.: ED–2016–ICCD–0055] Education is especially interested in America, as represented by DOE. public comment addressing the DATES: Agency Information Collection following issues: (1) Is this collection Written comments, objections, or Activities; Submission to the Office of necessary to the proper functions of the nonexclusive license applications must Management and Budget for Review Department; (2) will this information be be received at the address listed no later and Approval; Comment Request; processed and used in a timely manner; than August 24, 2016. Study of Digital Learning Resources (3) is the estimate of burden accurate; ADDRESSES: Comments, applications for for Instructional English Learner (4) how might the Department enhance nonexclusive licenses, or objections Students the quality, utility, and clarity of the relating to the prospective exclusive information to be collected; and (5) how license should be submitted through AGENCY: Office of Planning, Evaluation might the Department minimize the Regulations.gov or to Office of the and Policy Development (OPEPD), burden of this collection on the Assistant General Counsel for Department of Education (ED). respondents, including through the use Technology Transfer and Intellectual ACTION: Notice. of information technology. Please note Property, U.S. Department of Energy, that written comments received in Room 6F–067, 1000 Independence Ave. SUMMARY: In accordance with the response to this notice will be SW., Washington, DC 20585. Paperwork Reduction Act of 1995 (44 considered public records. FOR FURTHER INFORMATION CONTACT: U.S.C. chapter 3501 et seq.), ED is Marianne Lynch, Office of the Assistant proposing a new information collection. Title of Collection: Study of Digital Learning Resources for Instructional General Counsel for Technology DATES: Interested persons are invited to English Learner Students. Transfer and Intellectual Property, U.S. submit comments on or before Department of Energy, Room 6F–067, OMB Control Number: 1875–NEW. September 8, 2016. 1000 Independence Ave. SW., ADDRESSES: To access and review all the Type of Review: A new information Washington, DC 20585; Email: documents related to the information collection. [email protected]; and collection listed in this notice, please Respondents/Affected Public: State, Phone: (202) 586–3815. use http://www.regulations.gov by Local, and Tribal Governments. SUPPLEMENTARY INFORMATION: This searching the Docket ID number ED– Total Estimated Number of Annual notice of intent to grant an exclusive 2016–ICCD–0055. Comments submitted Responses: 1,188. license is issued in accordance with 35 in response to this notice should be Total Estimated Number of Annual U.S.C. 209(c)(1) and 37 CFR submitted electronically through the Burden Hours: 827. 404.7(a)(1)(i). The prospective exclusive Federal eRulemaking Portal at http:// license also complies with the Abstract: This study will examine the www.regulations.gov by selecting the requirements of 35 U.S.C. 209 and 37 use of digital learning resources (DLRs) Docket ID number or via postal mail, CFR 404.7. to support the English language commercial delivery, or hand delivery. 35 U.S.C. 209(c) gives DOE the acquisition and academic achievement Please note that comments submitted by authority to grant exclusive or partially of English Learners (ELs) in K–12 fax or email and those submitted after exclusive licenses in federally-owned education. The goal of this study is to the comment period will not be inventions where a determination is promote the understanding of the accepted. Written requests for made, among other things, that the current use of DLRs for instructing EL information or comments submitted by desired practical application of the students in order to inform further postal mail or delivery should be invention has not been achieved, or is research and policy development addressed to the Director of the not likely to be achieved expeditiously, efforts. Information Collection Clearance under a nonexclusive license. The Division, U.S. Department of Education, Dated: August 4, 2016. statute and implementing regulations 400 Maryland Avenue SW., LBJ, Room Kate Mullan, (37 CFR 404) require that the necessary 2E–347, Washington, DC 20202–4537. Acting Director, Information Collection determinations be made after public FOR FURTHER INFORMATION CONTACT: For Clearance Division, Office of the Chief Privacy notice and opportunity for filing written specific questions related to collection Officer, Office of Management. comments and objections. activities, please contact Julie Warner, [FR Doc. 2016–18870 Filed 8–8–16; 8:45 am] TNT Ballistic Coating Technologies 202–453–6043. BILLING CODE 4000–01–P has applied for an exclusive license to

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practice the inventions embodied in the Clean Cities initiative has developed a Opportunity Announcement (FOA) U.S. Patent Number 8,968,827 and has three-part voluntary ride-and-drive awards, DOE is awarding entities plans for commercialization of the survey to assist its coalitions and funding to run PEV showcases where inventions. stakeholders in assessing the level of drivers can experience driving a variety Within 15 days of publication of this interest, understanding, and acceptance of PEVs and learn about charging notice, any person may submit in of PEVs and alternative fuel vehicles electric vehicles. These awards are 50 writing to DOE’s Assistant General (AFV) by the purchasing public. The percent cost share awards, meaning that Counsel for Intellectual Property and principal objective of the Survey is to recipients of an award under this FOA Technology Transfer Office (see contact provide DOE and stakeholders with an must supply 50 percent of the funds to information), either of the following, objective assessment and estimate of complete each awarded project. Projects together with supporting documents: how ready the purchasing public is for undertaken pursuant to this FOA are (i) A statement setting forth reasons PEVs, and to help DOE’s Clean Cities expected to include a survey component why it would not be in the best interest coalitions prepare for the successful related to potential vehicle driver of the United States to grant the deployment of these vehicles. DOE behavior. Thus, the DOE Clean Cities proposed license; or (ii) An application intends the surveys to be completed by program has developed an initiative, the for a nonexclusive license to the individuals who are participating in one Ride and Drive Surveys for PEV invention, in which applicant states that of many ride-and-drive events. Showcases, that includes a three-part it already has brought the invention to Comments are invited on: (a) Whether voluntary ride-and-drive survey to assist practical application or is likely to bring the proposed collection of information its coalitions and stakeholders in the invention to practical application is necessary for the proper performance assessing the level of interest, expeditiously. of the functions of DOE, including understanding, and acceptance of AFVs The proposed license would be whether the information shall have by the purchasing public. The principal exclusive, subject to a license and other practical utility; (b) the accuracy of objective of the Surveys is to provide rights retained by the United States, and DOE’s estimate of the burden of the DOE and stakeholders with an objective subject to a negotiated royalty. DOE will proposed collection of information, assessment and estimate of how ready review all timely written responses to including the validity of the the purchasing public is for PEVs, and this notice, and will grant the licenses methodology and assumptions used; (c) to help DOE’s Clean Cities coalitions if, after expiration of the 15-day notice ways to enhance the quality, utility, and prepare for the successful deployment period, and after consideration of any clarity of the information to be of these vehicles. written responses to this notice, a collected; and (d) ways to minimize the For the Ride and Drive Surveys for determination is made in accordance burden of the collection of information PEV Showcases collection, the effort with 35 U.S.C. 209(c) that the licenses on respondents, including through the will target public citizens who are are in the public interest. use of automated collection techniques participating in one of many Ride-and- or other forms of information Drive events. There are three phases to Brian Lally, technology. the Survey: (1) Pre Ride-and-Drive; (2) Acting Assistant General Counsel for DATES: post Ride-and-Drive; and (3) a few Technology Transfer and Intellectual Comments regarding this proposed information collection must months/some time later to discern if the Property. respondent followed through with [FR Doc. 2016–18850 Filed 8–8–16; 8:45 am] be received on or before October 11, 2016. If you anticipate difficulty in acquisition of a PEV or another AFV. BILLING CODE 6450–01–P submitting comments within that Respondents would provide answers in period, contact the person listed below the first two phases through a user- as soon as possible. friendly paper survey and on-line DEPARTMENT OF ENERGY survey, and in the third phase they ADDRESSES: Written comments should would answer questions via an Office of Energy Efficiency and be sent to: Desk Officer for the electronic interface, although a paper Renewable Energy Department of Energy, Office of survey may be used for those lacking Information and Regulatory Affairs, access to an electronic device or Proposed Agency Information Office of Management and Budget, New Collection Extension computer. Executive Office Building, Room 10102, The Surveys’ effort will rely on AGENCY: Office of Energy Efficiency and 735 17th Street NW., Washington, DC responses to questions the respondent Renewable Energy, U.S. Department of 20503. chooses to answer. The multiple-choice Energy (DOE). And to Mr. Dennis Smith, Office of will questions address the following Energy Efficiency and Renewable ACTION: topic areas: (1) Demographics; (2) Notice and request for Energy (EE–3V), U.S. Department of comments. Current vehicle background; (3) How Energy, 1000 Independence Avenue they learned about ride and drive event; SUMMARY: The Department of Energy SW., Washington, DC 20585–0121, or by (3) Perceptions of PEVs before and after pursuant to the Paperwork Reduction fax at 202–586–1600, or by email at driving; (4) Post-drive vehicle Act of 1995, is proposing to amend an [email protected]. experience; (5) Purchase expectations; information collection request with the FOR FURTHER INFORMATION CONTACT: Mr. (6) Follow-up survey subsequent Office of Management and Budget by Dennis Smith at the address listed above behaviors; (7) Purchase information; (8) adding an additional collection to an in ADDRESSES. Barriers; and (9) Future intentions. ICR that already includes two SUPPLEMENTARY INFORMATION: The DOE expects a total respondent previously approved collections. The amended information collection request population for the amended collection two previously approved collections contains (1) OMB No. 1910–5171; (2) (which would include the three address DOE’s Plug-in Electric Vehicle Information Collection Request Title: collections) of approximately 16,250 (PEV) Scorecard, and the National Clean Clean Cities Vehicle Programs; (3) Type respondents (an increase of 15,000 over Fleets Partnership. The proposed new of Review: Amended collection; (4) the number of respondents for the two collection is entitled ‘‘Ride and Drive Purpose: As part of DOE’s Office of currently approved collections). Surveys for PEV Showcases’’. DOE’s Vehicle Technologies 2016 Funding Selecting the multiple choice answers in

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completing the three components of the Docket Numbers: RP16–1104–000. docs-filing/efiling/filing-req.pdf. For Survey is expected to take 30 minutes, Applicants: Midcontinent Express other information, call (866) 208–3676 leading to a total burden of Pipeline LLC. (toll free). For TTY, call (202) 502–8659. approximately 28,250 hours (an increase Description: § 4(d) Rate Filing: Filing Dated: July 27, 2016. 2,500 hours above the total burden in to remove expiring Enerfin, Newfield Nathaniel J. Davis, Sr., hours for the two currently approved and Tenaska agreements to be effective Deputy Secretary. collections). 8/1/2016. (5) Type of Respondents: Public; (6) Filed Date: 7/26/16. [FR Doc. 2016–18800 Filed 8–8–16; 8:45 am] Annual Estimated Number of Accession Number: 20160726–5068. BILLING CODE 6717–01–P Respondents for all three information Comments Due: 5 p.m. ET 8/8/16. collections: 16,250; (7) Annual Docket Numbers: RP16–1105–000. DEPARTMENT OF ENERGY Estimated Number of Total Responses: Applicants: Northwest Pipeline LLC. 16,300; (7) Annual Estimated Number of Description: § 4(d) Rate Filing: Small Federal Energy Regulatory Burden Hours: 28,250 (25,625 for PEV Customer Tariff Update to be effective Commission Scorecard, 125 for Clean Fleets 8/26/2016. Partnership, and 2,500 for the Ride and Filed Date: 7/26/16. [Docket No. CD16–18–000] Drive Surveys for PEV Showcases); and Accession Number: 20160726–5146. City of Farmington, NM; Notice of (8) Annual Estimated Reporting and Comments Due: 5 p.m. ET 8/8/16. Recordkeeping Cost Burden: There is no Preliminary Determination of a cost associated with reporting and Docket Numbers: RP16–1106–000. Qualifying Conduit Hydropower recordkeeping. Applicants: Northwest Pipeline LLC. Facility and Soliciting Comments and Description: § 4(d) Rate Filing: LS–1 Motions To Intervene Statutory Authority: 42 U.S.C. 13233; 42 Rate Schedule Removal to be effective U.S.C. 13252 (a)–(b); 42 U.S.C. 13255. 8/26/2016. On July 28, 2016, the City of Issued in Washington, DC, on August 3, Filed Date: 7/26/16. Farmington, NM filed a notice of intent 2016. Accession Number: 20160726–5147. to construct a qualifying conduit Kathryn C. Cooper, Comments Due: 5 p.m. ET 8/8/16. hydropower facility, pursuant to section Acting Director, Vehicle Technologies Office, Docket Numbers: RP16–1107–000. 30 of the Federal Power Act (FPA), as Energy Efficiency and Renewable Energy. amended by section 4 of the Applicants: Northwest Pipeline LLC. Hydropower Regulatory Efficiency Act [FR Doc. 2016–18849 Filed 8–8–16; 8:45 am] Description: § 4(d) Rate Filing: of 2013 (HREA). The proposed Animas BILLING CODE 6450–01–P Measurment Adjustments/Corrections Hydroelectric Project would have an Filing to be effective 8/26/2016. installed capacity of 250 kilowatts (kW) Filed Date: 7/26/16. DEPARTMENT OF ENERGY and would be located at the end of Accession Number: 20160726–5149. Willet Ditch, the last 75 feet of which Federal Energy Regulatory Comments Due: 5 p.m. ET 8/8/16. varies in depth from 5.6 feet to 10 feet. Commission Docket Numbers: RP16–1108–000. The Willet Ditch is used for municipal Applicants: Northwest Pipeline LLC. water supply and irrigation. The project Combined Notice of Filings Description: § 4(d) Rate Filing: Tariff would be located near the City of Title Sheet Update to be effective 8/26/ Farmington in San Juan County, New Take notice that the Commission has 2016. Mexico. received the following Natural Gas Filed Date: 7/26/16. Pipeline Rate and Refund Report filings: Applicant Contact: Britt Chesnut, City Accession Number: 20160726–5150. of Farmington Electric Utility, 501 Filings Instituting Proceedings Comments Due: 5 p.m. ET 8/8/16. McCormick School Rd., Farmington, Docket Numbers: RP16–1085–000. The filings are accessible in the NM 87401, Phone No. (505) 599–8342. Applicants: Northern Natural Gas Commission’s eLibrary system by FERC Contact: Robert Bell, Phone No. Company. clicking on the links or querying the (202) 502–6062, email: robert.bell@ Description: Files a Petition for a docket number. ferc.gov. Limited Waiver of Northern Natural Gas Any person desiring to intervene or Qualifying Conduit Hydropower Company under RP16–1085. protest in any of the above proceedings Facility Description: The proposed Filed Date: 7/7/16. must file in accordance with Rules 211 project would consist of: (1) A proposed short 6-inch diameter pipe, (2) a Accession Number: 20160707–5096. and 214 of the Commission’s Regulations (18 CFR 385.211 and proposed 250-kW turbine located at the Comments Due: 5 p.m. ET 8/8/16. § 385.214) on or before 5:00 p.m. Eastern end of Willet Ditch where it discharges Docket Numbers: RP16–1103–000. time on the specified comment date. into the Animas River, and (3) Applicants: Northern Natural Gas Protests may be considered, but appurtenant facilities. The proposed Company. intervention is necessary to become a project would have an estimated annual Description: § 4(d) Rate Filing: party to the proceeding. generating capacity of 1,080 megawatt- 20160623 Filing to Remove CS–1 Rate eFiling is encouraged. More detailed hours. Schedule to be effective 8/25/2016. information relating to filing A qualifying conduit hydropower Filed Date: 7/25/16. requirements, interventions, protests, facility is one that is determined or Accession Number: 20160725–5117. service, and qualifying facilities filings deemed to meet all of the criteria shown Comments Due: 5 p.m. ET 8/8/16. can be found at: http://www.ferc.gov/ in the table below.

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TABLE 1—CRITERIA FOR QUALIFYING CONDUIT HYDROPOWER FACILITY

Satisfies Statutory provision Description (Y/N)

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

Preliminary Determination: Based registration, using the eComment system notice that members of the upon the above criteria, Commission at http://www.ferc.gov/docs-filing/ Commission’s staff may attend the staff has preliminarily determined that ecomment.asp. You must include your following meetings related to the the proposal satisfies the requirements name and contact information at the end transmission planning activities of the for a qualifying conduit hydropower of your comments. For assistance, PJM Interconnection, L.L.C. (PJM): facility under 16 U.S.C. 823a, and is please contact FERC Online Support at PJM Planning Committee exempted from the licensing [email protected], (866) August 11, 2016, 9:30 a.m.–12:00 p.m. requirements of the FPA. 208–3676 (toll free), or (202) 502–8659 (EST) Comments and Motions to Intervene: (TTY). In lieu of electronic filing, please PJM Transmission Expansion Advisory The deadline for filing comments send a paper copy to: Secretary, Federal Committee contesting whether the facility meets the Energy Regulatory Commission, 888 qualifying criteria is 45 days from the August 11, 2016, 11:00 a.m.—3:00 p.m. First Street NE., Washington, DC 20426. (EST) issuance date of this notice. A copy of all other filings in reference The deadline for filing motions to to this application must be accompanied The above-referenced meetings will intervene is 30 days from the issuance by proof of service on all persons listed be held at: PJM Conference and Training date of this notice. in the service list prepared by the Center, PJM Interconnection, 2750 Anyone may submit comments or a Commission in this proceeding, in Monroe Boulevard, Audubon, PA motion to intervene in accordance with accordance with 18 CFR 4.34(b) and 19403. the requirements of Rules of Practice 385.2010. The above-referenced meetings are and Procedure, 18 CFR 385.210 and Locations of Notice of Intent: Copies open to stakeholders. 385.214. Any motions to intervene must of the notice of intent can be obtained Further information may be found at be received on or before the specified directly from the applicant or such www.pjm.com. deadline date for the particular copies can be viewed and reproduced at The discussions at the meetings proceeding. the Commission in its Public Reference described above may address matters at Filing and Service of Responsive Room, Room 2A, 888 First Street NE., issue in the following proceedings: Documents: All filings must (1) bear in Washington, DC 20426. The filing may Docket No. ER16–453, PJM all capital letters the ‘‘COMMENTS also be viewed on the web at http:// Interconnection, L.L.C. and Northeast CONTESTING QUALIFICATION FOR A www.ferc.gov/docs-filing/elibrary.asp Transmission Development, LLC CONDUIT HYDROPOWER FACILITY’’ using the ‘‘eLibrary’’ link. Enter the Docket No. ER16–736, PJM or ‘‘MOTION TO INTERVENE,’’ as docket number (e.g., CD16–18–000) in Interconnection, L.L.C. applicable; (2) state in the heading the the docket number field to access the name of the applicant and the project Docket No. ER14–972, PJM document. For assistance, call toll-free Interconnection, L.L.C. number of the application to which the 1–866–208–3676 or email filing responds; (3) state the name, Docket No. ER14–1485, PJM [email protected]. For TTY, Interconnection, L.L.C. address, and telephone number of the call (202) 502–8659. person filing; and (4) otherwise comply Docket Nos. ER13–1944, et al., PJM with the requirements of sections Dated: August 3, 2016. Interconnection, L.L.C., et al. 385.2001 through 385.2005 of the Kimberly Bose, Docket No. ER15–1344, PJM Commission’s regulations.1 All Secretary. Interconnection, L.L.C. comments contesting Commission staff’s [FR Doc. 2016–18827 Filed 8–8–16; 8:45 am] Docket No. ER15–1387, PJM preliminary determination that the BILLING CODE 6717–01–P Interconnection, L.L.C. and Potomac facility meets the qualifying criteria Electric Power Company must set forth their evidentiary basis. Docket No. ER15–2562, PJM The Commission strongly encourages DEPARTMENT OF ENERGY Interconnection, L.L.C. electronic filing. Please file motions to Docket No. ER15–2563, PJM intervene and comments using the Federal Energy Regulatory Interconnection, L.L.C. Commission’s eFiling system at http:// Commission Docket No. EL15–18, Consolidated Edison Company of New York, Inc. v. www.ferc.gov/docs-filing/efiling.asp. Notice of Commission Staff PJM Interconnection, L.L.C. Commenters can submit brief comments Attendance up to 6,000 characters, without prior Docket No. EL15–41, Essential Power The Federal Energy Regulatory Rock Springs, LLC, et. al. v. PJM 1 18 CFR 385.2001–2005 (2015). Commission (Commission) hereby gives Interconnection, L.L.C.

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Docket No. ER15–2114, PJM in accordance with Rules 211 and 214 Wind Farm LLC‘s application for Interconnection, L.L.C. and of the Commission’s Rules of Practice market-based rate authority, with an Transource West Virginia, LLC and Procedure (18 CFR 385.211 and accompanying rate tariff, noting that Docket No. EL15–79, TransSource, LLC 385.214). Anyone filing a motion to such application includes a request for v. PJM Interconnection, L.L.C. intervene or protest must serve a copy blanket authorization, under 18 CFR Docket No. EL15–95, Delaware Public of that document on the Applicant. part 34, of future issuances of securities Service Commission, et. al., v. PJM Notice is hereby given that the and assumptions of liability. Interconnection, L.L.C., et. al. deadline for filing protests with regard to the applicant’s request for blanket Any person desiring to intervene or to Docket No. EL15–67, Linden VFT, LLC protest should file with the Federal v. PJM Interconnection, L.L.C. authorization, under 18 CFR part 34, of future issuances of securities and Energy Regulatory Commission, 888 Docket No. EL05–121, PJM First Street NE., Washington, DC 20426, Interconnection, L.L.C. assumptions of liability, is August 22, 2016. in accordance with Rules 211 and 214 Docket No. ER13–198, PJM The Commission encourages of the Commission’s Rules of Practice Interconnection, L.L.C. electronic submission of protests and and Procedure (18 CFR 385.211 and Docket No. ER16–1335, PJM interventions in lieu of paper, using the 385.214). Anyone filing a motion to Interconnection, L.L.C. FERC Online links at http:// intervene or protest must serve a copy Docket No. ER16–1232, PJM www.ferc.gov. To facilitate electronic of that document on the Applicant. Interconnection, L.L.C. service, persons with Internet access Notice is hereby given that the Docket No. ER16–1499, PJM who will eFile a document and/or be Interconnection, L.L.C. deadline for filing protests with regard listed as a contact for an intervenor to the applicant’s request for blanket Docket No. ER16–1807, First Energy must create and validate an authorization, under 18 CFR part 34, of Solutions Corp. eRegistration account using the future issuances of securities and Docket No. EL16–96, PJM eRegistration link. Select the eFiling assumptions of liability, is August 22, Interconnection, L.L.C. link to log on and submit the 2016. For more information, contact the intervention or protests. following: Persons unable to file electronically The Commission encourages should submit an original and 5 copies electronic submission of protests and Jonathan Fernandez, Office of Energy of the intervention or protest to the interventions in lieu of paper, using the Market Regulation, Federal Energy Federal Energy Regulatory Commission, FERC Online links at http:// Regulatory Commission, (202) 502– 888 First Street NE., Washington, DC 6604, [email protected] www.ferc.gov. To facilitate electronic 20426. service, persons with Internet access Alina Halay, Office of Energy Market The filings in the above-referenced who will eFile a document and/or be Regulation, Federal Energy Regulatory proceeding are accessible in the listed as a contact for an intervenor Commission, (202) 502–6474, Commission’s eLibrary system by must create and validate an [email protected] clicking on the appropriate link in the eRegistration account using the Dated: August 3, 2016. above list. They are also available for eRegistration link. Select the eFiling Kimberly D. Bose, electronic review in the Commission’s link to log on and submit the Secretary. Public Reference Room in Washington, intervention or protests. [FR Doc. 2016–18829 Filed 8–8–16; 8:45 am] DC. There is an eSubscription link on the Web site that enables subscribers to Persons unable to file electronically BILLING CODE 6717–01–P receive email notification when a should submit an original and 5 copies document is added to a subscribed of the intervention or protest to the Federal Energy Regulatory Commission, DEPARTMENT OF ENERGY docket(s). For assistance with any FERC Online service, please email 888 First Street NE., Washington, DC Federal Energy Regulatory [email protected]. or call 20426. Commission (866) 208–3676 (toll free). For TTY, call The filings in the above-referenced (202) 502–8659. proceeding are accessible in the [Docket No. ER16–2293–000] Dated: August 1, 2016. Commission’s eLibrary system by Drift Sand Wind Project, LLC; Nathaniel J. Davis, Sr., clicking on the appropriate link in the Supplemental Notice That Initial Deputy Secretary. above list. They are also available for Market-Based Rate Filing Includes [FR Doc. 2016–18802 Filed 8–8–16; 8:45 am] electronic review in the Commission’s Public Reference Room in Washington, Request for Blanket Section 204 BILLING CODE 6717–01–P Authorization DC. There is an eSubscription link on the Web site that enables subscribers to This is a supplemental notice in the DEPARTMENT OF ENERGY receive email notification when a above-referenced proceeding of Drift document is added to a subscribed Sand Wind Project, LLC‘s application Federal Energy Regulatory docket(s). For assistance with any FERC for market-based rate authority, with an Commission Online service, please email accompanying rate tariff, noting that [email protected], or call [Docket No. ER16–2285–000] such application includes a request for (866) 208–3676 (toll free). For TTY, call blanket authorization, under 18 CFR Desert Wind Farm LLC; Supplemental (202) 502–8659. part 34, of future issuances of securities Notice That Initial Market-Based Rate Dated: August 1, 2016. and assumptions of liability. Filing Includes Request for Blanket Nathaniel J. Davis, Sr., Any person desiring to intervene or to Section 204 Authorization protest should file with the Federal Deputy Secretary. Energy Regulatory Commission, 888 This is a supplemental notice in the [FR Doc. 2016–18801 Filed 8–8–16; 8:45 am] First Street NE., Washington, DC 20426, above-referenced proceeding of Desert BILLING CODE 6717–01–P

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DEPARTMENT OF ENERGY Dated: August 3, 2016. Panel Two: Commission Consideration Kimberly D. Bose, of Rates That Contain Cost Containment Federal Energy Regulatory Secretary. Provisions and Result From Competitive Commission Transmission Development Processes Post-Technical Conference Questions 1. Should the Commission have a role [Docket No. AD16–18–000] for Comment in evaluating the rate-related Panel One: Cost Containment Provisions components of competing proposals for Competitive Transmission in Competitive Transmission transmission facilities eligible to be Development Technical Conference; Development Processes 1 selected in a regional transmission plan Notice Inviting Post-Technical for purposes of cost allocation (e.g., Conference Comments 1. How do public utility transmission terms of cost containment provisions, providers in regions compare proposals rate of return, transmission incentives) On June 27–28, 2016, the Federal with and without cost containment before the public utility transmission Energy Regulatory Commission held a provisions for transmission facilities providers in a region select a proposal? Commissioner-led technical conference eligible to be selected in a regional If so, what role? What steps could the to discuss issues related to competitive transmission plan for purposes of cost Commission take to prevent such a role transmission development processes, allocation? Please provide examples. from creating undue delays in including, but not limited to, the use of What, if any, guidance or requirements transmission planning processes? 2. What types of performance-based cost containment provisions, the should the Commission provide with rates could the Commission accept to relationship of competitive transmission respect to the comparison of proposals development to transmission incentives, reduce asymmetrical risk? with and without cost containment 3. The Commission has accepted and other ratemaking and transmission provisions? proposals to allow incumbent and non- planning and development issues. 2. What can public utility incumbent transmission developers to All interested persons are invited to transmission providers in regions do to recover, under certain circumstances, file post-technical conference comments ensure there is sufficient transparency costs associated with developing on the questions listed in the for transmission developers to transmission projects that are proposed attachment to this Notice. Commenters understand: (a) How a proposal will be but not selected in a regional need not respond to all questions asked. evaluated in advance of the proposal transmission plan for purposes of cost 2 Commenters should organize responses submission; (b) developments, if any, allocation. Should the Commission consistent with the numbering of the that occur during the evaluation reexamine, in general, whether such costs may be recovered? attached questions and identify to what process; and (c) the reasons the extent their responses are generally 4. Which entities should monitor, selection decision was made? Should verify, and/or enforce compliance with applicable, or pertain to a particular cost containment provisions in all cost containment provisions of selected transmission planning region. proposals, and not just winning transmission facilities? What are Commenters may reference material proposals, be made known? What, if effective ways for them to do so and previously filed in this docket, any, guidance or requirements should what are the advantages and including the technical conference the Commission provide with respect to disadvantages of different approaches? transcript, but are encouraged to submit this issue? new or additional information rather Panel Three: Transmission Incentives 3. Should there be standardization of than reiterate information that is already and Competitive Transmission cost containment provisions or in the record. In particular, Commenters Development Processes exclusions of certain costs to facilitate are encouraged, when possible, to 1. Should the Commission pre- comparison of proposals with differing provide examples in support of their approve any or all of the following cost containment provisions? If so, what answers. These comments are due on or incentives for transmission facilities role should the Commission and/or before September 2, 2016. selected in a regional transmission plan public utility transmission providers in for purposes of cost allocation through For more information about this regions play in pursuing competitive transmission development Notice, please contact: standardization? processes: 100 percent construction David Tobenkin (Technical 4. What quantitative and qualitative work in progress in rate base; regulatory Information), Office of Energy Policy methods can public utility transmission asset treatment; or recovery of 100 and Innovation, (202) 502–6445 providers in regions use to evaluate percent of the cost of abandoned [email protected] proposals with different cost facilities? 2. If there are benefits to customers Zeny Magos (Technical Information), containment provisions, such as cost caps with different exclusions or that from risk mitigation measures that Office of Energy Market Regulation, transmission developers use in (202) 502–8244 [email protected] cap different components of the revenue requirement? competitive transmission development Erica Siegmund Hough (Legal processes, should the Commission Information), Office of General revise its incentive policy to encourage Counsel, (202) 502–8251 1 Competitive Transmission Development similar risk mitigation measures that [email protected] Processes refer to the process to select transmission may provide customer benefits for facilities in the regional transmission plan for purposes of cost allocation and the process to 2 See, e.g., N.Y. Indep. Sys. Operator, Inc., 143 provide a transmission developer of a selected FERC ¶ 61,059, at P 326–327 (2013), order on reh’g, transmission facility with the eligibility to use the 148 FERC ¶ 61,044, at P 282 (2014); ISO New regional cost allocation method. See Further England Inc., 143 FERC ¶ 61,150, at PP 350–351, Supplemental Notice of Technical Conference, 398–401 (2013); and Xcel Energy Southwest Attachment—Description of Key Concepts, Docket Transmission Co., LLC, 149 FERC ¶ 61,182, at P 94 No. AD16–18–000, at 13 (June 20, 2016). (2014).

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transmission projects that are not transmission facilities (i.e., a 3. Are there other competitive subject to a competitive transmission transmission facility that is located in approaches compared to the existing development process? If so, what risk two or more transmission planning competitive transmission development mitigation measures should the regions)? Are there actions the processes that could potentially reduce Commission encourage through Commission could take to facilitate such the time and cost to conduct the application of the incentive policy? development? process, or the risk of litigation over 3. In light of the emphasis that Order 2. What would be the advantages and proposal selection, but still benefit No. 1000 places on regional disadvantages to the use of common consumers? If so, what are the strengths transmission planning, do the risks and models and assumptions by public and weaknesses of such approaches and challenges of a particular transmission utility transmission providers in regions could they be used in transmission project remain an appropriate focal in their interregional coordination planning regions in specified point for incentives requested pursuant processes? Are there problems that such circumstances, for example, for to Federal Power Act section 219? If not, an approach would solve or create? If transmission projects needed in the what are the attributes that warrant such common models and assumptions near-term to address reliability needs, in incentives? could be developed, how should they be conjunction with existing competitive 4. What, if any, changes are needed to developed and by which entity or transmission development processes? the framework the Commission uses to entities? 4. What types of information (please evaluate return on equity adders and 3. Should the Commission revisit be specific) could be used to measure other transmission incentives for Order No. 1000’s requirement that an the impact of the Order No. 1000 transmission projects that use cost interregional transmission facility be reforms on transmission development? containment provisions? selected in the regional transmission For example, what information could be 5. Order No. 1000 requires public plan of all transmission planning used to evaluate whether the more utility transmission providers in regions regions where the facility will be efficient or cost-effective transmission to have an ex ante cost allocation located before it is eligible for facilities are being selected within and method for transmission facilities interregional cost allocation? Why or between transmission planning regions? selected in the regional transmission why not? How should that information be tracked plan for purposes of cost allocation. To 4. What reforms, if any, could the and reported or posted? Should what extent does the ex ante cost Commission adopt to facilitate the common metrics be developed for allocation method reduce risks to identification of shared interregional evaluation of the information? transmission developers? transmission needs? 6. Transmission developers face at 5. How do the sponsorship model and 5. Do interregional cost allocation least two types of risks: risk associated competitive bidding model, methods accepted by the Commission, with participation in the transmission respectively, and variations on these such as the ‘‘avoided cost only’’ method, planning processes and risk associated models, capture the benefits of impede interregional transmission with developing a transmission project. competition, such as increased coordination? 3 If so, are there The Commission’s current incentive innovation and selection of the more alternative cost allocation methods that policies focus on the latter. Please efficient or cost-effective transmission could better facilitate interregional comment on risks associated with facilities? What are the positive features transmission development? Would participation in the transmission and drawbacks of each model? How can those methods be consistent with planning processes and indicate what, if their drawbacks be addressed? interregional transmission coordination any, changes to the planning processes 6. Are changes to the Commission’s processes or would the interregional could mitigate the risk. current application of the Discounted 7. Do public utility transmission transmission coordination processes Cash Flow (DCF) analysis needed to providers in regions consider that a need to change to accommodate such better accommodate nonincumbent transmission developer may request and alternative cost allocation methods? transmission developers, in particular be awarded transmission incentives Panel Five: Regional Transmission with respect to the identification of when evaluating transmission proposals Planning and Other Transmission appropriate proxy groups? If so, what and, if so, how? For example, how Development Issues changes are necessary? would public utility transmission 1. To maximize the benefits of [FR Doc. 2016–18826 Filed 8–8–16; 8:45 am] providers in regions consider a proposal competition, should the Commission BILLING CODE 6717–01–P with a potential transmission incentive broaden or narrow the type of given that the incentive might or might transmission facilities that must be not be granted? Should a competitive DEPARTMENT OF ENERGY selected through competitive transmission development process transmission development processes? If clearly state whether, and, if so, how Federal Energy Regulatory so, how? incentives should be part of a Commission 2. Has the introduction of competition developer’s proposal and how requests into the regional transmission planning and grants of such incentives will be Combined Notice of Filings processes led public utility transmission evaluated by the public utility providers to focus more on developing transmission providers in the region? Is Take notice that the Commission has local transmission facilities or other there an optimal time for submission of received the following Natural Gas transmission facilities not subject to incentive requests to the Commission Pipeline Rate and Refund Report filings: competitive transmission development and for Commission decisions upon processes? Filings Instituting Proceedings them? Docket Numbers: RP16–1109–000. Panel Four: Interregional Transmission 3 See, e.g. Midcontinent Indep. Sys. Operator, Applicants: Wyoming Interstate Coordination Issues Inc., 150 FERC ¶ 61,045, at PP 176–180 (2015) Company, L.L.C. (describing an ‘‘avoided-cost only method’’ and 1. What factors have contributed to finding such an approach can comply with Description: Section 4(d) Rate Filing: the lack of development of interregional Interregional Cost Allocation Principle 1). Negotiated Rate Non Conforming

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Agreement Filing to be effective 8/1/ can be found at: http://www.ferc.gov/ Applicants: California Independent 2016. docs-filing/efiling/filing-req.pdf. For System Operator Corporation. Filed Date: 7/27/16. other information, call (866) 208–3676 Description: Compliance filing: 2016– Accession Number: 20160727–5061. (toll free). For TTY, call (202) 502–8659. 07–29 Petition Limited Waiver BART Comments Due: 5 p.m. ET 8/8/16. Dated: July 28, 2016. LSE to be effective N/A. Filed Date: 7/29/16. Docket Numbers: RP16–1110–000. Nathaniel J. Davis, Sr., Applicants: Equitrans, L.P. Accession Number: 20160729–5227. Deputy Secretary. Description: Section 4(d) Rate Filing: Comments Due: 5 p.m. ET 8/8/16. Assignment of Mercuria Energy Gas [FR Doc. 2016–18804 Filed 8–8–16; 8:45 am] Docket Numbers: ER16–2338–000. Trading Agreements to Mercuria Energy BILLING CODE 6717–01–P Applicants: Emera Energy Services America to be effective 8/1/2016. Subsidiary No. 4 LLC. Filed Date: 7/27/16. Description: § 205(d) Rate Filing: DEPARTMENT OF ENERGY Accession Number: 20160727–5078. Amend Market-Based Rate Tariff to be Comments Due: 5 p.m. ET 8/8/16. Federal Energy Regulatory effective 7/1/2016. Docket Numbers: RP16–1111–000. Commission Filed Date: 8/1/16. Applicants: Pine Prairie Energy Accession Number: 20160801–5072. Center, LLC. Combined Notice of Filings #2 Comments Due: 5 p.m. ET 8/22/16. Description: Section 4(d) Rate Filing: Docket Numbers: ER16–2339–000. Pine Prairie Energy Center, LLC— Take notice that the Commission Applicants: Emera Energy Services Proposed Revisions to FERC Gas Tariff received the following electric rate Subsidiary No. 5 LLC. to be effective 8/27/2016. filings: Description: § 205(d) Rate Filing: Filed Date: 7/27/16. Docket Numbers: ER10–2564–006; Amend Market-Based Rate Tariff to be Accession Number: 20160727–5110. ER10–2600–006; ER10–2289–006. effective 7/1/2016. Comments Due: 5 p.m. ET 8/8/16. Applicants: Tucson Electric Power Filed Date: 8/1/16. Docket Numbers: RP16–1112–000. Company, UNS Electric, Inc., UniSource Accession Number: 20160801–5074. Applicants: Tallgrass Interstate Gas Energy Development Company. Comments Due: 5 p.m. ET 8/22/16. Transmission, L. Description: Supplement to December Docket Numbers: ER16–2340–000. Description: Section 4(d) Rate Filing: 31, 2015 Triennial Market Power Applicants: Emera Energy Services Neg Rate 2016/7/28 Ethanols to be Update for the Southwest Region of the Subsidiary No. 6 LLC. effective 8/1/2016. Fortis, Inc. subsidiaries, et al. Description: § 205(d) Rate Filing: Filed Date: 7/28/16. Filed Date: 8/1/16. Amend Market-Based Rate Tariff to be Accession Number: 20160728–5000. Accession Number: 20160801–5130. effective 7/1/2016. Comments Due: 5 p.m. ET 8/9/16. Comments Due: 5 p.m. ET 9/30/16. Filed Date: 8/1/16. Any person desiring to intervene or Docket Numbers: ER10–2641–026; Accession Number: 20160801–5077. protest in any of the above proceedings ER10–2663–026; ER10–2881–026; Comments Due: 5 p.m. ET 8/22/16. must file in accordance with Rules 211 ER10–2882–027; ER10–2883–026; Docket Numbers: ER16–2341–000. and 214 of the Commission’s ER10–2884–026; ER10–2885–026; Applicants: Emera Energy Services Regulations (18 CFR 385.211 and ER10–2886–027; ER13–1101–022; Subsidiary No. 7 LLC. 385.214) on or before 5:00 p.m. Eastern ER13–1541–021; ER14–661–013; ER14– Description: § 205(d) Rate Filing: time on the specified comment date. 787–015; ER15–54–007; ER15–55–007; Amend Market-Based Rate Tariff to be Protests may be considered, but ER15–647–004; ER15–1475–008; ER15– effective 7/1/2016. intervention is necessary to become a 2191–003; ER15–2453–003; ER15–2593– Filed Date: 8/1/16. party to the proceeding. 007; ER16–452–007; ER16–705–005; Accession Number: 20160801–5083. ER16–706–005; ER16–1154–005. Comments Due: 5 p.m. ET 8/22/16. Filings in Existing Proceedings Applicants: Oleander Power Project, Docket Numbers: ER16–2342–000. Docket Numbers: RP16–1097–001. L.P., Southern Company—Florida LLC, Applicants: Emera Energy Services Applicants: KO Transmission Southern Power Company, Alabama Subsidiary No. 8 LLC. Company. Power Company, Georgia Power Description: § 205(d) Rate Filing: Description: Tariff Amendment: KO Company, Mississippi Power Company, Amend Market-Based Rate Tariff to be Transmission Amendment Filing Docket Gulf Power Company, Southern Turner effective 7/1/2016. No. RP16–1097 to be effective 9/1/2016. Cimarron I, LLC, Spectrum Nevada Filed Date: 8/1/16. Filed Date: 7/27/16. Solar, LLC, Campo Verde Solar, LLC, Accession Number: 20160801–5086. Accession Number: 20160727–5098. SG2 Imperial Valley LLC, Macho Comments Due: 5 p.m. ET 8/22/16. Comments Due: 5 p.m. ET 8/8/16. Springs Solar, LLC, Lost Hills Solar, Docket Numbers: ER16–2343–000. Any person desiring to protest in any LLC, Blackwell Solar, LLC, Kay Wind, Applicants: Emera Energy Services of the above proceedings must file in LLC, North Star Solar, LLC, Grant Wind, Subsidiary No. 9 LLC. accordance with Rule 211 of the LLC, Passadumkeag Windpark, LLC, Description: § 205(d) Rate Filing: Commission’s Regulations (18 CFR Desert Stateline LLC, RE Tranquillity Amend Market-Based Rate Tariff to be 385.211) on or before 5:00 p.m. Eastern LLC, RE Garland A LLC, RE Garland effective 7/1/2016. time on the specified comment date. LLC, Parrey, LLC. Filed Date: 8/1/16. The filings are accessible in the Description: Notification of Non- Accession Number: 20160801–5087. Commission’s eLibrary system by Material of Change in Status of Oleander Comments Due: 5 p.m. ET 8/22/16. clicking on the links or querying the Power Project, Limited Partnership, et Docket Numbers: ER16–2344–000. docket number. al. Applicants: Emera Energy Services eFiling is encouraged. More detailed Filed Date: 8/1/16. Subsidiary No. 10 LLC. information relating to filing Accession Number: 20160801–5157. Description: § 205(d) Rate Filing: requirements, interventions, protests, Comments Due: 5 p.m. ET 8/22/16. Amend Market-Based Rate Tariff to be service, and qualifying facilities filings Docket Numbers: ER16–2327–000. effective 7/1/2016.

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Filed Date: 8/1/16. Description: § 205(d) Rate Filing: eFiling is encouraged. More detailed Accession Number: 20160801–5088. 2016–08–01_SA 2934 Ameren Missouri- information relating to filing Comments Due: 5 p.m. ET 8/22/16. City of Farmington Construction requirements, interventions, protests, Docket Numbers: ER16–2345–000. Agreement to be effective 7/7/2016. service, and qualifying facilities filings Applicants: Rumford Power Inc. Filed Date: 8/1/16. can be found at: http://www.ferc.gov/ Description: § 205(d) Rate Filing: Accession Number: 20160801–5127. docs-filing/efiling/filing-req.pdf. For Amend Market-Based Rate Tariff to be Comments Due: 5 p.m. ET 8/22/16. other information, call (866) 208–3676 effective 7/1/2016. Docket Numbers: ER16–2353–000. (toll free). For TTY, call (202) 502–8659. Filed Date: 8/1/16. Applicants: Pacific Gas and Electric Dated: August 1, 2016. Accession Number: 20160801–5089. Company. Nathaniel J. Davis, Sr., Comments Due: 5 p.m. ET 8/22/16. Description: Notice of Termination of Deputy Secretary. Docket Numbers: ER16–2346–000. Small Generator Interconnection Service [FR Doc. 2016–18799 Filed 8–8–16; 8:45 am] Applicants: Tiverton Power LLC. Agreement No. 316 of Pacific Gas and BILLING CODE 6717–01–P Description: § 205(d) Rate Filing: Electric Company. Amend Market-Based Rate Tariff to be Filed Date: 8/1/16. effective 7/1/2016. Accession Number: 20160801–5132. DEPARTMENT OF ENERGY Filed Date: 8/1/16. Comments Due: 5 p.m. ET 8/22/16. Accession Number: 20160801–5090. Docket Numbers: ER16–2354–000. Federal Energy Regulatory Comments Due: 5 p.m. ET 8/22/16. Applicants: PacifiCorp. Commission Description: Tariff Cancellation: Docket Numbers: ER16–2347–000. Staff Notice of Alleged Violations Applicants: Bridgeport Energy LLC. Termination of Georgia-Pacific E&P Description: § 205(d) Rate Filing: Agmt ? Troutdale Sub to be effective 10/ Take notice that in a preliminary, Amend Market-Based Rate Tariffs to be 3/2016. non-public investigation pursuant to 18 effective 7/1/2016. Filed Date: 8/1/16. CFR part 1b, the staff of the Office of Filed Date: 8/1/16. Accession Number: 20160801–5158. Enforcement of the Federal Energy Accession Number: 20160801–5091. Comments Due: 5 p.m. ET 8/22/16. Regulatory Commission (Commission) Comments Due: 5 p.m. ET 8/22/16. Docket Numbers: ER16–2355–000. has preliminarily determined that Docket Numbers: ER16–2348–000. Applicants: Midcontinent National Energy & Trade, L.P. (National Applicants: Mesquite Solar 3, LLC. Independent System Operator, Inc. Energy) violated the Commission’s Description: Initial rate filing: Description: Compliance filing: 2016– Prohibition of Natural Gas Market Mesquite Solar 3, LLC LGIA Co-Tenancy 08–01_RSG Exemptions Compliance Manipulation, 18 CFR 1c.1 (2016). Agreement to be effective 8/5/2016. Filing to be effective 8/31/2010. Staff alleges that National Energy Filed Date: 8/1/16. Filed Date: 8/1/16. violated 18 CFR 1c.1 by fraudulently Accession Number: 20160801–5110. Accession Number: 20160801–5179. trading physical basis at Texas Eastern Comments Due: 5 p.m. ET 8/22/16. Comments Due: 5 p.m. ET 8/22/16. M3 (Tetco M3) during the January 2012 bidweek to increase the value of its Docket Numbers: ER16–2349–000. Docket Numbers: ER16–2356–000. financial basis position. Specifically, Applicants: PJM Interconnection, Applicants: SEP II, LLC. staff alleges that National Energy L.L.C. Description: Initial rate filing: SEP II, accomplished this fraud by selling Description: § 205(d) Rate Filing: LLC Certificate of Concurrence to LGIA physical basis at Tetco M3 at arbitrarily Service Agreement No. 4504, Queue Co-Tenancy Agreement to be effective 8/ low prices early in the morning to Position Z2–081 to be effective 7/1/ 5/2016. benefit a large short financial basis 2016. Filed Date: 8/1/16. position acquired before bidweek, a Filed Date: 8/1/16. Accession Number: 20160801–5180. large part of which it repurchased after Accession Number: 20160801–5111. Comments Due: 5 p.m. ET 8/22/16. making its physical basis sales. Staff Comments Due: 5 p.m. ET 8/22/16. Docket Numbers: ER16–2357–000. also alleges that National Energy Docket Numbers: ER16–2350–000. Applicants: Emera Energy Services, violated 18 CFR 1c.1 by fraudulently Applicants: PJM Interconnection, Inc. trading physical basis at Henry Hub L.L.C. Description: § 205(d) Rate Filing: during the April 2014 bidweek to Description: § 205(d) Rate Filing: 2nd Amend Market-Based Rate Tariff to be increase the value of its financial Quarter 2016 Update to OA and RAA effective 7/1/2016. exposure. Specifically, staff alleges that Member Lists to be effective 6/30/2016. Filed Date: 8/1/16. National Energy accomplished this Filed Date: 8/1/16. Accession Number: 20160801–5189. fraud by trading physical basis after the Accession Number: 20160801–5113. Comments Due: 5 p.m. ET 8/22/16. close of the NYMEX solely to benefit Comments Due: 5 p.m. ET 8/22/16. The filings are accessible in the National Energy’s exposure to the Henry Docket Numbers: ER16–2351–000. Commission’s eLibrary system by Hub Inside FERC index. Applicants: Arizona Public Service clicking on the links or querying the This Notice does not confer a right on Company. docket number. third parties to intervene in the Description: § 205(d) Rate Filing: Rate Any person desiring to intervene or investigation or any other right with Schedule No. 217, Exhibit B.KOF to be protest in any of the above proceedings respect to the investigation.1 effective 10/1/2016. must file in accordance with Rules 211 Dated: August 3, 2016. Filed Date: 8/1/16. and 214 of the Commission’s Kimberly D. Bose, Accession Number: 20160801–5116. Regulations (18 CFR 385.211 and Secretary. Comments Due: 5 p.m. ET 8/22/16. 385.214) on or before 5:00 p.m. Eastern [FR Doc. 2016–18828 Filed 8–8–16; 8:45 am] Docket Numbers: ER16–2352–000. time on the specified comment date. BILLING CODE 6717–01–P Applicants: Midcontinent Protests may be considered, but Independent System Operator, Inc., intervention is necessary to become a 1 Enforcement of Statutes, Regulations, and Union Electric Company. party to the proceeding. Orders, 129 FERC ¶ 61,247 (2009).

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DEPARTMENT OF ENERGY Online service, please email Tenaska Gateway Partners, Ltd., [email protected], or call Tenaska Georgia Partners, L.P., Tenaska Federal Energy Regulatory (866) 208–3676 (toll free). For TTY, call Virginia Partners, L.P. Commission (202) 502–8659. Description: Notification of Change in [Docket No. ER16–2297–000] Dated: August 1, 2016. Status of the Tenaska MBR Sellers, et al. Nathaniel J. Davis, Sr., Filed Date: 7/29/16. Accession Number: 20160729–5241. Osborn Wind Energy, LLC; Deputy Secretary. Supplemental Notice That Initial Comments Due: 5 p.m. ET 8/19/16. [FR Doc. 2016–18803 Filed 8–8–16; 8:45 am] Market-Based Rate Filing Includes Docket Numbers: ER10–2641–025; BILLING CODE 6717–01–P Request for Blanket Section 204 ER10–2663–025; ER10–2881–025; Authorization ER10–2882–026; ER10–2883–025; DEPARTMENT OF ENERGY ER10–2884–025; ER10–2885–025; This is a supplemental notice in the ER10–2886–026; ER13–1101–021; above-referenced proceeding Osborn Federal Energy Regulatory ER13–1541–020; ER14–661–012; ER14– Wind Energy, LLC’s application for Commission 787–014; ER15–54–006; ER15–55–006; market-based rate authority, with an ER15–647–003; ER15–1475–007; ER15– accompanying rate tariff, noting that Staff Notice of Alleged Violations 2191–002; ER15–2453–002; ER15–2593– such application includes a request for Take notice that in a preliminary, 006; ER16–452–006; ER16–705–004; blanket authorization, under 18 CFR ER16–706–004; ER16–1154–004. part 34, of future issuances of securities non-public investigation pursuant to 18 CFR part 1b, the staff of the Office of Applicants: Oleander Power Project, and assumptions of liability. LP, Southern Company-Florida LLC, Any person desiring to intervene or to Enforcement of the Federal Energy Alabama Power Company, Southern protest should file with the Federal Regulatory Commission (Commission) Power Company, Georgia Power Energy Regulatory Commission, 888 has preliminarily determined that David Company, Mississippi Power Company, First Street NE., Washington, DC 20426, Silva (Silva) violated the Commission’s Gulf Power Company, Southern Turner in accordance with Rules 211 and 214 Prohibition of Natural Gas Market Cimarron I, LLC, Spectrum Nevada of the Commission’s Rules of Practice Manipulation, 18 CFR 1c.1 (2016). Solar, LLC, Campo Verde Solar, LLC, and Procedure (18 CFR 385.211 and Staff alleges that Silva violated 18 SG2 Imperial Valley LLC, Macho 385.214). Anyone filing a motion to CFR 1c.1 by fraudulently trading Springs Solar, LLC, Lost Hills Solar, intervene or protest must serve a copy physical basis at Texas Eastern M3 of that document on the Applicant. (Tetco M3) during the January 2012 LLC, Blackwell Solar, LLC, Kay Wind, Notice is hereby given that the bidweek to increase the value of his LLC, North Star Solar, LLC, Grant Wind, deadline for filing protests with regard financial basis position. Specifically, LLC, Passadumkeag Windpark, LLC, to the applicant’s request for blanket staff alleges that Silva accomplished this Desert Stateline LLC, RE Garland LLC, authorization, under 18 CFR part 34, of fraud by selling physical basis at Tetco RE Tranquillity LLC, RE Garland A LLC, future issuances of securities and M3 at arbitrarily low prices early in the Parrey, LLC. assumptions of liability, is August 22, morning to benefit a large short Description: Notification of Non- 2016. financial basis position acquired before Material of Change in Status of Oleander The Commission encourages bidweek, a large part of which he Power Project, Limited Partnership, et electronic submission of protests and repurchased after making his physical al. interventions in lieu of paper, using the basis sales. Filed Date: 7/29/16. FERC Online links at http:// This Notice does not confer a right on Accession Number: 20160729–5238. www.ferc.gov. To facilitate electronic third parties to intervene in the Comments Due: 5 p.m. ET 8/19/16. service, persons with Internet access investigation or any other right with Docket Numbers: ER10–2759–005; who will eFile a document and/or be respect to the investigation.1 ER10–2732–011; ER10–2733–011; listed as a contact for an intervenor Dated: August 3, 2016. ER10–2734–011; ER10–2736–011; must create and validate an Kimberly D. Bose, ER10–2737–011; ER10–2741–011; eRegistration account using the Secretary. ER10–2749–011; ER10–2752–011; ER12–2492–007; ER12–2493–007; eRegistration link. Select the eFiling [FR Doc. 2016–18830 Filed 8–8–16; 8:45 am] ER12–2494–007; ER12–2495–007; link to log on and submit the BILLING CODE 6717–01–P intervention or protests. ER12–2496–007; ER14–264–002; ER10– Persons unable to file electronically 2631–005; ER10–1437–004; ER13–815– should submit an original and 5 copies DEPARTMENT OF ENERGY 003. of the intervention or protest to the Applicants: Bridgeport Energy LLC, Federal Energy Regulatory Commission, Federal Energy Regulatory Emera Energy Services Inc., Emera 888 First Street NE., Washington, DC Commission Energy U.S. Subsidiary No. 1, Inc., 20426. Emera Energy U.S. Subsidiary No. 2, The filings in the above-referenced Combined Notice of Filings #1 Inc., Emera Energy Services Subsidiary proceeding are accessible in the Take notice that the Commission No. 1 LLC, Emera Energy Services Commission’s eLibrary system by received the following electric rate Subsidiary No. 2 LLC, Emera Energy clicking on the appropriate link in the filings: Services Subsidiary No. 3 LLC, Emera above list. They are also available for Energy Services Subsidiary No. 4 LLC, Docket Numbers: ER10–1597–006; electronic review in the Commission’s Emera Energy Services Subsidiary No. 5 ER10–1620–006; ER10–1624–006; Public Reference Room in Washington, LLC, Emera Energy Services Subsidiary ER10–1625–006; ER10–1626–006. DC. There is an eSubscription link on Applicants: Kiowa Power Partners, No. 6 LLC, Emera Energy Services the Web site that enables subscribers to LLC, Tenaska Alabama II Partners, L.P., Subsidiary No. 7 LLC, Emera Energy receive email notification when a Services Subsidiary No. 8 LLC, Emera document is added to a subscribed 1 Enforcement of Statutes, Regulations, and Energy Services Subsidiary No. 9 LLC, docket(s). For assistance with any FERC Orders, 129 FERC ¶ 61,247 (2009). Emera Energy Services Subsidiary No.

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10 LLC, Emera Maine, Rumford Power Filed Date: 8/1/16. Any person desiring to intervene or Inc., Tampa Electric Company, Tiverton Accession Number: 20160801–5062. protest in any of the above proceedings Power LLC. Comments Due: 5 p.m. ET 8/22/16. must file in accordance with Rules 211 Description: Notice of Change in Docket Numbers: ER16–2334–000. and 214 of the Commission’s Status of the Emera Entities, et al. Applicants: Emera Energy U.S. Regulations (18 CFR 385.211 and Filed Date: 8/1/16. Subsidiary No. 2, Inc. 385.214) on or before 5:00 p.m. Eastern Accession Number: 20160801–5061. Description: § 205(d) Rate Filing: time on the specified comment date. Comments Due: 5 p.m. ET 8/22/16. Amend Market-Based Rate Tariff to be Protests may be considered, but Docket Numbers: ER11–2855–021; effective 7/1/2016. intervention is necessary to become a ER11–2856–021; ER11–2857–021; Filed Date: 8/1/16. party to the proceeding. ER10–2488–013; ER10–2722–006; Accession Number: 20160801–5063. eFiling is encouraged. More detailed ER10–2787–005; ER12–2037–007; Comments Due: 5 p.m. ET 8/22/16. information relating to filing ER10–2532–007; ER13–343–006; ER13– Docket Numbers: ER16–2335–000. requirements, interventions, protests, 342–011. Applicants: Emera Energy Services service, and qualifying facilities filings Applicants: Avenal Park LLC, Sand Subsidiary No. 1 LLC. can be found at: http://www.ferc.gov/ Drag LLC, Sun City Project LLC, Oasis Description: § 205(d) Rate Filing: docs-filing/efiling/filing-req.pdf. For Power Partners, LLC, Eurus Combine Amend Market-Based Rate Tariff to be other information, call (866) 208–3676 Hills I LLC, Eurus Combine Hills II LLC, effective 7/1/2016. (toll free). For TTY, call (202) 502–8659. Crescent Ridge LLC, Spearville 3, LLC, Filed Date: 8/1/16. Dated: August 1, 2016. CPV Maryland, LLC, CPV Shore, LLC. Accession Number: 20160801–5066. Nathaniel J. Davis, Sr., Description: Notice of Non-Material Comments Due: 5 p.m. ET 8/22/16. Deputy Secretary. Change in Status of the Eurus MBR Docket Numbers: ER16–2336–000. [FR Doc. 2016–18798 Filed 8–8–16; 8:45 am] Affiliates, et al. Applicants: Emera Energy Services BILLING CODE 6717–01–P Filed Date: 7/29/16. Subsidiary No. 2 LLC. Accession Number: 20160729–5274. Description: § 205(d) Rate Filing: Comments Due: 5 p.m. ET 8/19/16. Amend Market-Based Rate Tariff to be ENVIRONMENTAL PROTECTION Docket Numbers: ER16–2328–000. effective 7/1/2016. AGENCY Applicants: New England Power Filed Date: 8/1/16. Company. Accession Number: 20160801–5067. [AMS–FRL–9950–45–OAR] Description: § 205(d) Rate Filing: New Comments Due: 5 p.m. ET 8/22/16. California State Motor Vehicle England Power—Facilities Use Docket Numbers: ER16–2337–000. Pollution Control Standards; Agreement with Deepwater Block Island Applicants: Emera Energy Services Amendments to On-Highway Heavy- Wind to be effective 7/28/2016. Subsidiary No. 3 LLC. Duty Vehicle In-Use Compliance Filed Date: 7/29/16. Description: § 205(d) Rate Filing: Program, Amendments to 2007 and Accession Number: 20160729–5228. Amend Market-Based Rate Tariff to be Subsequent Model Year On-Highway Comments Due: 5 p.m. ET 8/19/16. effective 7/1/2016. Heavy-Duty Engines and Vehicles, and Filed Date: 8/1/16. Docket Numbers: ER16–2329–000. Amendments to Truck Requirements; Accession Number: 20160801–5069. Applicants: PacifiCorp. Request for Waiver of Preemption; Comments Due: 5 p.m. ET 8/22/16. Description: Tariff Cancellation: Opportunity for Public Hearing and Termination of Clatskanie PUD E&P Take notice that the Commission Public Comment Agreement ? Troutdale Sub to be received the following electric securities effective 10/3/2016. filings: AGENCY: Environmental Protection Filed Date: 7/29/16. Docket Numbers: ES16–49–000. Agency (EPA). Accession Number: 20160729–5230. Applicants: New England Power ACTION: Notice of opportunity for public Comments Due: 5 p.m. ET 8/19/16. Company. hearing and comment. Description: Application of New Docket Numbers: ER16–2330–000. SUMMARY: The California Air Resources England Power Company under Section Applicants: Southwest Power Pool, Board (CARB) has notified EPA that it 204 of the Federal Power Act for Inc. has adopted a series of amendments to Authorization to Issue Securities. Description: Petition of Southwest its on-highway heavy-duty vehicle and Filed Date: 7/29/16. Power Pool, Inc. for Tariff Waiver. engine regulations. The amendments to Accession Number: 20160729–5275. Filed Date: 7/29/16. CARB’s in-use compliance program Comments Due: 5 p.m. ET 8/19/16. Accession Number: 20160729–5284. align CARB’s program with EPA’s Comments Due: 5 p.m. ET 8/19/16. Take notice that the Commission program in terms of measurement Docket Numbers: ER16–2332–000. received the following public utility allowances during on-road testing (In- Applicants: Emera Maine. holding company filings: Use Amendments). The amendments to Description: § 205(d) Rate Filing: Docket Numbers: PH16–10–000. CARB’s 2007 and subsequent model Amend Market-Based Rate Tariff to be Applicants: Southern Company Gas. year (MY) regulation (2007 effective 7/1/2016. Description: Southern Company Gas Amendments) are minor technical Filed Date: 8/1/16. submits FERC 65–A Exemption amendments regarding mathematical Accession Number: 20160801–5060. Notification. expression of emission results and Comments Due: 5 p.m. ET 8/22/16. Filed Date: 7/29/16. certain compliance flexibilities. The Docket Numbers: ER16–2333–000. Accession Number: 20160729–5240. amendments to CARB’s truck idling Applicants: Emera Energy U.S. Comments Due: 5 p.m. ET 8/19/16. requirements (Truck Idling Subsidiary No. 1, Inc. The filings are accessible in the Amendments) clarify that certain Description: § 205(d) Rate Filing: Commission’s eLibrary system by vehicles are exempt from the new Amend Market-Based Rate Tariffs to be clicking on the links or querying the vehicle requirements. By letter dated effective 7/1/2016. docket number. January 27, 2016, CARB submitted a

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request that EPA grant a full waiver of entitled ‘‘Regulations.’’ This service is comment. If you send an email preemption under section 209(b) of the free of charge, except any cost you comment directly to EPA without going Clean Air Act (CAA), 42 U.S.C. 7543(b) already incur for Internet connectivity. through http://www.regulations.gov for the In-Use Amendments. CARB Users can also get the official Federal your email address will be separately seeks EPA’s confirmation that Register version of the Notice on the automatically captured and included as the 2007 Amendments and the Truck day of publication on the primary Web part of the comment that is placed in the Idling Amendments are within the site: (http://www.epa.gov/docs/fedrgstr/ public docket and made available on the scope of prior EPA waiver decisions. EPA-AIR/). Internet. If you submit an electronic Please note that due to differences This notice announces that EPA has comment, EPA recommends that you between the software used to develop scheduled a public hearing concerning include your name and other contact California’s request and that EPA is the documents and the software into information in the body of your accepting written comment on the which the documents may be comment and with any disk or CD–ROM request. downloaded, changes in format, page length, etc., may occur. you submit. If EPA cannot read your DATES: EPA has tentatively scheduled a comment due to technical difficulties public hearing concerning CARB’s FOR FURTHER INFORMATION CONTACT: David Dickinson (6405J), U.S. and cannot contact you for clarification, request on September 28, 2016, at 10 EPA may not be able to consider your a.m. EPA will hold a hearing only if any Environmental Protection Agency, 1200 Pennsylvania Ave. NW., Washington, comment. Electronic files should avoid party notifies EPA by September 21, the use of special characters, any form 2016 to express interest in presenting DC 20460. Telephone: (202) 343–9256, of encryption, and be free of any defects the Agency with oral testimony. Parties Fax: (202) 343–2804, email address: or viruses. Docket: All documents in the wishing to present oral testimony at the [email protected]. docket are listed in the http:// public hearing should provide written For Obtaining and Submitting www.regulations.gov index. Although notice to David Dickinson at the email Electronic Copies of Comments address noted below. If EPA receives a listed in the index, some information is Submit your comments, identified by request for a public hearing, that hearing not publicly available, e.g., CBI or other Docket ID No. EPA–HQ–OAR–2016– will be held at the William Jefferson information whose disclosure is 0017, by one of the following methods: restricted by statute. Certain other Clinton Building (North), Room 5528 at • http://www.regulations.gov: Follow material, such as copyrighted material, 1200 Pennsylvania Ave. NW., the on-line instructions for submitting Washington, DC 20460. If EPA does not will be publicly available only in hard comments. copy. receive a request for a public hearing, • Email: [email protected] then EPA will not hold a hearing, and • Fax: (202) 343–2804. SUPPLEMENTARY INFORMATION: instead will consider CARB’s request • Mail: U.S. Environmental based on written submissions to the Protection Agency, EPA West (Air (A) CARB’s Waiver Request and docket. Any party may submit written Docket), 1200 Pennsylvania Ave. NW., Within-the-Scope Request comments until November 1, 2016. Room B108, Mail Code 6102T, CARB’s January 27, 2016, letter to the Any person who wishes to know Washington, DC 20460, Attention whether a hearing will be held may call Docket ID No. EPA–HQ–OAR–2016– Administrator presents EPA with David Dickinson at (202) 343–9256 on 0017. Please include a total of two CARB’s series of amendments related to or after September 21, 2016. copies. the control of emissions from California ADDRESSES: EPA will make available for • Hand Delivery: EPA Docket Center, on-road medium- and heavy-duty in person inspection, at the Air and EPA/DC, EPA West, Room B102, 1301 engines and vehicles. The In-Use Radiation Docket and Information Constitution Ave. NW., Washington, Amendments include amendments Center, written comments received from DC. Such deliveries are only accepted adopted by CARB in 2011 that allow a interested parties, in addition to any during the Docket’s normal hours of measurement allowance of 0.006 grams testimony given at the public hearing. operation, and special arrangements per brake horsepower-hour (g/bhp-hr) The official public docket is the should be made for deliveries of boxed when using portable emission collection of materials that is available information. Instructions: Direct your measurement systems (PEMS) for on- for public viewing at the Air and comments to Docket ID No EPA–HQ– road in-use testing of heavy-duty Radiation Docket in the EPA Docket OAR–2016–0017. vehicles. The 2007 Amendments are Center, (EPA/DC) EPA West, Room EPA’s policy is that all comments minor technical amendments regarding B102, 1301 Constitution Ave. NW., received will be included in the public mathematical expression of emission Washington, DC. The EPA Docket docket without change and may be results and certain compliance Center Public Reading Room is open made available online at http:// flexibilities. These amendments specify from 8:30 to 4:30 p.m., Monday through www.regulations.gov, including any the NOx emission standards to the Friday, excluding legal holidays. The personal information provided, unless correct number of significant digits (e.g. telephone number for the Public the comment includes information 0.2 g/bhp-hr is now expressed as 0.20 g/ Reading Room is (202) 566–1744, and claimed to be Confidential Business the telephone number for the Air and Information (CBI) or other information bhp-hr for NOx). The 2007 Amendments Radiation Docket is (202) 566–1743. The whose disclosure is restricted by statute. also make corrections to the reference number for this docket is Do not submit information that you formaldehyde standards for medium- EPA–HQ–OAR–2016–0017. consider to be CBI or otherwise duty diesel vehicles, harmonize labeling EPA will make available an electronic protected through http:// requirements with EPA’s requirements, copy of this Notice on the Office of www.regulations.gov or email. maintain consistency with deterioration Transportation and Air Quality’s The http://www.regulations.gov Web factors between CARB and EPA, and (OTAQ’s) homepage (http:// site is an ‘‘anonymous access’’ system, provide manufacturers with certain www.epa.gov/otaq/). Users can find this which means EPA will not know your compliance flexibilities for the 2007 document by accessing the OTAQ identity or contact information unless through 2009 model years. The Truck homepage and looking at the path you provide it in the body of your Idling Amendments clarify that new

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engine provisions do not apply to regulations are within the scope of the submissions, and other information that armored cars and workover rigs.1 previously granted waiver. Such within- she deems pertinent. the-scope amendments are permissible Persons with comments containing (B) Scope of Preemption and Criteria without a full waiver review if three proprietary information must for a Waiver Under the Clean Air Act conditions are met. First, the amended distinguish such information from other Section 209(a) of the Clean Air Act, as regulations must not undermine comments to the greatest possible extent amended (‘‘Act’’), 42 U.S.C. 7543(a), California’s determination that its and label it as ‘‘Confidential Business provides: standards, in the aggregate, are as Information’’ (CBI). If a person making No state or any political subdivision protective of public health and welfare comments wants EPA to base its thereof shall adopt or attempt to enforce any as applicable federal standards. Second, decision in part on a submission labeled standard relating to the control of emissions the amended regulations must not affect CBI, then a non-confidential version of from new motor vehicles or new motor consistency with section 202(a) of the the document that summarizes the key vehicle engines subject to this part. No state Act. Third, the amended regulations data or information should be submitted shall require certification, inspection or any must not raise any ‘‘new issues’’ for the public docket. To ensure that other approval relating to the control of emissions from any new motor vehicle or affecting EPA’s prior waivers. proprietary information is not inadvertently placed in the docket, new motor vehicle engine as condition (C) Request for Comment precedent to the initial retail sale, titling (if submissions containing such any), or registration of such motor vehicle, First, EPA requests comment on information should be sent directly to motor vehicle engine, or equipment. whether the 2007 Amendments and the the contact person listed above and not Section 209(b) of the Act requires the Truck Idling Amendments, each to the public docket. Information Administrator, after notice and individually assessed, should be covered by a claim of confidentiality opportunity for public hearing, to waive considered under the within-the-scope will be disclosed by EPA only to the application of the prohibitions of analysis or whether they should be extent allowed and by the procedures section 209(a) for any state that has considered under the full waiver set forth in 40 CFR part 2. If no claim adopted standards (other than crankcase criteria. Specifically, we request of confidentiality accompanies the emission standards) for the control of comment on whether the 2007 submission when EPA receives it, EPA emissions from new motor vehicles or Amendments and the Truck Idling will make it available to the public new motor vehicle engines prior to Amendments (1) undermine California’s without further notice to the person March 30, 1966, if the state determines previous determination that its making comments. that the state standards will be, in the standards, in the aggregate, are at least Dated: August 4, 2016. aggregate, at least as protective of public as protective of public health and Christopher Grundler, Director, welfare as comparable Federal health and welfare as applicable federal Office of Transportation and Air Quality, standards. California is the only state standards, (2) affect the consistency of Office of Air and Radiation. California’s requirements with section that is qualified to seek and receive a [FR Doc. 2016–18897 Filed 8–8–16; 8:45 am] 202(a) of the Act, and (3) raise any other waiver under section 209(b). EPA must BILLING CODE 6560–50–P grant a waiver unless the Administrator ‘‘new issue’’ affecting EPA’s previous finds that (A) the determination of the waiver or authorization determinations. state is arbitrary and capricious, (B) the For the In-Use Amendments and to ENVIRONMENTAL PROTECTION state does not need the state standards the extent commenters believe the 2007 AGENCY to meet compelling and extraordinary Amendments or the Truck Idling conditions, or (C) the state standards Amendments should be considered [AMS–FRL–9950–44–OAR] under the full waiver criteria, EPA and accompanying enforcement California State Motor Vehicle invites comment under the following procedures are not consistent with Pollution Control Standards; three criteria: Whether (a) California’s section 202(a) of the Act. Previous Greenhouse Gas Emissions From 2014 determination that its motor vehicle decisions granting waivers of federal and Subsequent Model Year Medium- emission standards are, in the aggregate, preemption for motor vehicles have and Heavy-Duty Engines and Vehicles; at least as protective of public health maintained that state standards are Request for Waiver of Preemption; and welfare as applicable federal inconsistent with section 202(a) if there Opportunity for Public Hearing and standards is arbitrary and capricious, (b) is inadequate lead time to permit the Public Comment development of the necessary California needs such standards to meet technology giving appropriate compelling and extraordinary AGENCY: Environmental Protection consideration to the cost of compliance conditions, and (c) California’s Agency (EPA). within that time period or if the federal standards and accompanying ACTION: Notice of opportunity for public and state test procedures impose enforcement procedures are consistent hearing and comment. inconsistent certification procedures.2 with section 202(a) of the Clean Air Act. If California amends regulations that SUMMARY: The California Air Resources Procedures for Public Participation were previously granted a waiver, EPA Board (CARB) has notified EPA that it can confirm that the amended The Agency will make a verbatim has adopted a greenhouse gas emission record of the proceedings. Interested regulation for new 2014 and subsequent 1 A further description of the CARB amendments parties may arrange with the reporter at model year on-road medium-and heavy- can be found in CARB’s Waiver Support document the hearing to obtain a copy of the duty engines and vehicles (California in docket EPA–HQ–OAR–2016–0017. 2 To be consistent, the California certification transcript at their own expense. EPA Phase 1 GHG Regulation). This procedures need not be identical to the federal will keep the record open until regulation aligns California’s GHG certification procedures. California procedures November 1, 2016. Upon expiration of emission standards and test procedures would be inconsistent, however, if manufacturers the comment period, the Administrator with the federal GHG emission would be unable to meet the state and the federal requirements with the same test vehicle in the will render a decision on CARB’s standards and test procedures that EPA course of the same test. See, e.g., 43 FR 32182 (July request based on the record of the adopted in 2011. By letter dated January 25, 1978). public hearing, relevant written 29, 2016, CARB submitted a request that

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EPA grant a waiver of preemption under Register version of the Notice on the your email address will be section 209(b) of the Clean Air Act day of publication on the primary Web automatically captured and included as (CAA), 42 U.S.C. 7543(b) for the site: (http://www.epa.gov/docs/fedrgstr/ part of the comment that is placed in the California Phase 1 GHG Regulation. This EP-AIR/). public docket and made available on the notice announces that EPA has Please note that due to differences Internet. If you submit an electronic scheduled a public hearing concerning between the software used to develop comment, EPA recommends that you California’s request and that EPA is the documents and the software into include your name and other contact accepting written comment on the which the documents may be information in the body of your request. downloaded, changes in format, page comment and with any disk or CD–ROM DATES: EPA has tentatively scheduled a length, etc., may occur. you submit. If EPA cannot read your public hearing concerning CARB’s FOR FURTHER INFORMATION CONTACT: comment due to technical difficulties request on September 28, 2016, at 10 David Dickinson (6405J), U.S. and cannot contact you for clarification, a.m. EPA will hold a hearing only if any Environmental Protection Agency, 1200 EPA may not be able to consider your party notifies EPA by September 21, Pennsylvania Ave. NW., Washington, comment. Electronic files should avoid 2016 to express interest in presenting DC 20460. Telephone: (202) 343–9256, the use of special characters, any form the Agency with oral testimony. Parties Fax: (202) 343–2804, email address: of encryption, and be free of any defects wishing to present oral testimony at the [email protected]. or viruses. Docket: All documents in the docket are listed in the http:// public hearing should provide written For Obtaining and Submitting www.regulations.gov index. Although notice to David Dickinson at the email Electronic Copies of Comments address noted below. If EPA receives a listed in the index, some information is request for a public hearing, that hearing Submit your comments, identified by not publicly available, e.g., CBI or other will be held at the William Jefferson Docket ID No. EPA–HQ–OAR–2016– information whose disclosure is Clinton Building (North), Room 5528 at 0179, by one of the following methods: restricted by statute. Certain other • http://www.regulations.gov: Follow 1200 Pennsylvania Ave, NW., material, such as copyrighted material, the on-line instructions for submitting Washington, DC 20460. If EPA does not will be publicly available only in hard comments. copy. receive a request for a public hearing, • Email: [email protected]. SUPPLEMENTARY INFORMATION: then EPA will not hold a hearing, and • Fax: (202) 343–2804. instead will consider CARB’s request • Mail: U.S. Environmental (A) CARB’s Waiver Request for the based on written submissions to the Protection Agency, EPA West (Air California Phase 1 GHG Regulation docket. Any party may submit written Docket), 1200 Pennsylvania Ave. NW., CARB’s January 29, 2016, letter to the comments until November 1, 2016. Room B108, Mail Code 6102T, Administrator presents EPA with Any person who wishes to know Washington, DC 20460, Attention CARB’s requirements related to the whether a hearing will be held may call Docket ID No. EPA–HQ–OAR–2013– control of greenhouse gas emissions David Dickinson at (202) 343–9256 on 0491. Please include a total of two from 2014 and subsequent MY or after September 21, 2016. copies. ADDRESSES: EPA will make available for • Hand Delivery: EPA Docket Center, California on-road medium- and heavy- in person inspection, at the Air and EPA/DC, EPA West, Room B102, 1301 duty engines and vehicles. The Radiation Docket and Information Constitution Ave. NW., Washington, regulation establishes requirements Center, written comments received from DC. Such deliveries are only accepted applicable to new motor vehicles with interested parties, in addition to any during the Docket’s normal hours of a gross vehicle weight rating (GVWR) testimony given at the public hearing. operation, and special arrangements exceeding 8,500 pounds and engines The official public docket is the should be made for deliveries of boxed that power such motor vehicles, except collection of materials that is available information. for medium-duty passenger vehicles for public viewing at the Air and Instructions: Direct your comments to (MDPVs) that are subject to California’s 1 Radiation Docket in the EPA Docket Docket ID No EPA–HQ–OAR–2016– Low Emission Vehicle Program. Center, (EPA/DC) EPA West, Room 0179. California’s Phase 1 regulation is B102, 1301 Constitution Ave. NW., EPA’s policy is that all comments supplemental to CARB’s existing Washington, DC. The EPA Docket received will be included in the public Tractor-Trailer GHG regulation that was Center Public Reading Room is open docket without change and may be initially adopted by the CARB Board in from 8:30 to 4:30 p.m., Monday through made available online at http:// 2008 and subsequently amended in Friday, excluding legal holidays. The www.regulations.gov, including any 2010 and 2012.2 CARB’s Tractor-Trailer telephone number for the Public personal information provided, unless 1 Reading Room is (202) 566–1744, and the comment includes information The California Phase 1 GHG regulation is comprised of new title 17, California Code of the telephone number for the Air and claimed to be Confidential Business Regulations (CCR) sections 95660 through 95664, Radiation Docket is (202) 566–1743. The Information (CBI) or other information and amendments to title 13, CCR, sections 1900, reference number for this docket is whose disclosure is restricted by statute. 1958.6, 2036, 2037, 2112, 2140, and 2147. These EPA–HQ–OAR–2016–0179. Do not submit information that you regulations apply to all motor vehicles with a GVWR greater than 8,500 pounds. An exception to EPA will make available an electronic consider to be CBI or otherwise these regulations are MDPVs which are primarily copy of this Notice on the Office of protected through http:// designed for the transport of passengers. (MDPVs Transportation and Air Quality’s www.regulations.gov or email. are not subject to this waiver). A definition of (OTAQ’s) homepage (http:// The http://www.regulations.gov Web MDPVs can be found at title 13, CCR, section 1900(b)(15). California uses the same definition of www.epa.gov/otaq/). Users can find this site is an ‘‘anonymous access’’ system, light-duty vehicles (which includes a subcategory document by accessing the OTAQ which means EPA will not know your for MDPVs) as EPA. homepage and looking at the path identity or contact information unless 2 EPA granted California a waiver for the Tractor- entitled ‘‘Regulations.’’ This service is you provide it in the body of your Trailer GHG regulation in 2014. 79 FR 46256 (August 7, 2014). A petition was subsequently filed free of charge, except any cost you comment. If you send an email in the United States Court of Appeals for the already incur for Internet connectivity. comment directly to EPA without going District of Columbia Circuit that requested the court Users can also get the official Federal through http://www.regulations.gov Continued

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GHG regulation includes the regulation and state test procedures impose Dated: August 3, 2016. of certain trailers associated with heavy- inconsistent certification procedures.3 Christopher Grundler, duty vehicles and engines. CARB (C) Request for Comment Director, Office of Transportation and Air amended the Tractor-Trailer GHG Quality, Office of Air and Radiation. regulation in conjunction with its EPA invites comment on CARB’s [FR Doc. 2016–18868 Filed 8–8–16; 8:45 am] adoption of the Phase 1 GHG regulation request for a waiver for the California BILLING CODE 6560–50–P (which only addresses vehicles and Phase 1 GHG regulation under the engines) to ensure that California’s GHG following three criteria: whether (a) requirements for new medium and California’s determination that its motor ENVIRONMENTAL PROTECTION heavy-duty engines and vehicles are vehicle emission standards are, in the AGENCY consistent with the corresponding aggregate, at least as protective of public [FRL–9950–42–OA] requirements of EPA’s Phase 1 GHG health and welfare as applicable federal regulation (that addresses engines and standards is arbitrary and capricious, (b) Request for Nominations for a Science vehicles). California needs such standards to meet Advisory Board Panel To Review Risk compelling and extraordinary (B) Scope of Preemption and Criteria and Technology Review Screening conditions, and (c) California’s Methods for a Waiver Under the Clean Air Act standards and accompanying Section 209(a) of the Clean Air Act, as enforcement procedures are consistent AGENCY: Environmental Protection amended (‘‘Act’’), 42 U.S.C. 7543(a), with section 202(a) of the Clean Air Act. Agency (EPA). provides: Procedures for Public Participation ACTION: Notice. No state or any political subdivision SUMMARY: thereof shall adopt or attempt to enforce any The Agency will make a verbatim The EPA Science Advisory standard relating to the control of emissions record of the proceedings. Interested Board (SAB) Staff Office requests public from new motor vehicles or new motor parties may arrange with the reporter at nominations of scientific experts to form vehicle engines subject to this part. No state the hearing to obtain a copy of the a Panel to review the draft EPA report shall require certification, inspection or any transcript at their own expense. EPA entitled ‘‘Screening Methodologies to other approval relating to the control of will keep the record open until Support Risk and Technology Reviews emissions from any new motor vehicle or November 1, 2016. Upon expiration of (RTR).’’ This draft report describes new motor vehicle engine as condition the comment period, the Administrator newly developed screening methods precedent to the initial retail sale, titling (if will render a decision on CARB’s designed to assess the risk to public any), or registration of such motor vehicle, motor vehicle engine, or equipment. request based on the record of the health and the environment that would public hearing, relevant written remain after stationary sources of Section 209(b) of the Act requires the submissions, and other information that hazardous air pollutants come into Administrator, after notice and she deems pertinent. compliance with the EPA’s Maximum opportunity for public hearing, to waive Persons with comments containing Available Control Technologies (MACT) application of the prohibitions of proprietary information must standards. section 209(a) for any state that has distinguish such information from other DATES: Nominations should be adopted standards (other than crankcase comments to the greatest possible extent submitted by August 30, 2016 per the emission standards) for the control of and label it as ‘‘Confidential Business instructions below. emissions from new motor vehicles or Information’’ (CBI). If a person making FOR FURTHER INFORMATION CONTACT: new motor vehicle engines prior to Any comments wants EPA to base its member of the public wishing further March 30, 1966, if the state determines decision in part on a submission labeled that the state standards will be, in the information regarding this Notice and CBI, then a non-confidential version of Request for Nominations may contact aggregate, at least as protective of public the document that summarizes the key health and welfare as applicable federal the Designated Federal Officer. data or information should be submitted Nominators unable to submit standards. California is the only state for the public docket. To ensure that that is qualified to seek and receive a nominations electronically as described proprietary information is not below may contact the Designated waiver under section 209(b). EPA must inadvertently placed in the docket, grant a waiver unless the Administrator Federal Officer for assistance. General submissions containing such information concerning the EPA SAB finds that (A) the determination of the information should be sent directly to state is arbitrary and capricious, (B) the can be found at the EPA SAB Web site the contact person listed above and not at http://www.epa.gov/sab. state does not need the state standards to the public docket. Information SUPPLEMENTARY INFORMATION: to meet compelling and extraordinary covered by a claim of confidentiality conditions, or (C) the state standards will be disclosed by EPA only to the Background: The SAB (42 U.S.C. and accompanying enforcement extent allowed and by the procedures 4365) is a chartered Federal Advisory procedures are not consistent with set forth in 40 CFR part 2. If no claim Committee that provides independent section 202(a) of the Act. Previous of confidentiality accompanies the scientific and technical peer review, decisions granting waivers of federal submission when EPA receives it, EPA advice, and recommendations to the preemption for motor vehicles have will make it available to the public EPA Administrator on the technical maintained that state standards are without further notice to the person basis for EPA actions. As a Federal inconsistent with section 202(a) if there making comments. Advisory Committee, the SAB conducts is inadequate lead time to permit the business in accordance with the Federal development of the necessary 3 To be consistent, the California certification Advisory Committee Act (FACA) (5 technology giving appropriate procedures need not be identical to the federal U.S.C. App. 2) and related regulations. consideration to the cost of compliance certification procedures. California procedures The SAB RTR Methods Review Panel would be inconsistent, however, if manufacturers will provide advice through the within that time period or if the federal would be unable to meet the state and the federal requirements with the same test vehicle in the chartered SAB on scientific and to review EPA’s issuance of the waiver. The court course of the same test. See, e.g., 43 FR 32182 (July technical issues related to assessing dismissed the petition on November 25, 2015. 25, 1978). risks to public health and the

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environment from hazardous air toxicology, air toxics, and dispersion Candidates will be accepted for 21 days. pollutants. The SAB and this Panel will modeling. Additional information about The public will be requested to provide comply with the provisions of FACA this advisory activity is available on the relevant information or other and all appropriate SAB Staff Office SAB Web site at http://yosemite. documentation on nominees that the procedural policies. epa.gov/sab/sabproduct.nsf/fedrgstr_ SAB Staff Office should consider in EPA’s Office of Air and Radiation activites/RTR%20Screening%20 evaluating candidates. (OAR) has prepared a draft report Methods%20Review?OpenDocument. entitled ‘‘Screening Methodologies to Questions regarding this advisory For the EPA SAB Staff Office a Support Risk and Technology Reviews activity should be directed to Dr. Suhair balanced review panel includes (RTR): A Case Study Analysis.’’ The Shallal, Designated Federal Officer candidates who possess the necessary Clean Air Act (CAA) establishes a two- (DFO), SAB Staff Office, by telephone/ domains of knowledge, the relevant stage regulatory process for addressing voice mail at (202) 564–2057, by fax at scientific perspectives (which, among emissions of hazardous air pollutants (202) 565–2098, or via email at other factors, can be influenced by work (HAPs) from stationary sources. In the [email protected]. history and affiliation), and the first stage, the CAA requires the EPA to Process and Deadline for Submitting collective breadth of experience to develop technology-based standards, Nominations: Any interested person or adequately address the charge. In known as Maximum Achievable Control organization may nominate qualified forming the expert panel, the SAB Staff Technology (MACT) standards, for individuals in the areas of expertise Office will consider public comments categories of industrial sources. In the described above for possible service on on the Lists of Candidates, information second stage, the EPA must review each the SAB RTR Methods Review Panel provided by the candidates themselves, MACT standard at least every eight identified in this notice. Individuals and background information years and revise them as necessary, may self-nominate. Nominations should independently gathered by the SAB taking into account developments in be submitted in electronic format Staff Office. Selection criteria to be used practices, processes and control (preferred over hard copy) following the for panel membership include: (a) technologies. EPA must also conduct an instructions for ‘‘Nominating Experts to Scientific and/or technical expertise, assessment of the health and Advisory Panels and Ad Hoc environmental risks that remain after Committees Being Formed,’’ provided knowledge, and experience (primary stationary sources come into on the SAB Web site (see the factors); (b) availability and willingness compliance with the MACT standards. ‘‘Nomination of Experts’’ link under to serve; (c) absence of financial Periodically, the SAB is asked to review ‘‘Current Activities’’ at http://www.epa. conflicts of interest; (d) absence of an the methods that OAR uses to estimate gov/sab). To receive full consideration, appearance of a loss of impartiality; (e) risks as these methods evolve or as new nominations should include all of the skills working in committees, methods are developed. Thus, OAR has information requested below. subcommittees and advisory panels; requested the SAB to review EPA’s draft EPA’s SAB Staff Office requests and, (f) for the panel as a whole, report that describes newly enhanced contact information about the person diversity of expertise and scientific screening methods designed to estimate making the nomination; contact points of view. the potential risks to public health and information about the nominee; the The SAB Staff Office’s evaluation of disciplinary and specific areas of the environment that would remain an absence of financial conflicts of expertise of the nominee; the nominee’s after stationary sources of HAPs come interest will include a review of the into compliance with EPA’s MACT resume or curriculum vitae; sources of ‘‘Confidential Financial Disclosure standards. These include screening recent grant and/or contract support; Form for Environmental Protection methods to estimate the potential for and a biographical sketch of the multi-pathway risks (e.g., ingestion, nominee indicating current position, Agency Special Government inhalation) from persistent and educational background, research Employees’’ (EPA Form 3110–48). This bioaccumulative HAPs, screening activities, and recent service on other confidential form allows government methods to estimate potential national advisory committees or officials to determine whether there is a environmental risks, and recent national professional organizations. statutory conflict between a person’s enhancements to the EPA’s inhalation Persons having questions about the public responsibilities (which include risk assessment methodology. The SAB nomination procedures, or who are membership on an EPA federal advisory Staff Office is forming an expert panel, unable to submit nominations through committee) and private interests and the SAB RTR Methods Review Panel, the SAB Web site, should contact Dr. activities, or the appearance of a loss of under the auspices of the Chartered SAB Shallal as indicated above in this notice. impartiality, as defined by federal to conduct this review. Nominations should be submitted in regulation. The form may be viewed and Technical Contact for EPA’s draft time to arrive no later than August 30, downloaded from the following URL report: For information concerning the 2016. EPA values and welcomes address http://yosemite.epa.gov/sab/sab draft report ‘‘Screening Methodologies diversity. In an effort to obtain product.nsf/Web/ethics?Open to Support Risk and Technology nominations of diverse candidates, EPA Document. Reviews (RTR): A Case Study Analysis’’ encourages nominations of women and please contact Dr. Michael Stewart by men of all racial and ethnic groups. The approved policy under which the email at [email protected] or The EPA SAB Staff Office will EPA SAB Office selects members for phone (919) 541–7524. acknowledge receipt of nominations. subcommittees and review panels is Request for Nominations: The SAB The names and biosketches of qualified described in the following document: Staff Office is seeking nominations of nominees identified by respondents to Overview of the Panel Formation nationally and internationally this Federal Register notice, and Process at the Environmental Protection recognized scientists with demonstrated additional experts identified by the SAB Agency Science Advisory Board (EPA– expertise in the following disciplines: Staff Office, will be posted in a List of SAB–EC–02–010), which is posted on Human health risk assessment, Candidates for the panel on the SAB the SAB Web site at https://yosemite. ecological risk assessment, exposure Web site at http://www.epa.gov/sab. epa.gov/sab/sabproduct.nsf/WebFiles/ assessment, toxicology, ecology, aquatic Public comments on the List of OverviewPanelForm/$File/ec02010.pdf.

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Dated: August 3, 2016. David Dickinson at (202) 343–9256 on viruses. For additional information Thomas H. Brennan, or after September 21, 2016. about EPA’s public docket visit the EPA Deputy Director, Science Advisory Board Staff ADDRESSES: Submit your comments, Docket Center homepage at http:// Office. identified by Docket ID No. EPA–HQ– www.epa.gov/epahome/dockets.htm. [FR Doc. 2016–18881 Filed 8–8–16; 8:45 am] OAR–2016–0181, by one of the EPA will make available for public BILLING CODE 6560–50–P following methods: inspection materials submitted by • Online at: http:// CARB, written comments received from www.regulations.gov: Follow the Online any interested parties, and any ENVIRONMENTAL PROTECTION Instructions for Submitting Comments. testimony given at the public hearing. AGENCY • Email: [email protected]. Materials relevant to this proceeding are • Fax: (202) 566–9744. contained in the Air and Radiation [EPA–HQ–OAR–2015–0224; FRL–9950–43– • Mail: Air and Radiation Docket, Docket and Information Center, OAR] Docket ID No. EPA–HQ–OAR–2016– maintained in Docket ID No. EPA–HQ– OAR–2016–0181. Publicly available California State Nonroad Engine 0181, U.S. Environmental Protection docket materials are available either Pollution Control Standards; Agency, Mail code: 6102T, 1200 electronically through http:// Evaporative Emission Standards and Pennsylvania Avenue NW., Washington, www.regulations.gov or in hard copy at Test Procedures for Off-Highway DC 20460. Please include a total of two the Air and Radiation Docket in the EPA Recreational Vehicles (OHRVs); copies. • Headquarters Library, EPA West Request for Authorization; Opportunity Hand Delivery: EPA Docket Center, Building, Room 3334, located at 1301 for Public Hearing and Comment Public Reading Room, EPA West Building, Room 3334, 1301 Constitution Constitution Avenue NW., Washington, AGENCY: Environmental Protection Avenue NW., Washington, DC 20460. DC. The Public Reading Room is open Agency (EPA). Such deliveries are only accepted to the public on all federal government ACTION: Notice of opportunity for public during the Docket’s normal hours of work days from 8:30 a.m. to 4:30 p.m.; hearing and comment. operation, and special arrangements generally, it is open Monday through should be made for deliveries of boxed Friday, excluding holidays. The SUMMARY: The California Air Resources information. telephone number for the Reading Room Board (CARB) has notified EPA that it Online Instructions for Submitting is (202) 566–1744. The Air and has adopted amendments to its off- Comments: Direct your comments to Radiation Docket and Information highway recreational vehicles (ORVR) Docket ID No. EPA–HQ–OAR–2016– Center’s Web site is http://www.epa.gov/ regulation that establish new 0181. EPA’s policy is that all comments oar/docket.html. The electronic mail evaporative emission standards and we receive will be included in the (email) address for the Air and associated test procedures for 2018 and public docket without change and may Radiation Docket is: a-and-r-Docket@ subsequent model year OHRVs (OHRV be made available online at http:// epa.gov, the telephone number is (202) Evaporative Emission Amendments). By www.regulations.gov, including any 566–1742, and the fax number is (202) letter dated February 26, 2016, CARB personal information provided, unless 566–9744. An electronic version of the asked that EPA authorize these the comment includes information public docket is available through the amendments pursuant to section 209(e) claimed to be Confidential Business federal government’s electronic public of the Clean Air Act. This notice Information (CBI) or other information docket and comment system. You may announces that EPA has tentatively whose disclosure is restricted by statute. access EPA dockets at http:// scheduled a public hearing to consider Do not submit information that you www.regulations.gov. After opening the California’s authorization request and consider to be CBI or otherwise http://www.regulations.gov Web site, that EPA is now accepting written protected through http:// enter, in the ‘‘Enter Keyword or ID’’ fill- comment on the request. www.regulations.gov or email. The in box to view documents in the record. DATES: EPA has tentatively scheduled a http://www.regulations.gov Web site is Although a part of the official docket, public hearing concerning CARB’s an ‘‘anonymous access’’ system, which the public docket does not include request on September 28, 2016. at 10 means EPA will not know your identity Confidential Business Information a.m. EPA will hold a hearing only if any or contact information unless you (‘‘CBI’’) or other information whose party notifies EPA by September 21, provide it in the body of your comment. disclosure is restricted by statute. 2016 to express interest in presenting If you send an email comment directly FOR FURTHER INFORMATION CONTACT: the Agency with oral testimony. Parties to EPA without going through http:// David Dickinson (6405J), Office of wishing to present oral testimony at the www.regulations.gov, your email Transportation and Air Quality, U.S. public hearing should provide written address will automatically be captured Environmental Protection Agency, 1200 notice to David Dickinson at the email and included as part of the comment Pennsylvania Ave. NW., Washington, address noted below. If EPA receives a that is placed in the public docket and DC 20460. Telephone: (202) 343–9256. request for a public hearing, that hearing made available on the Internet. If you Fax: (202) 343–2804. Email: will be held at the William Jefferson submit an electronic comment, EPA [email protected]. Clinton Building (North), Room 5528 at recommends that you include your SUPPLEMENTARY INFORMATION: 1200 Pennsylvania Ave. NW., name and other contact information in Washington, DC 20460. If EPA does not the body of your comment and with any (A) CARB’s Authorization Request for receive a request for a public hearing, disk or CD–ROM you submit. If EPA Its OHRV Evaporative Emission then EPA will not hold a hearing, and cannot read your comment due to Amendments instead will consider CARB’s request technical difficulties and cannot contact The California OHRV category based on written submissions to the you for clarification, EPA may not be encompasses a wide variety of vehicles, docket. Any party may submit written able to consider your comment. including off-road motorcycles, all- comments until November 1, 2016. Electronic files should avoid the use of terrain vehicles (ATVs), off-road sport Any person who wishes to know special characters, any form of and utility vehicles, sand cars, and golf whether a hearing will be held may call encryption, and be free of any defects or carts. CARB’s OHRV Evaporative

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Emission Amendments establish a new regulations in 1997.2 As stated in the state testing procedures impose test procedure and evaporative emission preamble to the 1994 rule, EPA has inconsistent certification requirements.4 standard of 1.0 gram per day (g/day) of historically interpreted the section In considering whether to grant total organic gas (TOG) for a 3-day 209(e)(2)(A)(iii) ‘‘consistency’’ inquiry authorizations for accompanying diurnal period, which may be achieved to require, at minimum, that California enforcement procedures tied to utilizing the available evaporative standards and enforcement procedures standards for which an authorization emissions technology currently used in be consistent with section 209(a), has already been granted, EPA addresses the on-road sector. section 209(e)(1), and section questions as to whether the enforcement procedures undermine California’s By letter dated February 26, 2016, 209(b)(1)(C) (as EPA has interpreted that determination that its standards are as CARB submitted a request to EPA subsection in the context of section 209(b) motor vehicle waivers).3 protective of public health and welfare pursuant to section 209(e) of the Clean as applicable federal standards, and Air Act (CAA or the Act) for In order to be consistent with section whether the enforcement procedures are authorization for the OHRV Evaporative 209(a), California’s nonroad standards consistent with section 202(a).5 Emission Amendments. and enforcement procedures must not (C) EPA’s Request for Comments (B) Clean Air Act Nonroad Engine and apply to new motor vehicles or new Vehicle Authorizations motor vehicle engines. To be consistent EPA requests comment on whether with section 209(e)(1), California’s the OHRV Evaporative Emission Section 209(e)(1) of the CAA prohibits nonroad standards and enforcement Amendments meet the criteria for an states and local governments from procedures must not attempt to regulate authorization. Specifically, we request adopting or attempting to enforce any engine categories that are permanently comment on: (a) Whether CARB’s standard or requirement relating to the preempted from state regulation. To determination that its standards, in the control of emissions from certain types determine consistency with section aggregate, are at least as protective of of new nonroad vehicles or engines. The 209(b)(1)(C), EPA typically reviews public health and welfare as applicable Act also preempts states from adopting nonroad authorization requests under federal standards is arbitrary and and enforcing standards and other the same ‘‘consistency’’ criteria that are capricious; (b) whether California needs requirements related to the control of applied to motor vehicle waiver such standards to meet compelling and emissions from other types of new requests. Pursuant to section extraordinary conditions; and (c) whether California’s standards and nonroad vehicles or engines as well as 209(b)(1)(C), the Administrator shall not accompanying enforcement procedures non-new nonroad engines or vehicles. grant California a motor vehicle waiver are consistent with section 209 of the Section 209(e)(2), however, requires the if she finds that California ‘‘standards Act. Administrator, after notice and and accompanying enforcement opportunity for public hearing, to procedures are not consistent with Procedures for Public Participation authorize California to adopt and [section 202(a)]’’ of the Act. Previous If a hearing is held, the Agency will enforce standards and other decisions granting waivers and make a verbatim record of the requirements relating to the control of authorizations have noted that state proceedings. Interested parties may emissions from such preempted standards and enforcement procedures arrange with the reporter at the hearing vehicles or engines if California are inconsistent with section 202(a) if: to obtain a copy of the transcript at their determines that California standards (1) There is inadequate lead time to own expense. Regardless of whether a will be, in the aggregate, at least as permit the development of the necessary public hearing is held, EPA will keep protective of public health and welfare technology giving appropriate the record open until November 1, 2016. as applicable Federal standards. consideration to the cost of compliance Upon expiration of the comment period, However, EPA shall not grant such within that time, or (2) the federal and the Administrator will render a decision authorization if it finds that (1) the on CARB’s request based on the record determination of California is arbitrary 2 62 FR 67733 (December 30, 1997). The from the public hearing, if any, all and capricious; (2) California does not applicable regulations, now in 40 CFR part 1074, relevant written submissions, and other need such California standards to meet subpart B, § 1074.105, provide: information that she deems pertinent. compelling and extraordinary (a) The Administrator will grant the authorization if California determines that its standards will be, All information will be available for conditions; or (3) California standards in the aggregate, at least as protective of public inspection at the EPA Air Docket No. and accompanying enforcement health and welfare as otherwise applicable federal EPA–HQ–OAR–2016–0181. procedures are not consistent with standards. Persons with comments containing [CAA section 209]. In addition, other (b) The authorization will not be granted if the proprietary information must Administrator finds that any of the following are states with air quality attainment plans true: distinguish such information from other may adopt and enforce such regulations (1) California’s determination is arbitrary and comments to the greatest extent possible if the standards and the implementation capricious. and label it as ‘‘Confidential Business and enforcement procedures are (2) California does not need such standards to Information’’ (CBI). If a person making identical to California’s standards. On meet compelling and extraordinary conditions. comments wants EPA to base its (3) The California standards and accompanying July 20, 1994, EPA promulgated a rule enforcement procedures are not consistent with decision on a submission labeled as CBI, that sets forth, among other things, section 209 of the Act. then a non-confidential version of the regulations providing the criteria, as (c) In considering any request to authorize document that summarizes the key data found in section 209(e)(2), which EPA California to adopt or enforce standards or other or information should be submitted to requirements relating to the control of emissions the public docket. To ensure that must consider before granting any from new nonroad spark-ignition engines smaller California authorization request for new than 50 horsepower, the Administrator will give proprietary information is not nonroad engine or vehicle emission appropriate consideration to safety factors 4 standards.1 (including the potential increased risk of burn or Id. See also 78 FR 58090, 58092 (September 20, EPA revised these fire) associated with compliance with the California 2013). standard. 5 See CAA section 209(e)(2)(A)(i) and (iii), 42 1 59 FR 36969 (July 20, 1994). 3 59 FR 36969 (July 20, 1994). U.S.C. 7543(e)(2)(A) (i) and (iii).

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inadvertently placed in the public Washington, DC 20554. Document DA 2. On February 4, 2011, the docket, submissions containing such 16–761 can also be downloaded in Commission released a Report and information should be sent directly to Word or Portable Document Format Order that, inter alia, amended § 0.141 the contact person listed above and not (PDF) at: https://apps.fcc.gov/edocs_ of the Commission’s organizational to the public docket. Information public/attachmatch/DA-16-761A1.docx rules to delegate authority to the Chief, covered by a claim of confidentiality or https://apps.fcc.gov/edocs_public/ CGB, to conduct periodic review of all will be disclosed by EPA only to the attachmatch/DA-16-761A1.pdf. The open dockets with the objective of extent allowed, and according to the spreadsheet associated with document terminating those that were inactive. procedures set forth in 40 CFR part 2. DA 16–761 listing the proceedings The Commission stated that termination If no claim of confidentiality proposed for termination for dormancy of such proceedings also will include accompanies the submission when EPA is available in Excel or Portable the dismissal as moot of any pending receives it, EPA will make it available Document Format at: https:// petition, motion, or other request for to the public without further notice to apps.fcc.gov/edocs_public/attachmatch/ relief in the terminated proceeding that the person making comments. DA-16-761A2.xls or https:// is procedural in nature or otherwise apps.fcc.gov/edocs_public/attachmatch/ does not address the merits of the Dated: August 3, 2016. DA-6-761A2.pdf. proceeding. Christopher Grundler, To request materials in accessible 3. Following the release of the Director, Office of Transportation and Air formats for people with disabilities Procedure Order, published at 76 FR Quality, Office of Air and Radiation. (Braille, large print, electronic files, 24383, May 2, 2011, CGB, in [FR Doc. 2016–18873 Filed 8–8–16; 8:45 am] audio format), send an email to fcc504@ consultation with the relevant other BILLING CODE 6560–50–P fcc.gov or call the Consumer and bureaus and offices, conducted a review Governmental Affairs Bureau at (202) of all open dockets and identified those 418–0530 (voice) or (202) 418–0432 dockets that could potentially be FEDERAL COMMUNICATIONS (TTY). terminated. As a result of that process, COMMISSION CGB issued the First Dormant Final Paperwork Reduction Act of 1995 Proceedings Termination Public Notice, Analysis [CG Docket No. 16–16; DA 16–761] published at 76 FR 35892, June 20, Document DA 16–761 does not Termination of Dormant Proceedings 2011, listing the open dockets under contain information collection consideration for termination, and AGENCY: Federal Communications requirements subject to the Paperwork providing interested parties the Commission. Reduction Act of 1995, Public Law 104– opportunity to file comments on these 13. In addition, therefore, it does not ACTION: Notice. proposed terminations. Following these contain any information collection procedures, by Order released SUMMARY: In this document, the burden for small business concerns with November 1, 2011, CGB terminated, as Consumer and Governmental Affairs fewer than 25 employees, pursuant to dormant the docketed proceedings Bureau (CGB), terminates, as dormant, the Small Business Paperwork Relief listed in the attachment thereto. See 76 certain docketed Commission Act of 2002, Public Law 107–198, see 44 FR 70902, November 16, 2011. Further proceedings. The Commission believes U.S.C. 3506(c)(4). dormant proceeding terminations that termination of these proceedings SYNOPSIS followed. See Second Dormant furthers the Commission’s Proceedings Termination Order, organizational goals of increasing the 1. In document DA 16–761, the published at 77 FR 60934, October 5, efficiency of its decision-making, Consumer and Governmental Affairs 2012; Third Dormant Proceedings modernizing the agency’s processes in Bureau (CGB) terminates, as dormant, Termination Order, published at 79 FR the digital age, and enhancing the the proceedings listed on the 58344, September 29, 2014; Fourth openness and transparency of Attachment hereto. CGB believes that Dormant Proceedings Termination Commission proceedings for termination of these proceedings Order, published at 80 FR 4920, January practitioners and the public. furthers the Commission’s 29, 2015. organizational goals of increasing the 4. Based on CGB’s review of the DATES: Effective August 9, 2016. efficiency of its decision-making, record received in response to the Fifth FOR FURTHER INFORMATION CONTACT: modernizing the agency’s processes in Dormant Proceedings Termination Lauren Wilson, Consumer and the digital age, and enhancing the Public Notice, it terminates the Governmental Affairs Bureau at (202) openness and transparency of proceedings listed in document DA 16– 418–1607 or by email at lauren.wilson@ Commission proceedings for 761 and leaves open two proceedings fcc.gov. practitioners and the public. In that had been listed in Attachment A to SUPPLEMENTARY INFORMATION: This is a addition, on the basis of further the Fifth Dormant Proceedings synopsis of the Commission’s Order, evaluation, CGB leaves open two Termination Public Notice. See https:// Termination of Certain Proceedings as proceedings included in the Fifth apps.fcc.gov/edocs_public/attachmatch/ Dormant, document DA 16–761, Dormant Proceedings Termination DA-16-761A2.xls or https:// adopted on July 21, 2016, and released Public Notice, published at 81 FR apps.fcc.gov/edocs_public/attachmatch/ on July 25, 2016 in CG Docket No. 16– 26229, May 2, 2016, namely DA-16-761A2.pdf. After review of the 16. Amendment of the Commission’s Rules comment and CGB’s further evaluation, The full text of document DA 16–761 Relating to Program Exclusivity in the it has determined that GN Docket No. and copies of any subsequently filed Cable and Broadcast Industries, GN 87–24 and RM–10335 will remain open documents in this matter will be Docket No. 87–24, and Amendment of and will not be terminated at this time. available for public inspection and the Commission’s Rules to Extend Its 5. Venture Technologies (GN Docket copying via ECFS, and during regular Network and Non-Network Territorial No. 87–24, RM–10335). Venture business hours at the FCC Reference Exclusivity, Syndicated Exclusivity, and Technologies Group, LLC asks that GN Information Center, Portals II, 445 12th Network Non-Duplication Protection Docket No. 87–24 (Amendment of the Street SW., Room CY–A257, Rules, RM–10335. Commission’s Rules Relating to Program

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Exclusivity in the Cable and Broadcast nonetheless notes that it anticipates that rules, that the proceedings set forth in Industries) and RM–10335 (Amendment the rules adopted will not have a document DA 16–761 are of the Commission’s Rules to Extend Its significant economic impact on a TERMINATED. Network and Non-Network Territorial substantial number of small entities. As Federal Communications Commission. Exclusivity, Syndicated Exclusivity, and described above, the Commission D’wana Terry, Network Non-Duplication Protection primarily changes its own internal Associate Chief, Consumer and Governmental Rules) remain open due to recent procedures and organizations and does Affairs Bureau. Commission consideration of the same not impose substantive new rules that are the subject of these responsibilities on regulated entities. [FR Doc. 2016–18786 Filed 8–8–16; 8:45 am] proceedings. The CGB find that further There is no reason to believe BILLING CODE 6712–01–P action in these proceeding may be termination of certain dormant required. Accordingly, we will not proceedings would impose significant FEDERAL COMMUNICATIONS terminate GN Docket No. 87–24 and costs on parties to Commission COMMISSION RM–10335 at this time and they will proceedings. To the contrary, the remain open. Commission takes the actions herein Deletion of Items From Sunshine Act 6. Upon publication of document DA with the expectation that overall they Meeting 16–761 in the Federal Register, these will make dealings with the proceedings will be terminated in the Commission quicker, easier, and less August 4, 2016. Electronic Comment Filing System costly for entities of all sizes. The following consent agenda has (ECFS). The record in the terminated been deleted from the list of items Congressional Review Act proceedings will remain part of the scheduled for consideration at the Commission’s official records, and the The Commission will not send a copy Thursday, August 4, 2016, Open various pleadings, orders, and other of document DA 16–761 pursuant to the Meeting and previously listed in the documents in these dockets will Congressional Review Act, see 5 U.S.C. Commission’s Notice of July 28, 2016. continue to be accessible to the public, 801(a)(1)(A) because the Commission is Items 1 and 2 have been adopted by the post-termination. not adopting, amending, revising, or Commission. deleting any rules. * * * * * Regulatory Flexibility Act Ordering Clauses 7. The Commission’s action does not Consent Agenda require notice and comment and is not Pursuant to the authority contained in The Commission will consider the subject to the Regulatory Flexibility Act sections 4(i), and 4(j) of the following subjects listed below as a of 1980, as amended. See 5 U.S.C. Communications Act, 47 U.S.C. 154(i) consent agenda and these items will not 601(2), 603(a). The Commission and (j), and § 0.141 of the Commission’s be presented individually:

1 ...... MEDIA ...... TITLE: Atlantic City Board of Education, Applications for Renewal of License and Minor Modifications to WAJM(FM), Atlantic City, NJ SUMMARY: The Commission will consider a Memorandum Opinion and Order concerning the renewal of WAJM(FM), a student-run station and an Application for Review filed by Press Communications, LLC. 2 ...... MEDIA ...... TITLE: Amendment of Section 73.622(i), Post-Transition Table of DTV Allotments, Television Broadcast Stations (Seaford, Delaware) SUMMARY: The Commission will consider a Memorandum Opinion and Order concerning the Application for Review filed by PMCM, former licensee of KJWY(TV). 3 ...... GENERAL COUNSEL ...... TITLE: In the Matter of Warren Havens on Request for Inspection of Records (FOIA Control Nos. 2014–650, 2014–651, 2014–663, and 2014–664) SUMMARY: The Commission will consider a Memorandum Opinion and Order concerning an Ap- plication for Review filed by Warren Havens, which appealed two decisions by the Enforcement Bureau denying four Freedom of Information Act requests.

Federal Communications Commission. SUMMARY: Ohio has scheduled a special Principal Campaign Committees Gloria Miles, primary election on September 13, 2016, All principal campaign committees of Federal Register Liaison Officer. to fill the vacancy on the November 8, candidates who participate in the Ohio [FR Doc. 2016–18964 Filed 8–5–16; 11:15 am] 2016, general election ballot that was Special Primary Election shall file a 12- BILLING CODE 6712–01–P created by the withdrawal of the day Pre-Primary Report on September 1, Democratic nominee Corey Foister. 2016. (See chart below for the closing Committees required to file reports in date for each report.) connection with the Special Primary Note that these reports are in addition FEDERAL ELECTION COMMISSION Election on September 13, 2016, shall to the campaign committee’s regular file a 12-day Pre-Primary Report. quarterly filings. (See chart below for [Notice 2016–07] the closing date for each report). FOR FURTHER INFORMATION CONTACT: Ms. Filing Dates for the Ohio Special Elizabeth S. Kurland, Information Unauthorized Committees (PACs and Democratic Primary Election in the 8th Division, 999 E Street NW., Washington, Party Committees) Congressional District DC 20463; Telephone: (202) 694–1100; Political committees filing on a AGENCY: Federal Election Commission. Toll Free (800) 424–9530. quarterly basis in 2016 are subject to special election reporting if they make ACTION: Notice of filing dates for special SUPPLEMENTARY INFORMATION: previously undisclosed contributions or election. expenditures in connection with the

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Ohio Special Primary Election by the Additional disclosure information in connection with the special primary close of books for the applicable connection with the Ohio Special election must simultaneously file FEC report(s). (See chart below for the Primary Election may be found on the Form 3L if they receive two or more closing date for each report.) FEC Web site at http://www.fec.gov/ bundled contributions from lobbyists/ info/report_dates.shtml. Committees filing monthly that make registrants or lobbyist/registrant PACs contributions or expenditures in Disclosure of Lobbyist Bundling that aggregate in excess of the $17,600 connection with the Ohio Special Activity during the special election reporting periods. (See chart below for closing Primary Election will continue to file Principal campaign committees, party according to the monthly reporting committees and Leadership PACs that date of each period.) 11 CFR schedule. are otherwise required to file reports in 104.22(a)(5)(v), (b).

CALENDAR OF REPORTING DATES FOR OHIO SPECIAL DEMOCRATIC PRIMARY ELECTION

Reg./cert. & Report Close of books 1 overnight mailing Filing deadline deadline

Committees Involved in the Special Primary (09/13/16) Must File

Pre-Primary ...... 08/24/16 08/29/16 09/01/16 October Quarterly ...... 09/30/16 2 10/15/16 10/15/16 1 The reporting period always begins the day after the closing date of the last report filed. If the committee is new and has not previously filed a report, the first report must cover all activity that occurred before the committee registered as a political committee up through the close of books for the first report due. 2 Notice that this filing deadline falls on a weekend or federal holiday. Filing deadlines are not extended when they fall on nonworking days. Accordingly, reports filed by methods other than registered, certified or overnight mail must be received by close of business on the last business day before the deadline.

On behalf of the Commission. includes whether the acquisition of the funding to Chicopee and its affiliates, Dated: August 3, 2016. nonbanking company complies with the pursuant to section 238.54 of Regulation Matthew S. Petersen, standards in section 10(c)(4)(B) of the LL. Chairman, Federal Election Commission. HOLA (12 U.S.C. 1467a(c)(4)(B)). Unless Board of Governors of the Federal Reserve [FR Doc. 2016–18839 Filed 8–8–16; 8:45 am] otherwise noted, nonbanking activities System, August 4, 2016. BILLING CODE 6715–01–P will be conducted throughout the Michele T. Fennell, United States. Assistant Secretary of the Board. Unless otherwise noted, comments regarding each of these applications [FR Doc. 2016–18856 Filed 8–8–16; 8:45 am] FEDERAL RESERVE SYSTEM must be received at the Reserve Bank BILLING CODE 6210–01–P Formations of, Acquisitions by, and indicated or the offices of the Board of Governors not later than September 2, Mergers of Savings and Loan Holding FEDERAL RESERVE SYSTEM Companies 2016. A. Federal Reserve Bank of Boston Formations of, Acquisitions by, and The companies listed in this notice (Prabal Chakrabarti, Senior Vice Mergers of Bank Holding Companies have applied to the Board for approval, President) 600 Atlantic Avenue, Boston, pursuant to the Home Owners’ Loan Act Massachusetts 02210–2204. Comments The companies listed in this notice (12 U.S.C. 1461 et seq.) (HOLA), can also be sent electronically to have applied to the Board for approval, Regulation LL (12 CFR part 238), and BOS.SRC.Applications.Comments@ pursuant to the Bank Holding Company Regulation MM (12 CFR part 239), and bos.frb.org: Act of 1956 (12 U.S.C. 1841 et seq.) all other applicable statutes and 1. Westfield Financial, Inc., Westfield, (BHC Act), Regulation Y (12 CFR part regulations to become a savings and Massachusetts (‘‘Westfield’’); to become 225), and all other applicable statutes loan holding company and/or to acquire a savings and loan holding company. and regulations to become a bank the assets or the ownership of, control Westfield currently is a savings and loan holding company and/or to acquire the of, or the power to vote shares of a holding company; Westfield proposes to assets or the ownership of, control of, or savings association and nonbanking become a bank holding company for a the power to vote shares of a bank or companies owned by the savings and moment in time by merging with bank holding company and all of the loan holding company, including the Chicopee Bancorp, Chicopee, banks and nonbanking companies companies listed below. Massachusetts and acquire its owned by the bank holding company, The applications listed below, as well subsidiary bank, Chicopee Savings including the companies listed below. as other related filings required by the Bank, Chicopee, Massachusetts. The applications listed below, as well Board, are available for immediate Westfield also has applied to retain its as other related filings required by the inspection at the Federal Reserve Bank savings association, Westfield Bank, Board, are available for immediate indicated. The application also will be Westfield, Massachusetts. After the inspection at the Federal Reserve Bank available for inspection at the offices of acquisition, Westfield proposes to merge indicated. The applications will also be the Board of Governors. Interested Chicopee Savings Bank with Westfield available for inspection at the offices of persons may express their views in Bank, with Westfield Bank as the the Board of Governors. Interested writing on the standards enumerated in surviving entity, and become a savings persons may express their views in the HOLA (12 U.S.C. 1467a(e)). If the and loan holding company. Westfield writing on the standards enumerated in proposal also involves the acquisition of also proposes to acquire Chicopee the BHC Act (12 U.S.C. 1842(c)). If the a nonbanking company, the review also Funding Corporation, which provides proposal also involves the acquisition of

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a nonbanking company, the review also files. The Federal Reserve may not Governors of the Federal Reserve includes whether the acquisition of the conduct or sponsor, and the respondent System, Washington, DC 20551, (202) nonbanking company complies with the is not required to respond to, an 452–3829. Telecommunications Device standards in section 4 of the BHC Act information collection that has been for the Deaf (TDD) users may contact (12 U.S.C. 1843). Unless otherwise extended, revised, or implemented on or (202) 263–4869, Board of Governors of noted, nonbanking activities will be after October 1, 1995, unless it displays the Federal Reserve System, conducted throughout the United States. a currently valid OMB number. Washington, DC 20551. Unless otherwise noted, comments DATES: Comments must be submitted on SUPPLEMENTARY INFORMATION: regarding each of these applications or before October 11, 2016. must be received at the Reserve Bank Request for Comment on Information ADDRESSES: You may submit comments, Collection Proposal indicated or the offices of the Board of identified by FR 3064a or FR 3064b, by Governors not later than September 2, any of the following methods: The following information collection, 2016. • Agency Web site: http:// which is being handled under this A. Federal Reserve Bank of www.federalreserve.gov. Follow the delegated authority, has received initial Minneapolis (Jacquelyn K. Brunmeier, instructions for submitting comments at Board approval and is hereby published Assistant Vice President) 90 Hennepin http://www.federalreserve.gov/apps/ for comment. At the end of the comment Avenue, Minneapolis, Minnesota foia/proposedregs.aspx. period, the proposed information 55480–0291: • Federal eRulemaking Portal: http:// collection, along with an analysis of 1. Northern Interstate Financial, Inc., www.regulations.gov. Follow the comments and recommendations Norway, Michigan; to merge with C.F.C. instructions for submitting comments. received, will be submitted to the Board Bancorp, Inc., Crystal Falls, Michigan, • Email: regs.comments@ for final approval under OMB delegated and thereby indirectly acquire First federalreserve.gov. Include OMB authority. Comments are invited on the National Bank of Crystal Falls, both of number in the subject line of the following: Crystal Falls, Michigan. message. a. Whether the proposed collection of Board of Governors of the Federal Reserve • FAX: (202) 452–3819 or (202) 452– information is necessary for the proper System, August 4, 2016. 3102. performance of the Federal Reserve’s Michele T. Fennell, • Mail: Robert deV. Frierson, functions, including whether the Assistant Secretary of the Board. Secretary, Board of Governors of the information has practical utility; [FR Doc. 2016–18858 Filed 8–8–16; 8:45 am] Federal Reserve System, 20th Street and b. The accuracy of the Federal BILLING CODE 6210–01–P Constitution Avenue NW., Washington, Reserve’s estimate of the burden of the DC 20551. proposed information collection, All public comments are available including the validity of the FEDERAL RESERVE SYSTEM from the Board’s Web site at http:// methodology and assumptions used; www.federalreserve.gov/apps/foia/ c. Ways to enhance the quality, Proposed Agency Information proposedregs.aspx as submitted, unless utility, and clarity of the information to Collection Activities; Comment modified for technical reasons. be collected; Request Accordingly, your comments will not be d. Ways to minimize the burden of edited to remove any identifying or AGENCY: Board of Governors of the information collection on respondents, Federal Reserve System. contact information. Public comments including through the use of automated may also be viewed electronically or in collection techniques or other forms of ACTION: Notice for comment regarding paper form in Room 3515, 1801 K Street information technology; and the Federal Reserve proposal to extend (between 18th and 19th Streets NW.) e. Estimates of capital or start-up costs with revision the clearance under the Washington, DC 20006 between 9:00 and costs of operation, maintenance, Paperwork Reduction Act for the a.m. and 5:00 p.m. on weekdays. and purchase of services to provide following information collection Additionally, commenters may send a information. activity. copy of their comments to the OMB Proposal to approve under OMB SUMMARY: The Board of Governors of the Desk Officer—Shagufta Ahmed—Office delegated authority the extension for Federal Reserve System (Board or of Information and Regulatory Affairs, three years, with revision, of the Federal Reserve) invites comment on a Office of Management and Budget, New following report: proposal to revise the debit card issuer Executive Office Building, Room 10235, Report title: Interchange Transaction survey (FR 3064a). 725 17th Street NW., Washington, DC Fees Surveys. On June 15, 1984, the Office of 20503 or by fax to (202) 395–6974. Agency form number: FR 3064a Management and Budget (OMB) FOR FURTHER INFORMATION CONTACT: A (extended with revision) and FR 3064b delegated to the Board of Governors of copy of the PRA OMB submission, (extended without revision). the Federal Reserve System (Board) its including the proposed reporting form OMB control number: 7100–0344. approval authority under the Paperwork and instructions, supporting statement, Frequency: FR 3064a—Biennial; FR Reduction Act (PRA), to approve of and and other documentation will be placed 3064b—Annual. assign OMB numbers to collection of into OMB’s public docket files, once Respondents: Issuers of debit cards information requests and requirements approved. These documents will also be (FR 3064a) and payment card networks conducted or sponsored by the Board. made available on the Federal Reserve (FR 3064b). Board-approved collections of Board’s public Web site at: http:// Estimated annual burden hours: FR information are incorporated into the www.federalreserve.gov/apps/ 3064a: 89,280 hours; FR 3064b: 1,275 official OMB inventory of currently reportforms/review.aspx or may be hours. approved collections of information. requested from the agency clearance Estimated average hours per response: Copies of the PRA Submission, officer, whose name appears below. FR 3064a: 160 hours; FR 3064b: 75 supporting statements and approved Federal Reserve Board Clearance hours. collection of information instruments Officer—Nuha Elmaghrabi—Office of Number of respondents: FR 3064a: are placed into OMB’s public docket the Chief Data Officer, Board of 558; FR 3064b: 17.

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General description of report: The exempt issuers obtained on the FR components for line items 3b.1 In-house Wall Street Reform and Consumer 3064b. The Board has determined to costs and 3b.2 Third-party processing Protection Act of 2010 (Dodd-Frank Act) release this information both because it fees, respectively. requires the Board to disclose, at least can already be determined IV. Information for General-Use every two years, such aggregate or mathematically based on the Prepaid Card Transactions: The Board summary information concerning the information the Board currently releases proposes to delete questions 3e and 3f, costs incurred for, and interchange on average interchange fees and because which break out the fixed and variable transaction fees received by, issuers the Board believes the release of such cost components for line items 3b.1 In- with respect to debit card transactions, information may be useful to issuers house costs and 3b.2 Third-party as the Board considers appropriate or in and merchants in choosing payment processing fees, respectively. the public interest. The data from these card networks in which to participate Definitions for variable and fixed surveys are used in fulfilling that and to policymakers in assessing the costs would remain in the instructions.7 disclosure requirement. In addition, the effect of Regulation II on the level of The break out of variable and fixed costs Board uses data from the payment card interchange fees received by issuers was originally included so as to enable network survey (FR 3064b) to publicly over time. the Board to respond to possible report on an annual basis the extent to However, the remaining individual outcomes of pending litigation regarding which networks have established issuer and payment card information Regulation II. This litigation has been separate interchange fees for exempt collected on these surveys can be kept resolved. and covered issuers. Finally, the Board confidential under exemption (b)(4) of The Board also proposes to make uses the data from these surveys in the Freedom of Information Act (FOIA) several clarifications throughout both determining whether to propose because staff has advised that, if surveys. revisions to the interchange fee released, this information would cause Board of Governors of the Federal Reserve standards in Regulation II (12 CFR part substantial harm to the competitive System, August 4, 2016. 235). The Dodd-Frank Act provides the position of the survey respondents.5 Robert deV. Frierson, Board with authority to require debit Current Actions: The Board proposes Secretary of the Board. card issuers and payment card networks to revise the debit card issuer survey [FR Doc. 2016–18852 Filed 8–8–16; 8:45 am] to submit information in order to carry (FR 3064a) by deleting questions in BILLING CODE 6210–01–P out provisions of the Dodd-Frank Act which respondents are asked to allocate regarding interchange fee standards. their costs between fixed costs and Legal authorization and variable costs. In addition, the Board FEDERAL RESERVE SYSTEM confidentiality: The FR 3064a and 3064b proposes to alter the timing of the surveys are authorized by subsection survey such that, for each data Formations of, Acquisitions by, and 920(a) of the Electronic Fund Transfer collection, the survey be made available Mergers of Bank Holding Companies to respondents in mid-January with a Act, which was amended by section The companies listed in this notice 1075(a) of the Dodd-Frank Act.1 This filing deadline in mid-April.6 This allows respondents a full 90 days to have applied to the Board for approval, statutory provision requires the Board, pursuant to the Bank Holding Company 2 respond to the surveys. at least once every two years, to Act of 1956 (12 U.S.C. 1841 et seq.) disclose aggregate or summary Proposed Revisions to FR 3064a (BHC Act), Regulation Y (12 CFR part information concerning the costs I. Information for all Debit Card 225), and all other applicable statutes incurred and interchange transaction Transactions (including general-use and regulations to become a bank fees charged or received by issuers or prepaid card transactions): The Board holding company and/or to acquire the payment card networks in connection proposes to delete questions 3e and 3f, assets or the ownership of, control of, or with the authorization, clearance or which break out the fixed and variable the power to vote shares of a bank or settlement of electronic debit cost components for line items 3b.1 In- bank holding company and all of the transaction, as the Board considers house costs and 3b.2 Third-party banks and nonbanking companies appropriate and in the public interest.3 processing fees, respectively. owned by the bank holding company, It also provides the Board with authority II. Information for Single-Message including the companies listed below. to require issuers and payment card (PIN) Debit Card Transactions The applications listed below, as well networks to provide information to (excluding general-use prepaid card as other related filings required by the enable the Board to carry out the Board, are available for immediate 4 transactions): The Board proposes to provisions of the subsection. The delete questions 3e and 3f, which break inspection at the Federal Reserve Bank obligation to respond to these surveys is out the fixed and variable cost indicated. The applications will also be mandatory. components for line items 3b.1 In-house available for inspection at the offices of In accordance with the statutory costs and 3b.2 Third-party processing the Board of Governors. Interested requirement, the Board will release fees, respectively. persons may express their views in aggregate or summary information from III. Information for Dual-Message writing on the standards enumerated in the survey responses. In addition, the (Signature) Debit Card Transactions the BHC Act (12 U.S.C. 1842(c)). If the Board will release, at the network level, (excluding general-use prepaid card proposal also involves the acquisition of the percentage of total number of transactions): The Board proposes to a nonbanking company, the review also transactions, the percentage of total delete questions 3e and 3f, which break includes whether the acquisition of the value of transactions, and the average out the fixed and variable cost nonbanking company complies with the transaction value for exempt and not- standards in section 4 of the BHC Act 5 5 U.S.C. 552(b)(4) (exempting from disclosure (12 U.S.C. 1843). Unless otherwise 1 15 U.S.C. 1693o–2. ‘‘trade secrets and commercial or financial 2 noted, nonbanking activities will be The subsection refers to biannual disclosures information obtained from a person and privileged conducted throughout the United States. and the Board interprets this to mean once every or confidential’’). two years. See 76 FR 43458 (July 20, 2011). 6 The Board will provide respondents with secure Unless otherwise noted, comments 3 15 U.S.C. 1693o–2(a)(3)(B). online access to respond to the debit card issuer regarding each of these applications 4 Id. and payment card network surveys. must be received at the Reserve Bank

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indicated or the offices of the Board of Management LLC, Inverness, Illinois as Desk Officer for GSA, Room 10236, Governors not later than August 31, its general partner (‘‘GP’’); and the NEOB, Washington, DC 20503. 2016. principal of GP, James G. Fitzgerald, Additionally submit a copy to GSA by A. Federal Reserve Bank of acting in concert; to retain and acquire any of the following methods: Philadelphia (William Spaniel, Senior additional shares of LaSalle Bancorp, • Regulations.gov: http:// Vice President) 100 North 6th Street, Inc. and thereby indirectly acquire www.regulations.gov. Submit comments Philadelphia, Pennsylvania 19105– shares of Hometown National Bank, via the Federal eRulemaking portal by 1521. Comments can also be sent both of LaSalle, Illinois. searching the OMB control number. electronically to B. Federal Reserve Bank of Kansas Select the link ‘‘Submit a Comment’’ [email protected]: City (Dennis Denney, Assistant Vice that corresponds with ‘‘Information 1. Hamilton Bancorp, Inc., Ephrata, President) 1 Memorial Drive, Kansas Collection 9000–0032, Contractor Use of Pennsylvania, to become a bank holding City, Missouri 64198–0001: Interagency Fleet Management System company by acquiring Stonebridge 1. Larry Mulcahy, Olathe, Kansas, to Vehicles’’. Follow the instructions Bank, West Chester, Pennsylvania. acquire voting shares of Roxbury provided at the ‘‘Submit a Comment’’ Board of Governors of the Federal Reserve Bancshares, Inc., and thereby acquire screen. Please include your name, System, August 3, 2016. shares of Roxbury Bank, both of company name (if any), and Michele Taylor Fennell, Roxbury, Kansas. ‘‘Information Collection 9000–0032, Assistant Secretary of the Board. Board of Governors of the Federal Reserve Contractor Use of Interagency Fleet [FR Doc. 2016–18783 Filed 8–8–16; 8:45 am] System, August 4, 2016. Management System Vehicles’’ on your Michele T. Fennell, attached document. BILLING CODE 6210–01–P • Assistant Secretary of the Board. Mail: General Services Administration, Regulatory Secretariat [FR Doc. 2016–18857 Filed 8–8–16; 8:45 am] FEDERAL RESERVE SYSTEM Division (MVCB), 1800 F Street NW., BILLING CODE 6210–01–P Washington, DC 20405. ATTN: Ms. Change in Bank Control Notices; Flowers/IC 9000–0032, Contractor Use Acquisitions of Shares of a Bank or of Interagency Fleet Management Bank Holding Company DEPARTMENT OF DEFENSE System Vehicles. Instructions: Please submit comments The notificants listed below have GENERAL SERVICES only and cite Information Collection applied under the Change in Bank ADMINISTRATION 9000–0032, Contractor Use of Control Act (12 U.S.C. 1817(j)) and Interagency Fleet Management System § 225.41 of the Board’s Regulation Y (12 NATIONAL AERONAUTICS AND Vehicles, in all correspondence related CFR 225.41) to acquire shares of a bank SPACE ADMINISTRATION to this collection. Comments received or bank holding company. The factors [OMB Control No. 9000–0032; Docket 2016– generally will be posted without change that are considered in acting on the 0053; Sequence 30] to http://www.regulations.gov, including notices are set forth in paragraph 7 of any personal and/or business the Act (12 U.S.C. 1817(j)(7)). Submission for OMB Review; confidential information provided. To The notices are available for Contractor Use of Interagency Fleet confirm receipt of your comment(s), immediate inspection at the Federal Management System Vehicles Reserve Bank indicated. The notices please check www.regulations.gov, also will be available for inspection at AGENCY: Department of Defense (DOD), approximately two to three days after the offices of the Board of Governors. General Services Administration (GSA), submission to verify posting (except Interested persons may express their and National Aeronautics and Space allow 30 days for posting of comments views in writing to the Reserve Bank Administration (NASA). submitted by mail). indicated for that notice or to the offices ACTION: Notice of request for public FOR FURTHER INFORMATION CONTACT: Ms. of the Board of Governors. Comments comments regarding an extension to an Mahruba Uddowla, Procurement must be received not later than August existing OMB clearance. Analyst, Office of Governmentwide 24, 2016. Acquisition Policy, GSA, 703–605–2868 A. Federal Reserve Bank of Chicago SUMMARY: Under the provisions of the or email at [email protected]. (Colette A. Fried, Assistant Vice Paperwork Reduction Act, the SUPPLEMENTARY INFORMATION: President) 230 South LaSalle Street, Regulatory Secretariat Division will be A. Purpose Chicago, Illinois 60690–1414: submitting to the Office of Management 1. Gerald F. Fitzgerald, Jr., Palatine, and Budget (OMB) a request to review If it is in the best interest of the Illinois; the Gerald F. Fitzgerald, Jr. and approve an extension of a Government, the contracting officer may Trust Dated September 10, 1987, as previously approved information authorize cost-reimbursement Restated December 31, 2009, Palatine, collection requirement concerning contractors to obtain, for official Illinois with Gerald F. Fitzgerald, Jr., as contractor use of interagency fleet purposes only, interagency fleet trustee; S.C. Investments, L.P., Palatine, management system vehicles. A notice management system (IFMS) vehicles Illinois, with Gerald F. Fitzgerald as was published in the Federal Register at and related services. Federal general partner; the Julie F. Schauer 81 FR 28871 on May 10, 2016. No Acquisition Regulation (FAR) 51.205 1994 Trust, Palatine, Illinois, with Julie comments were received. and the clause at FAR 52.251–2, F. Schauer as trustee; the GFF Family DATES: Submit comments on or before Interagency Fleet Management System Exempt Trust Dated January 18, 1988, September 8, 2016. (IFMS) Vehicles and Related Services, Inverness, Illinois, with Gerald F. ADDRESSES: Submit comments regarding are to be used in solicitations and Fitzgerald, Jr., James G. Fitzgerald, this burden estimate or any other aspect contracts when a cost reimbursement Thomas G. Fitzgerald and Peter G. of this collection of information, contract is contemplated and the Fitzgerald, Palatine, Illinois, as co- including suggestions for reducing this contracting officer may authorize the trustees; and Otis Road Investments, LP, burden to: Office of Information and contractor to use IFMS vehicles and Inverness, Illinois, with Otis Regulatory Affairs of OMB, Attention: related services.

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Before a contracting officer may Dated: August 4, 2016. confirm receipt of your comment(s), authorize cost-reimbursement Lorin S. Curit, please check www.regulations.gov, contractors to obtain IFMS vehicles and Director, Federal Acquisition Policy Division, approximately two to three days after related services, the contracting officer Office of Governmentwide Acquisition Policy, submission to verify posting (except must have, among other requirements: Office of Acquisition Policy, Office of allow 30 days for posting of comments • A written statement that the Governmentwide Policy. submitted by mail). contractor will assume, without the [FR Doc. 2016–18817 Filed 8–8–16; 8:45 am] FOR FURTHER INFORMATION CONTACT: right of reimbursement from the BILLING CODE 6820–EP–P Angela Colamaria, Permitting Team Government, the cost or expense of any Lead, at telephone 202–395–3708 or via use of the IFMS vehicles and services email to [email protected]. GENERAL SERVICES not related to the performance of the SUPPLEMENTARY INFORMATION: ADMINISTRATION contract; A. Purpose • Evidence that the contractor has [OMB Control No. 3090–XXXX; Docket No. obtained motor vehicle liability 2016–0001; Sequence 10] In December 2015, the Fixing insurance covering bodily injury and America’s Surface Transportation Information Collection; Permitting (FAST) Act outlined a set of property damage, with limits of liability Notice of Initiation as required or approved by the agency, fundamental requirements designed to change the way federal government protecting the contractor and the AGENCY: Federal Permitting Government against third-party claims Improvement Steering Council (FPIC), agencies carry out their permitting and arising from the ownership, General Services Administration (GSA). environmental review responsibilities for major infrastructure projects. Section maintenance, or use of an IFMS vehicle; ACTION: Notice of request for comments 41003(a)(1)(A) of the FAST Act states and regarding a new request for an OMB • that a ‘‘project sponsor of a covered Considered any recommendations clearance. project shall submit to the Executive of the contractor. The information is SUMMARY: Under the provisions of the Director and the facilitating agency used by the Government to determine Paperwork Reduction Act, the notice of the initiation of a proposed whether it is in the Government’s best Regulatory Secretariat Division will be covered project.’’ The statute goes on to interest to authorize a cost- submitting to the Office of Management describe the required information to be reimbursement contractor, for official and Budget (OMB) a request to review contained in this notice of initiation. purposes only, to use IFMS vehicles and and approve a new information In order to accommodate this related services. collection requirement regarding OMB statutory requirement, the Federal Authorized contractors shall submit Control No: 3090–XXXX; Permitting Permitting Improvement Steering requests for IFMS vehicles and related Notice of Initiation. Council (FPISC) has developed the services in writing to the appropriate DATES: Submit comments on or before Notice of Initiation form. The GSA point of contact in accordance with October 11, 2016. information collected via the Notice of the FAR. Contractors’ requests for Initiation form will be reviewed by the ADDRESSES: Submit comments vehicles or related services must facilitating agency, as identified for the identified by Information Collection include: particular type of project under 3090–XXXX; Permitting Notice of • consideration, as well as the Executive Two copies of the agency Initiation by any of the following Director of the FPISC in order to verify authorization; methods: • The number of vehicles and related • Regulations.gov: http:// that the project in question qualifies to services required and period of use; www.regulations.gov. Submit comments be considered a ‘‘covered project.’’ If the • via the Federal eRulemaking portal by project outlined in the Notice of A list of employees who are Initiation is accepted as a covered authorized to request the vehicles or searching for ‘‘Information Collection 3090–XXXX; Permitting Notice of project, the project will be added to the related services; online Permitting Dashboard and a • A listing of equipment authorized Initiation’’. Select the link ‘‘Submit a Comment’’ that corresponds with series of steps will be taken by the to be serviced; and facilitating agency and the Executive • ‘‘Information Collection 3090–XXXX; Billing instructions and address. Permitting Notice of Initiation’’. Follow Director as outlined in Title XLI of the FAST Act. B. Annual Reporting Burden the instructions provided at the ‘‘Submit a Comment’’ screen. Please include your B. Annual Reporting Burden Respondents: 132. name, company name (if any), and Respondents: 75. Responses per Respondent: 1.0. ‘‘Information Collection 3090–XXXX; Responses per Respondent: 1. Total Annual Responses: 132. Permitting Notice of Initiation’’ on your Total Annual Responses: 75. Hours per Response: 1.0. attached document. Hours per Response: 2. • Mail: General Services Total Burden Hours: 150. Total Burden Hours: 132. Administration, Regulatory Secretariat Obtaining Copies of Proposals: Division (MVCB), 1800 F Street NW., C. Public Comments Requesters may obtain a copy of the Washington, DC 20405. Public comments are particularly information collection documents from Instructions: Please submit comments invited on: Whether this collection of the General Services Administration, only and cite Information Collection information is necessary, whether it will Regulatory Secretariat Division (MVCB), 3090–XXXX; Permitting Notice of have practical utility; whether our 1800 F Street NW., Washington, DC Initiation, in all correspondence related estimate of the public burden of this 20405, telephone 202–501–4755. Please to this collection. Comments received collection of information is accurate, cite OMB Control No. 9000–0032, generally will be posted without change and based on valid assumptions and Contractor Use of Interagency Fleet to http://www.regulations.gov, including methodology; ways to enhance the Management System Vehicles, in all any personal and/or business quality, utility, and clarity of the correspondence. confidential information provided. To information to be collected; and ways in

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which we can minimize the burden of including suggestions for reducing this chemicals and pollution prevention the collection of information on those burden to: Office of Information and efforts. In keeping with this mandate, who are to respond, through the use of Regulatory Affairs of OMB, Attention: Federal contractors performing at a appropriate technological collection Desk Officer for GSA, Room 10236, Federal facility must provide sufficient techniques or other forms of information NEOB, Washington, DC 20503. information to the Federal Government technology. Additionally submit a copy to GSA by to ensure that the facility is compliant Obtaining Copies of Proposals: any of the following methods: with the E.O., PPA, and EPCRA. This Requesters may obtain a copy of the • Regulations.gov: http:// information collection is carried out by information collection documents from www.regulations.gov. Submit comments means of Federal Acquisition the General Services Administration, via the Federal eRulemaking portal by Regulation (FAR) clause 52.223–5, Regulatory Secretariat Division (MVCB), searching the OMB control number. Pollution Prevention and Right-To- 1800 F Street NW., Washington, DC Select the link ‘‘Submit a Comment’’ Know Information. 20405, telephone 202–501–4755. Please that corresponds with ‘‘Information B. Annual Reporting Burden cite OMB Control No. 3090–XXXX, Collection 9000–0147, Pollution Permitting Notice of Initiation, in all Prevention and Right-to-Know Number of Respondents: 3,035. Information’’. Follow the instructions correspondence. Responses per Respondent: 1.6. provided at the ‘‘Submit a Comment’’ Dated: July 29, 2016. screen. Please include your name, Total Annual Responses: 4,713. David A. Shive, company name (if any), and Hours per Response: 3.7. Chief Information Officer. ‘‘Information Collection 9000–0147, Estimated Total Burden Hours: [FR Doc. 2016–18796 Filed 8–8–16; 8:45 am] Pollution Prevention and Right-to-Know 17,498. BILLING CODE 6820–FM–P Information’’ on your attached Affected Public: Businesses or other- document. for-profit entities and not-for-profit • Mail: General Services institutions. DEPARTMENT OF DEFENSE Administration, Regulatory Secretariat Frequency: On occasion. Division (MVCB), 1800 F Street NW., GENERAL SERVICES Washington, DC 20405. ATTN: Ms. C. Public Comments ADMINISTRATION Flowers/IC 9000–0147, Pollution Prevention and Right-to-Know Public comments are particularly NATIONAL AERONAUTICS AND Information. invited on: Whether this collection of SPACE ADMINISTRATION Instructions: Please submit comments information is necessary for the proper only and cite Information Collection performance of functions of the Federal [OMB Control No. 9000–0147; Docket 2016– Acquisition Regulations (FAR), and 0053; Sequence 17] 9000–0147, Pollution Prevention and Right-to-Know Information, in all whether it will have practical utility; Submission for OMB Review; Pollution correspondence related to this whether our estimate of the public Prevention and Right-to-Know collection. Comments received generally burden of this collection of information Information will be posted without change to http:// is accurate, and based on valid www.regulations.gov, including any assumptions and methodology; ways to AGENCY: Department of Defense (DOD), personal and/or business confidential enhance the quality, utility, and clarity General Services Administration (GSA), information provided. To confirm of the information to be collected; and and National Aeronautics and Space receipt of your comment(s), please ways in which we can minimize the Administration (NASA). check www.regulations.gov, burden of the collection of information ACTION: Notice of request for public approximately two to three days after on those who are to respond, through comments regarding an extension to an submission to verify posting (except the use of appropriate technological existing OMB clearance. allow 30 days for posting of comments collection techniques or other forms of submitted by mail). information technology. SUMMARY: Under the provisions of the FOR FURTHER INFORMATION CONTACT: Mr. Obtaining Copies of Proposals: Paperwork Reduction Act, the Charles Gray, Procurement Analyst, Requesters may obtain a copy of the Regulatory Secretariat Division will be Office of Acquisition Policy, GSA, 703– information collection documents from submitting to the Office of Management 795–6328 or email charles.gray@ the General Services Administration, and Budget (OMB) a request to review gsa.gov. Regulatory Secretariat Division (MVCB), and approve an extension of a 1800 F Street NW., Washington, DC previously approved information SUPPLEMENTARY INFORMATION: 20405, telephone 202–501–4755. Please collection requirement concerning A. Purpose cite OMB Control Number 9000–0147, pollution prevention and right-to-know Pollution Prevention and Right-to-Know The Emergency Planning and information. A notice was published in Information, in all correspondence. the Federal Register at 81 FR 26564 on Community Right-to-Know Act of 1986 Dated: August 4, 2016. May 3, 2016. No comments were (EPCRA) (42 U.S.C. 11001–11050) and received. the Pollution Prevention Act of 1990 Lorin S. Curit, (PPA), (42 U.S.C. 13101–13109); and Director, Federal Acquisition Policy Division, DATES: Submit comments on or before Executive Order 13693, Planning for Office of Governmentwide Acquisition Policy, September 8, 2016. Federal Sustainability in the Next Office of Acquisition Policy, Office of ADDRESSES: Submit comments regarding Decade, dated March 25, 2015, require Governmentwide Policy. this burden estimate or any other aspect that Federal facilities maintain reports [FR Doc. 2016–18818 Filed 8–8–16; 8:45 am] of this collection of information, on hazardous materials and toxic BILLING CODE 6820–EP–P

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DEPARTMENT OF HEALTH AND following information collection request States territory, reported its first HUMAN SERVICES to the Office of Management and Budget confirmed locally transmitted Zika virus (OMB) for review and approval in case. Cases of local transmission have Centers for Disease Control and accordance with the Paperwork recently been confirmed in two other Prevention Reduction Act of 1995. The notice for U.S. territories, the United States Virgin the proposed information collection is Islands and American Samoa. As of [60Day–16–16AVM; Docket No. CDC–2016– 0065] published to obtain comments from the April 6, 2016, U.S. territories had public and affected agencies. reported 351 locally acquired Zika cases Proposed Data Collection Submitted Written comments and suggestions and 3 travel-associated Zika cases to for Public Comment and from the public and affected agencies CDC. Of the 354 cases reported, 37 were Recommendations concerning the proposed collection of in pregnant women. Zika has not been information are encouraged. Your spread by mosquitoes in the continental AGENCY: Centers for Disease Control and comments should address any of the United States. However, lab tests have Prevention (CDC), Department of Health following: (a) Evaluate whether the confirmed Zika virus in travelers and Human Services (HHS). proposed collection of information is returning to the United States. These ACTION: Notice with comment period; necessary for the proper performance of travelers have gotten the virus from Withdrawal. the functions of the agency, including mosquito bites and a few non-travelers whether the information will have got Zika through sex. With the recent SUMMARY: The Centers for Disease practical utility; (b) Evaluate the outbreaks in the Americas, the number Control and Prevention (CDC) in the accuracy of the agencies estimate of the of Zika cases among travelers visiting or Department of Health and Human burden of the proposed collection of returning to the United States is Services (HHS) announces the information, including the validity of increasing. CDC monitors and reports to withdrawal of the notice published the methodology and assumptions used; the public cases of Zika, which will under the same title on July 26, 2016 for (c) Enhance the quality, utility, and help improve our understanding of how public comment. clarity of the information to be and where Zika is spreading. DATES: Effective August 9, 2016. collected; (d) Minimize the burden of Zika virus is spread to people FOR FURTHER INFORMATION CONTACT: the collection of information on those primarily through the bite of an infected Information Collection Review Office, who are to respond, including through Aedes species mosquito (A. aegypti and Centers for Disease Control and the use of appropriate automated, A. albopictus). Mosquitoes that spread Prevention, 1600 Clifton Road NE., MS– electronic, mechanical, or other Zika virus are aggressive daytime biters, D74, Atlanta, Georgia 30329; phone: technological collection techniques or but they can also bite at night. A 404–639–7570; Email: [email protected]. other forms of information technology, pregnant woman can pass Zika virus to e.g., permitting electronic submission of her fetus during pregnancy. CDC is SUPPLEMENTARY INFORMATION: On July responses; and (e) Assess information studying how Zika affects pregnancies. 26, 2016 CDC published a notice in the collection costs. Zika is linked to microcephaly, a severe Federal Register titled ‘‘Proposed Data To request additional information on birth defect that is a sign of incomplete Collection Submitted for Public the proposed project or to obtain a copy brain development. Microcephaly is a Comment and Recommendations’’ (81 of the information collection plan and condition where a baby’s head is much FR 48799). This notice with Federal instruments, call (404) 639–7570 or smaller than expected. During Register Document 2016–17601 and send an email to [email protected]. Written pregnancy, a baby’s head grows because Docket number CDC–2016–0065, was comments and/or suggestions regarding the baby’s brain grows. Microcephaly published prematurely and the items contained in this notice can occur because a baby’s brain has not inadvertently. The notice is being should be directed to the Attention: developed properly during pregnancy or withdrawn immediately for public CDC Desk Officer, Office of Management has stopped growing after birth. comment. A new notice will be and Budget, Washington, DC 20503 or In February and March 2016, CDC published at a later date for public by fax to (202) 395–5806. Written used OMB emergency clearance comment. comments should be received within 30 procedures to initiate and expedite Jeffrey M. Zirger, days of this notice. multiple urgently needed information collections in American Samoa, Puerto Acting Chief, Information Collection Review Proposed Project Office, Health Scientist, Office of Scientific Rico, Brazil, and domestically within Integrity, Office of the Associate Director for Emergency Operations Center (EOC) state, tribal, local, and territorial (STLT) Science, Office of the Director, Centers for Clinical Inquiries Database—New— jurisdictions. These procedures have Disease Control and Prevention. Office of Public Health Preparedness allowed the agency to target and refine [FR Doc. 2016–18866 Filed 8–8–16; 8:45 am] and Response (OPHPR), Centers for public health interventions to arrest BILLING CODE 4163–18–P Disease Control and Prevention (CDC) ongoing spread of infection. With this notice, the CDC is Background and Brief Description announcing its intention to seek OMB DEPARTMENT OF HEALTH AND In May 2015, the Pan American clearance to continue a Zika-related HUMAN SERVICES Health Organization (PAHO) issued an information collections a call center in alert regarding the first confirmed Zika CDC’s Emergency Operations Center Centers for Disease Control and virus infections in Brazil. Since then, (EOC) to respond to inquiries on clinical Prevention CDC has been responding to increased care of persons potentially of interest for reports of Zika and has assisted in Zika virus infection beyond its current [30Day–16–16AFR] investigations with PAHO and the emergency expiration date [OMB Agency Forms Undergoing Paperwork Brazil Ministry of Health. The first Control No. 0920–1101, expiration date Reduction Act Review regional travel notices for Zika in South 8/31/16]. Respondents to this America and Mexico were posted in information collection include the The Centers for Disease Control and December 2015. In December 2015, the general public, clinicians, and Prevention (CDC) has submitted the Commonwealth of Puerto Rico, a United employees at STLT health departments.

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The purpose of this information clinical inquiries. However, the new ICR These information collections will collection is to document and track will cover this project for any EOC align with their legislative authority, clinical inquiries made to the CDC EOC activation. Regardless of the disease or Section 301 of the Public Health Service call center and to systematically collect hazard being responded to, the EOC Act (42 U.S.C. 241). There are no total standardized clinical/demographic/ operates this call center to answer and costs to the respondents other than their epidemiological information about respond to clinical inquiries. This time. The total annualized burden suspected cases. The emergency information collection is a necessary requested is 305 hours. clearance for this information collection part of operating this call center and dealt specifically with Zika-related responding to emergency situations.

ESTIMATED ANNUALIZED BURDEN HOURS

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

State and Local Health Departments ...... Clinical Inquiries Database ...... 420 1 15/60 Clinicians and Other Providers ...... Clinical Inquiries Database ...... 800 1 15/60

Jeffrey M. Zirger, to a disability, visitor parking, and • For written/paper comments Health Scientist, Acting Chief, Information transportation may be accessed at: submitted to the Division of Dockets Collection Review Office, Office of Scientific http://www.fda.gov/ Management, FDA will post your Integrity, Office of the Associate Director for AdvisoryCommittees/ comment, as well as any attachments, Science, Office of the Director, Centers for AboutAdvisoryCommittees/ except for information submitted, Disease Control and Prevention. ucm408555.htm. marked and identified, as confidential, [FR Doc. 2016–18837 Filed 8–8–16; 8:45 am] You may submit comments as if submitted as detailed in BILLING CODE 4163–18–P follows: ‘‘Instructions.’’ Electronic Submissions Instructions: All submissions received must include the Docket No. FDA– DEPARTMENT OF HEALTH AND Submit electronic comments in the 2016–N–2147 for ‘‘General and Plastic HUMAN SERVICES following way: Surgery Devices Panel of the Medical • Federal eRulemaking Portal: http:// Devices Advisory Committee; Notice of Food and Drug Administration www.regulations.gov. Follow the Meeting; Establishment of a Public instructions for submitting comments. [Docket No. FDA–2016–N–2147] Docket; Request for Comments.’’ Comments submitted electronically, Received comments will be placed in General and Plastic Surgery Devices including attachments, to http:// the docket and, except for those Panel of the Medical Devices Advisory www.regulations.gov will be posted to submitted as ‘‘Confidential Committee; Notice of Meeting, the docket unchanged. Because your Submissions,’’ publicly viewable at Establishment of a Public Docket, comment will be made public, you are http://www.regulations.gov or at the Request for Comments solely responsible for ensuring that your Division of Dockets Management comment does not include any between 9 a.m. and 4 p.m., Monday AGENCY: Food and Drug Administration, confidential information that you or a HHS. through Friday. third party may not wish to be posted, • ACTION: Notice, establishment of a such as medical information, your or Confidential Submissions—To public docket, request for comments. anyone else’s Social Security number, or submit a comment with confidential information that you do not wish to be SUMMARY: The Food and Drug confidential business information, such as a manufacturing process. Please note made publicly available, submit your Administration (FDA) announces a comments only as a written/paper forthcoming public advisory committee that if you include your name, contact information, or other information that submission. You should submit two meeting of the General and Plastic copies total. One copy will include the Surgery Devices Panel of the Medical identifies you in the body of your comments, that information will be information you claim to be confidential Devices Advisory Committee. The with a heading or cover note that states general function of the committee is to posted on http://www.regulations.gov. • If you want to submit a comment ‘‘THIS DOCUMENT CONTAINS provide advice and recommendations to with confidential information that you CONFIDENTIAL INFORMATION.’’ The the Agency on FDA’s regulatory issues. do not wish to be made available to the Agency will review this copy, including The meeting will be open to the public. public, submit the comment as a the claimed confidential information, in FDA is establishing a docket for public written/paper submission and in the its consideration of comments. The comment on this document. manner detailed (see ‘‘Written/Paper second copy, which will have the DATES: The meeting will be held on Submissions’’ and ‘‘Instructions’’). claimed confidential information September 20 and 21, 2016, from 8 a.m. redacted/blacked out, will be available to 6 p.m. Written/Paper Submissions for public viewing and posted on http:// ADDRESSES: Hilton Washington, DC Submit written/paper submissions as www.regulations.gov. Submit both North/Gaithersburg, Grand Ballroom, follows: copies to the Division of Dockets 620 Perry Pkwy., Gaithersburg, MD • Mail/Hand delivery/Courier (for Management. If you do not wish your 20877. The hotel’s telephone number is written/paper submissions): Division of name and contact information to be 301–977–8900. Answers to commonly Dockets Management (HFA–305), Food made publicly available, you can asked questions including information and Drug Administration, 5630 Fishers provide this information on the cover regarding special accommodations due Lane, Rm. 1061, Rockville, MD 20852. sheet and not in the body of your

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comments and you must identify this care products, and how they should be notify interested persons regarding their information as ‘‘confidential.’’ Any classified. They may be classified in request to speak by August 29, 2016. information marked as ‘‘confidential’’ class I (general controls), class II (special Persons attending FDA’s advisory will not be disclosed except in and general controls), or class III committee meetings are advised that the accordance with 21 CFR 10.20 and other (premarket approval (PMA), requiring Agency is not responsible for providing applicable disclosure law. For more demonstration of safety and access to electrical outlets. information about FDA’s posting of effectiveness for each product). FDA is establishing a docket for comments to public dockets, see 80 FR FDA believes some of these products public comment on this document. The 56469, September 18, 2015, or access may meet the definition of class II docket number is FDA–2016–N–2147. the information at: http://www.fda.gov/ whereas others may meet the definition The docket will close on October 20, regulatoryinformation/dockets/ of class III in light of their intended use, 2016. Comments received on or before default.htm. composition, the extent of evidence of September 1, 2016, will be provided to Docket: For access to the docket to clinical benefit, and the risks they pose. the committee. Comments received after read background documents or the For the subset of the these products that that date will be taken into electronic and written/paper comments contain antibiotics, FDA appreciates the consideration by the Agency. received, go to http:// importance of appropriately addressing For press inquiries, please contact the www.regulations.gov and insert the the risk of antimicrobial resistance Office of Media Affairs at fdaoma@ docket number, found in brackets in the (AMR) in light of the increasingly fda.hhs.gov or 301–796–4540. heading of this document, into the significant national public health FDA welcomes the attendance of the ‘‘Search’’ box and follow the prompts concern posed by AMR. FDA is also public at its advisory committee and/or go to the Division of Dockets aware of differences in the claims made meetings and will make every effort to Management, 5630 Fishers Lane, Rm. for some products even though they accommodate persons with disabilities. 1061, Rockville, MD 20852. may be regulated in the same manner. If you require accommodations due to a FOR FURTHER INFORMATION CONTACT: FDA intends to make background disability, please contact AnnMarie Evella Washington, Center for Devices material available to the public on its Williams at AnnMarie.Williams@ and Radiological Health, Food and Drug Web site at least 2 business days before fda.hhs.gov, or 301–796–5966 at least 7 Administration, 10903 New Hampshire the meeting. If FDA is unable to post the days in advance of the meeting. Ave., Bldg. 66, Rm. 1535, Silver Spring, background material on its Web site FDA is committed to the orderly MD 20993–0002, 301–796–6683, prior to the meeting, the background conduct of its advisory committee [email protected], or FDA material will be made publicly available meetings. Please visit our Web site at Advisory Committee Information Line, at the location of the meeting, and the http://www.fda.gov/ 1–800–741–8138 (301–443–0572 in the background material will be posted on AdvisoryCommittees/ Washington, DC area). FDA’s Web site after the meeting. AboutAdvisoryCommittees/ A notice in the Federal Register about Background material will be available at ucm111462.htm for procedures on last minute modifications that impact a http://www.fda.gov/ public conduct during advisory previously announced advisory AdvisoryCommittees/Calendar/ committee meetings. Notice of this meeting is given under committee meeting cannot always be default.htm. Scroll down to the the Federal Advisory Committee Act (5 published quickly enough to provide appropriate advisory committee meeting U.S.C. app. 2). timely notice. Therefore, you should link. always check the Agency’s Web site at Procedure: Interested persons may Dated: August 3, 2016. http://www.fda.gov/ present data, information, or views, Janice M. Soreth, AdvisoryCommittees/default.htm and orally or in writing, on issues pending Acting Associate Commissioner, Special scroll down to the appropriate advisory before the committee. Written Medical Programs. committee meeting link, or call the submissions may be made to the contact [FR Doc. 2016–18814 Filed 8–8–16; 8:45 am] advisory committee information line to person on or before September 6, 2016. BILLING CODE 4164–01–P learn about possible modifications Oral presentations from the public will before coming to the meeting. be scheduled between approximately 1 SUPPLEMENTARY INFORMATION: p.m. and 2 p.m. on September 20 and DEPARTMENT OF HEALTH AND Agenda: On September 20 and 21, between approximately 9 a.m. and 10:30 HUMAN SERVICES 2016, the Committee will discuss and a.m. on September 21, 2016. Those make recommendations regarding the individuals interested in making formal National Institutes of Health oral presentations should notify the classification of certain wound care National Institute on Deafness and contact person and submit a brief products containing antimicrobials and Other Communication Disorders; statement of the general nature of the other drugs as part of the routine Notice of Closed Meetings process for device classification. These evidence or arguments they wish to products are regulated under product present, the names and addresses of Pursuant to section 10(d) of the code FRO, ‘‘Dressing, Wound, Drug,’’ proposed participants, and an Federal Advisory Committee Act, as and are considered ‘‘pre-amendments’’ indication of the approximate time amended (5 U.S.C. App.), notice is because they were in commercial requested to make their presentation on hereby given of the following meetings. distribution prior to May 28, 1976, or before August 26, 2016. Time allotted The meetings will be closed to the when the Medical Devices Amendments for each presentation may be limited. If public in accordance with the were enacted, and have not yet been the number of registrants requesting to provisions set forth in sections classified under section 513 of the speak is greater than can be reasonably 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Federal Food, Drug, and Cosmetic Act. accommodated during the scheduled as amended. The grant applications and As a part of the classification process, open public hearing session, FDA may the discussions could disclose FDA is seeking committee input on the conduct a lottery to determine the confidential trade secrets or commercial indications for use, risks to health, and speakers for the scheduled open public property such as patentable material, safety and effectiveness of these wound hearing session. The contact person will and personal information concerning

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individuals associated with the grant MD 20892, 301–496–8683, singhs@ DEPARTMENT OF HEALTH AND applications, the disclosure of which nidcd.nih.gov. HUMAN SERVICES would constitute a clearly unwarranted Name of Committee: National Institute on invasion of personal privacy. Deafness and Other Communication National Institutes of Health Name of Committee: National Institute on Disorders Special Emphasis Panel; VSL Clinical Trial Review. Center for Scientific Review; Notice of Deafness and Other Communication Closed Meeting Disorders Special Emphasis Panel; NIDCD Date: September 22, 2016. Institutional Research Training Grant Time: 11:00 a.m. to 12:30 p.m. Pursuant to section 10(d) of the Application Review. Agenda: To review and evaluate grant Federal Advisory Committee Act, as Date: September 7, 2016. applications. amended (5 U.S.C. App.), notice is Time: 8:00 a.m. to 5:00 p.m. Place: National Institutes of Health, hereby given of the following meeting. Agenda: To review and evaluate grant Neuroscience Center, 6001 Executive The meeting will be closed to the applications. Boulevard, Rockville, MD 20852 (Telephone public in accordance with the Place: Embassy Suites at the Chevy Chase Conference Call). Pavilion, 4300 Military Road NW., provisions set forth in sections Contact Person: Shiguang Yang, DVM, Washington, DC 20015. Ph.D., Scientific Review Officer, Division of 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Contact Person: Shiguang Yang, DVM, Extramural Activities, NIDCD, NIH, 6001 as amended. The grant applications and Ph.D., Scientific Review Officer Division of the discussions could disclose Extramural Activities NIDCD, NIH, 6001 Executive Blvd., Room 8349, Bethesda, MD 20892, 301–496–8683, yangshi@ confidential trade secrets or commercial Executive Blvd., Room 8349, Bethesda, MD property such as patentable material, 20892, 301–496–8683, yangshi@ nidcd.nih.gov. and personal information concerning nidcd.nih.gov. Name of Committee: National Institute on individuals associated with the grant Name of Committee: National Institute on Deafness and Other Communication applications, the disclosure of which Deafness and Other Communication Disorders, Special Emphasis Panel; would constitute a clearly unwarranted Disorders Special Emphasis Panel; NIDCD Synaptopathy R01 Review. invasion of personal privacy. Clinical Research Center Grant (P50) Review. Date: October 4, 2016. Date: September 14, 2016. Time: 1:00 p.m. to 4:00 p.m. Name of Committee: Center for Scientific Time: 11:00 a.m. to 3:00 p.m. Agenda: To review and evaluate grant Review Special Emphasis Panel; Risk, Agenda: To review and evaluate grant applications. Prevention, and Health Behavior. applications. Place: National Institutes of Health, Date: August 11, 2016. Place: National Institutes of Health, Time: 10:00 a.m. to 11:00 a.m. Neuroscience Center, 6001 Executive Neuroscience Center, 6001 Executive Agenda: To review and evaluate grant Boulevard, Rockville, MD 20852 (Telephone Boulevard, Rockville, MD 20852 (Telephone applications. Conference Call). Conference Call). Place: National Institutes of Health, 6701 Contact Person: Katherine Shim, Ph.D., Contact Person: Kausik Ray, Ph.D., Rockledge Drive, Bethesda, MD 20892 Scientific Review Officer, Division of Scientific Review Officer, National Institute (Telephone Conference Call). Extramural Activities, NIH/NIDCD, 6001 on Deafness and Other Communication Contact Person: Martha M. Faraday, Ph.D., Executive Blvd., Room 8351, Bethesda, MD Disorders, National Institutes of Health, Scientific Review Officer, Center for 20892, 301–496–8683, katherine.shim@ Rockville, MD 20850, 301–402–3587, rayk@ Scientific Review, National Institutes of nih.gov. nidcd.nih.gov. Health, 6701 Rockledge Drive, Room 3110, Name of Committee: National Institute on MSC 7808, Bethesda, MD 20892, faradaym@ Name of Committee: Communication Deafness and Other Communication csr.nih.gov. Disorders, Special Emphasis Panel; P50 Disorders Review Committee. This notice is being published less than 15 Review Meeting. Date: October 6–7, 2016. days prior to the meeting due to the timing Date: September 19, 2016. Time: 8:00 a.m. to 5:00 p.m. limitations imposed by the review and Time: 2:00 p.m. to 5:00 p.m. Agenda: To review and evaluate grant funding cycle. Agenda: To review and evaluate grant applications. (Catalogue of Federal Domestic Assistance applications. Place: Residence Inn Bethesda, 7335 Program Nos. 93.306, Comparative Medicine; Place: National Institutes of Health, Wisconsin Avenue, Bethesda, MD 20814. 93.333, Clinical Research, 93.306, 93.333, Neuroscience Center, 6001 Executive Contact Person: Eliane Lazar-Wesley, 93.337, 93.393–93.396, 93.837–93.844, Boulevard, Rockville, MD 20852 (Telephone Scientific Review Officer, Division of 93.846-93.878, 93.892, 93.893, National Conference Call). Extramural Activities, National Institute on Institutes of Health, HHS) Contact Person: Kausik Ray, Ph.D., Deafness and other Communication Scientific Review Officer, National Institute Dated: August 4, 2016. Disorders/NIH, 6001 Executive Blvd., MSC on Deafness and Other Communication Carolyn Baum, Disorders, National Institutes of Health, 9670, Bethesda, MD 20892–8401, 301–496– Program Analyst, Office of Federal Advisory Rockville, MD 20850, 301–402–3587, rayk@ 8683, [email protected]. Committee Policy. nidcd.nih.gov. (Catalogue of Federal Domestic Assistance Name of Committee: National Institute on Program Nos. 93.173, Biological Research [FR Doc. 2016–18865 Filed 8–8–16; 8:45 am] Deafness and Other Communication Related to Deafness and Communicative BILLING CODE 4140–01–P Disorders, Special Emphasis Panel; Revised Disorders, National Institutes of Health, HHS) CRC Grant Review. Date: September 20, 2016. Dated: August 3, 2016. DEPARTMENT OF HEALTH AND Time: 11:00 a.m. to 2:30 p.m. Sylvia L. Neal, HUMAN SERVICES Agenda: To review and evaluate grant Program Analyst, Office of Federal Advisory applications. Committee Policy. National Institutes of Health Place: National Institutes of Health, [FR Doc. 2016–18864 Filed 8–8–16; 8:45 am] Neuroscience Center, 6001 Executive Government-Owned Inventions; Boulevard, Rockville, MD 20852 (Telephone BILLING CODE 4140–01–P Availability for Licensing Conference Call). Contact Person: Sheo Singh, Ph.D., AGENCY: National Institutes of Health, Scientific Review Officer, Scientific Review HHS. Branch, Division of Extramural Activities, ACTION: Notice. 6001 Executive Blvd., Room 8351, Bethesda,

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SUMMARY: The invention listed below is can provide a robust immune response response using Conserved Element owned by an agency of the U.S. compared to administration of a full- Constructs. Government and is available for length Env or Gag protein. The Env-CE Publications licensing and/or co-development in the DNA vaccines were tested in a rhesus • U.S. in accordance with 35 U.S.C. 209 macaque model and were able to induce Kulkarni, V. et al. PLoS One;9:e86254. 2014. http://journals.plos.org/plosone/ and 37 CFR part 404 to achieve a cellular and humoral immune article?id=10.1371/journal.pone.0086254 expeditious commercialization of response in this model whereas • Kulkarni, V. et al. PLos One Oct results of federally-funded research and vaccination with the full length DNA 22;9(10):e111085. doi: 10.1371/ development. Foreign patent did not produce the same effect. journal.pone.0111085. eCollection, 2014. applications are filed on selected A robust increase in immunity was http://journals.plos.org/plosone/ inventions to extend market coverage observed when rhesus macaques were article?id=10.1371/journal.pone.0111085 for companies and may also be available subjected to a prime-boost protocol. Related Technologies: HHS Reference for licensing and/or co-development. First, rhesus macaques were primed #E–132–2012/0 Method of Altering the ADDRESSES: Invention Development and with Env-CE DNA and boosted with full Immunodominance Hierarchy of HIV Marketing Unit, Technology Transfer length Env resulting in an observed Gag by DNA Vaccine Expressing Center, National Cancer Institute, 9609 increase in both the cellular and Conserved Regions. Medical Center Drive, Mail Stop 9702, humoral responses. A further increase Contact Information: Requests for Rockville, MD 20850–9702. in immune response was observed from copies of the patent application or FOR FURTHER INFORMATION CONTACT: priming with CE and boosting with a inquiries about licensing, research Information on licensing and co- combination of CE and full length DNA collaborations, and co-development development research collaborations, resulting in a significantly improved opportunities should be sent to John D. and copies of the U.S. patent breadth of immune responses. These Hewes, Ph.D., email: john.hewes@ applications listed below may be improved protocols may help solve the nih.gov. immunodominance problem observed obtained by contacting: Attn. Invention Dated: August 2, 2016. Development and Marketing Unit, in current protocols. This is considered John D. Hewes, Technology Transfer Center, National a major obstacle for HIV vaccine Cancer Institute, 9609 Medical Center development. The CE vaccines Technology Transfer Specialist, Technology Transfer Center, National Cancer Institute. Drive, Mail Stop 9702, Rockville, MD described by this invention have 20850–9702, Tel. 240–276–5515 or potential for use as prophylactic and [FR Doc. 2016–18861 Filed 8–8–16; 8:45 am] email [email protected]. A therapeutic HIV vaccines. BILLING CODE 4140–01–P signed Confidential Disclosure Potential Commercial Applications: Agreement may be required to receive • HIV vaccines DEPARTMENT OF HEALTH AND copies of the patent applications. Value Proposition: • HUMAN SERVICES SUPPLEMENTARY INFORMATION: Addresses two key hurdles faced by Technology description follows. current HIV vaccines: sequence National Institutes of Health Title of invention: Vaccines for HIV. diversity of HIV and Description of Technology: Although immunodominance. National Institute of Neurological the development of an effective HIV • Induces cross-clade specific Disorders and Stroke; Notice of Closed vaccine has been an ongoing area of immune response. Meetings research, the high variability in HIV–1 • The prime-boost immunization virus strains has represented a major regimen is not limited to HIV, but can Pursuant to section 10(d) of the challenge in successful development. be employed to improve the induction Federal Advisory Committee Act, as Ideally, an effective candidate vaccine of immune responses to any amended (5 U.S.C. App.), notice is would provide protection against the subdominant epitopes (cellular or hereby given of the following meetings. majority of clades of HIV. Two major humoral) to increase breadth, magnitude The meetings will be closed to the challenges are immunodominance and and quality of the immune response. public in accordance with the sequence diversity. One strategy for Development Stage: Pre-clinical (in provisions set forth in sections overcoming these two issues is to vivo validation). 552b(c)(4) and 552b(c)(6), title 5 U.S.C., identify the conserved regions of the Inventor(s): George Pavlakis, Barbara as amended. The grant applications and virus and exploit them for use in a Felber, Antonio Valentin, James the discussions could disclose targeted therapy. Mullins. confidential trade secrets or commercial Researchers at the National Cancer Intellectual Property: HHS Reference property such as patentable material, Institute’s Vaccine Branch used #E–087–2015/0–US–01, corresponding and personal information concerning conserved elements (CEs) of the to U.S. Provisional Patent App. #62/ individuals associated with the grant polypeptides Gag and Env as 161,123, filed on May 13, 2015, entitled: applications, the disclosure of which immunogenic compositions to induce HIV Env Conserved Element DNA would constitute a clearly unwarranted an immune response to HIV–1 envelope Vaccine. invasion of personal privacy. polypeptides and Gag polypeptides. HHS Reference #E–009–2016/0–US– Name of Committee: National Institute of conserved elements (CEs) of the 01, corresponding to U.S. Provisional Neurological Disorders and Stroke Special polypeptides Gag and Env as Patent App. #62/241,599, filed on Emphasis Panel; Review of Late Arriving K immunogenic compositions to induce October 14, 2015, entitled: Prime-Boost Mechanism Grant Applications. an immune response to HIV–1 envelope combination vaccine to Expand Breadth Date: August 17, 2016. polypeptides and Gag polypeptides. of Immunological Response. Time: 8:00 a.m. to 11:00 a.m. Agenda: To review and evaluate grant This invention is based, in part, on the HHS Reference #E–087–2015/0–PCT– applications. discovery that administration of one or 02; corresponding to International Place: National Institutes of Health, more polypeptides comprising CEs, Patent App. #PCT/US2016/032317; filed Neuroscience Center, 6001 Executive separated by linkers and collinearly on May 13, 2016, entitled: Methods and Boulevard, Rockville, MD 20852 (Telephone arranged, of HIV Env or Gag CE proteins Compositions for inducing an immune Conference Call).

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Contact Person: William C. Benzing, Ph.D., DEPARTMENT OF HEALTH AND The technology is directed to methods Scientific Review Officer, Scientific Review HUMAN SERVICES of treating diseases characterized by Branch, Division of Extramural Research, demyelination (such as Multiple NINDS/ NIH/DHHS, Neuroscience Center, National Institutes of Health sclerosis), white matter injury, or 6001 Executive Blvd., Suite 3204, MSC 9529, conditions associated with myelin Bethesda, MD 20892–9529, 301–496–0660, Government-Owned Inventions; remodeling by administering an agent [email protected]. Availability for Licensing that inhibits cleavage of Neurofascin This notice is being published less than 15 155 or Caspr1. The agent could be a days prior to the meeting due to the timing AGENCY: National Institutes of Health, HHS. thrombin inhibitor, an agent that limitations imposed by the review and inhibits thrombin expression, an anti- funding cycle. ACTION: Notice thrombin antibody that specifically Name of Committee: National Institute of inhibits thrombin mediated cleavage of Neurological Disorders and Stroke Special SUMMARY: The invention listed below is owned by an agency of the U.S. Neurofascin 155, a mutated version or Emphasis Panel; Clinician Training Program fragment of Neurofascin 155 or Caspr1, R25 Application Review. Government and is available for licensing and/or co-development in the antibodies to Neurofascin 155 or Caspr1. Date: August 17, 2016. The technology also includes methods U.S. in accordance with 35 U.S.C. 209 Time: 2:00 p.m. to 8:00 p.m. of detecting remodeling of myelin by and 37 CFR part 404 to achieve Agenda: To review and evaluate grant detecting changes in levels of expeditious commercialization of applications. Neurofascin 125 and Neurofascin 30 in results of federally-funded research and Place: National Institutes of Health, a biological sample, such as central development. Foreign patent Neuroscience Center, 6001 Executive spinal fluid or blood. applications are filed on selected Boulevard, Rockville, MD 20852 (Telephone Potential Commercial Applications: inventions to extend market coverage Conference Call). Treatment of demyelinating diseases, Contact Person: William C. Benzing, Ph.D., for companies and may also be available such as Multiple sclerosis. Scientific Review Officer, Scientific Review for licensing and/or co-development. Treatment of diseases characterized Branch, Division of Extramural Research, ADDRESSES: Invention Development and by white matter injury or myelin NINDS/NIH/DHHS, Neuroscience Center, Marketing Unit, Technology Transfer remodeling. 6001 Executive Blvd, Suite MSC 9529, Center, National Cancer Institute, 9609 Monitoring the amount of or rate of Bethesda, MD 20892–9529, 301–496–0660, Medical Center Drive, Mail Stop 9702, remodeling of myelin to determine the [email protected]. Rockville, MD, 20850–9702. efficacy of agents used demyelinating This notice is being published less than 15 diseases. days prior to the meeting due to the timing FOR FURTHER INFORMATION CONTACT: Value Proposition: Agents which limitations imposed by the review and Information on licensing and co- inhibit cleavage of Neurofascin 155 or funding cycle. development research collaborations, and copies of the U.S. patent Caspr1 or inhibit thrombin activity are Name of Committee: National Institute of a novel approach to treating Neurological Disorders and Stroke Special applications listed below may be obtained by contacting: Attn. Invention demyelinating diseases or diseases Emphasis Panel; Biorepository Resource characterized by white matter injury. Access Committee (BRAC) X01 Meeting. Development and Marketing Unit, Technology Transfer Center, National The methods of detecting Date: August 18, 2016. modification in the amount or rate of Time: 1:00 p.m. to 3:00 p.m. Cancer Institute, 9609 Medical Center remodeling of myelin can be used to Agenda: To review and evaluate grant Drive, Mail Stop 9702, Rockville, MD, applications. 20850–9702, Tel. 240–276–5515 or determine the efficacy of treatments of Place: National Institutes of Health, email [email protected]. A neurological disorders and are less Neuroscience Center, 6001 Executive signed Confidential Disclosure expensive than other methods currently Boulevard, Rockville, MD 20852 (Telephone Agreement may be required to receive used. Conference Call). copies of the patent applications. Development Stage: Pre-clinical (in vivo validation). Contact Person: Joel A. Sayoff, Ph.D., SUPPLEMENTARY INFORMATION: Scientific Review Officer, Scientific Review Inventor(s): R. Douglas Fields https:// Technology description follows. science.nichd.nih.gov/confluence/ Branch, Division of Extramural Research, Title of invention: Methods of NINDS/NIH/DHHS, Neuroscience Center, display/snsdp/Home. Treating or Preventing Demyelination 6001 Executive Blvd., Suite 3204, MSC 9529, Intellectual Property: HHS Reference Using Thrombin Inhibitors and Methods Bethesda, MD 20892–9529, 301–496–9223, No. E–151–2015/0–PCT–02. [email protected]. of Detecting Demyelination Using PCT application, PCT/US2016/ This notice is being published less than 15 Neurofascin 155. 027776, filed April 15, 2016 entitled days prior to the meeting due to the timing Description of Technology: ‘‘Methods of Treating or Preventing limitations imposed by the review and Neurofascin 155 is a cell adhesion Demyelination Using Thrombin funding cycle. molecule that attaches myelin to Inhibitors and Methods of Detecting (Catalogue of Federal Domestic Assistance axolemma. Contactin-associated protein Demyelination Using Neurofascin 155’’. Program Nos. 93.853, Clinical Research (Caspr) is a major component of the Publications: 1. In preparation. Related to Neurological Disorders; 93.854, perinodes. Perinodal astrocytes regulate Collaboration Opportunity: Biological Basis Research in the nodal structure and myelin thickness by Researchers at the Eunice Kennedy Neurosciences, National Institutes of Health, regulating thrombin-dependent cleavage Shriver National Institute of Child HHS) of axo-glial junction attaching the Health and Human Development outermost paranodal loops of myelin to (‘‘NICHD’’), seek CRADA partner or Dated: August 3, 2016. the axon membrane. Agents which collaboration for development of agents Sylvia L. Neal, inhibit the cleavage of Neurofascin 155 to treat multiple sclerosis or other Program Analyst, Office of Federal Advisory or the cleavage of Caspr1 stabilize the conditions associated with myelin Committee Policy. node and may impede the remodeling by administering an agent [FR Doc. 2016–18863 Filed 8–8–16; 8:45 am] immunological attack of myelin where that inhibits cleavage of Neurofascin BILLING CODE 4140–01–P the paranodes are attached to the axon. 155 or Caspr1. The agent could be a

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thrombin inhibitor, an agent that organizations such as schools, United States, as well as associated inhibits thrombin expression, an anti- universities, and exchange visitor organizations and individuals, who thrombin antibody that specifically programs being investigated by CTCEU overstay their period of admission or inhibits thrombin mediated cleavage of and information about individuals, otherwise violate the terms of their visa, Neurofascin 155, a mutated version or including designated school officials immigrant, or non-immigrant status fragment of Neurofascin 155 or Caspr1, (DSOs), and associates of suspected (collectively, ‘‘status violators’’). Using or antibodies to Neurofascin 155 or status violators. the LeadTrac information technology Caspr1. Additionally, DHS/ICE is issuing a (IT) system, ICE Homeland Security Contact Information: Requests for Notice of Proposed Rulemaking to Investigations (HSI), Counterterrorism copies of the patent application or exempt this system of records from and Criminal Exploitation Unit (CTCEU) inquiries about licensing, research certain provisions of the Privacy Act, collects PII from key DHS databases and collaborations, and co-development elsewhere in the Federal Register. This analyzes it to identify suspected status opportunities should be sent to John D. newly established system will be violators. This system of records Hewes, Ph.D., email: john.hewes@ included in the Department of contains records from Arrival and nih.gov. Homeland Security’s inventory of Departure Information System (ADIS), Student and Exchange Visitor Dated: August 2, 2016. record systems. DATES: Submit comments on or before Information System (SEVIS), John D. Hewes, Enforcement Integrated Database (EID/ Technology Transfer Specialist, Technology September 8, 2016.This new system will be effective September 8, 2016. ENFORCE), TECS, Consular Transfer Center, National Cancer Institute. Consolidated Database (CCD), ADDRESSES: You may submit comments, [FR Doc. 2016–18862 Filed 8–8–16; 8:45 am] Computer—Linked Application identified by docket number DHS– BILLING CODE 4140–01–P Information Management System 2016–0053 by one of the following (CLAIMS 3), Automated Biometric methods: Identification System (IDENT), and from • Federal e-Rulemaking Portal: http:// DEPARTMENT OF HOMELAND commercial databases and public www.regulations.gov. Follow the SECURITY sources. CTCEU will also use LeadTrac instructions for submitting comments. • to collect information about Office of the Secretary Fax: 202–343–4010. • Mail: Jonathan R. Cantor, Acting organizations such as schools, [Docket No. DHS–2016–0053] Chief Privacy Officer, Privacy Office, universities, and exchange visitor Department of Homeland Security, programs being investigated by CTCEU, Privacy Act of 1974; Department of Washington, DC 20528–0655. and information about individuals, Homeland Security/ICE–015 LeadTrac Instructions: All submissions received including designated school officials System of Records must include the agency name and (DSOs) and associates of suspected docket number for this rulemaking. All status violators. AGENCY: Privacy Office, Department of ICE collects information in LeadTrac comments received will be posted Homeland Security (DHS). about suspected status violators and without change to http:// ACTION: Notice of Privacy Act system of organizations to help enforce www.regulations.gov, including any records. compliance with U.S. immigration laws. personal information provided. Specifically, the information is collected Docket: For access to the docket to SUMMARY: In accordance with the and used to support the following DHS read background documents or Privacy Act of 1974, the Department of activities: Investigating and determining comments received, please visit http:// Homeland Security (DHS) proposes to immigration status of individuals; establish a new DHS system of records www.regulations.gov. identifying fraudulent schools and/or titled, ‘‘DHS/ICE–015 LeadTrac System FOR FURTHER INFORMATION CONTACT: For organizations and the people affiliated of Records.’’ This new system of records general questions, please contact: with those schools or organizations; is being created from a previously Amber Smith, Privacy Officer, (202) providing HSI and Enforcement and issued system of records, DHS/ICE 009– 732–3300, U.S. Immigration and Removal Operations (ERO) with External Investigations SORN. 73 FR Customs Enforcement, 500 12th Street information to further investigate 75452 (Dec. 11, 2008). This system of SW., Mail Stop 5004, Washington, DC suspected status violators; and carrying records allows DHS to collect and 20536, email: [email protected]. For out the required enforcement activity. maintain records gathered by and in the privacy questions, please contact: Some of the individuals about whom possession of U.S. Immigrations and Jonathan R. Cantor, (202) 343–1717, ICE collects information in LeadTrac, Customs Enforcement (ICE), Homeland Acting Chief Privacy Officer, Privacy such as DSOs and associates of Security Investigations (HSI), Office, Department of Homeland suspected status violators, may have Counterterrorism and Criminal Security, Washington, DC 20528–0655. lawful permanent resident (LPR) status Exploitation Unit (CTCEU) and ICE field SUPPLEMENTARY INFORMATION: or be U.S. citizens. CTCEU and Overstay offices for appropriate enforcement Analysis Unit (OAU) personnel query a action, used in the course of their duties I. Background variety of DHS and non-DHS in identifying, investigating, and taking In accordance with the Privacy Act of information systems and enter the enforcement action against foreign 1974, 5 U.S.C. 552a, the Department of results into LeadTrac to build a unified students, exchange visitors, and other Homeland Security (DHS)/U.S. picture of an individual’s entry/exit, non-immigrant visitors to the United Immigration and Customs Enforcement visa, criminal, and immigration history, States who overstay their period of (ICE) proposes to establish a new DHS and will comparably process admission or otherwise violate the terms system of records titled, ‘‘DHS/ICE–015 information about associated of their visa, immigrant, or non- LeadTrac System of Records.’’ individuals and organizations. Using immigrant status (collectively, status This record system allows DHS to this assembled information, CTCEU violators) through the LeadTrac system. collect and maintain information about personnel will determine which This SORN also allows DHS to collect foreign students, exchange visitors, and individuals and organizations warrant information in LeadTrac about other non-immigrant visitors to the additional investigation for possible

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status violations or the operation of SECURITY CLASSIFICATION: For a suspected status violator’s fraudulent institutions, and will request Unclassified; Law Enforcement associates and family members: Names, that the appropriate HSI field offices Sensitive. dates of birth, contact information, and initiate investigations. other identifying numbers. SYSTEM LOCATION: For school and exchange visitor Consistent with the Department’s DHS/ICE maintains records at the U.S. information sharing mission, officials: Names, SEVIS ID numbers, Immigration and Customs Enforcement aliases, gender, dates of birth, countries information stored in the DHS/ICE–015 (ICE) Headquarters in Washington, DC LeadTrac System of Records may be of birth and citizenship, contact and field offices. Specifically, all information, and identifying numbers, shared with other DHS components that records are maintained in the LeadTrac have a need to know the information to which may include, but are not limited information technology (IT) system, to alien number and passport number. carry out their national security, law except an extract of records from the enforcement, immigration, intelligence, legacy LeadTrac system that is AUTHORITY FOR MAINTENANCE OF THE SYSTEM: or other homeland security functions. In maintained in an archived electronic Pursuant to the Homeland Security addition, DHS/ICE may share form and stored at the National Act of 2002 (Pub. L. 107–296, Nov. 25, information with appropriate Federal, Archives and Records Administration’s 2002), the Secretary of Homeland State, local, tribal, territorial, foreign, or (NARA) Federal Records Center. Security has the authority to enforce international government agencies numerous federal criminal and civil CATEGORIES OF INDIVIDUALS COVERED BY THE consistent with the routine uses set laws. These include, but are not limited forth in this system of records notice. SYSTEM: Categories of individuals covered by to, laws residing in titles 8, 18, 19, 21, Additionally, DHS/ICE is issuing a 22, 31, and 50 of the U.S.C. The Notice of Proposed Rulemaking to this system include: (1) Individuals who are suspected of overstaying their period Secretary delegated this authority to ICE exempt this system of records from in DHS Delegation Number 7030.2, certain provisions of the Privacy Act, of admission, have had their visa revoked, or otherwise violate the terms Delegation of Authority to the Assistant elsewhere in the Federal Register. This Secretary for the Bureau of Immigration newly established system will be of their visa, immigrant, or non- immigrant status (suspected status and Customs Enforcement and the included in the Department of Reorganization Plan Modification for Homeland Security’s inventory of violators). This includes foreign students, exchange visitors, dependents, the Department of Homeland Security record systems. and other visitors to the United States; (January 30, 2003). II. Privacy Act (2) associates of suspected status PURPOSE(S): violators, including family members and LeadTrac is owned by the U.S. The Privacy Act embodies fair employers, who may include U.S. information practice principles in a Immigration and Customs Enforcement citizens; (3) Designated School Officials (ICE), Homeland Security Investigations statutory framework governing the (DSOs) and other individuals involved means by which Federal Government (HSI) Counterterrorism and Criminal in the operation of suspected status Exploitation Unit (CTCEU). The purpose agencies collect, maintain, use, and violators’ institutions; and (4) Chief disseminate individuals’ records. The of this system is to identify and vet executives and legal counsel of Student visitors to the United States who Privacy Act applies to information that and Exchange Visitor Program (SEVP)- is maintained in a ‘‘system of records.’’ overstay their period of admission or certified schools, and designated otherwise violate the terms of their visa, A ‘‘system of records’’ is a group of any exchange visitor sponsors. records under the control of an agency immigrant or non-immigrant status. from which information is retrieved by CATEGORIES OF RECORDS IN THE SYSTEM: LeadTrac also vets, collects, and the name of an individual or by some For individuals who are suspected maintains information on organizations identifying number, symbol, or other status violators: such as schools, universities, and identifying particular assigned to the (1) Biographic and other identifying exchange visitor programs being individual. In the Privacy Act, an information, to include but not limited investigated by CTCEU. individual is defined to encompass U.S. to names, dates of birth, countries of Specifically, the information is citizens and lawful permanent birth, countries of citizenship, gender, collected and used to support the residents. As a matter of policy, DHS Social Security number (SSN), financial following DHS activities: Investigating extends administrative Privacy Act information, and vehicle information; and determining immigration status and protections to all individuals when (2) Travel-related data, such as criminal history information about systems of records maintain information passport and visa information and other individuals and carrying out the on U.S. citizens, lawful permanent information related to entry and exit of required enforcement activity; residents, and visitors. the United States; determining the likelihood of, or (3) Education data, which may confirming a suspected violator’s In accordance with 5 U.S.C. 552a(r), include program of study, school name, continued presence within the United DHS has provided a report of this school type, school address, school States and assessing the associated risk system of records to the Office of telephone number, school code, level; identifying fraudulent schools Management and Budget and to enrollment information, Student and and/or organizations and the people Congress. Exchange Visitor Information System affiliated with those schools or System of Records (SEVIS) certification date, accreditation organizations; and providing HSI and information, and school operating Enforcement and Removal Operations Department of Homeland Security authority; and (ERO) with information to further (DHS)/U.S. Immigration Customs (4) DHS immigration benefit investigate suspected status violators Enforcement (ICE)–015. applications data filed with U.S. and carry out the required enforcement Government agencies, and data activity. SYSTEM NAME: concerning matriculation at a U.S. This system of records also supports DHS/ICE–015 LeadTrac System of college or university, employment, civil the identification of potential criminal Records. litigation, and/or criminal history. activity, immigration violations, and

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threats to homeland security. The connection with DHS’s efforts to K. To Federal, State, local, tribal, system is used to uphold and enforce respond to the suspected or confirmed territorial, foreign government agencies the law, and to ensure public safety. compromise and prevent, minimize, or or organizations, or international remedy such harm. organizations, lawfully engaged in ROUTINE USES OF RECORDS MAINTAINED IN THE F. To contractors and their agents, collecting law enforcement intelligence, SYSTEM, INCLUDING CATEGORIES OF USERS AND grantees, experts, consultants, and THE PURPOSES OF SUCH USES: whether civil or criminal, to enable others performing or working on a these entities to carry out their law In addition to those disclosures contract, service, grant, cooperative enforcement responsibilities, including generally permitted under 5 U.S.C. agreement, or other assignment for DHS, the collection of law enforcement 552a(b) of the Privacy Act, all or a when necessary to accomplish an intelligence. portion of the records or information agency function related to this system of L. To an organization or individual in contained in this system may be records. Individuals provided either the public or private sector, either disclosed outside DHS as a routine use information under this routine use are foreign or domestic, when there is a pursuant to 5 U.S.C. 552a(b)(3) as subject to the same Privacy Act reason to believe that the recipient is or follows: requirements and limitations on could become the target of a particular A. To the DOJ, including Offices of disclosure as are applicable to DHS terrorist activity or conspiracy, to the the United States Attorneys, or other officers and employees. extent the information is relevant to the Federal agency conducting litigation or G. To appropriate Federal, State, protection of life or property. in proceedings before any court, local, tribal, territorial, international, or M. To third parties during the course adjudicative, or administrative body, foreign law enforcement agencies or of a law enforcement investigation to when disclosure is relevant or necessary other appropriate authorities charged the extent necessary to obtain to the litigation and one of the following with investigating or prosecuting a information pertinent to the is a party to the litigation or has an violation or enforcing or implementing investigation, provided disclosure is interest in such litigation: a law, rule, regulation, or order when a appropriate to the proper performance 1. DHS or any component thereof; record, either on its face or in of the official duties of the officer 2. Any employee or former employee conjunction with other information, making the disclosure. of DHS in his/her official capacity; indicates a violation or potential N. To the news media and the public, 3. Any employee or former employee violation of law, rule, regulation, or with the approval of the Chief Privacy of DHS in his/her individual capacity order, which includes criminal, civil, or Officer in consultation with counsel, when DOJ or DHS has agreed to regulatory violations, and such when there exists a legitimate public represent the employee; or disclosure is proper and consistent with interest in the disclosure of the 4. The United States or any agency the official duties of the person making thereof. information, when disclosure is the disclosure. necessary to preserve confidence in the B. To a Congressional office from the H. To Federal, State, local, tribal, integrity of DHS, or when disclosure is record of an individual in response to territorial, foreign or international necessary to demonstrate the an inquiry from that Congressional agencies, if the information is relevant accountability of DHS’s officers, office made at the request of the and necessary to a requesting agency’s employees, or individuals covered by individual to whom the record pertains. decision concerning the hiring or C. To NARA or the General Services retention of an individual, or the the system, except to the extent the Administration pursuant to records issuance, grant, renewal, suspension, or Chief Privacy Officer determines that management inspections being revocation of a security clearance, release of the specific information in the conducted under the authority of 44 license, contract, grant, or other benefit; context of a particular case would U.S.C. 2904 and 2906. or if the information is relevant and constitute an unwarranted invasion of D. To an agency or organization for necessary to a DHS decision concerning personal privacy. the purpose of performing audit or the hiring or retention of an employee, DISCLOSURE TO CONSUMER REPORTING oversight operations as authorized by the issuance of a security clearance, the AGENCIES: law, but only such information as is reporting of an investigation of an None. necessary and relevant to such audit or employee, the letting of a contract, or oversight function. the issuance of a license, grant, or other POLICIES AND PRACTICES FOR STORING, E. To appropriate agencies, entities, benefit. RETRIEVING, ACCESSING, RETAINING, AND and persons when: I. To Federal, State, local, tribal, DISPOSING OF RECORDS IN THE SYSTEM: 1. DHS suspects or has confirmed that territorial, international, or foreign STORAGE: the security or confidentiality of criminal, civil, or regulatory law DHS/ICE stores records in this system information in the system of records has enforcement authorities when the electronically or on paper in secure been compromised; information is necessary for facilities in a locked drawer behind a 2. DHS has determined that as a result collaboration, coordination, and de- locked door. The records may be stored of the suspected or confirmed confliction of investigative matters, on magnetic disc, tape, and digital compromise, there is a risk of identity prosecutions, and/or other law media. theft or fraud, harm to economic or enforcement actions to avoid property interests, harm to an duplicative or disruptive efforts and to RETRIEVABILITY: individual, or harm to the security or ensure the safety of law enforcement DHS/ICE may retrieve records by integrity of this system or other systems officers who may be working on related biographic information, identifying or programs (whether maintained by law enforcement matters. numbers, and by other key data DHS or another agency or entity) that J. To international, foreign, elements contained in the system. rely upon the compromised intergovernmental, and multinational information; and government agencies, authorities, and SAFEGUARDS: 3. The disclosure made to such organizations in accordance with law Records in this system are agencies, entities, and persons is and formal or informal international safeguarded in accordance with reasonably necessary to assist in arrangements. applicable rules and policies, including

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all applicable DHS automated systems may obtain forms for this purpose from • TECS (not an acronym). 73 FR security and access policies. Strict the Chief Privacy Officer and Chief 43,457 (July 25, 2008). controls have been imposed to minimize Freedom of Information Act Officer, • Benefits Information Systems (BIS). the risk of compromising the http://www.dhs.gov/foia or 1–866–431– 73 FR 56,596 (September 29, 2008). information that is being stored. Access 0486. In addition, you should: • Automated Biometric Identification to the computer system containing the • Explain why you believe the System (IDENT). 72 FR 31,080 (June 5, records in this system is limited to those Department would have information on 2007). individuals who have a need to know you; Records are also obtained from the the information for the performance of • Identify which component(s) of the U.S. Department of State’s Consular their official duties and who have Department you believe may have the Consolidated Database (CCD) (77 FR appropriate clearances or permission. information about you; 65,245 (Oct. 25, 2012)), commercial • Specify when you believe the databases, and public sources. RETENTION AND DISPOSAL: records would have been created; and Under the NARA-approved records • Provide any other information that EXEMPTIONS CLAIMED FOR THE SYSTEM: retention schedule for LeadTrac, records will help the FOIA staff determine The Secretary of Homeland Security, must be retained for 75 years. ICE which DHS component agency may pursuant to 5 U.S.C. 552a(j)(2), has intends to request NARA approval to have responsive records. exempted this system from the retain LeadTrac records for 25 years If your request is seeking records following provisions of the Privacy Act: from the date the record was created. pertaining to another living individual, 5 U.S.C. 552a(c)(3), (c)(4); (d); (e)(1), Under this schedule, records would be you must include a statement from that (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), kept as active in LeadTrac for 20 years, individual certifying his/her agreement (e)(5), (e)(8); (f); and (g). Additionally, and archived for an additional five-year for you to access his/her records. the Secretary of Homeland Security, period. After the 25-year period, the Without the above information, the pursuant to 5 U.S.C. 552a(k)(2) has information would be destroyed or, if component(s) may not be able to exempted this system from the deemed necessary, retained further conduct an effective search, and your following provisions of the Privacy Act: under a reset retention schedule. request may be denied due to lack of 5 U.S.C. 552a(c)(3), (c)(4); (d); (e)(1), specificity or lack of compliance with (e)(4)(G), (e)(4)(H), (e)(4)(I); and (f). SYSTEM MANAGER AND ADDRESS: applicable regulations. When a record received from another Section Chief, Counterterrorism and system has been exempted in that Criminal Exploitation Unit (CTCEU), RECORD ACCESS PROCEDURES: source system under 5 U.S.C. 552a(j)(2) Homeland Security Investigations, U.S. See ‘‘Notification procedure’’ above. or (k)(2), DHS will claim the same Immigration and Customs Enforcement, exemptions for those records that are CONTESTING RECORD PROCEDURES: 1515 Wilson Boulevard, Arlington, VA claimed for the original primary systems 22209. Individuals who wish to contest the of records from which they originated accuracy of records in this system of NOTIFICATION PROCEDURE: and claims any additional exemptions records should submit these requests to set forth here. Individuals seeking notification of the ICE Office of Information and access to any record contained in Governance and Privacy. Requests must Dated: August 3, 2016. this system of records, or seeking to comply with verification of identity Jonathan R. Cantor, contest its content, may submit a requirements set forth in Department of Acting Chief Privacy Officer, Department of request in writing to ICE’s Freedom of Homeland Security Privacy Act Homeland Security. Information Act (FOIA) Officer or the regulations at 6 CFR 5.21(d). Please [FR Doc. 2016–18810 Filed 8–8–16; 8:45 am] Chief Privacy Officer whose contact specify the nature of the complaint and BILLING CODE 9111–28–P information can be found at http:// provide any supporting documentation. www.dhs.gov/foia under ‘‘Contacts.’’ If By mail (please note substantial delivery an individual believes more than one delays exist): ICE Office of Information DEPARTMENT OF HOUSING AND component maintains Privacy Act Governance and Privacy, 500 12th Street URBAN DEVELOPMENT records concerning him or her, the SW., Mail Stop 5004, Washington, DC individual may submit the request to 20536. By email: [Docket No. FR–5913–N–17] the Chief Privacy Officer and Chief [email protected]. Please contact Freedom of Information Act Officer, the Office of Information Governance 60-Day Notice of Proposed Information Department of Homeland Security, 245 and Privacy with any questions about Collection: Energy Benchmarking OMB Murray Drive SW., Building 410, STOP– submitting a request or complaint at Control No.: 2502–NEW 0655, Washington, DC 20528. 202–732–3300 or When seeking records about yourself [email protected]. AGENCY: Office of the Assistant from this system of records or any other Secretary for Housing—Federal Housing Departmental system of records, your RECORD SOURCE CATEGORIES: Commissioner, HUD. request must conform with the Privacy Records are obtained from key DHS ACTION: Notice. Act regulations set forth in 6 CFR part systems of records to include but not 5. You must first verify your identity, limited to: SUMMARY: HUD is seeking approval from meaning that you must provide your full • Arrival and Departure Information the Office of Management and Budget name, current address, and date and System (ADIS). 80 FR 72,081 (November (OMB) for the information collection place of birth. You must sign your 18, 2015). described below. In accordance with the request, and your signature must either • Student and Exchange Visitor Paperwork Reduction Act, HUD is be notarized or submitted under 28 Information System (SEVIS). 75 FR 412 requesting comment from all interested U.S.C. 1746, a law that permits (January 5, 2010). parties on the proposed collection of statements to be made under penalty of • Enforcement Integrated Database information. The purpose of this notice perjury as a substitute for notarization. (EID/ENFORCE). 80 FR 24,269 (April is to allow for 60 days of public While no specific form is required, you 30, 2015). comment.

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DATES: Comment Due Date: October 11, deploy the tools and technology needed or water improvements; 4 (See Section 2016. to build a new energy economy. The ‘‘Other PRA Collections that Impact this ADDRESSES: Interested persons are residential building sector is responsible Submission’’ for more information on invited to submit comments regarding for fully 21 percent of the nation’s how other previously approved PRA this proposal. Comments should refer to greenhouse gas emissions. Utility costs collections relate to Energy the proposal by name and should be (energy and water) account for around Benchmarking.) • sent to: Colette Pollard, Reports 22 percent of public housing operating Lowering annual multifamily Management Officer, QDAM, budgets and a similar share in the mortgage insurance premiums for Department of Housing and Urban assisted housing sector. HUD spends an energy-efficient properties (those Development, 451 7th Street SW., Room estimated $6.4 billion annually to cover committed to achieving an industry- 4176, Washington, DC 20410–5000; the costs of utilities in its public and recognized green building standard and telephone 202–402–3400 (this is not a assisted housing programs.1 to maintaining energy performance in toll-free number) or email at HUD is committed to creating energy- the top 25 percent of multifamily buildings nationwide); [email protected] for a copy of efficient, water-efficient, and healthy • the proposed forms or other available housing as part of a broader effort to Developing and implementing a information. Persons with hearing or foster the development of inclusive, standardized Capital Needs Assessment speech impairments may access this sustainable, and resilient communities. suite of online tools (CNA e-Tool) number through TTY by calling the toll- Investments in energy-efficiency and available (later in 2016) for free to assist free Federal Relay Service at (800) 877– water-efficiency pay dividends by borrowers with submitting standard 8339. information to HUD, the U.S. improving occupant comfort, reducing 5 Electronic Submission of Comments. tenant turnover, stabilizing operating Department of Agriculture, and others; • Developing a ‘‘pay for success’’ Interested persons may submit costs, alleviating taxpayer burden, demonstration program under which the comments electronically through the preserving affordable housing, ensuring Department will execute budget-neutral, Federal eRulemaking Portal at disaster resilience, and mitigating performance-based agreements that www.regulations.gov. HUD strongly climate change. As such, the Office of result in a reduction in energy or water encourages commenters to submit Multifamily Housing Programs in HUD’s costs. Recent legislation authorized comments electronically. Electronic Office of Housing has taken several HUD to implement this pilot from FY submission of comments allows the steps to encourage greater energy and 2016 to FY 2019 in up to 20,000 units commenter maximum time to prepare water efficiency in multifamily housing, of multifamily buildings participating in and submit a comment, ensures timely including: the PBRA, Sec. 202 and Sec. 811 receipt by HUD, and enables HUD to • Updating and standardizing the make them immediately available to the programs; and utility allowance methodology for • Publishing guidance on utilizing public. Comments submitted assisted properties that must submit Property Assessed Clean Energy (PACE) electronically through the annual documentation of utility financing with HUD-assisted and FHA- www.regulations.gov Web site can be allowances (estimated 70 percent of insured properties. viewed by other commenters and portfolio); 2 (See Section ‘‘Other PRA interested members of the public. Collections that Impact this Accounting for Energy and Water Usage Commenters should follow the Submission’’ for more information on While HUD has a vested interest in instructions provided on that site to how other previously approved PRA eliminating energy and water waste in submit comments electronically. collections relate to Energy the assisted housing stock and Note: To receive consideration as public Benchmarking.) stabilizing operating costs in both the comments, comments must be submitted • Offering incentives to multifamily insured and assisted housing stocks, to through one of the two methods specified owners and management agents who ensure that taxpayer investments in above. Again, all submissions must refer to multifamily housing are viable for the the docket number and title of the notice. have joined the Better Buildings Challenge, set a goal of reducing energy long-term, the Office of Multifamily No Facsimile Comments. Facsimile and/or water use by 20 percent within Housing Programs is currently unable to (fax) comments are not acceptable. 10 years, and established themselves as effectively analyze the energy and water FOR FURTHER INFORMATION CONTACT: Stan leaders in the field with respect to use patterns, improvement potential, Houle, Office of Multifamily Housing energy and/or water efficiency; 3 and investment needs of properties in Programs, Department of Housing and • the assisted and insured portfolios. Providing access to capital to make In 2003 and 2008, the Harvard Urban Development, 451 7th Street SW., energy improvements by implementing Graduate School of Design 6 and the Room 10139, Washington, DC 20410, changes to the Federal Housing Government Accountability Office,7 telephone 202–708–3054. (This is not a Administration’s (FHA) underwriting toll-free number.) Persons with hearing respectively, strongly recommended standards in the Multifamily that HUD require the practice of utility or speech impairments may access these Accelerated Processing Guide (MAP numbers through TTY by calling the benchmarking across its housing Guide) to allow greater loan proceeds portfolios. Utility benchmarking toll-free Federal Information Relay from standard offerings, supporting Service at 800–877–8339. involves tracking the utility products such as the Fannie Mae Green consumption of a development on an SUPPLEMENTARY INFORMATION: Preservation Plus loan, and affirming on-going basis, calculating the energy I. Background how owners may use reserve for replacement funds to make energy and/ 4 See http://www.fanniemae.com/portal/about- The President’s Climate Action Plan us/media/corporate-news/2014/6117.html. The President’s Climate Action Plan 1 See https://portal.hud.gov/hudportal/ 5 See Form HUD–9001a–ORCF at http:// _ _ calls on Federal agencies to rapidly documents/huddoc?id=afrfy13 egyeff.pdf. portal.hud.gov/hudportal/HUD?src=/program 2 See http://portal.hud.gov/hudportal/documents/ offices/administration/hudclips/forms/hud9. increase investments in energy huddoc?id=15-04hsgn.pdf. 6 See http://portal.hud.gov/hudportal/documents/ productivity, eliminate energy waste, 3 See https://www4.eere.energy.gov/challenge/ huddoc?id=DOC_9238.pdf. ramp up efficiency standards, and home. 7 See http://www.gao.gov/products/GAO-09-46.

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and water efficiency of the benchmarking laws, EPA found an empowered to make more strategic development, and comparing its average energy use reduction of seven decisions. efficiency to similar developments. It is percent between 2008 and 2011.9 Cities across the country have enacted a valuable tool in the strategic In addition to the direct benefits to utility benchmarking and data sharing management of building portfolios. As building owners, the sharing of utility ordinances that ask commercial and such, a growing number of municipal benchmarking data allows government multifamily building owners to track and state governments across the policymakers and funding providers (in and disclose energy and/or water usage. country are instituting utility this case, HUD acts as both) to account Each program has unique building size benchmarking requirements across the for utility expenditures, plan future requirements and different disclosure country in order that government budget needs, develop efficiency procedures. policymakers, funding providers, and incentive programs, offer targeted At this time and with this notice, building owners alike can make data- technical assistance, and verify the HUD is proposing limited requirements driven decisions. return on these investments. For over 30 for utility benchmarking and data Though obstacles remain, utility years, HUD has been promoting energy- sharing, in order to balance the need to institute contemporary best practices benchmarking is rapidly becoming and water-efficiency work in the public and strategically manage the housing quicker, easier, more automated, and and assisted housing stocks through portfolio with the burden presented to more integrated as it becomes an financial incentives, technical building owners of adopting a new industry-standard best practice. In assistance, and pledge programs. reporting requirement. Whereas an September 2014, the U.S. However, utility benchmarking and data increasing number of state and local Environmental Protection Agency (EPA) sharing will allow HUD for the first time laws require utility benchmarking on an developed a new feature for its free, to use robust information to direct those annual basis, HUD is proposing ‘‘spot- web-based tool called ENERGY STAR financial incentives, technical check’’ utility benchmarking on a less Portfolio Manager, which allows users assistance, and pledge programs to the frequent basis. And whereas state and to calculate an energy-efficiency rating areas of greatest need, opportunity, and or ‘‘benchmarking score’’ for most local benchmarking laws generally success. require utility benchmarking based on multifamily developments. Utility consumption and cost tracking Benchmarking scores developed whole-building data, HUD intends to by a building owner is the first step of accept metrics developed with sampled through ENERGY STAR Portfolio utility benchmarking, and multiple Manager are officially known as tenant-paid utility data when whole approaches to this are available. The building data are not available. ENERGY STAR Scores. These scores are most direct method is to request whole- available for multifamily housing Together, this will allow building building utility data directly from the owners to begin practicing utility properties of 20 units or more. A score utility provider(s), covering the sum of benchmarking while the market of 50 indicates energy performance owner-paid and tenant-paid accounts. continues to build support for more consistent with the national median, When that is not possible, building integration and automation of this best while 100 represents a top performer, owners may collect utility data for practice. and a score of at least 75 may make owner-paid accounts simply by Over time, the Department will use buildings eligible for ENERGY STAR compiling the information from their 8 the scores, along with EUI and WUI certification. The EPA will release a electronic or paper utility bills into a metrics, to see if energy and water similar benchmark score for water usage spreadsheet or web-based tool like efficiency is increasing, decreasing, or in approximately a year. With these ENERGY STAR Portfolio Manager. staying the same in the multifamily advancements, building owners across Some utility providers offer easy portfolio. The Office of Multifamily the country now have access to a free downloads of this information directly Housing Programs will use the tool for utility benchmarking that can be from their Web sites. information to assess energy and/or used without the need to hire a building Building owners may then collect water efficiency needs and professional. utility data for tenant-paid accounts opportunities in the portfolio. A Deeper Look at Utility Benchmarking either by requesting the information Benchmarking data may also be used to inform the development of new policy Utility benchmarking helps building directly from tenants in accordance with initiatives, financial incentives, owners to understand their buildings’ existing lease provisions, or, in some technical assistance, and pledge energy and water performance, allowing cases, by submitting individual tenant- programs. Energy benchmarking will them to detect malfunctioning data release forms to the utility become more valuable over time as equipment and billing errors, prioritize provider. Once received, this utility data multiple years of energy consumption operational and capital improvements, should be added to the spreadsheet or data are available. verify the return on those investments, web-based tool to offer a complete and plan future budget needs. Indeed, picture of the whole-building utility II. Proposed Information Collection the practice of utility benchmarking consumption and cost. If using ENERGY STAR Portfolio Manager, (OMB 2060– To build a foundation of awareness leads to significant improvements in and data concerning the current building performance. Based on analysis 0347) the software will then automatically calculate a variety of building performance of the multifamily of more than 35,000 buildings covered building stock, as well as to guide and by newly established local energy useful metrics, such as the Site and Source Energy Use Intensity (EUI), Site spur energy- and water-efficiency investments in multifamily housing, 8 See http://www.energystar.gov/buildings/ Water Use Intensity (WUI), ENERGY facility-owners-and-managers/existing-buildings/ STAR Score for Energy, and ENERGY HUD proposes, through this notice, to use-portfolio-manager. See also former HUD STAR Score for Water. With this require owners of covered property Secretary Shaun Donovan’s July 17, 2014, letter to information, building owners are types to provide HUD’s Office of Property Owners and Operators participating in Multifamily Housing Programs with the HUD programs encouraging the use of EPA’s ENERGY STAR Portfolio Manager at http:// 9 See http://www.energystar.gov/sites/default/ following metrics for each property portal.hud.gov/hudportal/documents/ files/buildings/tools/DataTrends_Savings_ when completing several types of huddoc?id=SOHUDSignedLetterPHAsMFH.pdf. 20121002.pdf. property transactions: Site and Source

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Energy Use Intensities (EUI), Site Water year utility data and generated in 2016 • With a Capital Needs Assessment Use Intensity (WUI), and the ENERGY will be accepted by HUD for any submission required as part of any STAR Score for Energy, and—when required reporting under this notice in enforcement action. available from EPA—the Energy Star 2016, 2017, and 2018. An ENERGY HUD is seeking feedback on the Score for Water. The Portfolio Manager STAR Score based on 2013 calendar- required submission points and will software calculates and reports these year data and generated in 2016 will be finalize the schedule with the issuance metrics in a standardized format. The accepted by HUD for any required of an Office of Housing Notice. Energy Star Score for Water is currently reporting under this notice in 2016, but Required Format pending release by EPA, and so it will not in 2017. At this point, the owner not be required until it is available. would need to provide more recent data. As noted above, owners seeking a HUD will provide at least 90 days The frequency is intended to align covered property transaction will be advance notice before a requirement to benchmarking with information required to enter data into ENERGY submit water efficiency data goes into collection efforts undertaken by HUD- STAR Portfolio Manager and submit to effect. assisted properties in preparing their HUD the referenced metrics created by Site EUI represents a property’s utility allowance. the free web tool. ENERGY STAR Portfolio Manager has the ability to energy use per square foot of gross floor Covered property types include: automatically generate reports from user area, expressed in thousand British • Section 202 Project Rental 2 data and offers a variety of standard thermal units per square foot (kBTU/ft ), Assistance Contracts (PRAC),10 a standardized measure of thermal formats. HUD will use an existing • Section 811 PRAC and Project power consumption regardless of fuel standard, machine readable report Rental Assistance (PRA) contracts,11 format within Portfolio Manager for source. Source EUI includes an • adjustment to reflect how the energy Section 8 Housing Assistance HUD owners to utilize in preparing its 12 was produced and transmitted, and this Payment (HAP) contracts, benchmarking submission. The format • metric is calculated by Energy Star Multifamily Housing properties may be modified over time but content Portfolio Manager and used as the basis insured under Sections 223(a)(7), 223(f), will remain consistent with the scope of for the Energy Star Score for Energy. 221(d)(4), 220, 230, and 241(a)).13 this Notice. In addition to submission of Site WUI represents a property’s water Owners of covered properties are data in the specified format, owners use per square foot of gross floor area, encouraged to voluntarily submit water may be asked to ‘‘share’’ their expressed in gallons per square foot and energy benchmarking data to HUD benchmarking report with the HUD (gal/ft2). The Energy Star Score for on an annual basis. HUD will require account in Portfolio Manager to allow Energy and Water each serve as a that owners submit benchmarking the Department to centrally access data. information on the following schedule, ranking of a property’s Source EUI and Requirements for Underlying Utility subject to revision: Site WUI, respectively, compared to Data similar properties. • For HUD assisted properties with a There are a few exceptions to the utility allowance, at the time of a Use of whole building data, including stated information collection triennial utility allowance baseline owner-paid utilities, plus all tenant paid requirements. Only properties that have calculation; utilities (even if aggregated), is been in existence for at least 12 months • For HUD-assisted properties where preferable when completing utility and that include 20 housing units or there is no utility allowance, every third benchmarking analysis, as it will give more are eligible to receive an Energy year at the time of financial statement the most accurate snapshot of a Star Score for Energy or Water, and so submission; building’s performance. However, to these two metrics will not be required • Prior to issuance of new FHA calculate the referenced metrics in for ineligible properties. Properties with mortgage insurance under Sections Portfolio Manager, some owners may less than 20 units are encouraged to 223(a)(7), 223(f), nd 241(a)); need to or choose to use a combination of whole owner-paid utility data and a submit EUI and WUI data, but will not • With a Capital Needs Assessment sample of tenant-paid utility data as an be not required to submit this analysis submission required by the Office of alternative to using all of the above. to HUD. Asset Management and Portfolio Additionally, for the purposes of this Please be reminded that metrics Oversight in HUD’s Office of basic information collection effort, the calculated with less than whole Multifamily Housing Programs on a 10- Office of Multifamily Housing Programs building data are not accepted by EPA year cycle; will accept metrics calculated using for the purposes of ENERGY STAR either whole building data or a certification. If choosing to use sampled 10 combination of whole owner-paid Under HUD’s regulations for the Section 202 tenant-paid utility data, owners must and Section 811 programs at 24 CFR 891.400(d)(2) utility data and sampled tenant-paid Owners are required to submit ‘‘statements meet or exceed the minimum sampling utility data. It is important to regarding project operation, financial conditions standards associated with existing understand, however, that metrics and occupancy as HUD may require to administer Office of Multifamily Housing utility the PRAC and to monitor project operations calculated with less than whole 11 data reporting requirements (see table of building data are not accepted by EPA Id. related PRA collections below). 12 Under HUD’s Section 8 Project-Based Rental for the purposes of Energy Star Assistance (PBRA) program, owners must submit an Accepting the sampling already in use certification. If choosing to use sampled analysis of the project’s utility allowances in by anticipated respondents will tenant-paid utility data, owners must connection with annual rent adjustments and ‘‘. . . significantly minimize the additional meet or exceed the standards outlined provide to HUD on an annual basis, such financial administrative burden benchmarking information as required by HUD . . .’’. See HUD in this document. regulations at 24 CFR 880.610, (applied to parts 881 requirements imposes on those Finally, for the Department’s and 883by cross-reference), 24 CFR 884.220, 24 CFR respondents. purposes, the required metrics will be 886.126, 24 CFR 891.645, and 24 CFR part 5 When completed in conjunction with considered valid for three years beyond Subpart H. a HUD utility allowance baseline 13 Under HUD’s regulations at 24 CFR 200.78, the 12-month period upon which they insured properties ‘‘shall provide cost effective analysis, the benchmarking analysis are based. For example, an ENERGY energy conservation in accordance with should generally include (or exceed) the STAR Score based on 2015 calendar- requirements established by’’ HUD. number of units sampled for the utility

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allowance (see Notice H 2015–14 14). In certify that the submitted Portfolio review of other Paperwork Reduction other instances, the Department will Manager data meets or exceeds the Act submissions, the Department accept analysis using sampled tenant required minimum sample. believes that the PRA requirements for data that meets or exceeds the lighter HUD will consider requests for seven of those eight tasks are addressed sampling protocol adopted by the additional time to submit benchmarking in other submissions, also identified in Department of Energy’s Better Buildings data from owners who experience the matrix below. Burden hours Challenge (BBC). 15 HUD may establish unexpected delays in obtaining calculated for the proposed Information a different standard for submittals sufficient sample data from utility Collection reflect only the time providers or encounter unforeseeable associated with Capital Needs associated with generating a report in technical difficulties. Assessments (CNA) or green building Portfolio Manager and submission to financing programs. In all cases, owners Other PRA Collections That Impact This HUD. While the Department recognizes are encouraged to collect as much utility Submission that respondents may spend significant data as possible and to sample from a The Department has identified seven time on preparatory activities in order to variety of housing unit sizes and types discrete tasks associated with the submit the data requested under this within each development in order to process for obtaining and submitting collection, the burden hours for those improve the accuracy and usefulness of Portfolio Manager scores, which are tasks are already accounted for under the resultant metrics. Owners must listed in the matrix below. Based on a other approved collections.

Relevant PRA information collections Multifamily HUD’s TRACS Project Multifamily Energy Star eCNA collection Applications Housing Utility Benchmarking collection collection (Utility Green Building Allowance (new (OMB–2060– (OMB–2502– allowance Program submission collection) 0347) 0505) component) component (OMB 2502– (OMB–2502– (OMB–2502– 0352) 0204) 0029)

Tasks Leading to Fulfillment of Require- ment: Tenants submit utility data to owners ...... X X ...... X ...... Tenants provide release for owner to request data from utility ...... X X ...... X ...... Utilities compile and share data with owners ...... X * * ...... * ...... Owners compile/prepare tenant-paid utility data ...... X * * ...... * ...... Owners compile/prepare owner-paid utility data ...... X * ...... X ...... Owners enter data into Portfolio Manager ...... X * * ...... Direct Requirement Being Proposed. Owners generate Portfolio Manager Report and submit to HUD ...... X * In conjunction with FHA financing and Utility Allowance processes, a portion of owners are currently compiling utility consumption data and utilizing Portfolio Manager.

Effective Date III. Information Collection Burden and Total Estimated Burden Hours: Solicitation of Comment 8,524.5. The utility benchmarking requirement described in this notice will apply when A. Overview of Information Collection Burden hours take into account other executing any covered transaction Title of Information Collection: existing information collections beginning 90 days after OMB approval Multifamily Housing Energy covering the assembly of utility of the PRA request, and not sooner than Benchmarking. information by impacted properties and January 1, 2017. The first scheduled OMB Approval Number: New the use of ENERGY STAR Portfolio submission date for a majority of proposed collection. Manager, these include: HUD’s assisted-housing respondents is Type of Request: New proposed Multifamily Housing Utility Allowance estimated to occur in 2019. HUD will collection. submission (OMB 2502–0352), HUD’s alert owners of the effective date for Form Number: N/A. Tenant Eligibility and Rent Procedures Description of the need for the reporting requirements through an (OMB 2502–0204), CNAe requirements information and proposed use: Please Office of Housing Notice, issued after (OMB 2502–0505), HUD’s Multifamily see Section II of this notice. Project Applications Green Building OMB issues a Notice of Action Respondents: Multifamily owners, approving this PRA collection. Program component (OMB–2502– managing agents and tenants. 0029)and ENERGY STAR Certification Estimated Number of Respondents: (OMB- 2060–0347) by the 17,049. Environmental Protection Agency. Average Hours per Response: .50.

14 https://portal.hud.gov/hudportal/documents/ 15 See Appendix C of the BBC Data Tracking huddoc?id=15-04hsgn.pdf. Manual.

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B. Solicitation of Public Comment Control Number and should be sent to: B. Solicitation of Public Comment This notice is soliciting comments Colette Pollard, Reports Management This notice is soliciting comments from members of the public and affected Officer, QDAM, Department of Housing from members of the public and affected parties concerning the collection of and Urban Development, 451 7th Street parties concerning the collection of information described in Section A on SW., Room 4176, Washington, DC information described in Section A on the following: 20410–5000; telephone 202–402–3400 the following: (1) Whether the proposed (1) Whether the proposed collection (this is not a toll-free number) or email collection of information is necessary of information is necessary for the at [email protected] for a copy of for the proper performance of the proper performance of the functions of the proposed forms or other available functions of the agency, including the agency, including whether the information. Persons with hearing or whether the information will have information will have practical utility; speech impairments may access this practical utility; (2) The accuracy of the (2) The accuracy of the agency’s number through TTY by calling the toll- agency’s estimate of the burden of the estimate of the burden of the proposed free Federal Relay Service at (800) 877– proposed collection of information; (3) collection of information; 8339. Ways to enhance the quality, utility, and (3) Ways to enhance the quality, FOR FURTHER INFORMATION CONTACT: clarity of the information to be utility, and clarity of the information to Ivery W. Himes, Director, Office of collected; and (4) Ways to minimize the be collected; and Single Family Asset Management, burden of the collection of information (4) Ways to minimize the burden of Department of Housing and Urban on those who are to respond; including the collection of information on those Development, 451 7th Street SW., through the use of appropriate who are to respond; including through Washington, DC 20410; email Ivery W. automated collection techniques or the use of appropriate automated Himes at [email protected] or other forms of information technology, collection techniques or other forms of telephone 202–708–1672, option 3. This e.g., permitting electronic submission of information technology, e.g., permitting is not a toll-free number. Persons with responses. electronic submission of responses. hearing or speech impairments may HUD encourages interested parties to HUD encourages interested parties to access this number through TTY by submit comment in response to these submit comment in response to these calling the toll-free Federal Relay questions. questions. Service at (800) 877–8339. Authority: Section 3507 of the Paperwork Authority: Section 3507 of the Paperwork Copies of available documents Reduction Act of 1995, 44 U.S.C. Chapter 35. Reduction Act of 1995, 44 U.S.C. Chapter 35. submitted to OMB may be obtained from Ms. Himes. Dated: August 3, 2016. Dated: August 3, 2016. Janet M. Golrick, SUPPLEMENTARY INFORMATION: This Janet M. Golrick, Associate General Deputy Assistant Secretary notice informs the public that HUD is Associate General Deputy Assistant Secretary for Housing, Associate Deputy Federal for Housing-Associate Deputy Federal seeking approval from OMB for the Housing Commissioner. Housing Commissioner. information collection described in [FR Doc. 2016–18876 Filed 8–8–16; 8:45 am] Section A. [FR Doc. 2016–18877 Filed 8–8–16; 8:45 am] BILLING CODE 4210–67–P BILLING CODE 4210–67–P A. Overview of Information Collection Title of Information Collection: HUD- DEPARTMENT OF THE INTERIOR DEPARTMENT OF HOUSING AND Owned Real Estate Sales Contract and URBAN DEVELOPMENT Addendums. Fish and Wildlife Service OMB Approval Number: 2502–0306. [Docket No. FR–5913–N–16] Type of Request: Revision. [FWS–R3–ES–2016–N123; FXES11130300000–167–FF03E00000] 60-Day Notice of Proposed Information Form Numbers: HUD–9544, HUD– Collection: HUD-Owned Real Estate 9548, HUD–9548–B, HUD–9548–C, Endangered and Threatened Wildlife Sales Contract and Addendums HUD–9548–G, HUD–9548–H, HUD– and Plants; Permit Applications 9545–Y, HUD–9545–Z, SAMS–1101, AGENCY: Office of the Assistant SAMS–1103, SAMS–1108, SAMS–1110, AGENCY: Fish and Wildlife Service, Secretary for Housing—Federal Housing SAMS–1111, SAMS–1111–A, SAMS– Interior. Commissioner, HUD. 1117, SAMS–1120, SAMS–1204, ACTION: Notice of availability; request ACTION: Notice. SAMS–1205. for comments. Description of the need for the SUMMARY: HUD is seeking approval from information and proposed use: This SUMMARY: We, the U.S. Fish and the Office of Management and Budget collection of information consists of the Wildlife Service, invite the public to (OMB) for the information collection sales contracts and addenda that will be comment on the following applications described below. In accordance with the used in binding contracts between for a permit to conduct activities Paperwork Reduction Act, HUD is purchasers of acquired single-family intended to enhance the survival of requesting comment from all interested assets and HUD. endangered or threatened species. parties on the proposed collection of Respondents: Business or other for Federal law prohibits certain activities information. The purpose of this notice profit. with endangered species unless a permit is to allow for 60 days of public Estimated Number of Respondents: is obtained. comment. 14,082. DATES: We must receive any written DATES: Comments Due Date: October 11, Estimated Number of Responses: comments on or before September 8, 2016. 140,989. 2016. ADDRESSES: Interested persons are Frequency of Response: On occasion. ADDRESSES: Send written comments by invited to submit comments regarding Average Hours per Response: 5–30 U.S. mail to the Regional Director, Attn: this proposal. Comments should refer to minutes. Carlita Payne, U.S. Fish and Wildlife the proposal by name and/or OMB Total Estimated Burdens: 50,275. Service, Ecological Services, 5600

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American Blvd. West, Suite 990, issuing permits for activities involving Applications Available for Review and Bloomington, MN 55437–1458; or by endangered species. Comment electronic mail to [email protected]. A permit granted by us under section We invite local, State, Tribal, and FOR FURTHER INFORMATION CONTACT: 10(a)(1)(A) of the ESA authorizes the Federal agencies and the public to Carlita Payne, (612) 713–5343. permittee to conduct activities with U.S. comment on the following applications. SUPPLEMENTARY INFORMATION: endangered or threatened species for Please refer to the permit number when scientific purposes, enhancement of you submit comments. Documents and Background propagation or survival, or interstate other information the applicants have The Endangered Species Act of 1973 commerce (the latter only in the event submitted with the applications are (ESA), as amended (16 U.S.C. 1531 et that it facilitates scientific purposes or available for review, subject to the seq.), prohibits certain activities with enhancement of propagation or requirements of the Privacy Act (5 endangered and threatened species survival). Our regulations implementing U.S.C. 552a) and Freedom of unless the activities are specifically section 10(a)(1)(A) of the ESA for these Information Act (5 U.S.C. 552). authorized by a Federal permit. The permits are found at 50 CFR 17.22 for ESA and our implementing regulations endangered wildlife species, 50 CFR Permit Applications in part 17 of title 50 of the Code of 17.32 for threatened wildlife species, 50 Proposed activities in the following Federal Regulations (CFR) provide for CFR 17.62 for endangered plant species, permit requests are for the recovery and the issuance of such permits and require and 50 CFR 17.72 for threatened plant enhancement of survival of the species that we invite public comment before species. in the wild.

Application No. Applicant Species Location Activity Type of take Permit action

TE217351 ...... U.S. Department of Indiana bat (Myotis sodalis), OH, KY, IL ...... Conduct presence/absence Capture, handle, Amend, renew. Agriculture northern long-eared bat surveys, document habitat radio-tag, re- (USDA)—Forest (Myotis septentrionalis), use, conduct population lease. Service, gray bat (Myotis monitoring, evaluate im- Nelsonville, OH. grisescens). pacts. TE03495B ...... Kristina Hammond, Indiana bat, northern long- Rangewide ...... Conduct presence/absence Capture, handle, Amend, renew. Cheyenne, WY. eared bat. surveys, document habitat radio-tag, re- use, conduct population lease. monitoring, evaluate im- pacts. TE64238B ...... Jocelyn Karsk, Ball Indiana bat, northern long- Rangewide ...... Conduct presence/absence, Capture, handle, Amend. State University, eared bat. migration, and telemetry radio-tag, re- Muncie, IN. surveys. lease. TE10887A ...... U.S. Geological Karner blue butterfly WI ...... Establish captive colony for Capture, collect, Amend, renew. Survey, (Lycaeides melissa climate change research. obtain eggs, Chesterton, IN. samuelis). maintain/rear in captivity. TE77313A ...... Egret Environ- Indiana bat, northern long- Rangewide ...... Conduct presence/absence capture, handle, Amend. mental Con- eared bat, gray bat, Hine’s surveys, document habitat radio-tag, re- sulting, LLC. emerald dragonfly use, conduct population lease. (Somatochlora hineana). monitoring, evaluate im- pacts. TE31355B ...... Brooke Hines, Indiana bat, northern long- Rangewide ...... Conduct presence/absence Capture, handle, Amend, renew. Paris, KY. eared bat, gray bat, Vir- surveys, document habitat radio-tag, re- ginia big-eared bat use, conduct population lease. (Plecotus townsendii monitoring, evaluate im- virginianus), Ozark big- pacts. eared bat (Plecotus townsendii ingens). TE049738 ...... Third Rock Con- Indiana bat, northern long- AL, FL, GA, IA, IL, Conduct presence/absence Capture, handle Amend, renew. sultants, LLC, eared bat, gray bat, Vir- IN, KY, MI, MO, surveys, document habitat (bats); harass Lexington, KY. ginia big-eared bat, Ozark MS, NC, OH, use, conduct population (mussels and big-eared bat, American SC, TN. monitoring, evaluate im- fish); capture, burying beetle pacts. handle, release (Nicrophorus americanus), (beetle). 18 fish species, and 50 mussel species. TE98294A ...... Normandale Asso- Indiana bat, northern long- IL, IN, IA, MI, MN, Conduct presence/absence Capture, handle, Amend, renew. ciates Inc., eared bat. MO, OH, WI. surveys. radio-tag, re- Stowe, PA. lease. TE01322C ...... USDA—Forest Indiana bat, northern long- Rangewide ...... Conduct presence/absence Capture, handle, New. Service, North- eared bat. surveys, conduct popu- radio-tag, band, ern Research lation monitoring, conduct collect samples, Station, white-nose syndrome re- release. Rhinelander, WI. search. TE01320C ...... Kristi Confortin, Indiana bat, northern long- IL, IN ...... Conduct presence/absence Capture, handle, New. Ball State Uni- eared bat. surveys, conduct popu- radio-tag, band, versity, Muncie, lation monitoring, conduct collect samples, IN. white-nose syndrome re- release, salvage. search. TE01311C ...... Shawn McKinley, Indiana bat, northern long- OH ...... Conduct presence/absence Capture, band, re- New. Grafton, WV. eared bat, gray bat, Vir- surveys. lease. ginia big-eared bat.

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National Environmental Policy Act recreational resources at the Spanish resources at the Spanish Creek The proposed activities in the Creek Campground located in the Campground. The use of a right-of-way, requested permits qualify as categorical Plumas National Forest, California. interagency agreement, or cooperative exclusions under the National Publication of this notice temporarily agreement would not adequately Environmental Policy Act, as provided segregates the land for up to 2 years constrain non-discretionary uses and would not provide adequate protection by Department of the Interior from location and entry under the of the Federal investment of funds and implementing regulations in part 46 of United States mining laws while the infrastructure at the Spanish Creek title 43 of the CFR (43 CFR 46.205, withdrawal application is being Campground. There are no suitable 46.210, and 46.215). processed. This notice also gives the public an opportunity to comment on alternative sites because the land Public Availability of Comments the withdrawal application and to described is the only land that We seek public review and comments request a public meeting. The land has encompasses the Spanish Creek on these permit applications. Please been and will remain open to such Campground. No additional water rights need to be refer to the permit number when you forms of disposition allowed by law on acquired to fulfill the purpose of the submit comments. Comments and National Forest System land and to requested withdrawal. materials we receive in response to this mineral leasing, except for location and entry under the mining laws. Records related to the application notice are available for public may be examined by contacting either of DATES: Comments and public meeting inspection, by appointment, during the individuals listed in the FOR normal business hours at the address requests must be received by November 7, 2016. FURTHER INFORMATION CONTACT section listed above in ADDRESSES. above. For a period until November 7, ADDRESSES: Before including your address, phone Comments and meeting 2016, all persons who wish to submit number, email address, or other requests should be sent to the Mt. comments, suggestions, or objections in personal identifying information in your Hough Ranger District, 39696 Hwy. 70, connection with the withdrawal comment, you should be aware that Quincy, California 95971, Attention: application may present their views in your entire comment—including your Leslie Edlund, or emailed to comments- writing to the BLM California State personal identifying information—may pacificsouthwest-plumas-mthough@ Office at the address noted above. be made publicly available at any time. fs.fed.us with Subject: Spanish Creek Comments, including names and street While you can ask us in your comment Campground Mineral Withdrawal. addresses of respondents, will be to withhold your personal identifying FOR FURTHER INFORMATION CONTACT: available for public review at the information from public review, we Elizabeth Easley, BLM California State address indicated above during regular cannot guarantee that we will be able to Office, 916–978–4673 or Donna Duncan, business hours. do so. Plumas National Forest, Mt. Hough Before including your address, phone Authority Ranger District, 530–283–7614 during number, email address, or other regular business hours, 8:00 a.m. to 4:30 personal identifying information in your We provide this notice under section p.m. Monday through Friday, except comment, you should be aware that 10 of the ESA (16 U.S.C. 1531 et seq.). holidays. Persons who use a your entire comment—including your Dated: July 29, 2016. telecommunications device for the deaf personal identifying information—may Sean Marsan, (TDD) may call the Federal Information be made publicly available at any time. Acting Assistant Regional Director, Ecological Relay Service (FIRS) at 1–800–877–8339 While you may ask us to withhold your Services, Midwest Region. to contact either of the above personally identifying information from [FR Doc. 2016–18819 Filed 8–8–16; 8:45 am] individuals. The FIRS is available 24 public review, we cannot guarantee that hours a day, 7 days a week, to leave a we will be able to do so. BILLING CODE 4333–15–P message or question. You will receive a Notice is hereby given that an reply during normal business hours. opportunity for a public meeting is DEPARTMENT OF THE INTERIOR SUPPLEMENTARY INFORMATION: The afforded in connection with the applicant is the USFS. The application application for withdrawal. All Bureau of Land Management requests the Secretary of the Interior to interested persons who desire a public withdraw, subject to valid existing meeting for the purpose of being heard [LLCA930000–L14400000–ET0000; CACA on the application for withdrawal must 054926] rights, the following described land from location and entry under the submit a written request to the BLM Notice of Application for Withdrawal United States mining laws, but not from California State director no later than and Opportunity for Public Meeting; leasing under the mineral leasing laws, November 7, 2016. If the authorized California for a period of 20 years to protect the officer determines that a public meeting recreational resources within the will be held, a notice of the time and AGENCY: Bureau of Land Management, Spanish Creek Campground. place will be published in the Federal Interior. Register and a local newspaper at least Plumas National Forest ACTION: Notice. 30 days before the scheduled date of the Mount Diablo Meridian meeting. SUMMARY: The United States Forest T. 25 N., R. 9 W., For a period until August 9, 2018, Service (USFS) has filed an application Sec 15, W1⁄2NE1⁄4SW1⁄4, NE1⁄4SW1⁄4SW1⁄4, subject to valid existing rights, the land with the Bureau of Land Management NW1⁄4SE1⁄4SW1⁄4, W1⁄2NE1⁄4SE1⁄4SW1⁄4, described in this notice will be (BLM) requesting that the Secretary of E1⁄2NW1⁄4SW1⁄4, W1⁄2E1⁄2NE1⁄4SW1⁄4, segregated from location and entry the Interior withdraw approximately S1⁄2SE1⁄4SW1⁄4NW1⁄4, and under the United States mining laws, 82.5 acres of National Forest System SE1⁄4SW1⁄4SW1⁄4NW1⁄4. unless the application is denied or land from location and entry under the The area described contains approximately canceled or the withdrawal is approved United States mining laws, but not 82.5 acres in Plumas County. prior to that date. Licenses, permits, leasing under the mineral leasing laws The purpose of the requested cooperative agreements, or discretionary for a 20-year term to protect the withdrawal is to protect the recreational land use authorizations of a temporary

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nature which will not significantly Please provide a copy of your comments use is consistent with the laws and NPS impact the values to be protected by the to the Information Collection Clearance regulations referenced above and with withdrawal may be allowed with the Officer, National Park Service, 12201 the public interest. The park manager approval of the authorized officer of the Sunrise Valley Dr. (MS–242), Reston, must also determine that the requested USFS during the temporary segregation VA 20192 (mail); or madonna_ activity will not cause unacceptable period. [email protected] (email). Please impacts to park resources and values. The application will be processed in reference OMB Control Number 1024– The information is collected from accordance with the regulations set 0026 in the subject line of your respondents using the following NPS forth in 43 CFR part 2300. comments. forms: Thomas Pogacnik, FOR FURTHER INFORMATION CONTACT: To 10–930—Application for Special Use California Deputy State Director. request additional information about Permit; [FR Doc. 2016–18835 Filed 8–8–16; 8:45 am] this ICR, contact Lee Dickinson, Special 10–930s—Application for Special Use _ BILLING CODE 4311–15–P Park Uses National Manager, at lee Permit (short form); [email protected] (email) or 202–513– 10–931—Application for Special Use 7092 (telephone). You may review the Permit—Commercial Filming/Still DEPARTMENT OF THE INTERIOR ICR online at http://www.reginfo.gov. Photography Permit (short); Follow the instructions to review National Park Service Department of the Interior collections 10–932—Application for Special Use under review by OMB. Permit—Commercial Filming/Still [NPS–WASO–VRP–REGS–20916; Photography Permit (long); and, SUPPLEMENTARY INFORMATION: PPWOVPAU0, PPMPSPD1Y.M0000 (166)] 10–933—Application for Special Use I. Abstract Information Collection Request Sent to Permit—Vehicle/Watercraft Use. the Office of Management and Budget Under 54 U.S.C. 100101 (National II. Data (OMB) for Approval; Special Park Use Park Service Act Organic Act), we must Applications preserve America’s natural wonders OMB Control Number: 1024–0026. unimpaired for future generations, Title: Special Park Use Applications AGENCY: National Park Service, Interior. while also making them available for the (portions of 36 CFR 1–7, 13, 20, and 34). ACTION: Notice; request for comments. enjoyment of the visitor. Meeting this Form Numbers: NPS Forms 10–930— mandate requires that we balance SUMMARY: We (National Park Service, Application for Special Use Permit; 10– preservation with use. Maintaining a NPS) have sent an Information 930s—Application for Special Use good balance requires both information Collection Request (ICR) to OMB for Permit (short form); 10–931— and limits. In accordance with review and approval. We summarize the Application for Special Use Permit— regulations at 36 CFR parts 1–7, 13, 20, ICR below and describe the nature of the Commercial Filming/Still Photography and 34, we issue permits for special Permit (short); 10–932—Application for collection and the estimated burden and park uses. cost. This information collection is Special Use Permit—Commercial Special park uses cover a wide range Filming/Still Photography Permit (long); scheduled to expire on August 31, 2016. of activities including, but not limited We may not conduct or sponsor and a and, 10–933—Application for Special to, special events, First Amendment Use Permit—Vehicle/Watercraft Use. person is not required to respond to a activities, grazing and agricultural use, Type of Request: Extension of a collection of information unless it commercial filming, still photography, currently approved collection of displays a currently valid OMB Control construction and vehicle access. Permits information. Number. are issued for varying amounts of time DATES: You must submit comments on based on the requested use, but Description of Respondents: or before September 8, 2016. generally do not exceed 5 years. A new Individuals or households; not-for-profit ADDRESSES: Send your comments and application must be submitted in order entities; businesses or other for-profit suggestions on this information to request the renewal of an existing entities; and Federal, State, local and collection to the Desk Officer for the permit. tribal governments. Department of the Interior at OMB– The information we collect in the Respondent’s Obligation: Required to OIRA at (202) 395–5806 (fax) or OIRA_ special use applications allows park obtain or retain a benefit. [email protected] (email). managers to determine if the requested Frequency of Collection: On occasion.

Completion Total number Total number time per Total annual Activity of annual of annual response hours respondents responses (hours)

Form 10–930: Individuals 8,763 8,763 .5 4,382 Private Sector 3,559 3,559 .5 1,780 Government 516 516 .5 258 Form 10–930s: Individuals 3,110 3,110 .25 778 Private Sector 1,441 1,441 .25 360 Government 310 310 .25 78 Form 10–931: Individuals 412 412 .25 103 Private Sector 1,226 1,226 .25 307 Government 42 42 .25 11 Form 10–932: Individuals 109 109 .5 55 Private Sector 945 945 .5 473

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Completion Total number Total number time per Total annual Activity of annual of annual response hours respondents responses (hours)

Government 19 19 .5 10 Form 10–933: Individuals 13,050 13,050 .25 3,263 Private Sector 228 228 .25 57 Government 5 5 .25 1

Totals ...... 33,735 33,735 ...... 11,916

Estimated Annual Nonhour Burden INTERNATIONAL TRADE Commerce’s final determinations were Cost: $2,530,125 for application fees. COMMISSION published on July 29, 2016.3 The Commission, therefore, is issuing a III. Comments [Investigation Nos. 701–TA–540, 542–544 supplemental schedule for these On February 3, 2016, we published in and 731–TA–1283, 1285, 1287, and 1289– investigations. 1290 (Final)] the Federal Register (81 FR 5781) a The Commission’s supplemental notice of our intent to request that OMB Cold-Rolled Steel Flat Products From schedule is as follows: The deadline for renew approval for this information Brazil, India, Korea, Russia, and the filing party comments on Commerce’s collection. In that notice, we solicited United Kingdom; Supplemental final determinations is August 9, 2016; comments for 60 days, ending on April Schedule for the Subject the staff report in the final phase of 4, 2016. No responses were received. Investigations these investigations will be placed in the nonpublic record on August 23, We again invite comments concerning AGENCY: United States International 2016; and a public version will be this information collection on: Trade Commission. issued thereafter. • Whether or not the collection of ACTION: Notice. Supplemental party comments may information is necessary, including address only Commerce’s final whether or not the information will DATES: August 3, 2016. determinations regarding imports from have practical utility; FOR FURTHER INFORMATION CONTACT: Brazil, India, Korea, Russia, and the • The accuracy of our estimate of the Nathanael N. Comly (202) 205–3174), United Kingdom. These supplemental burden for this collection of Office of Investigations, U.S. final comments may not contain new information; International Trade Commission, 500 E factual information and may not exceed Street SW., Washington, DC 20436. five (5) pages in length. • Ways to enhance the quality, utility, Hearing-impaired persons can obtain and clarity of the information to be For further information concerning information on this matter by contacting collected; and these investigations see the the Commission’s TDD terminal on 202– Commission’s notice cited above and • Ways to minimize the burden of the 205–1810. Persons with mobility the Commission’s Rules of Practice and collection of information on impairments who will need special Procedure, part 201, subparts A and B respondents. assistance in gaining access to the (19 CFR part 201), and part 207, Comments that you submit in Commission should contact the Office subparts A and C (19 CFR part 207). of the Secretary at 202–205–2000. response to this notice are a matter of General information concerning the public record. Before including your Commission may also be obtained by address, phone number, email address, Authority: These investigations are being accessing its Internet server (http:// conducted under authority of title VII of the or other personal identifying www.usitc.gov). The public record for information in your comment, you Tariff Act of 1930; this notice is published these investigations may be viewed on pursuant to section 207.21 of the should be aware that your entire the Commission’s electronic docket Commission’s rules. comment, including your personal (EDIS) at http://edis.usitc.gov. identifying information, may be made By order of the Commission. SUPPLEMENTARY INFORMATION: Effective publicly available at any time. While Issued: August 3, 2016. March 7, 2016, the Commission you can ask OMB in your comment to established a schedule for the conduct Lisa R. Barton, withhold your personal identifying of the final phase of the subject Secretary to the Commission. information from public review, we investigations.1 Subsequently, the [FR Doc. 2016–18808 Filed 8–8–16; 8:45 am] cannot guarantee that it will be done. Department of Commerce extended the BILLING CODE 7020–02–P Dated: August 3, 2016. date for its final determinations in the Madonna L. Baucum, investigations concerning Brazil, India, (Russia); and 81 FR 11744, March 7, 2016 (United Korea, Russia, and the United Kingdom Kingdom). Information Collection Clearance Officer, 3 81 FR 49946 (Brazil antidumping duty), 81 FR National Park Service. to no later than 135 days after the publication of the preliminary 49940 (Brazil countervailing duty), 81 FR 49938 [FR Doc. 2016–18836 Filed 8–8–16; 8:45 am] determinations.2 The Department of (India antidumping duty), 81 FR 49932 (India BILLING CODE 4310–EH–P countervailing duty), 81 FR 49953 (Korea antidumping duty), 81 FR 49943 (Korea 1 81 FR 15559, March 23, 2016. countervailing duty), 81 FR 49950 (Russia 2 81 FR 11754, March 7, 2016 (Brazil); 81 FR antidumping duty), 81 FR 49935 (Russia 11741, March 7, 2016 (India); 81 FR 11757, March countervailing duty), and 81 FR 49929 (UK 7, 2016 (Korea); 81 FR 12072, March 8, 2016 antidumping duty).

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INTERNATIONAL TRADE Authority: The authority for institution of submitted by the named respondents in COMMISSION this investigation is contained in section 337 accordance with section 210.13 of the of the Tariff Act of 1930, as amended, and Commission’s Rules of Practice and [Investigation No. 337–TA–1016] in section 210.10 of the Commission’s Rules Procedure, 19 CFR 210.13. Pursuant to of Practice and Procedure, 19 CFR 210.10 Certain Access Control Systems and (2016). 19 CFR 201.16(e) and 210.13(a), such Components Thereof; Institution of Scope of Investigation: Having responses will be considered by the Investigation considered the complaint, the U.S. Commission if received not later than 20 International Trade Commission, on days after the date of service by the AGENCY: U.S. International Trade August 3, 2016, ORDERED THAT— Commission of the complaint and the Commission. (1) Pursuant to subsection (b) of notice of investigation. Extensions of ACTION: Notice. section 337 of the Tariff Act of 1930, as time for submitting responses to the complaint and the notice of SUMMARY: amended, an investigation be instituted Notice is hereby given that a investigation will not be granted unless complaint was filed with the U.S. to determine whether there is a violation of subsection (a)(1)(B) of good cause therefor is shown. International Trade Commission on July Failure of a respondent to file a timely 5, 2016, under section 337 of the Tariff section 337 in the importation into the United States, the sale for importation, response to each allegation in the Act of 1930, as amended, 19 U.S.C. complaint and in this notice may be 1337, on behalf of The Chamberlain or the sale within the United States after deemed to constitute a waiver of the Group, Inc. of Elmhurst, Illinois. A letter importation of certain access control right to appear and contest the supplementing the complaint was filed systems and components thereof by allegations of the complaint and this on July 19, 2016. The complaint, as reason of infringement of one or more of notice, and to authorize the supplemented, alleges violations of claims 1–4, 7–12, 15, and 16 of the ’319 administrative law judge and the section 337 based upon the importation patent; claims 1, 10–12, and 18–25 of Commission, without further notice to into the United States, the sale for the ’611 patent; and claims 7, 11–13, the respondent, to find the facts to be as importation, and the sale within the 15–23, and 34–36 of the ’336 patent, and alleged in the complaint and this notice United States after importation of whether an industry in the United and to enter an initial determination certain access control systems and States exists as required by subsection and a final determination containing components thereof by reason of (a)(2) of section 337; infringement of certain claims of U.S. (2) For the purpose of the such findings, and may result in the Patent No. 7,161,319 (‘‘the ’319 patent’’); investigation so instituted, the following issuance of an exclusion order or a cease U.S. Patent No. 7,196,611 (‘‘the ’611 are hereby named as parties upon which and desist order or both directed against patent’’); and U.S. Patent No. 7,339,336 this notice of investigation shall be the respondent. (‘‘the ’336 patent’’). The complaint served: By order of the Commission. further alleges that an industry in the (a) The complainant is: The Issued: August 3, 2016. Chamberlain Group, Inc., 845 Larch United States exists as required by Lisa R. Barton, Avenue, Elmhurst, IL 60126. subsection (a)(2) of section 337. Secretary to the Commission. The complainant requests that the (b) The respondents are the following [FR Doc. 2016–18807 Filed 8–8–16; 8:45 am] Commission institute an investigation entities alleged to be in violation of and, after the investigation, issue a section 337, and are the parties upon BILLING CODE 7020–02–P limited exclusion order and cease and which the complaint is to be served: desist orders. Techtronic Industries Co. Ltd., Unit B–F 24/F CDW Building, 388 Castle JUDICIAL CONFERENCE OF THE ADDRESSES: The complaint, except for Peak Road, Tusen Wan, New Territories, UNITED STATES any confidential information contained Hong Kong. therein, is available for inspection Techtronic Industries North America, Hearings of the Judicial Conference during official business hours (8:45 a.m. Inc., 303 International Circle, Suite Advisory Committees on the Federal to 5:15 p.m.) in the Office of the 4900, Hunt Valley, MD 21030. Rules of Appellate, Bankruptcy, Civil, Secretary, U.S. International Trade One World Technologies Inc., 1428 and Criminal Procedure Commission, 500 E Street SW., Room Pearman Dairy Road, Anderson, SC AGENCY: Judicial Conference of the 112, Washington, DC 20436, telephone 29625. (202) 205–2000. Hearing impaired OWT Industries Inc., 225 United States, Advisory Committees on individuals are advised that information Pumpkintown Highway, Pickens, SC the Federal Rules of Appellate, on this matter can be obtained by 29671. Bankruptcy, Civil, and Criminal contacting the Commission’s TDD Ryobi Technologies, Inc., 1428 Procedure. terminal on (202) 205–1810. Persons Pearman Dairy Road, Anderson, SC ACTION: Notice of proposed amendments with mobility impairments who will 29625. and open hearings. need special assistance in gaining access Et Technology (Wuxi) Co., Ltd., Xiqun to the Commission should contact the Road (East Section), Xinqu Meicun SUMMARY: The Advisory Committees on Office of the Secretary at (202) 205– Industrial Cluster Zone, Wuxi 214112, the Federal Rules of Appellate, 2000. General information concerning Zhejiang China. Bankruptcy, Civil, and Criminal the Commission may also be obtained (3) For the investigation so instituted, Procedure have proposed amendments by accessing its internet server at http:// the Chief Administrative Law Judge, to the following rules and forms: www.usitc.gov. The public record for U.S. International Trade Commission, Appellate Rules: 8, 11, 25, 28.1, 29, 31, this investigation may be viewed on the shall designate the presiding 39, and 41, and Form 4 Commission’s electronic docket (EDIS) Administrative Law Judge. Bankruptcy Rules: 3002.1, 5005, 8002, at http://edis.usitc.gov. The Office of Unfair Import 8006, 8011, 8013, 8015, 8016, 8017, FOR FURTHER INFORMATION CONTACT: The Investigations will not participate as a new Rule 8018.1, 8022, 8023, and Office of Docket Services, U.S. party in this investigation. new Part VIII Appendix; and Official International Trade Commission, Responses to the complaint and the Forms 309F, 417A, 417C, 425A, 425B, telephone (202) 205–1802. notice of investigation must be 425C, and 426

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Civil Rules: 5, 23, 62, and 65.1 (45 CFR part 503.25) and the Decree’s environmental mitigation Criminal Rules: 12.4, 45, and 49 Government in the Sunshine Act (5 project provisions to allow the co- The text of the proposed rules and the U.S.C. 552b), hereby gives notice in plaintiff States of Connecticut and accompanying Committee Notes are regard to the scheduling of open Virginia to use remaining environmental posted on the Judiciary’s Web site at: meetings as follows: mitigation funds on additional http://www.uscourts.gov/rules-policies/ Tuesday, August 16, 2016: 10:00 environmental mitigation projects. proposed-amendments-published- a.m.—Issuance of Proposed Decisions in The publication of this notice opens public-comment. claims against Iraq. a period for public comment on the All written comments and suggestions 11:00 a.m.—Issuance of Proposed proposed modifications to the Consent with respect to the proposed Decisions in claims against Libya. Decree. Comments should be addressed amendments may be submitted on or Status: Open. to the Assistant Attorney General, All meetings are held at the Foreign after the opening of the period for Environment and Natural Resources Claims Settlement Commission, 600 E public comment on August 15, 2016, Division, and should refer to United Street NW., Washington, DC. Requests but no later than February 15, 2017. States et al. v. Virginia Electric and for information, or advance notices of Written comments must be submitted Power Company, Civil Case Nos. 1:03– intention to observe an open meeting, cv–00517 & 1:03–cv–00603 (E.D. Va.), electronically, following the may be directed to: Patricia M. Hall, instructions provided on the Web site. D.J. Ref. No. 90–5–2–1–07122. All Foreign Claims Settlement Commission, comments must be submitted no later All comments submitted will be 600 E Street NW., Suite 6002, available for public inspection. than thirty (30) days after the Washington, DC 20579. Telephone: publication date of this notice. Public hearings are scheduled to be (202) 616–6975. held on these proposed amendments as Comments may be submitted either by follows: Brian M. Simkin, email or by mail: • Appellate Rules in Washington, DC, Chief Counsel. on October 17, 2016, and in Denver, To submit [FR Doc. 2016–18947 Filed 8–5–16; 11:15 am] comments: Send them to: Colorado, on January 20, 2017; BILLING CODE 4410–BA–P • Bankruptcy Rules in Pasadena, By email ...... pubcomment-ees.enrd@ California, on January 24, 2017; usdoj.gov • Civil Rules in Washington, DC, on DEPARTMENT OF JUSTICE By mail ...... Assistant Attorney General November 3, 2016, in Phoenix, Arizona, U.S. DOJ—ENRD, P.O. Box on January 4, 2017, and in Dallas/Fort Notice of Lodging of Proposed 7611, Washington, DC Worth, Texas, on February 16, 2017; Modifications of Consent Decree 20044–7611 • Criminal Rules in Phoenix, Arizona, Under the Clean Air Act on January 4, 2017, and in Washington, During the public comment period, On August 3, 2016, the Department of the proposed amendments to the DC, on February 24, 2017. Justice lodged proposed modifications Those wishing to testify must contact Consent Decree may be examined and _ to a Consent Decree with the United downloaded at this Justice Department the Secretary by email at: Rules States District Court for the Eastern [email protected], with a copy Web site: https://www.justice.gov/enrd/ District of Virginia in United States et consent-decrees. We will provide a mailed to the address below at least 30 al. v. Virginia Electric and Power days before the hearing. paper copy of the proposed Company, Civil Case Nos. 1:03–cv– amendments upon written request and FOR FURTHER INFORMATION CONTACT: 00517 & 1:03–cv–00603 (E.D. Va.). Rebecca A. Womeldorf, Secretary, payment of reproduction costs. Please The original Consent Decree was mail your request and payment to: Committee on Rules of Practice and entered on October 3, 2003, and Procedure of the Judicial Conference of Consent Decree Library, U.S. DOJ— resolved civil claims under the Clean ENRD, P.O. Box 7611, Washington, DC the United States, Thurgood Marshall Air Act at a number of the Defendant’s Federal Judiciary Building, One 20044–7611. electric-generating facilities located in Please enclose a check or money order Columbus Circle NE., Suite 7–240, Virginia and West Virginia. The Consent for $3.75 (25 cents per page Washington, DC 20544, Telephone (202) Decree imposed various pollution reproduction cost) payable to the United 502–1820. control requirements on Defendant’s States Treasury. Dated: August 4, 2016. facilities, including requirements Jeffrey Sands, Rebecca A. Womeldorf, related to particulate matter emissions Assistant Section Chief, Environmental Secretary, Committee on Rules of Practice at Defendant’s Bremo Power Station Enforcement Section. Environment and and Procedure, Judicial Conference of the located in Fluvanna County, Virginia. Natural Resources Division United States. The Consent Decree also required the [FR Doc. 2016–18797 Filed 8–8–16; 8:45 am] [FR Doc. 2016–18874 Filed 8–8–16; 8:45 am] Defendant to fund certain BILLING CODE 4410–15–P BILLING CODE 2210–55–P environmental mitigation projects, including certain projects identified by the co-plaintiff States of Connecticut OFFICE OF MANAGEMENT AND DEPARTMENT OF JUSTICE and Virginia. The parties to the Consent Decree BUDGET Foreign Claims Settlement have agreed to certain modifications set Uniform Administrative Requirements, Commission forth in three amendments to the Consent. The first amendment modifies Cost Principles, and Audit [F.C.S.C. Meeting and Hearing Notice No. the Consent Decree’s particulate matter Requirements 7–16] provisions to recognize that the Bremo AGENCY: Executive Office of the Sunshine Act Meeting Power Station no longer burns coal or President, Office of Management and fuel oil and instead is fired exclusively Budget. The Foreign Claims Settlement with natural gas. The second and third ACTION: Notice of availability. Commission, pursuant to its regulations amendments modify the Consent

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SUMMARY: This notice announces the Audit Key Management Liaisons, along their cognizant or oversight agency for availability of the 2016 OMB 2 CFR 200, with their distinct roles for answering audit, or Federal awarding agency, as Subpart F—Compliance Supplement public inquiries regarding Single Audit. appropriate under the circumstances. (Supplement). The notice also offers • A list of changes to the 2016 The Federal agency contacts are listed interested parties an opportunity to Supplement can be found at Appendix in Appendix III of the Supplement. comment on the 2016 Supplement. The V. Subrecipients should contact their pass- 2016 Supplement adds two new Due to its length, the 2016 through entity. Federal agencies should programs and deletes five programs Supplement is not included in this contact Gilbert Tran, Office of (that are completed under the American Notice. Management and Budget, Office of Recovery and Reinvestment Act). It has DATES: The 2016 Supplement Federal Financial Management, at (202) also been updated for program changes supersedes the 2015 Supplement and 395–3052. and technical corrections. In addition, it will apply to audits of fiscal years Mark Reger, removed two compliance requirements beginning after June 30, 2015. All Deputy Controller. from the standard list of such comments on the 2016 Supplement requirements: Davis Bacon (formerly must be in writing and received by [FR Doc. 2016–18780 Filed 8–8–16; 8:45 am] compliance requirement D) and Real October 31, 2016. Late comments will BILLING CODE 3110–01–P Property Acquisition and Relocation be considered to the extent practicable. Assistance (formerly compliance We received no comments on the 2015 requirement K). Part 3—Compliance Supplement. NATIONAL AERONAUTICS AND Requirements is divided into two Due to potential delays in OMB’s SPACE ADMINISTRATION subparts. Subpart 3.1 is applicable to receipt and processing of mail sent [Notice (16–055)] awards issued prior to December 26, through the U.S. Postal Service, we 2014 and Subpart 3.2 is applicable to encourage respondents to submit Notice of Information Collection awards issued on or after December 26, comments electronically to ensure 2014. timely receipt. We cannot guarantee that AGENCY: National Aeronautics and The two added programs are: comments mailed will be received Space Administration (NASA). • CFDA 14.225—Community before the comment closing date. ACTION: Notice of information collection. Development Block Grants/Special Electronic mail comments may be SUMMARY: Purpose Grants/Insular Areas to form a submitted to: Hai_M._Tran@ The National Aeronautics and cluster with CFDA 14.218, Community omb.eop.gov. Please include ‘‘2 CFR 200 Space Administration, as part of its Development Block Grants/Entitlement Subpart F—Audit Requirement, continuing effort to reduce paperwork Grants. Compliance Supplement—2016’’ in the and respondent burden, invites the • CFDA 14.272—National Disaster subject line and the full body of your general public and other Federal Resilience Competition (CDBG–NDR) to comments in the text of the electronic agencies to take this opportunity to form a cluster with CFDA 14.269, message and as an attachment. Please comment on proposed and/or Hurricane Sandy Community include your name, title, organization, continuing information collections, as Development Block Grant Disaster postal address, telephone number, and required by the Paperwork Reduction Recovery Grants (CDBG–DR). email address in the text of the message. Act of 1995. The five deleted programs are: DATES: All comments should be • Comments may also be submitted via CFDA 11.010—Community Trade facsimile at 202–395–3952. submitted within 60 calendar days from Adjustment Assistance. the date of this publication. • Comments may be mailed to Gilbert CFDA 14.880—Family Unification Tran, Office of Federal Financial ADDRESSES: All comments should be Program (FUP). Management, Office of Management and addressed to Ms. Frances Teel, JF000, • CFDA 14.257—Homelessness Budget, 725 17th Street NW., Room National Aeronautics and Space Prevention and Rapid Re-Housing 6025, New Executive Office Building, Administration, Washington, DC 20546– Program (HPRP) (Recovery Act Funded). Washington, DC 20503. 0001. • CFDA 81.128, Energy Efficiency Comments may also be sent through FOR FURTHER INFORMATION CONTACT: and Conservation Block Grant Program. http://www.regulations.gov—a Federal • CFDA 84.388—School Requests for additional information or E-Government Web site that allows the Improvement Grants, Recovery Act. copies of the information collection public to find, review, and submit Part 6—Internal Control was updated instrument(s) and instructions should comments on documents that agencies to be consistent with the guidance be directed to Frances Teel, NASA PRA have published in the Federal Register contained in ‘‘Standards for Internal Clearance Officer, NASA Headquarters, and that are open for comment. Simply Control in the Federal Government’’ 300 E Street SW., JF000, Washington, type ‘‘2 CFR 200 Subpart F—Audit issued by the Comptroller General of the DC 20546, [email protected]. Requirement, Compliance United States (Green Book) and the SUPPLEMENTARY INFORMATION: Supplement—2016’’ (in quotes) in the ‘‘Internal Control Integrated Comment or Submission search box, I. Abstract Framework’’ (revised in 2013), issued by click Go, and follow the instructions for the Committee of Sponsoring This collection provides a means by submitting comments. Comments Organizations of the Treadway which NASA contractors can received through the Web site by the Commission (COSO). voluntarily and confidentially report Highlights of the changes in the date specified above will be included as any safety concerns or hazards Appendices include the following: part of the official record. pertaining to NASA programs, projects, • Appendix II provides the dates of ADDRESSES: The 2016 Supplement is or operations. agencies’ issuance of final rules or available online on the OMB home page regulatory actions to implement the at https://www.whitehouse.gov/omb/ II. Method of Collection OMB Guidance in 2 CFR 200. financial_default. The current, paper-based reporting • Appendix III lists the National FOR FURTHER INFORMATION CONTACT: system ensures the protection of a Single Audit Coordinators and Single Recipients and auditors should contact submitters anonymity and secure

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submission of the report by way of the burnable absorber rods (TPBARs) per ADAMS under Accession No. U.S. Postal Service. cycle. This amendment revised ML16159A057. Documents related to Technical Specification (TS) 4.2.1, this amendment are listed in the Safety III. Data ‘‘Fuel Assemblies,’’ to increase the Evaluation enclosed with the Title: NASA Safety Reporting System. maximum number of TPBARs allowed amendment. The amendment was OMB Number: 2700–0063. in the core from 704 to 1792. The effective as of the date of its issuance. Type of Review: Extension of a amendment also revised Surveillance The amendment revised TS 4.2.1, currently approved collection. Requirement (SR) 3.5.1.4 of TS 3.5.1, ‘‘Fuel Assemblies,’’ to increase the Affected Public: Business or other for- ‘‘Accumulators,’’ and SR 3.5.4.3 of TS maximum number of TPBARs allowed profit. 3.5.4, ‘‘Refueling Water Storage Tank in the core from 704 to 1792. The Number of Respondents: 75. (RWST),’’ to delete outdated amendment also revised SR 3.5.1.4 of Responses per Respondent: 1. information related to the tritium TS 3.5.1, ‘‘Accumulators,’’ and SR Annual Responses: 75. production program. 3.5.4.3 of TS 3.5.4, ‘‘Refueling Water Hours per Request: 15 min. DATES: August 9, 2016. Storage Tank (RWST),’’ to delete Annual Burden Hours: 19. outdated information related to the ADDRESSES: Please refer to Docket ID Frequency of Report: As needed. NRC–2015–0162 when contacting the tritium production program. The application for the amendment IV. Request for Comments NRC about the availability of complies with the standards and information regarding this document. Comments are invited on: (1) Whether requirements of the Atomic Energy Act You may obtain publicly-available the proposed collection of information of 1954, as amended (the Act), and the information related to this document is necessary for the proper performance Commission’s rules and regulations. of the functions of NASA, including using any of the following methods: The Commission has made appropriate • Federal Rulemaking Web site: Go to whether the information collected has findings as required by the Act and the http://www.regulations.gov and search practical utility; (2) the accuracy of Commission’s rules and regulations in for Docket ID NRC–2015–0162. Address NASA’s estimate of the burden chapter I of title 10 of the Code of questions about NRC dockets to Carol (including hours and cost) of the Federal Regulations, which are set forth Gallagher; telephone: 301–415–3463; proposed collection of information; (3) in the license amendment. email: [email protected]. For ways to enhance the quality, utility, and A Notice of Consideration of Issuance technical questions, contact the clarity of the information to be of Amendment and Opportunity for individual listed in the FOR FURTHER collected; and (4) ways to minimize the Hearing in connection with this action INFORMATION CONTACT section of this burden of the collection of information was published in the Federal Register document. on respondents, including automated on July 7, 2015 (80 FR 38752). A • NRC’s Agencywide Documents collection techniques or the use of other correction to the notice was published Access and Management System forms of information technology. on April 22, 2016 (81 FR 23761), to (ADAMS): You may obtain publicly- Comments submitted in response to correct a typographical error in the available documents online in the this notice will be summarized and original notice. No request for a hearing ADAMS Public Documents collection at included in the request for OMB or petition for leave to intervene was http://www.nrc.gov/reading-rm/ approval of this information collection. filed following this notice. adams.html. To begin the search, select They will also become a matter of The Commission has prepared an ‘‘ADAMS Public Documents’’ and then public record. Environmental Assessment, published select ‘‘Begin Web-based ADAMS on July 5, 2016 (81 FR 43656), related Frances Teel, Search.’’ For problems with ADAMS, to the action and has concluded that an NASA PRA Clearance Officer. please contact the NRC’s Public environmental impact statement is not [FR Doc. 2016–18860 Filed 8–8–16; 8:45 am] Document Room (PDR) reference staff at warranted because there will be no BILLING CODE 7510–13–P 1–800–397–4209, 301–415–4737, or by environmental impact attributable to the email to [email protected]. The action beyond that which has been ADAMS accession number for each predicted and described in the NUCLEAR REGULATORY document referenced (if it is available in Commission’s Final Environmental COMMISSION ADAMS) is provided the first time that Statement for the facility dated it is mentioned in this document. December 1978 and supplemented in • [Docket No. 50–390; NRC–2015–0162] NRC’s PDR: You may examine and April 1995. purchase copies of public documents at For further details with respect to this Tennessee Valley Authority; Watts Bar the NRC’s PDR, Room O1–F21, One action, see the application for Nuclear Plant, Unit 1; Maximum White Flint North, 11555 Rockville amendment dated March 31, 2015, as Number of Tritium Producing Burnable Pike, Rockville, Maryland 20852. supplemented by letters dated April 28, Absorber Rods FOR FURTHER INFORMATION CONTACT: 2015, May 27, 2015, June 15, 2015, AGENCY: Nuclear Regulatory Jeanne Dion, Office of Nuclear Reactor September 14, 2015, September 25, Commission. Regulation, U.S. Nuclear Regulatory 2015, November 30, 2015, December 22, 2015, December 29, 2015, February 22, ACTION: License amendment; issuance. Commission, Washington, DC 20555– 0001; telephone: 301–415–1349, email: 2016, and March 31, 2016 (ADAMS SUMMARY: The U.S. Nuclear Regulatory [email protected]. Accession Nos. ML15098A446, Commission (NRC) is issuing an SUPPLEMENTARY INFORMATION: The NRC ML15124A334, ML15147A611, amendment to Facility Operating has issued Amendment No. 107 to ML15167A359, ML15258A204, License No. NPF–90, issued to the Facility Operating License No. NPF–90 ML15268A568, ML15335A468, Tennessee Valley Authority, for issued to the Tennessee Valley ML16054A661, ML16004A161, operation of the Watts Bar Nuclear Authority, which revised the TSs for ML16053A513, and ML16095A064, Plant, Unit 1. The amendment allows operation of the Watts Bar Nuclear respectively). Watts Bar Nuclear Plant, Unit 1, to Plant, Unit 1, located in Rhea County, Dated at Rockville, Maryland, this 29th day irradiate up to 1792 tritium producing TN. A publicly-available version is in of July 2016.

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For the Nuclear Regulatory Commission. (Public Representative). Section II also of 1934 (‘‘Act’’) 1 and Rule 19d–1(c)(2) Robert G. Schaaf, establishes comment deadline(s) thereunder.2 The proposed MRVP was Senior Project Manager, Plant Licensing pertaining to each request. published for public comment on July Branch II–2, Division of Operating Reactor The public portions of the Postal 18, 2016.3 The Commission received no Licensing, Office of Nuclear Reactor Service’s request(s) can be accessed via comments on the proposal. This order Regulation. the Commission’s Web site (http:// declares the Exchange’s proposed MRVP [FR Doc. 2016–18841 Filed 8–8–16; 8:45 am] www.prc.gov). Non-public portions of effective. BILLING CODE 7590–01–P the Postal Service’s request(s), if any, The Exchange’s MRVP specifies the can be accessed through compliance rule violations which will be included with the requirements of 39 CFR in the Plan and will have sanctions not POSTAL REGULATORY COMMISSION 3007.40. exceeding $2,500. Any violations which The Commission invites comments on are resolved under the MRVP would not [Docket No. CP2016–250] whether the Postal Service’s request(s) be subject to the provisions of Rule 19d– 1(c)(1) of the Act,4 which requires that New Postal Products in the captioned docket(s) are consistent with the policies of title 39. For a self-regulatory organization (‘‘SRO’’) AGENCY: Postal Regulatory Commission. request(s) that the Postal Service states promptly file notice with the ACTION: Notice. concern market dominant product(s), Commission of any final disciplinary applicable statutory and regulatory action taken with respect to any person SUMMARY: The Commission is noticing a requirements include 39 U.S.C. 3622, 39 or organization.5 In accordance with recent Postal Service filing for the U.S.C. 3642, 39 CFR part 3010, and 39 Rule 19d–1(c)(2) under the Act,6 the Commission’s consideration concerning CFR part 3020, subpart B. For request(s) Exchange proposed to designate certain a negotiated service agreement. This that the Postal Service states concern specified rule violations as minor rule notice informs the public of the filing, competitive product(s), applicable violations, and requested that it be invites public comment, and takes other statutory and regulatory requirements relieved of the prompt reporting administrative steps. include 39 U.S.C. 3632, 39 U.S.C. 3633, requirements regarding such violations, DATES: Comments are due: August 11, 39 U.S.C. 3642, 39 CFR part 3015, and provided it gives notice of such 2016. 39 CFR part 3020, subpart B. Comment violations to the Commission on a quarterly basis. ADDRESSES: Submit comments deadline(s) for each request appear in The Exchange proposed to include in electronically via the Commission’s section II. its MRVP the procedures included in Filing Online system at http:// II. Docketed Proceeding(s) Exchange Rule 9.216(b) (‘‘Procedure for www.prc.gov. Those who cannot submit Violation Under Plan Pursuant to comments electronically should contact 1. Docket No(s).: CP2016–250; Filing Exchange Act Rule 19d–1(c)(2)’’) and the person identified in the FOR FURTHER Title: Notice of United States Postal the violations to be included in INFORMATION CONTACT section by Service of Filing a Functionally Exchange Rule 9.218 (‘‘Violations telephone for advice on filing Equivalent Global Expedited Package Appropriate for Disposition Under Plan alternatives. Services 3 Negotiated Service Agreement and Application for Non- Pursuant to Exchange Act Rule 19d– FOR FURTHER INFORMATION CONTACT: 7 Public Treatment of Materials Filed 1(c)(2)’’). According to the Exchange’s David A. Trissell, General Counsel, at Under Seal; Filing Acceptance Date: 1 202–789–6820. August 3, 2016; Filing Authority: 39 CFR 15 U.S.C. 78s(d)(1). SUPPLEMENTARY INFORMATION: 2 17 CFR 240.19d–1(c)(2). 3015.5; Public Representative: Curtis E. 3 See Securities Exchange Act Release No. 78300 Table of Contents Kidd; Comments Due: August 11, 2016. (July 12, 2016), 81 FR 46730 (‘‘Notice’’). This Notice will be published in the 4 17 CFR 240.19d–1(c)(1). I. Introduction Federal Register. 5 The Commission adopted amendments to II. Docketed Proceeding(s) paragraph (c) of Rule 19d–1 to allow SROs to Ruth Ann Abrams, I. Introduction submit for Commission approval plans for the Acting Secretary. abbreviated reporting of minor disciplinary infractions. See Securities Exchange Act Release The Commission gives notice that the [FR Doc. 2016–18843 Filed 8–8–16; 8:45 am] Postal Service filed request(s) for the No. 21013 (June 1, 1984), 49 FR 23828 (June 8, BILLING CODE 7710–FW–P 1984). Any disciplinary action taken by an SRO Commission to consider matters related against any person for violation of a rule of the SRO to negotiated service agreement(s). The which has been designated as a minor rule violation request(s) may propose the addition or pursuant to such a plan filed with and declared removal of a negotiated service SECURITIES AND EXCHANGE effective by the Commission is not considered COMMISSION ‘‘final’’ for purposes of Section 19(d)(1) of the Act agreement from the market dominant or if the sanction imposed consists of a fine not the competitive product list, or the [Release No. 34–78474; File No. 4–701] exceeding $2,500 and the sanctioned person has not modification of an existing product sought an adjudication, including a hearing, or currently appearing on the market otherwise exhausted his administrative remedies. Self-Regulatory Organizations; 6 dominant or the competitive product 17 CFR 240.19d–1(c)(2). Investors Exchange LLC; Order 7 The Exchange received its grant of registration list. Declaring Effective a Minor Rule on June 17, 2016, which included approving the Section II identifies the docket Violation Plan rules that govern the Exchange. See Securities number(s) associated with each Postal Exchange Act Release No. 78101 (June 17, 2016), 81 Service request, the title of each Postal August 3, 2016. FR 41141 (June 23, 2016) (File No. 10–222). On July 11, 2016, Investors Exchange Under the proposed MRVP, violations of the Service request, the request’s acceptance following rules would be appropriate for date, and the authority cited by the LLC (‘‘IEX’’ or ‘‘Exchange’’) filed with disposition under the MRVP: Rule 2.160(p)— Postal Service for each request. For each the Securities and Exchange Continuing Education Requirements; Rule 4.511 request, the Commission appoints an Commission (‘‘Commission’’) a (General Requirements related to books and records proposed minor rule violation plan requirements); Rule 4.540 (Furnishing of records); officer of the Commission to represent Rule 5.110 (Supervision); Rule 8.220 (Automated the interests of the general public in the (‘‘MRVP’’ or ‘‘Plan’’) pursuant to Section submission of trading data requested); Rule proceeding, pursuant to 39 U.S.C. 505 19(d)(1) of the Securities Exchange Act Continued

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proposed MRVP, under Rule 9.216(b), The Commission finds that the SECURITIES AND EXCHANGE the Exchange may impose a fine (not to proposal is consistent with the public COMMISSION exceed $2,500) and/or a censure on any interest, the protection of investors, and Member or associated person with otherwise in furtherance of the purposes [Release No. 34–78472; File No. SR– BatsEDGX–2016–35] respect to any rule listed in IEX Rule of the Act, as required by Rule 19d– 9.218. If the Financial Industry 1(c)(2) under the Act,10 because the Self-Regulatory Organizations; Bats Regulatory Authority Department of MRVP will permit the Exchange to carry EDGX Exchange, Inc.; Notice of Filing Enforcement or the Department of out its oversight and enforcement and Immediate Effectiveness of a Market Regulation, on behalf of the responsibilities as an SRO more Proposed Rule Change to Rule 11.21, Exchange, has reason to believe a efficiently in cases where full Retail Orders, To Conform to the Rules violation has occurred and if the disciplinary proceedings are not of Bats BZX Exchange, Inc. and Bats Member or associated person does not necessary due to the minor nature of the BYX Exchange, Inc. dispute the violation, the Department of particular violation. Enforcement or the Department of August 3, 2016. Market Regulation may prepare and In declaring the Exchange’s MRVP Pursuant to Section 19(b)(1) of the request that the Member or associated effective, the Commission in no way Securities Exchange Act of 1934 (the person execute a minor rule violation minimizes the importance of ‘‘Act’’),1 and Rule 19b–4 thereunder,2 plan letter accepting a finding of compliance with Exchange rules and all notice is hereby given that on July 22, violation, consenting to the imposition other rules subject to the imposition of 2016, Bats EDGX Exchange, Inc. (the of sanctions, and agreeing to waive the sanctions under Exchange Rule 9.216(b). ‘‘Exchange’’ or ‘‘EDGX’’) filed with the Member’s or associated person’s right to The Commission believes that the Securities and Exchange Commission a hearing before a Hearing Panel or, if violation of an SRO’s rules, as well as (‘‘Commission’’) the proposed rule applicable, an Extended Hearing Panel, Commission rules, is a serious matter. change as described in Items I, II, and and any right of appeal to the IEX However, Exchange Rule 9.216(b) III below, which Items have been Appeals Committee, the Board, the provides a reasonable means of prepared by the Exchange. The Commission, and the courts, or to addressing violations that do not rise to Exchange has designated this proposal otherwise challenge the validity of the the level of requiring formal as a ‘‘non-controversial’’ proposed rule letter, if the letter is accepted. The letter disciplinary proceedings, while change pursuant to Section 19(b)(3)(A) must describe the act or practice providing greater flexibility in handling of the Act 3 and Rule 19b–4(f)(6)(iii) 4 engaged in or omitted, the rule, certain violations. The Commission thereunder, which renders it effective regulation, or statutory provision expects that the Exchange will continue upon filing with the Commission. The violated, and the sanction or sanctions to conduct surveillance and make Commission is publishing this notice to to be imposed. Unless the letter states determinations based on its findings, on solicit comments on the proposed rule otherwise, the effective date of any change from interested persons. sanction imposed will be a date to be a case-by-case basis, regarding whether determined by IEX Regulation staff. In a sanction under the MRVP is I. Self-Regulatory Organization’s the event the letter is not accepted by appropriate, or whether a violation Statement of the Terms of Substance of the Member or associated person, or is requires formal disciplinary action. the Proposed Rule Change rejected by the Office of Disciplinary IT IS THEREFORE ORDERED, The Exchange filed a proposal to Affairs, the matter can proceed in pursuant to Rule 19d–1(c)(2) under the amend Rule11.21, Retail Orders, to accordance with the Exchange’s Act,11 that the proposed MRVP for conform to the rules of Bats BZX disciplinary rules, which include Investors Exchange LLC, File No. 4–701, Exchange, Inc. (‘‘BZX’’) and Bats BYX hearing rights for formal disciplinary be, and hereby is, declared effective. Exchange, Inc. (‘‘BYX’’).5 proceedings.8 The text of the proposed rule change For the Commission, by the Division of is available at the Exchange’s Web site Once IEX’s MRVP is effective, the Trading and Markets, pursuant to delegated at www.batstrading.com, at the Exchange will provide to the authority.12 Commission a quarterly report for any principal office of the Exchange, and at actions taken on minor rule violations Robert W. Errett, the Commission’s Public Reference under the MRVP. The quarterly report Deputy Secretary. Room. will include: The Exchange’s internal [FR Doc. 2016–18794 Filed 8–8–16; 8:45 am] file number for the case, the name of the BILLING CODE 8011–01–P 1 15 U.S.C. 78s(b)(1). individual and/or organization, the 2 17 CFR 240.19b–4. nature of the violation, the specific rule 3 15 U.S.C. 78s(b)(3)(A). 4 provision violated, the sanction 17 CFR 240.19b–4(f)(6)(iii). 5 See BYX Rule 11.24 and BZX Rule 11.25. See imposed, the number of times the rule Securities Exchange Act Release Nos. 68303 violation occurred, and the date of the (November 27, 2012), 77 FR 71652 (December 3, disposition.9 2012) (SR–BYX–2012–019); 72730 (July 31, 2014), 79 FR 45857 (August 6, 2014) (SR–BYX–2014–013); 73236 (September 26, 2014) 79 FR 59541 (October 11.151(a)(1) (Market Maker two-sided quotation 2, 2014) (SR–BYX–2014–024); 76207 (October 21, requirement); Rule 11.290 (Short sales); Rule 11.310 2015), 80 FR 65824 (October 27, 2015) (SR–BYX– (Locking or crossing quotations in NMS stocks); and 2015–45); 73237 (September 26, 2014), 79 FR 59537 Rule 11.420 (Order audit trail system requirements). (October 2, 2014) (SR–BATS–2014–043); 73677 See Notice, supra note 3. When IEX’s MRVP is (November 24, 2014), 79 FR 71150 (December 1, declared effective, IEX will file a proposed rule 2014) (SR–BATS–2014–058); and 76205 (October change to amend Rule 9.218 to specify the 21, 2015), 80 FR 65828 (October 27, 2015) (SR– violations to be included in the MRVP. BATS–2015–90). The Exchange does not proposes 8 See, Notice, supra note 3. to adopt paragraphs (e), (f), (g) and (h) of BYX Rule 10 17 CFR 240.19d–1(c)(2). 9 The Exchange attached a sample form of the 11.24 concerning the BYX Retail Price Improvement quarterly report with its submission to the 11 Id. Program. These paragraph are also not included in Commission. 12 17 CFR 200.30–3(a)(44). BZX Rule 11.25.

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II. Self-Regulatory Organization’s Industry Regulatory Authority, Inc. Retail Order definition; and (C) an Statement of the Purpose of, and (‘‘FINRA’’) Rule 5320.03 that originates attestation, in a form prescribed by the Statutory Basis for, the Proposed Rule from a natural person; (ii) is submitted Exchange, that substantially all orders Change to EDGX by a Member, provided that no submitted as Retail Orders will qualify In its filing with the Commission, the change is made to the terms of the order; as such under this Rule. Proposed Rule Exchange included statements and (iii) does not originate from a 11.21(b)(2) is identical to BYX Rule concerning the purpose of and basis for trading algorithm or any other 11.24(b)(2) and BZX Rule 11.25(b)(2). the proposed rule change and discussed computerized methodology. The The Exchange also proposes to adopt any comments it received on the Exchange proposes to renumber the subparagraphs (b)(3), (4), (5), and (6) to proposed rule change. The text of these definition of Retail Order as Rule 11.21, the content of which is statements may be examined at the subparagraph (a)(2) and revise it to identical to BYX Rule 11.24(b)(3), (4), places specified in Item IV below. The specify that the Retail Order is to be (5), and (6) and BZX Rule 11.25(b)(3), Exchange has prepared summaries, set submitted by a Retail Member (4), (5), and (6). Subparagraph (b)(3) forth in Sections A, B, and C below, of Organization. The amended definition would state that after an applicant the most significant parts of such of Retail Order under Exchange Rule submits the application form, statements. 11.21(a)(2) would be identical to BYX supporting documentation, and Rule 11.24(a)(2) and BZX Rule attestation, the Exchange shall notify the A. Self-Regulatory Organization’s 11.25(a)(2). applicant of its decision in writing. Statement of the Purpose of, and the Second the Exchange proposes to Subparagraph (b)(4) would allow a Statutory Basis for, the Proposed Rule consolidate paragraphs (b) and (c) to disapproved applicant to: (A) Request Change Exchange Rule 11.21 into a single an appeal of such disapproval by the 1. Purpose paragraph (b) entitled, Retail Member Exchange as provided in proposed Organization Qualifications and paragraph (d) discussed below; and/or In early 2014, the Exchange and its Application. Proposed Exchange Rule (B) reapply for Retail Member affiliate, Bats EDGA Exchange, Inc. 11.21(b) would be identical to BYX Rule Organization status 90 days after the (‘‘EDGA’’), received approval to effect a 11.24(b) and BZX Rule 11.25(b). Rule disapproval notice is issued by the merger (the ‘‘Merger’’) of the Exchange’s 11.21(b)(1) would state that to qualify as Exchange. Subparagraph (b)(5) permits a parent company, Direct Edge Holdings a Retail Member Organization, a Retail Member Organization to LLC, with Bats Global Markets, Inc., the Member must conduct a retail business voluntarily withdraw from such status parent of BZX and BYX (together with or route retail orders on behalf of at any time by giving written notice to BZX, EDGA, and EDGX, the ‘‘BGM the Exchange. Affiliated Exchanges’’).6 In the context another broker-dealer. For purposes of Exchange Rule 11.21, conducting a Current Rule 11.21(c) states that if the of the Merger, the BGM Affiliated Member represents Retail Orders from Exchanges are working to align certain retail business shall include carrying retail customer accounts on a fully another broker-dealer customer, the system and regulatory functionality, 9 Member’s supervisory procedures must retaining only intended differences disclosed basis. Current Rule 11.21(b) requires be reasonably designed to assure that between the BGM Affiliated Exchanges. the orders it receives from such broker- Thus, the proposal set forth below is Members to submit a signed written attestation, in a form prescribed by the dealer customer that it designates as intended to amend Exchange Rule Retail Orders meet the definition of a 11.21, Retail Orders, to conform to the Exchange, that they have implemented policies and procedures that are Retail Order. The Member must: (i) rules of BZX and BYX in order to Obtain an annual written representation provide a consistent rule set across each reasonably designed to ensure that substantially all orders designated by from each broker-dealer customer that of the BGM Affiliated Exchanges.7 sends it orders to be designated as Retail First, the Exchange proposes to the Member as a Retail Order comply with the above requirements. The Orders that entry of such orders as amend paragraph (a) of Rule 11.21 to Retail Orders will be in compliance include definitions of ‘‘Retail Member Exchange proposes to incorporate this requirement into proposed Rule with the requirements specified by the Organization’’ and ‘‘Retail Order’’. Exchange; and (ii) monitor whether its 11.21(b)(2). Proposed subparagraph Subparagraph (a)(1) would define a broker-dealer customer’s Retail Order (b)(2) of Rule 11.21 would state that, to Retail Member Organization or RMO as flow continues to meet the applicable 8 become a Retail Member Organization, a ‘‘a Member (or a division thereof) that requirements. The Exchange proposes to Member must submit: (A) An has been approved by the Exchange incorporate this requirement into application form; (B) supporting under this Rule to submit Retail proposed Rule 11.21(b)(6). Proposed documentation, which may include Orders.’’ This definition is identical to subparagraph (b)(6) of Rule 11.21 would sample marketing literature, Web site the definition of Retail Member state that a Retail Member Organization screenshots, other publicly disclosed Organization under BYX Rule must have written policies and materials describing the Member’s retail 11.24(a)(1) and BZX Rule 11.25(a)(1). procedures reasonably designed to The Exchange also proposes to slightly order flow, and any other assure that it will only designate orders revise and relocate the definition of documentation and information as Retail Orders if all requirements of a Retail Order under current Rule requested by the Exchange in order to Retail Order are met. Such written 11.21(a). Exchange Rule 11.21(a) confirm that the applicant’s order flow policies and procedures must require currently defines a Retail Order as an would meet the requirements of the the Member to: (i) Exercise due agency order or riskless principal order diligence before entering a Retail Order that meets the criteria of the Financial 9 Exchange Rule 11.21 does not currently state that conducting a retail business shall include to assure that entry as a Retail Order is carrying retail customer accounts on a fully in compliance with the requirements of 6 See Securities Exchange Act Release No. 71449 disclosed basis. The Exchange notes that this this Rule; and (ii) monitor whether (January 30, 2014), 79 FR 6961 (February 5, 2014) provision is currently included in BYX Rule orders entered as Retail Orders meet the (SR–EDGX–2013–043; SR–EDGA–2013–034). 11.24(b)(1) and BZX Rule 11.25(b)(1) and the 7 The Exchange notes that EDGA does not Exchange proposes to add it to Rule 11.21(b)(1) to applicable requirements. Subparagraph currently include a Retail Order rule. ensure this provision of the Exchange, BZX, and (b)(6) would also require that if a Retail 8 See Exchange Rule 1.5(n). BZX rules are fully harmonized. Member Organization does not itself

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conduct a retail business but routes that the Retail Attribution Panel (the mechanism of, a free and open market Retail Orders on behalf of another ‘‘Panel’’) review the decision to and a national market system, and, in broker-dealer, the Retail Member determine if it was correct. Pursuant to general, to protect investors and the Organization’s supervisory procedures subparagraph (d)(2), the Panel will public interest. As mentioned above, the must be reasonably designed to assure consist of the Exchange’s Chief proposed rule change would allow the that the orders it receives from such Regulatory Officer (‘‘CRO’’), or a Exchange, BYX, and BZX to provide a other broker-dealer that are designated designee of the CRO, and two officers of consistent set of rules as it relates to as Retail Orders meet the definition of the Exchange designated by the Chief Retail Orders and Retail Member a Retail Order. The Retail Member Information Officer (‘‘CIO’’). Organizations. Consistent rules, in turn, Organization must: (i) Obtain an annual Subparagraph (d)(3) states that the Panel will simplify the regulatory written representation, in a form shall review the facts and render a requirements for Members of the acceptable to the Exchange, from each decision within the time frame other broker-dealer that sends the Retail prescribed by the Exchange. Exchange that are also participants on Member Organization orders to be Subparagraph (d)(4) would allow the BYX and BZX. The proposed rule designated as Retail Orders that entry of Panel to overturn or modify an action change would provide greater such orders as Retail Orders will be in taken by the Exchange under Rule 11.21 harmonization between rules of similar compliance with the requirements of and state that a determination by the purpose on the Exchange, BYX, and this Rule; and (ii) monitor whether Panel shall constitute final action by the BZX, resulting in greater uniformity and Retail Order flow routed on behalf of Exchange. less burdensome and more efficient such other broker-dealers meets the Lastly, the Exchange proposes to regulatory compliance and applicable requirements. Proposed renumber current paragraph (d) to Rule understanding of Exchange Rules. As subparagraph (b)(6) of Rule 11.21 is 11.21 as paragraph (e) and current such, the proposed rule change would identical to BYX Rule 11.24(b)(6) and paragraph (e) to Rule 11.21 as paragraph foster cooperation and coordination BZX Rule 11.25(b)(6). (f) and to replace references to Member with persons engaged in facilitating Proposed paragraph (c) to Rule 11.21 with the term Retail Member transactions in securities and would would set forth the process for Organization in both of these remove impediments to and perfect the disqualifying a Member as a Retail paragraphs. Under Rule 11.21(e), Retail mechanism of a free and open market Member Organization and is identical to Member Organizations will only be able and a national market system. Similarly, BYX Rule 11.24(c) and BZX Rule to designate their orders as Retail Orders the Exchange believes harmonizing 11.25(c). Subparagraph (c)(1) would on either an order-by-order basis using these rules across the Exchange, BYX, state that if a Retail Member FIX ports or by designating certain of and BZX promotes just and equitable Organization designates orders their FIX ports at the Exchange as submitted to the Exchange as Retail ‘‘Retail Order Ports.’’ Unless otherwise principles of trade by providing Orders and the Exchange determines, in instructed by the Retail Member consistent rules regarding Retail its sole discretion, that such orders fail Organization, a Retail Order will be Member Organizations and Retail to meet any of the requirements set forth identified as Retail when routed to an Orders. in paragraph (a) of Rule 11.21 above, the away Trading Center. Under Rule Lastly, the Exchange also believes the Exchange may disqualify a Member 11.21(f), Retail Member Organizations proposed qualification standards and from its status as a Retail Member will continue to be permitted to review process under Rule 11.21 Organization. Subparagraph (c)(2) designate a Retail Order to be identified promote just and equitable principles would state that the Exchange shall as Retail on the EDGX Book Feed on an and are not unfairly discriminatory determine if and when a Member is order-by-order basis or to identify all its because they are designed to ensure that disqualified from its status as a Retail Retail Orders as Retail on a port-by-port Members are properly qualified as a Member Organization. When basis where that port is also designated Retail Member Organization and only disqualification determinations are as a Retail Order Port. A Retail Member attribute as Retail those orders that meet made, the Exchange shall provide a Organization that instructs the Exchange the definition of Retail Orders. The written disqualification notice to the to identify all its Retail Orders as Retail qualification process proposed herein Member. Subparagraph (c)(3) would on a Retail Order Port will continue to by the Exchange is not designed to state that a Retail Member Organization be able to override such setting and permit unfair discrimination, but rather that is disqualified may: (A) Appeal designate any individual Retail Order ensure that order that are designated to such disqualification as provided in from that port as Attributable or as Non- be attributed are Retail are, in fact, order paragraph (d) discussed below; and/or Attributable, as set forth in Rule 11.6(a). (B) reapply for Retail Member submitted by a retail customer that Organization status 90 days after the 2. Statutory Basis satisfy the proposed definition of Retail date of the disqualification notice from The Exchange believes that the Order. Lastly, the Exchange notes that the Exchange. proposed rule change is consistent with these qualification and review Paragraph (d) of Rule 11.21 would the requirements of the Act and the provisions are substantially similar to mirror BYX Rule 11.24(d) and BZX Rule rules and regulations thereunder that those included in the rules of the BYX, 11.25(d) by setting forth the processes are applicable to a national securities BZX, New York Stock Exchange, Inc.’s for Retail Member Organization to exchange, and, in particular, with the (‘‘NYSE’’), and NYSE MKT LLC (‘‘NYSE appeal a disqualification determination. requirements of Section 6(b) of the MKT’’) that have been previously Subparagraph (d)(1) would state that if Act.10 Specifically, the proposed change approved by the Commission.12 a Member disputes the Exchange’s is consistent with Section 6(b)(5) of the decision to disapprove it under Act,11 because it is designed to promote 12 See BYX Rule 11.24, BZX Rule 11.25, NYSE paragraph (b) of Rule 11.21 or disqualify just and equitable principles of trade, to Rule 107C, NYSE MKT LLC NYSE MKT Rule 107C, it under paragraph (c) of Rule 11.21, the remove impediments to, and perfect the and NYSE Arca, Inc. (‘‘NYSE Arca’’) Rule 7.44. The Exchange notes that the NYSE, NYSE Arca, and Member (‘‘appellant’’) may request, NYSE MKT programs do not allow members to elect within five business days after notice of 10 15 U.S.C. 78f(b). that their retail orders be identified as Retail on the the decision is issued by the Exchange, 11 15 U.S.C. 78f(b)(5). exchange’s proprietary data feeds.

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B. Self-Regulatory Organization’s IV. Solicitation of Comments For the Commission, by the Division of Statement on Burden on Competition Trading and Markets, pursuant to delegated Interested persons are invited to authority.15 The Exchange does not believe that submit written data, views, and Robert W. Errett, the proposed rule change will impose arguments concerning the foregoing, Deputy Secretary. any burden on competition not including whether the proposed rule [FR Doc. 2016–18792 Filed 8–8–16; 8:45 am] necessary or appropriate in furtherance change is consistent with the Act. of the purposes of the act. To the Comments may be submitted by any of BILLING CODE 8011–01–P contrary, allowing the Exchange to the following methods: implement substantively identical rules across the Exchange, BYX, and BZX Electronic Comments SECURITIES AND EXCHANGE COMMISSION regarding Retail Orders and Retail • Member Organizations does not present Use the Commission’s Internet Sunshine Act Meeting any competitive issues, but rather is comment form (http://www.sec.gov/ designed to provide greater rules/sro.shtml); or harmonization among the Exchange, • Send an email to rule- Notice is hereby given, pursuant to BYX, and BZX rules of similar purpose. [email protected]. Please include File the provisions of the Government in the Number SR–BatsEDGX–2016–35 on the Sunshine Act, Public Law 94–409, that C. Self-Regulatory Organization’s the Securities and Exchange subject line. Statement on Comments on the Commission will hold a Closed Meeting Proposed Rule Change Received From Paper Comments on Thursday, August 11, 2016 at 2:00 Members, Participants, or Others p.m. • Send paper comments in triplicate Commissioners, Counsel to the The Exchange has neither solicited to Secretary, Securities and Exchange nor received written comments on the Commissioners, the Secretary to the Commission, 100 F Street NE., proposed rule change. Commission, and recording secretaries Washington, DC 20549–1090. will attend the Closed Meeting. Certain III. Date of Effectiveness of the staff members who have an interest in Proposed Rule Change and Timing for All submissions should refer to File the matters also may be present. Commission Action Number SR–BatsEDGX–2016–35. This file number should be included on the The General Counsel of the Because the foregoing proposed rule subject line if email is used. To help the Commission, or her designee, has change does not: (A) Significantly affect Commission process and review your certified that, in her opinion, one or the protection of investors or the public comments more efficiently, please use more of the exemptions set forth in 5 interest; (B) impose any significant only one method. The Commission will U.S.C. 552b(c)(3), (5), (7), 9(B) and (10) burden on competition; and (C) by its post all comments on the Commission’s and 17 CFR 200.402(a)(3), (5), (7), 9(ii) terms, become operative for 30 days Internet Web site (http://www.sec.gov/ and (10), permit consideration of the from the date on which it was filed or rules/sro.shtml). Copies of the scheduled matter at the Closed Meeting. such shorter time as the Commission submission, all subsequent Commissioner Stein, as duty officer, may designate it has become effective amendments, all written statements voted to consider the items listed for the pursuant to Section 19(b)(3)(A) of the with respect to the proposed rule 13 Closed Meeting in closed session. Act and paragraph (f)(6) of Rule 19b– change that are filed with the 14 The subject matter of the Closed 4 thereunder, the Exchange has Commission, and all written Meeting will be: designated this rule filing as non- communications relating to the controversial. The Exchange has given proposed rule change between the Institution and settlement of the Commission written notice of its Commission and any person, other than injunctive actions; intent to file the proposed rule change, those that may be withheld from the along with a brief description and text Institution and settlement of of the proposed rule change at least five public in accordance with the administrative proceedings; business days prior to the date of filing provisions of 5 U.S.C. 552, will be Adjudicatory matters; and of the proposed rule change, or such available for Web site viewing and printing in the Commission’s Public Other matters relating to enforcement shorter time as designated by the proceedings. Commission. Reference Room, 100 F Street NE., Washington, DC 20549, on official At times, changes in Commission At any time within 60 days of the business days between the hours of priorities require alterations in the filing of the proposed rule change, the 10:00 a.m. and 3:00 p.m. Copies of the scheduling of meeting items. Commission summarily may temporarily suspend such rule change if filing also will be available for For further information and to it appears to the Commission that such inspection and copying at the principal ascertain what, if any, matters have been action is: (1) Necessary or appropriate in office of the Exchange. All comments added, deleted or postponed, please the public interest; (2) for the protection received will be posted without change; contact Brent J. Fields from the Office of of investors; or (3) otherwise in the Commission does not edit personal the Secretary at (202) 551–5400. identifying information from furtherance of the purposes of the Act. Dated: August 4, 2016. If the Commission takes such action, the submissions. You should submit only Robert W. Errett, Commission shall institute proceedings information that you wish to make to determine whether the proposed rule available publicly. All submissions Deputy Secretary. should be approved or disapproved. should refer to File Number SR– [FR Doc. 2016–18932 Filed 8–5–16; 11:15 am] BatsEDGX–2016–35, and should be BILLING CODE 8011–01–P 13 15 U.S.C. 78s(b)(3)(A). submitted on or before August 30, 2016. 14 17 CFR 240.19b–4. 15 17 CFR 200.30–3(a)(12).

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SECURITIES AND EXCHANGE unless the SRO is relieved of this joint plans for the allocation of COMMISSION responsibility pursuant to Section regulatory responsibilities with respect 17(d) 4 or Section 19(g)(2) 5 of the Act. to their common members. Under [Release No. 34–78473; File No. 4–566] Without this relief, the statutory paragraph (c) of Rule 17d–2, the Program for Allocation of Regulatory obligation of each individual SRO could Commission may declare such a plan Responsibilities Pursuant to Rule 17d– result in a pattern of multiple effective if, after providing for notice 2; Notice of Filing and Order examinations of broker-dealers that and comment, it determines that the Approving and Declaring Effective an maintain memberships in more than one plan is necessary or appropriate in the Amendment to the Plan for the SRO (‘‘common members’’). Such public interest and for the protection of Allocation of Regulatory regulatory duplication would add investors, to foster cooperation and Responsibilities Among Bats BZX unnecessary expenses for common coordination among the SROs, to Exchange, Inc., Bats BYX Exchange, members and their SROs. remove impediments to, and foster the 6 Inc., Chicago Stock Exchange, Inc., Section 17(d)(1) of the Act was development of, a national market Bats EDGA Exchange, Inc., Bats EDGX intended, in part, to eliminate system and a national clearance and Exchange, Inc., Financial Industry unnecessary multiple examinations and settlement system, and is in conformity 7 Regulatory Authority, Inc., NASDAQ regulatory duplication. With respect to with the factors set forth in Section BX, Inc., NASDAQ PHLX LLC, The a common member, Section 17(d)(1) 17(d) of the Act. Commission approval NASDAQ Stock Market LLC, National authorizes the Commission, by rule or of a plan filed pursuant to Rule 17d–2 Stock Exchange, Inc., New York Stock order, to relieve an SRO of the relieves an SRO of those regulatory Exchange LLC, NYSE MKT LLC, NYSE responsibility to receive regulatory responsibilities allocated by the plan to Arca, Inc., and Investors Exchange reports, to examine for and enforce another SRO. compliance with applicable statutes, LLC Relating to the Surveillance, II. The Plan Investigation, and Enforcement of rules, and regulations, or to perform Insider Trading Rules other specified regulatory functions. On September 12, 2008, the To implement Section 17(d)(1), the Commission declared effective the August 3, 2016. Commission adopted two rules: Rule Participating Organizations’ Plan for Notice is hereby given that the 17d–1 and Rule 17d–2 under the Act.8 allocating regulatory responsibilities Securities and Exchange Commission Rule 17d–1 authorizes the Commission pursuant to Rule 17d–2.11 The Plan is (‘‘Commission’’) has issued an Order, to name a single SRO as the designated designed to eliminate regulatory pursuant to Section 17(d) of the examining authority (‘‘DEA’’) to duplication by allocating regulatory Securities Exchange Act of 1934 examine common members for responsibility over Common FINRA (‘‘Act’’),1 approving and declaring compliance with the financial Members 12 (collectively ‘‘Common effective an amendment to the plan for responsibility requirements imposed by Members’’) for the surveillance, allocating regulatory responsibility the Act, or by Commission or SRO investigation, and enforcement of (‘‘Plan’’) filed on July 21, 2016, pursuant rules.9 When an SRO has been named as common insider trading rules to Rule 17d–2 of the Act,2 by Bats BZX a common member’s DEA, all other (‘‘Common Rules’’).13 The Plan assigns Exchange, Inc. (‘‘BZX’’), Bats BYX SROs to which the common member regulatory responsibility over Common Exchange, Inc. (‘‘BYX’’), Chicago Stock belongs are relieved of the responsibility FINRA Members to FINRA for Exchange, Inc. (‘‘CHX’’), Bats EDGA to examine the firm for compliance with surveillance, investigation, and Exchange, Inc. (‘‘EDGA’’), Bats EDGX the applicable financial responsibility enforcement of insider trading by Exchange, Inc. (‘‘EDGX’’), Financial rules. On its face, Rule 17d–1 deals only broker-dealers, and their associated Industry Regulatory Authority, Inc. with an SRO’s obligations to enforce persons, with respect to Listed Stocks (‘‘FINRA’’), NASDAQ BX, Inc. member compliance with financial (as defined in the Plan), irrespective of (‘‘NASDAQ BX’’), NASDAQ PHLX LLC responsibility requirements. Rule 17d–1 the marketplace(s) maintained by the (‘‘NASDAQ PHLX’’), The NASDAQ does not relieve an SRO from its Participating Organizations on which Stock Market LLC (‘‘NASDAQ’’), obligation to examine a common the relevant trading may occur. National Stock Exchange, Inc. (‘‘NSX’’), member for compliance with its own III. Proposed Amendment to the Plan New York Stock Exchange LLC rules and provisions of the federal (‘‘NYSE’’), NYSE MKT LLC (‘‘NYSE securities laws governing matters other On July 21, 2016, the Parties MKT’’), NYSE Arca, Inc. (‘‘NYSE than financial responsibility, including submitted a proposed amendment to the Arca’’), and Investors Exchange LLC sales practices and trading activities and Plan. The proposed amendment was (‘‘IEX’’) (collectively, ‘‘Participating practices. submitted to reflect the addition of IEX Organizations’’ or ‘‘parties’’). To address regulatory duplication in as a Listing Market (as defined in the these and other areas, the Commission I. Introduction adopted Rule 17d–2 under the Act.10 11 See Securities Exchange Act Release No. 58536 Section 19(g)(1) of the Act,3 among Rule 17d–2 permits SROs to propose (September 12, 2008), 73 FR 54646 (September 22, 2008). See also Securities Exchange Act Release other things, requires every self- Nos. 58806 (October 17, 2008), 73 FR 63216 4 15 U.S.C. 78q(d). regulatory organization (‘‘SRO’’) (October 23, 2008); 61919 (April 15, 2010), 75 FR 5 registered as either a national securities 15 U.S.C. 78s(g)(2). 21051 (April 22, 2010); 63103 (October 14, 2010), 6 exchange or national securities 15 U.S.C. 78q(d)(1). 75 FR 64755 (October 20, 2010); 63750 (January 21, 7 See Securities Act Amendments of 1975, Report 2011), 76 FR 4948 (January 27, 2011); and 65991 association to examine for, and enforce of the Senate Committee on Banking, Housing, and (December 16, 2011), 76 FR 79714 (December 22, compliance by, its members and persons Urban Affairs to Accompany S. 249, S. Rep. No. 94– 2011). associated with its members with the 75, 94th Cong., 1st Session 32 (1975). 12 Common FINRA Members include members of Act, the rules and regulations 8 17 CFR 240.17d–1 and 17 CFR 240.17d–2, FINRA and at least one of the Participating thereunder, and the SRO’s own rules, respectively. Organizations. 9 See Securities Exchange Act Release No. 12352 13 Common rules are defined as: (i) Federal (April 20, 1976), 41 FR 18808 (May 7, 1976). securities laws and rules promulgated by the 1 15 U.S.C. 78q(d). 10 See Securities Exchange Act Release No. 12935 Commission pertaining to insider trading, and (ii) 2 17 CFR 240.17d–2. (October 28, 1976), 41 FR 49091 (November 8, the rules of the Participating Organizations that are 3 15 U.S.C. 78s(g)(1). 1976). related to insider trading. See Exhibit A to the Plan.

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Plan). Other similar conforming the SEC on [January 21, 2011]December c. ‘‘Common Insider Trading Rules’’ amendments were made to reflect this 16, 2011. shall mean (i) the federal securities laws addition. The Participating Whereas, the Participating and rules thereunder promulgated by Organizations also amended the Plan, Organizations desire to: (a) foster the SEC pertaining to insider trading, among other things, to: (i) Reflect name cooperation and coordination among the and (ii) the rules of the Participating changes of certain Participating SROs; (b) remove impediments to, and Organizations that are related to insider Organizations; (ii) remove Chicago foster the development of, a national trading, as provided on Exhibit A to this Board Options Exchange, Inc. as a market system; (c) strive to protect the Agreement. Participating Organization; (iii) replace interest of investors; and (d) eliminate d. ‘‘Effective Date’’ shall have the the defined term ‘‘Listed Stock(s)’’ with duplication in their regulatory meaning set forth in paragraph [28]27. ‘‘NMS Stock(s)’’ and revise the surveillance, investigation and e. ‘‘Insider Trading’’ shall mean any definition of the term; and (iv) update enforcement of insider trading; conduct or action taken by a natural the SRO rules that are covered by the Whereas, the Participating person or entity related in any way to Agreement. In addition, the Organizations are interested in the trading of securities by an insider or Participating Organizations entered into allocating to FINRA regulatory a related party based on or on the basis a regulatory services agreement that responsibility for Common FINRA of material non-public information addresses investigation and enforcement Members (as defined below) for obtained during the performance of the in situations involving Insider Trading surveillance, investigation and insider’s duties at the corporation, or by non-Common FINRA Members. The enforcement of Insider Trading (as otherwise misappropriated, that could text of the proposed amended 17d–2 defined below) in [Listed] NMS Stocks be deemed a violation of the Common plan is as follows (additions are (as defined below) irrespective of the Insider Trading Rules. italicized; deletions are [bracketed]): marketplace(s) maintained by the f. ‘‘Intellectual Property’’ will mean * * * * * Participating Organizations on which any: (1) Processes, methodologies, the relevant trading may occur in procedures, or technology, whether or Agreement for the Allocation of violation of Common Insider Trading not patentable; (2) trademarks, Regulatory Responsibility of Rules (as defined below); copyrights, literary works or other Surveillance, Investigation and Whereas, the Participating works of authorship, service marks and Enforcement for Insider Trading trade secrets; or (3) software, systems, pursuant to § 17(d) of the Securities Organizations will request regulatory allocation of these regulatory machine-readable texts and files and Exchange Act of 1934, 15 U.S.C. related documentation. § 78q(d), and Rule 17d–2 Thereunder responsibilities by executing and filing with the SEC a plan for the above stated g. ‘‘Plan’’ shall mean this Agreement, This agreement (the ‘‘Agreement’’) by purposes (this Agreement, also known which is submitted as a Plan for the and among [BATS]Bats BZX Exchange, herein as the ‘‘Plan’’) pursuant to the allocation of regulatory responsibilities Inc. (‘‘[BATS]BZX’’), [BATS Y-]Bats provisions of § 17(d) of the Act, and SEC of surveillance for insider trading BYX Exchange, Inc. (‘‘BYX’’), [Chicago Rule 17d–2 thereunder, as described pursuant to § 17(d) of the Act, 15 U.S.C. Board Options Exchange, Inc. below; and 78q(d), and SEC Rule 17d–2. (‘‘CBOE’’) 1,] Chicago Stock Exchange, Whereas, the Participating h. ‘‘[Listed]NMS Stock(s)’’ shall [mean Inc. (‘‘CHX’’), Bats EDGA Exchange, Inc. Organizations will also enter into a NYSE Listed Stock(s), NASDAQ Listed (‘‘EDGA’’), Bats EDGX Exchange, Inc. Regulatory Services Agreement (the Stock(s), NYSE Amex Listed Stock(s), (‘‘EDGX’’), Financial Industry ‘‘Insider Trading RSA’’), of even date NYSE Arca Listed Stock(s), BATS Listed Regulatory Authority, Inc. (‘‘FINRA’’), herewith, to provide for the Stock(s) or CHX Solely Listed NASDAQ [OMX] BX, Inc. (‘‘NASDAQ investigation and enforcement of Stock(s)]have the meaning set forth in [OMX] BX’’), NASDAQ [OMX] PHLX suspected Insider Trading against Rule 600(b)(47) of SEC Regulation NMS. [i. ‘‘NYSE Listed Stock’’ shall mean an LLC (‘‘NASDAQ [OMX] PHLX’’), The broker-dealers, and their associated equity security that is listed on the NASDAQ Stock Market LLC persons, that are not Common FINRA NYSE.] (‘‘NASDAQ’’), National Stock Exchange, Members in the case of Insider Trading Inc. (‘‘NSX’’), New York Stock Exchange [j. ‘‘NASDAQ Listed Stock’’ shall in [Listed] NMS Stocks.. mean an equity security that is listed on LLC (‘‘NYSE’’), NYSE [Amex]MKT LLC Now, Therefore, in consideration of (‘‘NYSE [Amex]MKT’’), [and] NYSE NASDAQ.] the mutual covenants contained [k. ‘‘NYSE Amex Listed Stock’’ shall Arca, Inc. (‘‘NYSE Arca’’) and Investors’ hereafter, and other valuable Exchange LLC (‘‘IEX’’) (each a mean an equity security that is listed on consideration to be mutually exchanged, NYSE Amex.] ‘‘Participating Organization’’ and the Participating Organizations hereby together, the ‘‘Participating [l. ‘‘NYSE Arca Listed Stock’’ shall agree as follows: mean an equity security that is listed on Organizations’’), is made pursuant to 1. Definitions. Unless otherwise § 17(d) of the Securities Exchange Act of NYSE Arca.] defined in this Agreement, or the [m. ‘‘BATS Listed Stock’’ shall mean 1934 (the ‘‘Act’’), 15 U.S.C. 78q(d), and context otherwise requires, the terms an equity security that is listed on Securities and Exchange Commission used in this Agreement will have the BATS.] (‘‘SEC’’) Rule 17d–2, which allow for same meaning they have under the Act, [n. ‘‘CHX Solely Listed Stock’’ shall plans to allocate regulatory and the rules and regulations mean an equity security that is listed responsibility among self-regulatory thereunder. As used in this Agreement, only on the CHX.] organizations (‘‘SROs’’). Upon approval the following terms will have the [o.]i. ‘‘Listing Market’’ shall mean by the SEC, this Agreement shall amend following meanings: [NYSE Amex, NASDAQ, NYSE, NYSE and restate the agreement among the a. ‘‘Rule’’ of an ‘‘exchange’’ or an Arca or BATS, but not CHX] an Participating Organizations approved by ‘‘association’’ shall have the meaning exchange that lists NMS stocks. defined in Section 3(a)(27) of the Act. 2. Assumption of Regulatory 1 [CBOE’s allocation of certain regulatory b. ‘‘Common FINRA Members’’ shall Responsibilities. On the Effective Date of responsibilities to FINRA under this Agreement is limited to the activities of the CBOE Stock mean members of FINRA and at least the Plan, FINRA will assume regulatory Exchange, LLC, a facility of CBOE.] one of the Participating Organizations. responsibilities for surveillance,

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investigation and enforcement of Insider security as set forth in paragraph 1.b. of FINRA, as applicable, a copy of such Trading by broker-dealers, and their Exhibit B.] customer complaint. associated persons, for Common FINRA [6]5. Fees. FINRA shall charge [10]9. Parties to Make Personnel Members with respect to [Listed]NMS Participating Organizations for Available as Witnesses. Each Stocks, irrespective of the performing the Regulatory Participating Organization shall make marketplace(s) maintained by the Responsibilities, as set forth in the its personnel available to FINRA to Participant Organizations on which the Schedule of Fees, attached as Exhibit B. serve as testimonial or non-testimonial relevant trading may occur in violation [7]6. Applicability of Certain Laws, witnesses as necessary to assist FINRA of the Common Insider Trading Rules Rules, Regulations or Orders. in fulfilling the Regulatory (‘‘Regulatory Responsibilities’’). Notwithstanding any provision hereof, Responsibilities allocated under this 3. Certification of Insider Trading this Agreement shall be subject to any Agreement. FINRA shall provide Rules. statute, or any rule or order of the SEC. reasonable advance notice when a. Initial Certification. By signing this To the extent such statute, rule, or order practicable and shall work with a Agreement, the Participating is inconsistent with one or more Participating Organization to Organizations, other than FINRA, provisions of this Agreement, the accommodate reasonable scheduling hereby certify to FINRA that their statute, rule, or order shall supersede conflicts within the context and respective lists of Common Insider the provision(s) hereof to the extent demands as the entity with ultimate Trading Rules contained in Exhibit A necessary to be properly effectuated and regulatory responsibility. The hereto are correct, and FINRA hereby the provision(s) hereof in that respect Participating Organization shall pay all confirms that such rules are Common shall be null and void. reasonable travel and other expenses Insider Trading Rules as defined in this [8]7. Exchange Committee; Reports. incurred by its employees to the extent Agreement. a. Exchange Committee. The that FINRA requires such employees to b. Yearly Certification. Each year Participating Organizations shall form a serve as witnesses, and provide following the commencement of committee (the ‘‘Exchange Committee’’), information or other assistance pursuant to this Agreement. operation of this Agreement, or more which shall act on behalf of all of [11]10. Market Data; Sharing of Work- frequently if required by changes in the Participating Organizations in receiving Papers, Data and Related Information. rules of the Participating Organizations, copies of the reports described below a. Market Data. FINRA shall obtain each Participating Organization shall and in reviewing issues that arise under raw market data necessary to the submit a certified and updated list of this Agreement. Each Participating performance of regulation under this Common Insider Trading Rules to Organization shall appoint a Agreement from (a) the Consolidated FINRA for review, which shall (i) add representative to the Exchange Tape Association (‘‘CTA’’) [as the Participating Organization rules not Committee. The Exchange Committee exclusive securities information included in the then-current list of representatives shall report to their processor (‘‘SIP’’) for all NYSE Listed Common Insider Trading Rules that respective executive management Stocks, NYSE Amex Listed Stocks, qualify as Common Insider Trading bodies regarding status or issues under NYSE Arca Listed Stocks, BATS Listed Rules as defined in this Agreement; (ii) this Agreement. The Participating Stocks and CHX Solely Listed Stocks] delete Participating Organization rules Organizations agree that the Exchange and (b) the NASDAQ Unlisted Trading included in the current list of Common Committee will meet regularly up to Privileges Plan [as the exclusive SIP for Insider Trading Rules that no longer four (4) times a year, with no more than all NASDAQ Listed Stocks]. qualify as Common Insider Trading one meeting per calendar quarter. At b. Sharing. A Participating Rules as defined in this Agreement; and these meetings, the Exchange Organization shall make available to (iii) confirm that the remaining rules on Committee will discuss the conduct of FINRA information necessary to assist the current list of Common Insider the Regulatory Responsibilities and FINRA in fulfilling the Regulatory Trading Rules continue to be identify issues or concerns with respect Responsibilities assumed under the Participating Organization rules that to this Agreement, including matters terms of this Agreement. Such qualify as Common Insider Trading related to the calculation of the cost information shall include any Rules as defined in this Agreement. formula and accuracy of fees charged information collected by a Participating FINRA shall review each Participating and provision of information related to Organization in the course of Organization’s annual certification and the same. The SEC shall be permitted to performing its regulatory obligations confirm whether FINRA agrees with the attend the meetings as an observer. under the Act, including information submitted certified and updated list of b. Reports. FINRA shall provide the relating to an on-going disciplinary Common Insider Trading Rules by each reports set forth in Exhibit C hereto and investigation or action against a of the Participating Organizations. any additional reports related to this member, the amount of a fine imposed 4. No Retention of Regulatory Agreement reasonably requested by a on a member, financial information, or Responsibility. The Participating majority vote of all representatives to information regarding proprietary Organizations do not contemplate the the Exchange Committee at each trading systems gained in the course of retention of any responsibilities with Exchange Committee meeting, or more examining a member (‘‘Regulatory respect to the regulatory activities being often as the Participating Organizations Information’’). This Regulatory assumed by FINRA under the terms of deem appropriate, but no more often Information shall be used by FINRA this Agreement. than once every quarterly billing period. solely for the purposes of fulfilling its [5. Dually Listed Stocks. Stocks that [9]8. Customer Complaints. If a Regulatory Responsibilities. are listed on more than one Participating Organization receives a c. No Waiver of Privilege. The sharing Participating Organization shall be copy of a customer complaint relating to of documents or information between designated as an NYSE Listed Stock, a Insider Trading or other activity or the parties pursuant to this Agreement NASDAQ Listed Stock, an NYSE Arca conduct that is within FINRA’s shall not be deemed a waiver as against Listed Stock or an NYSE Amex Listed Regulatory Responsibilities as set forth third parties of regulatory or other Stock based on the applicable in this Agreement, the Participating privileges relating to the discovery of transaction reporting plan for the equity Organization shall promptly forward to documents or information.

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d. Intellectual Property. through these means, the parties shall b. If approved by the SEC, the (i) Existing Intellectual Property. refer the dispute to binding arbitration. Participating Organizations will notify FINRA is and will remain the owner of b. Binding Arbitration. All claims, their members of the general terms of all right, title and interest in and to the disputes, controversies, and other this Agreement and of its impact on proprietary Intellectual Property it matters in question between the parties their members. employs in the provision of regulation to this Agreement arising out of or [16]15. Subsequent Parties; Limited hereunder (including the SONAR [and relating to this Agreement or the breach Relationship. This Agreement shall Stock Watch] system[s]), and any thereof that cannot be resolved by the inure to the benefit of and shall be derivative works thereof. To the extent parties will be resolved through binding binding upon the Participating certain elements of FINRA’s systems, or arbitration. Unless otherwise agreed by Organizations hereto and their portions thereof, may be licensed or the parties, a dispute submitted to respective legal representatives, leased from third parties, all such third binding arbitration pursuant to this successors, and assigns. Nothing in this party elements shall remain the paragraph shall be resolved using the Agreement, expressed or implied, is property of such third parties, as following procedures: intended or shall: (a) Confer on any applicable. Likewise, any other (i) The arbitration shall be conducted person other than the Participating Participating Organization is and will in the city of New York in accordance Organizations hereto, or their respective remain the owner of all right, title and with the Commercial Arbitration Rules legal representatives, successors, and interest in and to its own existing of the American Arbitration Association assigns, any rights, remedies, proprietary Intellectual Property. and judgment upon the award rendered obligations or liabilities under or by (ii) Enhancements to Existing by the arbitrator may be entered in any reason of this Agreement, (b) constitute Intellectual Property or New court having jurisdiction thereof; and the Participating Organizations hereto Developments. In the event FINRA (a) (ii) There shall be three arbitrators, partners or participants in a joint makes any changes, modifications or and the chairperson of the arbitration venture, or (c) appoint one Participating enhancements to its Intellectual panel shall be an attorney. Organization the agent of the other. [17]16. Assignment. No Participating Property for any reason, or (b) creates [14]13. Limitation of Liability. As Organization may assign this Agreement any newly developed Intellectual between the Participating Organizations, without the prior written consent of all Property for any reason, including as a no Participating Organization, including the other Participating Organizations, result of requested enhancements or its respective directors, governors, which consent shall not be new development by the Exchange officers, employees and agents, will be unreasonably withheld, conditioned or Committee (collectively, the ‘‘New IP’’), liable to any other Participating delayed; provided, however, that any the Participating Organizations Organization, or its directors, governors, Participating Organization may assign acknowledge and agree that FINRA shall officers, employees and agents, for any this Agreement to a corporation be deemed the owner of the New IP liability, loss or damage resulting from controlling, controlled by or under created by it (and any derivative works any delays, inaccuracies, errors or common control with the Participating thereof), and shall retain all right, title omissions with respect to its performing Organization without the prior written and interest therein and thereto, and or failing to perform regulatory consent of any other party. each other Participating Organization responsibilities, obligations, or [18]17. Severability. Any term or hereby irrevocably assigns, transfers and functions, except (a) as otherwise provision of this Agreement that is conveys to FINRA without further provided for under the Act, (b) in invalid or unenforceable in any consideration all of its right, title and instances of a Participating jurisdiction shall, as to such interest in or to all such New IP (and Organization’s gross negligence, willful jurisdiction, be ineffective to the extent any derivative works thereof). misconduct or reckless disregard with of such invalidity or unenforceability (iii) Fees for New IP. FINRA will not respect to another Participating without rendering invalid or charge the Participating Organizations Organization, (c) in instances of a unenforceable the remaining terms and any fees for any New IP created and breach of confidentiality obligations provisions of this Agreement or used by FINRA; provided, however, that owed to another Participating affecting the validity or enforceability of FINRA will be permitted to charge fees Organization, or (d) in the case of any any of the terms or provisions of this for software maintenance work Participating Organization paying fees Agreement in any other jurisdiction. performed on systems used in the hereunder, for any payments due. The [19]18. Termination. discharge of its duties hereunder. Participating Organizations understand a. Any Participating Organization may [12]11. Special or Cause and agree that the Regulatory cancel its participation in this Examinations. Nothing in this Responsibilities are being performed on Agreement at any time, provided that it Agreement shall restrict or in any way a good faith and best effort basis and no has given 180 days written notice to the encumber the right of a party to conduct warranties, express or implied, are made other Participating Organizations (or in special or cause examinations of by any Participating Organization to any the case of a change of control in Common FINRA Members as any party, other Participating Organization with ownership of a Participating in its sole discretion, shall deem respect to any of the responsibilities to Organization, such other notice time appropriate or necessary. be performed hereunder. This paragraph period as that Participating Organization [13]12. Dispute Resolution Under this is not intended to create liability of any may choose), and provided that such Agreement. Participating Organization to any third termination has been approved by the a. Negotiation. The parties to this party. SEC. The cancellation of its Agreement will attempt to resolve any [15]14. SEC Approval. participation in this Agreement by any disputes through good faith negotiation a. The parties agree to file promptly Participating Organization shall not and discussion, escalating such this Agreement with the SEC for its terminate this Agreement as to the discussion up through the appropriate review and approval. FINRA shall file remaining Participating Organizations. management levels until reaching the this Agreement on behalf, and with the b. The Regulatory Responsibilities executive management level. In the explicit consent, of all Participating assumed under this Agreement by event a dispute cannot be settled Organizations. FINRA may be terminated by FINRA

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against any Participating Organization responsibilities with respect to the Rule 10b–5 (as it pertains to insider as follows. The Participating matters allocated to FINRA pursuant to trading), which states that: Organization will have thirty (30) days this Agreement for purposes of §§ 17(d) Rule 10b–5—Employment of from receipt to satisfy the invoice. If the and 19(g) of the Act. Manipulative and Deceptive Devices Participating Organization fails to [25]24. Governing Law. This satisfy the invoice within thirty (30) Agreement shall be deemed to have It shall be unlawful for any person, days of receipt (‘‘Default’’), FINRA will been made in the State of New York, directly or indirectly, by the use of any notify the Participating Organization of and shall be construed and enforced in means or instrumentality of interstate the Default. The Participating accordance with the law of the State of commerce, or of the mails or of any Organization will have thirty (30) days New York, without reference to facility of any national securities from receipt of the Default notice to principles of conflicts of laws thereof. exchange, satisfy the invoice. Each of the parties hereby consents to a. To employ any device, scheme, or c. FINRA will have the right to submit to the jurisdiction of the courts artifice to defraud, terminate the Regulatory of the State of New York in connection b. To make any untrue statement of a Responsibilities assumed under this with any action or proceeding relating material fact or to omit to state a Agreement if a Participating to this Agreement. material fact necessary in order to make Organization has Defaulted in its [26]25. Survival of Provisions. the statements made, in the light of the obligation to pay the invoice on more Provisions intended by their terms or circumstances under which they were than three (3) occasions in any rolling context to survive and continue made, not misleading, or twenty-four (24) month period. notwithstanding delivery of the c. To engage in any act, practice, or [20]19. Intermarket Surveillance regulatory services by FINRA, the course of business which operates or Group (‘‘ISG’’). In order to participate in payment of the Fees by the Participating would operate as a fraud or deceit upon this Agreement, all Participating Organizations, and any expiration of any person, in connection with the Organizations to this Agreement must this Agreement shall survive and purchase or sale of any security. be members of the ISG. continue. 2. Securities Exchange Act of 1934 [27]26. Amendment. [21]20. General. The Participating Section 17(a), and rules and regulations a. This Agreement may be amended to Organizations agree to perform all acts promulgated there under in connection add a new Participating Organization, and execute all supplementary with insider trading, including SEC provided that such Participating instruments or documents that may be Rule 17a–3 (as it pertains to insider Organization does not assume reasonably necessary or desirable to trading). regulatory responsibility, solely by an carry out the provisions of this 3. The following SRO Rules as they amendment executed by FINRA and Agreement. pertain to violations of insider trading: such new Participating Organization. [22]21. Liaison and Notices. All FINRA Rule 2010 (Standards of All other Participating Organizations questions regarding the implementation Commercial Honor and Principles of expressly consent to allow FINRA to of this Agreement shall be directed to Trade) add new Participating Organizations to the persons identified below, as FINRA Rule 2020 (Use of Manipulative, this Agreement as provided above. applicable. All notices and other Deceptive or Other Fraudulent FINRA will promptly notify all communications required or permitted Devices) Participating Organizations of any such FINRA [NASD] Rule [3010]3110 to be given under this Agreement shall amendments to add a new Participating (Supervision) be in writing and shall be deemed to Organization. [FINRA NASD Rule 3110(a) and (c) have been duly given upon (i) actual b. All other amendments must be (Books and Records; Financial receipt by the notified party or (ii) approved by each Participating Condition)] constructive receipt (as of the date Organization. All amendments, FINRA Rule 4511 (General marked on the return receipt) if sent by including adding a new Participating Requirements) certified or registered mail, return Organization, must be filed with and FINRA Rule 4512 (Customer Account receipt requested, to the following approved by the SEC before they Information) addresses: become effective. [NYSE Rule 342 (Offices—Approval, * * * * * [28]27. Effective Date. The Effective Supervision and Control)] [23]22. Confidentiality. The parties Date of this Agreement will be the date NYSE Rule 440 (Books and Records) agree that documents or information the SEC declares this Agreement to be NYSE Rule 476(a) (Disciplinary shared shall be held in confidence, and effective pursuant to authority conferred Proceedings Involving Charges used only for the purposes of carrying by § 17(d) of the Act, and SEC Rule 17d– Against Members, Member out their respective regulatory 2 thereunder. Organizations, Principal Executives, obligations under this Agreement. No [29]28. Counterparts. This Agreement Approved Persons, Employees, or party shall assert regulatory or other may be executed in any number of Others) privileges as against the other with counterparts, including facsimile, each NYSE Rule 2010 (Standards of respect to Regulatory Information that is of which will be deemed an original, but Commercial Honor and Principles of required to be shared pursuant to this all of which taken together shall Trade) Agreement, as defined by paragraph constitute one single agreement between NYSE Rule 2020 (Use of Manipulative, [11]10, above. the parties. Deceptive or Other Fraudulent [24]23. Regulatory Responsibility. * * * * * Devices) Pursuant to Section 17(d)(1)(A) of the NYSE Rule 3110 (Supervision) Act, and Rule 17d–2 thereunder, the Exhibit A: Common Insider Trading NYSE MKT General and Floor Rule 3(j) Participating Organizations jointly and Rules (General Prohibitions and Duty to severally request the SEC, upon its 1. Securities Exchange Act of 1934 Report) approval of this Agreement, to relieve Section 10(b), and rules and regulations [NYSE Amex Equities Rule 342 the Participating Organizations, jointly promulgated there under in connection (Offices—Approval, Supervision and and severally, of any and all with insider trading, including SEC Control)]

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NYSE [Amex]MKT Equities Rule 440 NYSE Arca Equities Rule 6.2(b) EDGA Rule 3.2 (Violations Prohibited) (Books and Records) (Prohibited Acts (J&E)) EDGA Rule 3.3 (Use of Fraudulent NYSE [Amex]MKT Equities Rule 476(a) NYSE Arca Equities Rule 6.1 Devices) (Disciplinary Proceedings Involving (Adherence to Law) EDGA Rule 4.1 (Requirements) Charges Against Members, Member NYSE Arca Equities Rule 6.18 EDGA Rule 5.1 (Written Procedures) Organizations, Principal Executives, (Supervision) EDGA Rule 5.3 (Records) Approved Persons, Employees, or NYSE Arca Equities Rule 9.1(c) (Office EDGA Rule 5.5 (Prevention of Misuse of Others) Supervision) Material, Nonpublic Information) NYSE [Amex]MKT Equities Rule 2010 NYSE Arca Equities Rule 9.2(b) EDGA Rule 12.4 (Manipulative (Standards of Commercial Honor and (Account Supervision) Transactions) Principles of Trade) NYSE Arca Equities Rule 9.2(c) EDGX Rule 3.1 (Business Conduct of NYSE [Amex]MKT Equities Rule 2020 (Customer Records) Members) (Use of Manipulative, Deceptive or NYSE Arca Equities Rule 2010 EDGX Rule 3.2 (Violations Prohibited) Other Fraudulent Devices) (Standards of Commercial Honor and EDGX Rule 3.3 (Use of Fraudulent NYSE MKT Equities Rule 3110 Principles of Trade) Devices) (Supervision) NYSE Arca Equities Rule 2020 (Use of EDGX Rule 4.1 (Requirements) NASDAQ [OMX] Rule 2110A Manipulative, Deceptive or Other EDGX Rule 5.1 (Written Procedures) (Standards of Commercial Honor and Fraudulent Devices) EDGX Rule 5.3 (Records) Principles of Trade) NSX Rule 3.1 (Business Conduct of ETP EDGX Rule 5.5 (Prevention of Misuse of NASDAQ [OMX] Rule 2120 (Use of Holders) Material, Nonpublic Information) Manipulative, Deceptive or Other NSX Rule 3.2 (Violations Prohibited) EDGX Rule 12.4 (Manipulative Fraudulent Devices) NSX Rule 3.3 (Use of Fraudulent Transactions) NASDAQ [OMX] Rule 3010 Devices) IEX Rule 3.110 (Business Conduct of (Supervision) NSX Rule 4.1 (Requirements) Members) [NASDAQ [OMX] Rule 3110(a) and (c) NSX Rule 5.1 (Written Procedures) IEX Rule 3.120 (Violations Prohibited) (Books and Records; Financial NSX Rule 5.3 (Records) IEX Rule 3.130 (Use of Fraudulent Condition)] NSX Rule 5.5 (Chinese Wall Procedures) Devices) NASDAQ Rule 4511A (General NSX Rule 12.4 (Manipulative IEX Rule 4.511 (General Requirements) Requirements Transactions) IEX Rule 4.512 (Customer Account NASDAQ Rule 4512A (Customer NASDAQ [OMX] BX Rule 2110 Information) Account Information) (Standards of Commercial Honor and IEX Rule 5.110 (Supervision) CHX Article 8, Rule 3 (Fraudulent Acts) Principles of Trade) IEX Rule 5.150 (Prevention of Misuse of CHX Article 9, Rule 2 (Just & Equitable NASDAQ [OMX] BX Rule 2120 (Use of Material, Non-Public Information) Trade Principles) Manipulative, Deceptive or Other IEX Rule 10.140 (Manipulative CHX Article 11, Rule 2 (Maintenance of Fraudulent Devices) Transactions) Books and Records) NASDAQ [OMX] BX Rule 3010 Exhibit B: Fee Schedule CHX Article 6, Rule 5 (Supervision of (Supervision) Registered Persons and Branch and NASDAQ [OMX] BX Rule 3110(a) and 1. Fees. FINRA shall charge each Resident Offices) (c) (Books and Records; Financial Participating Organization a Quarterly [CBOE Rule 4.1 (Practices inconsistent Condition) Fee in arrears for the performance of with just and equitable principles)] [BATS]BZX Rule 3.1 (Business Conduct FINRA’s Regulatory Responsibilities [CBOE Rule 4.2 (adherence to law)] of Members) under the Plan (each, a ‘‘Quarterly Fee,’’ [CBOE Rule 4.7 (Manipulation)] [BATS]BZX Rule 3.2 (Violations and together, the ‘‘Fees’’). [CBOE Rule 4.18 (Prevention of the Prohibited) a. Quarterly Fees. misuse of material non public [BATS]BZX Rule 3.3 (Use of Fraudulent (1) Quarterly Fees for each information)] Devices) Participating Organization will be NASDAQ [OMX] PHLX Rule 707 [BATS]BZX Rule 4.1 (Requirements) charged by FINRA according to the (Conduct Inconsistent with Just and [BATS]BZX Rule 5.1 (Written Participating Organization’s ‘‘Percentage Equitable Principles of Trade) Procedures) of Publicly Reported Trades’’ occurring NASDAQ [OMX] PHLX Rule 748 [BATS]BZX Rule 5.3 (Records) over three-month billing periods. The (Supervision) [BATS]BZX Rule 5.5 (Prevention of the ‘‘Percentage of Publicly Reported NASDAQ [OMX] PHLX Rule 760 Misuse of Material, Non-Public Trades’’ shall equal a Participating (Maintenance, Retention and Information) Organization’s number of reported Furnishing of Books, Records and [BATS]BZX Rule 12.4 (Manipulative [Listed]NMS Stock trades during the Other Information) Transactions) relevant period (the ‘‘Numerator’’), NASDAQ [OMX] PHLX Rule 761 BYX Rule 3.1 (Business Conduct of ETP divided by the total number of all (Supervisory Procedures Relating to Holders) [Listed]NMS Stock trades for the same ITSFEA and to Prevention of Misuse BYX Rule 3.2 (Violations Prohibited) period (the ‘‘Denominator’’). For or Material Nonpublic Information) BYX Rule 3.3 (Use of Fraudulent purposes of clarification, ADF and NASDAQ [OMX] PHLX Rule 782 Devices) Trade Reporting Facility (‘‘TRF’’) (Manipulative Operations) BYX Rule 4.1 (Requirements) activity will be included in the NYSE Arca Equities Rule 2.24 (ETP BYX Rule 5.1 (Written Procedures) Denominator. Additionally, with regard Books and Records) BYX Rule 5.3 (Records) to TRFs, TRF trade volume will be NYSE Arca Equities Rule 5.1(a)(2)(v)(D) BYX Rule 5.5 (Prevention of the Misuse charged to FINRA. Consequently, for (General Provisions and Unlisted of Material, Non-Public Information) purposes of calculating the Quarterly Trading Privileges) BYX Rule 12.4 (Manipulative Fees, the volume for each Participant NYSE Arca Equities Rule 6.3 Transactions) Organization’s TRF will be calculated (Prevention of the Misuse of Material, EDGA Rule 3.1 (Business Conduct of separately (that is, TRF volume will be Nonpublic Information) Members) broken out from the Participating

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Organization’s overall Percentage of Plan [as the exclusive SIP for NASDAQ be required in order to reject the Publicly Reported Trades) and the fees Listed Stocks]. proposed Major Increase. for such will be billed to FINRA in c. Annual Budget Forecast. FINRA e. Time Tracking. FINRA shall track accordance with paragraph 1a.(2), rather will notify the Participating the time spent by staff on insider trading than to the applicable Participating Organizations of the forecasted costs of responsibilities under this Agreement; Organization. its insider trading program for the however, time tracking will not be used (2) The Quarterly Fees shall be following calendar year by close of to allocate costs. determined by FINRA in the following business on October 15 of the then- 2. Invoicing and Payment. FINRA manner for each Participating current year (the ‘‘Forecasted Budget’’). shall invoice each Participating Organization: FINRA shall use best efforts to provide Organization for the Quarterly Fee (a) Less than 1.0%: If the Participating as accurate a forecast as possible. FINRA associated with the regulatory activities Organization’s Percentage of Publicly shall then provide a final submission of performed pursuant to this Agreement Reported Trades for the relevant three- the costs following approval of such during the previous three-month billing month billing period is less than 1.0%, costs by its Board of Governors (the period within forty five (45) days of the the Quarterly Fee shall be $6,250, per ‘‘Final Budget’’). Subject to paragraph end of such previous 3-month billing quarter (‘‘Static Fee’’); 1d. below, in the event of a difference period. A Participating Organization (b) Less than 2.0% but No Less than between the Forecasted Budget and the shall have thirty (30) days from date of 1.0%: If the Participating Organization’s Final Budget, the Final Budget will invoice to make payment to FINRA on Percentage of Publicly Reported Trades govern. such invoice. The invoice will reflect for the relevant three-month billing d. Increases in Fees over Five Percent. the Participating Organization’s Percentage of Publicly Reported Trades period is less than 2.0% but no less than (1) In the event that any proposed for that billing period. 1.0%, the Quarterly Fee shall be increase to Fees by FINRA for a given 3. Disputed Invoices; Interest. In the $18,750, per quarter (‘‘Static Fee’’); calendar year (which increase may arise event that a Participating Organization (c) 2.0% or Greater: If the either during the annual budgetary disputes an invoice or a portion of an Participating Organization’s Percentage forecasting process or through any mid- invoice, the Participating Organization of Publicly Reported Trades for the year increase) will result in a shall notify FINRA in writing of the relevant three-month billing period is cumulative increase in such calendar disputed item(s) within fifteen (15) days 2.0% or greater, the Quarterly Fee shall year’s Fees of more than five percent of receipt of the invoice. In its be the amount equal to the Participating (5%) above the preceding calendar notification to FINRA of the disputed Organization’s Percentage of Publicly year’s Final Budget (a ‘‘Major Increase’’), invoice, the Participating Organization Reported Trades multiplied by FINRA’s then senior management of any shall identify the disputed item(s) and total charge (‘‘Total Charge’’) for its Participating Organization (a) that is a provide a brief explanation of why the performance of Regulatory Listing Market or (b) for which the Participating Organization disputes the Responsibilities for the relevant three- Percentage of Publicly Reported Trades charges. FINRA may charge a month billing period. is then currently twenty percent (20%) Participating Organization interest on (3) Increases in Static Fees. FINRA or greater, shall have the right to call a any undisputed invoice or the will re-evaluate the Quarterly Fees on meeting with the senior management of undisputed portions of a disputed an annual basis during the annual FINRA in order to discuss any invoice that a Participating Organization budget process outlined in paragraph disagreement over such proposed Major fails to pay within thirty (30) days of its 1.c. below. During each annual re- Increase. By way of example, if FINRA receipt of such invoice. Such interest evaluation, FINRA will have the provides a Final Budget for 2011 that shall be assessed monthly. Interest will discretion to increase the Static Fees by represents an 4% increase above the mean one and one half percent per a percentage no greater than the Final Budget for 2010, the terms of this month, or the maximum allowable percentage increase in the Final Budget paragraph 1.d.(1) shall not apply; if, under applicable law, whichever is less. over the preceding year’s Final Budget. however, in April of 2011, FINRA 4. Taxes. In the event any Any changes to the Static Fees shall not notifies the Exchange Committee of an governmental authority deems the require an amendment to this increase in Fees that represents an regulatory activities allocated to FINRA Agreement, but rather shall be additional 3% increase above the Final to be taxable activities similar to the memorialized through the budget Budget for 2010, then the increase shall provision of services in a commercial process. be deemed a Major Increase, and the context, the other Participating (4) Increases in Total Charges. Any terms of this paragraph 1.d.(1) shall Organizations agree that they shall bear change in the Total Charges (whether a become applicable (i.e., 4% and 3% full responsibility, on a joint and several Final Budget increase or any mid year represents a cumulative increase of 7% basis, for the payment of any such taxes change) shall not require an amendment above the 2010 Final Budget). levied on FINRA, or, if such taxes are to this Agreement, but rather shall be (2) In the event that senior paid by FINRA directly to the memorialized through the budget management members of the involved governmental authority, the other process. parties are unable to reach an agreement Participating Organizations agree that b. Source of Data. For purposes of regarding the proposed Major Increase, they shall reimburse FINRA for the calculation of the Percentage of Publicly then the matter shall be referred back to amount of any such taxes paid. Reported Trades for each Participating the Exchange Committee for final 5. Audit Right; Record Keeping. Organization, FINRA shall use (a) the resolution. Prior to the matter being a. Audit Right. Consolidated Tape Association (‘‘CTA’’) referred back to the Exchange (i) Once every rolling twelve (12) [as the exclusive securities information Committee, nothing shall prohibit the month period, FINRA shall permit no processor (‘‘SIP’’) for all NYSE Listed parties from conferring with the SEC. more than one audit (to be performed by Stocks, NYSE Amex Listed Stocks, Resolution shall be reached through a one or more Participating Organizations) NYSE Arca Listed Stocks, BATS Listed vote of no fewer than all Participating of the Fees charged by FINRA to the Stocks and CHX Solely Listed Stocks], Organizations seated on the Exchange Participating Organizations hereunder and (b) the Unlisted Trading Privileges Committee, and a simple majority shall and a detailed cost analysis supporting

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such Fees (the ‘‘Audit’’). The while FINRA commits to discuss the 2008 Surveillance Investigations Participating Organization or supporting documentation at the Fee alerts Organizations that conduct this Audit Analysis Meeting, FINRA shall not be 4th Quarter. will select a nationally-recognized subject, by virtue of the above Audit independent auditing firm (or may use rights or any discussions during the Fee 2008 Total. its regular independent auditor, Analysis Meeting or otherwise, to any providing it is a nationally-recognized limitation whatsoever, other than the 2. Aging of Open Matters: Would auditing firm) (‘‘Auditing Firm’’) to act Increase in Fee provisions set forth in reflect the aging for all currently open on its, or their behalf, and will provide paragraph 1.d. of this Exhibit, on its matters for the quarterly period being reasonable notice to other Participating discretion as to the manner and means reported. A separate table would be Organizations of the Audit. FINRA will by which it conducts its regulatory presented for the trading activity of the permit the Auditing Firm reasonable efforts in its role as the SRO primarily NMS Stocks listed on each Participating access during FINRA’s normal business liable for regulatory decisions under this Organization’s exchange. [NYSE Listed hours, with reasonable advance notice, Agreement. To that end, no Stock, NYSE Amex Listed Stock, NYSE to such financial records and supporting disagreement among the Participating Arca Listed Stock, NASDAQ Listed documentation as are necessary to Organizations as to the manner or Stock, BATS Listed Stock and CHX permit review of the accuracy of the means by which FINRA conducts its Solely Listed Stock trading activity.] calculation of the Fees charged to the regulatory efforts hereunder shall be Example: Participating Organizations. The subject to the dispute resolution Surveillance Participating Organization, or procedures hereunder, and no alerts Investigations Organizations, as applicable, other than Participating Organization shall have FINRA, shall be responsible for the costs the right to compel FINRA to alter the 0–6 months. of performing any such audit. manner or means by which it conducts 6–9 months. (ii) If, through an Audit, the Exchange 9–12 months. its regulatory efforts. Further, a 12+ months. Committee determines that FINRA has Participating Organization shall not inaccurately calculated the Fees for any have the right to compel a rebate or Total. Participating Organization, the reassessment of fees for services Exchange Committee will promptly rendered, on the basis that the 3. Timeliness of Completed Matters: notify FINRA in writing of the amount Participating Organization would have Would reflect the total age of those of such difference in the Fees, and, if conducted regulatory efforts in a matters that were completed or closed applicable, FINRA shall issue a different manner than FINRA in its during the quarterly period being reimbursement of the overage amount to professional judgment chose to conduct reported. FINRA will provide total the relevant Participating its regulatory efforts. referrals to the SEC. Organization(s), less any amount owed Example: by the Participating Organization under b. Record Keeping. In anticipation of any audit that may be performed by the any outstanding, undisputed invoice(s). Surveillance Investigations If such an Audit reveals that any Exchange Committee under paragraph alerts Participating Organization paid less 5.a. above, FINRA shall keep accurate 0–6 months. than what was required pursuant to the financial records and documentation 6–9 months. Agreement, then that Participating relating to the Fees charged by it under 9–12 months. Organization shall promptly pay FINRA this Agreement. 12+ months. the difference between what the Exhibit C: Reports Total. Participating Organization owed pursuant to the Agreement and what FINRA shall provide the following 4. Disposition of Closed Matters: that Participating Organization information in reports to the Exchange Would reflect the disposition of those originally paid FINRA. If FINRA Committee, which information covers matters that were completed or closed disputes the results of an Audit activity occurring under this Agreement: during the quarterly period being regarding the accuracy of the Fees, it 1. Alert Summary Statistics: Total reported. A separate table would be will submit the dispute for resolution number of surveillance system alerts presented for the trading activity of the pursuant to the dispute resolution generated by quarter along with NMS Stocks listed on each Participating procedures in paragraph [13]12 of the associated number of reviews and Organization’s exchange. [NYSE Listed Agreement. investigations. In addition, this Stock, NYSE Amex Listed Stock, NYSE (iii) In the event that through the paragraph shall also reflect the number Arca Listed Stock, NASDAQ Listed review of any supporting of reviews and investigations originated Stock, BATS Listed Stock and CHX documentation provided during the from a source other than an alert. A Solely Listed Stock trading activity.] Audit, any one or more Participating separate table would be presented for Example: Organizations desire to discuss with the trading activity of the NMS Stocks FINRA the supporting documentation Surveillance Investigations listed on each Participating YTD YTD and any questions arising therefrom Organization’s exchange. [NYSE Listed with regard to the manner in which Stock, NYSE Amex Listed Stock, NYSE No Further Review. regulation was conducted, the Arca Listed Stock, NASDAQ Listed Letter of Caution/ Admonition/Fine. Participating Organization(s) shall call a Stock, BATS Listed Stock and CHX meeting with FINRA. FINRA shall in Referred to Legal/ Solely Listed Stock trading activity.] Enforcement. turn notify the Exchange Committee of Referred to SEC/ this meeting in advance, and all 2008 Surveillance Investigations SRO. Participating Organizations shall be alerts Merged. Other. welcome to attend (the ‘‘Fee Analysis 1st Quarter. Meeting’’). The parties to this 2nd Quarter. Total. Agreement acknowledge and agree that 3rd Quarter.

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5. Pending Reviews. In addition to the not edit personal identifying VI. Conclusion above reports, the Chief Regulatory information from submissions. You This order gives effect to the amended Officer (CRO) (or his or her designee) of should submit only information that Plan submitted to the Commission that any Participating Organization that is you wish to make available publicly. All is contained in File No. 4–566. also a Listing Market [(including CHX)] submissions should refer to File It is therefore ordered, pursuant to may inquire about pending reviews Number 4–566 and should be submitted Section 17(d) of the Act,17 that the Plan, involving stocks listed on that on or before August 30, 2016. as amended, filed with the Commission Participating Organization’s market. V. Discussion pursuant to Rule 17d–2 on July 21, FINRA will respond to such inquiries 2016, is hereby approved and declared from a CRO; provided, however, that (a) The Commission finds that the Plan, effective. the CRO must hold any information as proposed to be amended, is It is further ordered that the provided by FINRA in confidence and consistent with the factors set forth in Participating Organizations are relieved (b) FINRA will not be compelled to Section 17(d) of the Act 14 and Rule of those regulatory responsibilities provide information in contradiction of 17d–2 thereunder 15 in that it is allocated to FINRA under the amended any mandate, directive or order from the necessary or appropriate in the public Plan to the extent of such allocation. SEC, US Attorney’s Office, the Office of interest and for the protection of any State Attorney General or court of For the Commission, by the Division of investors, fosters cooperation and Trading and Markets, pursuant to delegated competent jurisdiction. coordination among SROs, and removes authority.18 IV. Solicitation of Comments impediments to and fosters the Robert W. Errett, development of the national market Interested persons are invited to Deputy Secretary. system. The Commission continues to submit written data, views, and [FR Doc. 2016–18793 Filed 8–8–16; 8:45 am] believe that the Plan, as amended, arguments concerning the foregoing. BILLING CODE 8011–01–P should reduce unnecessary regulatory Comments may be submitted by any of duplication by allocating regulatory the following methods: responsibility for the surveillance, SECURITIES AND EXCHANGE Electronic Comments investigation, and enforcement of COMMISSION • Use the Commission’s Internet Common Rules to FINRA. Accordingly, the proposed amendment to the Plan [Release No. 34–78475; File No. SR–IEX– comment form (http://www.sec.gov/ 2016–05] rules/sro.shtml); or promotes efficiency by consolidating • Send an email to rule-comments@ these regulatory functions in a single Self-Regulatory Organizations; sec.gov. Please include File Number 4– SRO. Investors Exchange LLC; Notice of 566 on the subject line. Under paragraph (c) of Rule 17d–2, Filing and Immediate Effectiveness of the Commission may, after appropriate Paper Comments Proposed Rule Change To Amend Rule notice and comment, declare a plan, or • 11.330 To Combine the TOPS and Send paper comments in triplicate any part of a plan, effective. In this LAST Data Products and Make Minor to Secretary, Securities and Exchange instance, the Commission believes that Correcting and Conforming Changes Commission, 100 F Street NE., appropriate notice and comment can to the Description of TOPS Viewer Washington, DC 20549–1090. take place after the proposed All submissions should refer to File amendment is effective. In particular, August 3, 2016. Number 4–566. This file number should the purpose of the amendment is to add Pursuant to Section 19(b)(1) 1 of the be included on the subject line if email IEX as a Participating Organization and Securities Exchange Act of 1934 (the is used. To help the Commission reflect that IEX will be a Listing Market ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 process and review your comments (which will expand the Plan’s coverage notice is hereby given that, on July 28, more efficiently, please use only one of NMS Stocks to include equity 2016, the Investors Exchange LLC method. The Commission will post all securities listed on IEX), remove CBOE (‘‘IEX’’ or the ‘‘Exchange’’) filed with the comments on the Commission’s Internet as a Participating Organization and Securities and Exchange Commission Web site (http://www.sec.gov/rules/ update the names of certain other (the ‘‘Commission’’) the proposed rule sro.shtml). Copies of the submission, all Participating Organizations, update change as described in Items I and II subsequent amendments, all written defined terms, and reflect updates to the below, which Items have been prepared statements with respect to the proposed list of Common Rules. The Commission by the self-regulatory organization. The plan that are filed with the Commission, notes that the most recent prior Commission is publishing this notice to and all written communications relating amendment to the Plan, which, among solicit comments on the proposed rule to the proposed plan between the other things, reflected the addition of change from interested persons. Commission and any person, other than BATS as a Listing Market, was I. Self-Regulatory Organization’s those that may be withheld from the published for comment and the Statement of the Terms of Substance of public in accordance with the Commission did not receive any the Proposed Rule Change provisions of 5 U.S.C. 552, will be comments thereon.16 The Commission Pursuant to the provisions of Section available for Web site viewing and believes that the current amendment to printing in the Commission’s Public 19(b)(1) under the Securities Exchange the Plan does not raise any new 4 Reference Room, 100 F Street NE., Act of 1934 (‘‘Act’’), and Rule 19b–4 regulatory issues that the Commission 5 Washington, DC 20549, on official has not previously considered, and thereunder, Investors Exchange LLC business days between the hours of therefore believes that the amended 17 10:00 a.m. and 3:00 p.m. Copies of the 15 U.S.C. 78q(d). Plan should become effective without 18 17 CFR 200.30–3(a)(34). plan also will be available for inspection any undue delay. 1 15 U.S.C. 78s(b)(1). and copying at the principal offices of 2 15 U.S.C. 78a. the Participating Organizations. All 14 15 U.S.C. 78q(d). 3 17 CFR 240.19b–4. comments received will be posted 15 17 CFR 240.17d–2. 4 15 U.S.C. 78s(b)(1). without change; the Commission does 16 See supra note 11. 5 17 CFR 240.19b–4.

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(‘‘IEX’’ or ‘‘Exchange’’) is filing with the that offers aggregated top of book by definition not human readable). Securities and Exchange Commission quotations for all displayed orders TOPS Viewer provides the specified (‘‘Commission’’) a proposed rule change resting on the Order Book and execution information in both a human readable to amend Rule 11.330 (Data Products) to information for executions on the format on the Exchange’s Web site as (i) combine the TOPS and LAST data Exchange (i.e., last sale information). As well as through an API from the products to eliminate the LAST data proposed, TOPS will disseminate, on a Exchange’s Web site. product and add execution information real-time basis,7 (1) the aggregate best IEX proposes to make three minor to the TOPS data product, and (2) make bid and offer (‘‘BBO’’) of all displayed changes to the description of TOPS minor correcting and conforming orders for securities traded on IEX; and Viewer in subparagraph (a)(2) of Rule changes to the description of TOPS (2) the price, size, and time of execution 11.330. First, IEX proposes a ministerial Viewer. The Exchange has designated for each transaction executed on IEX. change to conform the description of the this proposal as non-controversial and For the sake of clarity, the Exchange quotation information available through provided the Commission with the also proposes to make certain non- TOPS Viewer, in subparagraph (a)(2) of notice required by Rule 19b–4(f)(6)(iii) substantive changes to the existing the Rule, to the description set forth in under the Act.6 description of LAST as it is the description of TOPS in The text of the proposed rule change incorporated into the TOPS description. subparagraph (a)(1). Second, IEX is available at the Exchange’s Web site Specifically, rather than describe proposes a correcting change to delete at www.iextrading.com, at the principal execution information as ‘‘based on the word ‘‘aggregate’’ in the description office of the Exchange, and at the equity orders entered into the System,’’ because information will be provided Commission’s Public Reference Room. which technically could include for each execution, rather than on an executions on away exchanges of orders aggregated basis. Third, IEX proposes to II. Self-Regulatory Organization’s routed to such exchanges, the proposed include the clarifying language Statement of the Purpose of, and text would clarify IEX includes proposed to be added to subparagraph Statutory Basis for, the Proposed Rule execution information for orders (a)(1) of the rule to make clear that the Change executed on the Exchange. All execution information provided is for In its filing with the Commission, the information that will be provided in transactions executed on the Exchange self-regulatory organization included TOPS will also be reported under the (i.e., last sale information). Consolidated Tape Association (‘‘CTA’’) statements concerning the purpose of 2. Statutory Basis and basis for the proposed rule change Plan or the Nasdaq/UTP Plan. The and discussed any comments it received Exchange will release information to IEX believes that the proposed rule on the proposed rule change. The text TOPS and TOPS Viewer in compliance change is consistent with the provisions 9 of these statement [sic] may be with Rule 603(a) of Regulation NMS, of Section 6 of the Act in general, and 10 examined at the places specified in Item which requires that exchanges distribute with Section 6(b)(5) of the Act, in IV below. The self-regulatory market data on terms that are ‘‘fair and particular. TOPS and TOPS Viewer will organization has prepared summaries, reasonable’’ and ‘‘not unreasonably be provided consistent with the 11 set forth in Sections A, B, and C below, discriminatory,’’ and prohibits an purposes of Section 6(b)(5) of the Act. of the most significant aspects of such exchange from releasing data relating to Moreover, the proposed rule change is statements. quotes and trades to its customers not designed to permit unfair through proprietary feeds before it sends discrimination among customers, A. Self-Regulatory Organization’s its quotes and trade reports for inclusion issuers, and brokers; and is designed to Statement of the Purpose of, and in the consolidated feeds.8 promote just and equitable principles of Statutory Basis for, the Proposed Rule The Exchange also proposes to make trade, to foster cooperation and Change minor correcting and conforming coordination with persons engaged in 1. Purpose changes to Rule 11.330(a)(2), which facilitating transactions in securities, to describes TOPS Viewer. Currently, as remove impediments to and perfect the The Exchange proposes to amend specified therein, TOPS Viewer is mechanism of a free and open market Rule 11.330 (Data Products) to combine described as a data feed, currently and a national market system and, in the TOPS and LAST data products, to available through the Exchange’s public general, to protect investors and the eliminate the LAST data product, and to Web site, that offers two-sided public interest. add execution information to the TOPS quotations for all displayed orders The proposed rule change is designed data product. Currently, Rule resting on the Order Book as well as the to promote just and equitable principles 11.330(a)(1) specifies that the TOPS data aggregate volume traded execution of trade and remove impediments to and product is an uncompressed data feed information based on orders entered perfect the mechanism of a free and that offers aggregated top of book into the System. TOPS and TOPS open market and a national market quotations for all displayed orders Viewer contain the same information, system by providing quotation and resting on the Order Book, while delivered in different manners. TOPS transaction information to market paragraph (a)(3) specifies that the LAST provides the specified information only participants. The Exchange also believes data product is an uncompressed data through an application programming this proposal is consistent with Section feed that offers only execution interface (‘‘API’’) via the POP (an API is 6(b)(5) of the Act because it protects information based on equities orders investors and the public interest and entered into the System (i.e. last sale 7 Rule 11.510(b)(2) describes the application of promotes just and equitable principles information). IEX has determined to add the POP to outbound communications from the of trade by providing market Exchange, which impacts TOPS. As specified the information contemplated to be therein, the POP ‘‘is designed to provide all participants with the option to receive provided in LAST into TOPS. Participants with an equivalent 350 microseconds such information otherwise than under Accordingly, the Exchange proposes of latency from the System at the primary data the CTA and Nasdaq/UTP Plans. to amend Rule 11.330(a)(1) to provide center to the Exchange-provided network interface at the IEX POP.’’ 9 that TOPS is an uncompressed data feed 8 See Regulation NMS, 70 FR 37,496, 37,567 (June 15 U.S.C. 78f(b). 29, 2005) (adopting release); see also Concept 10 15 U.S.C. 78f(b)(4) [sic], (5). 6 17 CFR 240.19b–4(f)(6)(iii). Release, 75 FR at 3601 (January 21, 2010). 11 15 U.S.C. 78f(b)(5).

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Further, the proposal would not III. Date of Effectiveness of the In the absence of a waiver of the permit unfair discrimination because Proposed Rule Change and Timing for operative delay, customers would have the information will be available to all Commission Action to subscribe to two data products to market participants and market data The Exchange has designated this rule receive both top-of-book and last sale vendors on an equivalent basis and filing as non-controversial under information when the Exchange begins without charge. In addition, any market Section 19(b)(3)(A) 14 of the Act and operating on August 19, 2016, until the participant that wishes to receive such Rule 19b–4(f)(6) 15 thereunder. Because proposal becomes effective shortly information via the CTA and Nasdaq/ the proposed rule change does not: (i) thereafter. Waiving the operative delay UTP Plans will be able to do so. As Significantly affect the protection of would provide customers with the noted above, the Exchange is simply investors or the public interest; (ii) opportunity to receive a single, proposing to include data elements impose any significant burden on streamlined product with top-of-book contemplated to be included in LAST competition; and (iii) become operative and last sale information and would data product in TOPS, as well as to for 30 days from the date on which it also provide customers with greater make minor correcting and conforming was filed, or such shorter time as the clarity about the content of the available changes to the description of TOPS Commission may designate if consistent products from the outset of the Viewer. with the protection of investors and the Exchange’s launch of operations. The Exchange also believes that the public interest, it has become effective Therefore, the Commission hereby proposed rule change is consistent with pursuant to Section 19(b)(3)(A) of the waives the operative delay and Section 11(A) of the Act 12 in that it Act and Rule 19b–4(f)(6) thereunder.16 designates the proposed rule change 17 supports (1) fair competition among The Exchange has asked the operative upon filing. brokers and dealers, among exchange Commission to waive the 30-day At any time within 60 days of the markets, and between exchange markets operative delay, making this proposal filing of the proposed rule change, the and markets other than exchange operative upon filing. The Exhange Commission summarily may markets and (2) the availability to argues that the proposed rule filing temporarily suspend such rule change if brokers, dealers, and investors of merely combines the data elements from it appears to the Commission that such information with respect to quotations the LAST data product into TOPS and action is necessary or appropriate in the for and transactions in securities. TOPS Viewer, and makes minor public interest, for the protection of Furthermore, the proposed rule change conforming and correcting changes to investors, or otherwise in furtherance of is consistent with Rule 603 of Rule 11.330. According to the Exchange, the purposes of the Act. If the Regulation NMS,13 which provides that waiver of the operative delay is, Commission takes such action, the therefore, consistent with the protection Commission shall institute proceedings any national securities exchange which 18 distributes information with respect to of investors and the public interest, under Section 19(b)(2)(B) of the Act to quotations for or transactions in an NMS because it will allow the Exchange to determine whether the proposed rule stock do so on terms that are fair and implement the proposed rule change to change should be approved or reasonable and not unreasonably coincide with IEX’s launch of exchange disapproved. discriminatory. As noted above, the operations during a security-by-security IV. Solicitation of Comments phase-in period beginning August 19, Exchange will provide TOPS and TOPS Interested persons are invited to Viewer to Members and other recipients 2016, and thus provide operational simplification to Members and other submit written data, views and of Exchange data on terms that are fair arguments concerning the foregoing, and reasonable and not unreasonably recipients of Exchange data as well as a source of Exchange data free of charge including whether the proposed rule discriminatory in that TOPS and TOPS change is consistent with the Act. Viewer will be provided free of charge otherwise than under the CTA and Nasdaq/UTP Plans, consistent with the Comments may be submitted by any of and TOPS Viewer is available to the the following methods: public via the Exchange’s Web site. protection of investors and the public interest. The Exchange further adds that Electronic Comments B. Self-Regulatory Organization’s waiver of the operative delay period • Statement on Burden on Competition Use the Commission’s Internet will also enable the Exchange to make comment form (http://www.sec.gov/ IEX does not believe that the the minor correcting and clarifying rules/sro.shtml); or proposed rule change will result in any changes described herein to coincide • Send an email to rule-comments@ burden on competition that is not with IEX’s launch of exchange sec.gov. Please include File Number SR– necessary or appropriate in furtherance operations. IEX–2016–05 on the subject line. of the purposes of the Act. The The Commission believes that waiver Paper Comments Exchange is not proposing to charge a of the operative delay is consistent with fee for the TOPS feed, and will make the the protection of investors and the • Send paper comments in triplicate feed available to market participants on public interest. The Commission notes to Secretary, Securities and Exchange a fair and impartial basis, and on terms that the proposal would merely Commission, 100 F Street NE., that are not unreasonably consolidate existing data products and Washington, DC 20549–1090. discriminatory. make minor, clarifying changes to the All submissions should refer to File descriptions of TOPS and TOPS Viewer. Number SR–IEX–2016–05. This file C. Self-Regulatory Organization’s number should be included on the Statement on Comments on the 14 15 U.S.C. 78s(b)(3)(A). subject line if email is used. To help the Proposed Rule Change Received From 15 17 CFR 240.19b–4(f)(6). Commission process and review your Members, Participants, or Others 16 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 4(f)(6) requires a self-regulatory organization to give Written comments were neither the Commission written notice of its intent to file 17 For purposes only of waiving the 30-day solicited nor received. the proposed rule change at least five business days operative delay, the Commission has also prior to the date of filing of the proposed rule considered the proposed rule’s impact on change, or such shorter time as designated by the efficiency, competition, and capital formation. See 12 15 U.S.C. 78k–1. Commission. The Exchange has satisfied this 15 U.S.C. 78c(f). 13 See 17 CFR 242.603. requirement. 18 15 U.S.C. 78s(b)(2)(B).

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comments more efficiently, please use the ISAB is to provide the Department abandonment shall be protected under only one method. The Commission will with a continuing source of Oregon Short Line Railroad— post all comments on the Commission’s independent advice on all aspects of Abandonment Portion Goshen Branch Internet Web site (http://www.sec.gov/ arms control, disarmament, Between Firth & Ammon, in Bingham & rules/sro.shtml). Copies of the nonproliferation, political-military Bonneville Counties, Idaho, 360 I.C.C. submission, all subsequent affairs, international security, and 91 (1979). To address whether this amendments, all written statements related aspects of public diplomacy. The condition adequately protects affected with respect to the proposed rule agenda for this meeting will include employees, a petition for partial change that are filed with the classified discussions related to the revocation under 49 U.S.C. 10502(d) Commission, and all written Board’s studies on current U.S. policy must be filed. communications relating to the and issues regarding arms control, Provided no formal expression of proposed rule change between the international security, nuclear intent to file an offer of financial Commission and any person, other than proliferation, and diplomacy. assistance (OFA) has been received, this those that may be withheld from the For more information, contact exemption will be effective on public in accordance with the Christopher Herrick, Executive Director September 8, 2016, unless stayed provisions of 5 U.S.C. 552, will be of the International Security Advisory pending reconsideration. Petitions to available for Web site viewing and Board, U.S. Department of State, stay that do not involve environmental printing in the Commission’s Public Washington, DC 20520, telephone: (202) issues,1 formal expressions of intent to Reference Room, 100 F Street NE., 647–9683. file an OFA under 49 CFR Washington, DC 20549, on official Dated: July 19, 2016. 1152.27(c)(2),2 and trail use/rail banking business days between the hours of Christopher Herrick, requests under 49 CFR 1152.29 must be 10:00 a.m. and 3:00 p.m. Copies of the Executive Director, International Security filed by August 19, 2016. Petitions to filing also will be available for reopen or requests for public use inspection and copying at the principal Advisory Board, U.S. Department of State. [FR Doc. 2016–18855 Filed 8–8–16; 8:45 am] conditions under 49 CFR 1152.28 must office of the Exchange. All comments be filed by August 29, 2016, with the BILLING CODE 4710–27–P received will be posted without change; Surface Transportation Board, 395 E the Commission does not edit personal Street SW., Washington, DC 20423– identifying information from 0001. submissions. You should submit only SURFACE TRANSPORTATION BOARD A copy of any petition filed with the information that you wish to make [Docket No. AB 290 (Sub–No. 386X)] Board should be sent to NSR’s available publicly. All submissions representative: William A. Mullins, should refer to File Number SR–IEX– Norfolk Southern Railway Company— Baker & Miller PLLC, 2401 Pennsylvania 2016–05 and should be submitted on or Abandonment Exemption—in Ave. NW., Suite 300, Washington, DC before August 30, 2016. Charleston, S.C. 20037. For the Commission, by the Division of Norfolk Southern Railway Company If the verified notice contains false or Trading and Markets, pursuant to delegated misleading information, the exemption authority.19 (NSR) has filed a verified notice of exemption under 49 CFR pt. 1152 is void ab initio. Robert W. Errett, subpart F–Exempt Abandonments to NSR has filed a combined Deputy Secretary. abandon approximately 1.97 miles of environmental and historic report that [FR Doc. 2016–18795 Filed 8–8–16; 8:45 am] rail line between milepost SC 0.33 and addresses the effects, if any, of the BILLING CODE 8011–01–P milepost SC 2.3 in Charleston, S.C. (the abandonment on the environment and Line). The Line traverses United States historic resources. OEA will issue an Postal Service Zip Codes 29403 and environmental assessment (EA) by DEPARTMENT OF STATE 29405. August 12, 2016. Interested persons may [Public Notice: 9666] NSR has certified that: (1) No local obtain a copy of the EA by writing to traffic has moved over the Line for at OEA (Room 1100, Surface International Security Advisory Board least two years; (2) no overhead traffic Transportation Board, Washington, DC (ISAB); Meeting Notice Closed Meeting has moved over the Line for at least two 20423–0001) or by calling OEA at (202) years and that overhead traffic, if there 245–0305. Assistance for the hearing In accordance with section 10(a)(2) of were any, could be rerouted over other impaired is available through the the Federal Advisory Committee Act, 5 lines; (3) no formal complaint filed by Federal Information Relay Service at U.S.C. App 10(a)(2), the Department of a user of rail service on the Line (or by (800) 877–8339. Comments on State announces a meeting of the a state or local government entity acting environmental and historic preservation International Security Advisory Board on behalf of such user) regarding matters must be filed within 15 days (ISAB) to take place on September 16, cessation of service over the Line either after the EA becomes available to the 2016, at the Department of State, is pending with the Surface public. Washington, DC. Transportation Board (Board) or with Pursuant to section 10(d) of the any U.S. District Court or has been 1 The Board will grant a stay if an informed Federal Advisory Committee Act, 5 decided in favor of complainant within decision on environmental issues (whether raised U.S.C. App 10(d), and 5 U.S.C. the two-year period; and (4) the by a party or by the Board’s Office of Environmental 552b(c)(1), it has been determined that requirements at 49 CFR 1105.7(c) Analysis (OEA) in its independent investigation) cannot be made before the exemption’s effective this Board meeting will be closed to the (environmental report), 49 CFR 1105.11 date. See Exemption of Out-of-Serv. Rail Lines, 5 public because the Board will be (transmittal letter), 49 CFR 1105.12 I.C.C. 2d 377 (1989). Any request for a stay should reviewing and discussing matters (newspaper publication), and 49 CFR be filed as soon as possible so that the Board may properly classified in accordance with 1152.50(d)(1) (notice to governmental take appropriate action before the exemption’s effective date. Executive Order 13526. The purpose of agencies) have been met. 2 Each OFA must be accompanied by the filing As a condition to this exemption, any fee, which is currently set at $1,600. See 49 CFR 19 17 CFR 200.30–3(a)(12). employee adversely affected by the 1002.2(f)(25).

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Environmental, historic preservation, I. Overview: Pursuant to 49 U.S.C. in motor vehicles and aircraft.’’ Other public use, or trail use/rail banking 30118(d) and 30120(h) (see than the first word, no other words are conditions will be imposed, where implementing rule at 49 CFR part 556), capitalized. appropriate, in a subsequent decision. Baby Jogger submitted a petition for an Paragraph S5.5.2.(k)(3)(ii)—The Pursuant to the provisions of 49 CFR exemption from the notification and message area measures 23.4 square cm 1152.29(e)(2), NSR shall file a notice of remedy requirements of 49 U.S.C. on models BJ70411, BJ70424 and consummation with the Board to signify Chapter 301 on the basis that this BJ70431 which is less than the that it has exercised the authority noncompliance is inconsequential to minimum required message area of 30 granted and fully abandoned the Line. If motor vehicle safety. square cm. consummation has not been effected by Notice of receipt of the petition was Paragraph S5.5.2.(k)(3)(iii)—On NSR’s filing of a notice of published, with a 30-day public models BJ70411, BJ70424 and BJ70431 consummation by August 9, 2017, and comment period, on September 8, 2015 the red circle on the required pictogram there are no legal or regulatory barriers in the Federal Register (80 FR 53914). is 29 mm in diameter which is less than to consummation, the authority to No comments were received. To view the required 30 mm in diameter. abandon will automatically expire. the petition, and all supporting Paragraph S5.6.1.7—The instruction Board decisions and notices are documents log onto the Federal Docket manuals do not include reference to the available on our Web site at Management System (FDMS) Web site required Web site in the section ‘‘WWW.STB.DOT.GOV.’’ at: http://www.regulations.gov/. Then regarding child restraint recalls. follow the online search instructions to Paragraph S5.6.3—The instruction Decided: August 4, 2016. locate docket number ‘‘NHTSA–2015– manuals do not include the required By the Board, Joseph H. Dettmar, Acting 0074.’’ statement ‘‘A snug strap should not Director, Office of Proceedings. II. Child Restraints Involved: Affected allow any slack. . .’’ Jeffrey Herzig, are approximately 15,103 of the Paragraph S5.8.2(a)(1)—The Clearance Clerk. following Baby Jogger rear-facing infant electronic registration form does not [FR Doc. 2016–18867 Filed 8–8–16; 8:45 am] seats and bases manufactured between have the required statement ‘‘FOR BILLING CODE 4915–01–P November 3, 2014 and April 30, 2015: YOUR CHILD’S CONTINUED • City GO Infant Car Seat/Model No. SAFETY. . .’’ BJ64510 Paragraph S5.8.1(b)(2)—Figure 9a • DEPARTMENT OF TRANSPORTATION City GO Infant Car Seat/Model No. requires minimum 10 percent screen BJ64529 • tint on the lower half of the form. The National Highway Traffic Safety City GO Base for Infant Car Seat/ form is missing the required tinting. Model No. BJ80400 Administration • Paragraph S8.1—No instructions for City GO Base for Infant Car Seat/ installing the system in an aircraft [Docket No. NHTSA–2015–0074; Notice 2] Model No. BJ61500 passenger seat were provided. • City Mini Infant Cars Seat/Stroller Baby Jogger, LLC, Ruling on Petition IV. Summary of Baby Jogger’s Travel System/Model No.BJ72510 Analyses: Baby Jogger organized its for Decision of Inconsequential • Vue Lite Infant Car Seat/Stroller reasoning to substantiate Noncompliance Travel System/Model No. BJ70411 • Vue Lite Infant Car Seat/Stroller inconsequentiality into the following AGENCY: National Highway Traffic Travel System/Model No. BJ70424 five issue groupings that it believes are Safety Administration (NHTSA), • Vue Lite Infant Car Seat/Stroller similar between the numerous Department of Transportation (DOT). Travel System/Model No. BJ70431 noncompliances: ACTION: Ruling on petition for III. Noncompliances: Baby Jogger a. Information Type Size/Capitalization/ inconsequential noncompliance. explains that the affected child Presentation Order restraints do not fully comply with b. Background Color SUMMARY: Baby Jogger, LLC (Baby numerous paragraphs of FMVSS No. c. On-Product Label Message Area and Jogger), has determined that certain 213 for the following reasons: Pictogram Sizes Baby Jogger rear-facing infant seats and Paragraph S5.5.2—The required d. Omitted Information bases do not fully comply with information in English is no smaller e. Spanish Language Type Size paragraphs S5.5, S5.6, S5.8, and S8.1 of than 10 point type, but the Spanish Refer to Baby Jogger’s petition for Federal Motor Vehicle Safety Standard information is smaller at about 7 point their complete reasoning and associated (FMVSS) No. 213, Child Restraint type. This only applies to models illustrations. To view the petition and Systems. Baby Jogger filed an associated BJ64510 and BJ64529. all supporting documents log onto the report dated June 4, 2015, pursuant to Paragraph S5.5.2(d)—The Federal Docket Management System 49 CFR part 573, Defect and ‘‘manufactured in address’’ on the label (FDMS) Web site at: http:// Noncompliance Responsibility and is in about 8 font which is smaller than www.regulations.gov/. Then follow the Reports. Baby Jogger then petitioned the required 10 point type. online search instructions to locate NHTSA under 49 CFR part 556 Paragraph S5.5.2(m)—The required docket number ‘‘NHTSA–2015–0074.’’ requesting a decision that the subject ’’Child restraints could be recalled for Baby Jogger additionally informed noncompliance is inconsequential to safety reasons. . .’’ text is on a black NHTSA that they have corrected all motor vehicle safety. background with white text instead of labeling noncompliances and that all future production of the subject infant ADDRESSES: For further information on black text on a white background. Paragraph S5.5.2(g)(1)—The label has car seat/stroller systems and stand-alone this decision contact Zachary Fraser, the ‘‘Follow all instructions. . .’’ ahead units will be in full compliance with Office of Vehicle Safety Compliance, the of the ‘‘Secure this child restraint’’ FMVSS No. 213. National Highway Traffic Safety statement, instead of the reverse order In summation, Baby Jogger believes Administration (NHTSA), telephone as required. This noncompliance only that the described noncompliance of the (202) 366–5754, facsimile (202) 366– affects models BJ64510 and BJ64529. subject infant car seat/stroller systems 3081. Paragraph S5.5.2(n)—The label has and standalone units is inconsequential SUPPLEMENTARY INFORMATION: ‘‘This child restraint is certified for use to motor vehicle safety, and that its

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petition, to exempt Baby Jogger from upper and lower case. We believe this instruction. If this sequence is disrupted providing recall notification of specification will result in an easier to by placing items out of order the user noncompliance as required by 49 U.S.C. read label which, in turn, should could become distracted and disregard 30118 and remedying the recall promote more complete reading of the important instructions. noncompliance as required by 49 U.S.C. label by the consumer.’’ 4 The agency believes the above label 30120 should be granted. For these reasons, NHTSA believes noncompliances, in totality, have a that font size less than the required 10 compounding effect that may result in NHTSA’S Decision point type results in undesirable reading the user mistrusting information on the NHTSA’s Analysis: NHTSA examined conditions which may cause eye strain labels and thereby ignoring the labels. the noncompliances that Baby Jogger and lead to the consumer failing to described in its petition by category as complete reading all the important b. Background Color follows: safety instructions. Baby Jogger notified the agency of the Baby Jogger failed to capitalize certain following two noncompliances related a. Information Type Size/ first letters of words contained in a label to background color: Capitalization/Presentation Order to instruct the user that the restraint is (1) Paragraph S5.5.2 requires a label Baby Jogger printed labels required in certified for use in motor vehicles and with information that child restraints paragraph S5.5.2 containing the place of aircraft (paragraph S5.5.2(n)). Baby could be recalled for safety reasons to be manufacture in 8 point type rather than Jogger believes the lower case letters printed on a white background with the required 10 point type. Baby Jogger will not have any impact on child black text. The noncompliant label believes the smaller type of the place of passenger safety. contains the required information but is manufacture will not have any impact The agency believes that failure to printed on black background with white on child passenger safety. Baby Jogger capitalize the required statements for text. Baby Jogger believes there is no failed to capitalize certain first letters of proper use of child restraints may result indication that the reversed color words contained in a label to instruct in the consumer not adequately seeing combination will affect consumers’ the user that the restraint is certified for and understanding the important safety ability to understand the information on use in motor vehicles and aircraft information pertaining to proper use of the label, and, therefore, the contrasting (paragraph S5.5.2(n)). Baby Jogger the restraints. colors will not have any impact on child believes the lower case letters will not Baby Jogger printed on-product labels passenger safety. have any impact on child passenger with two of the required statements of NHTSA disagrees with Baby Jogger’s safety. Finally, Baby Jogger printed on- paragraph S5.5.2(g)(1)in incorrect order. assessment that the reversal of required product labels with two of the required Baby Jogger believes the out of order text/label color will not affect the statements of paragraph S5.5.2(g)(1)in information will not have any impact on consumers’ ability to understand the incorrect order. Baby Jogger believes the child passenger safety because the label. A visual inspection of the label in out of order information will not have statements are stand-alone and do not a photograph provided by Baby Jogger any impact on child passenger safety. depend on another statement; therefore, shows that the white text on the black NHTSA does not concur with Baby the order of bulleted statements do background is not as easy to read as the Jogger’s reasons for inconsequentiality affect the proper use of the car seat. compliant text located above. (This stated above. With regard to the NHTSA disagrees with this reasoning. picture is located in the docket). The noncompliant 8 point font size, in the S5.5.2(g)(1) requires the heading consumer may not read the label in its Final Rule establishing FMVSS No. 139, ‘‘‘WARNING! DEATH or SERIOUS entirety if the ability to read the ‘‘New pneumatic radial tires for light INJURY can occur’, capitalized as information on the label creates a vehicles,’’ the agency stated ‘‘With written and followed by bulleted challenge to the reader, which would respect to the size of the text on the statements in the following order:’’ result in the reader not being aware of placard and label, NHTSA learned from (emphasis added). The order of important recall information. focus groups that the public generally statements follows a sequence beginning (2) S5.8.1(b)(2) requires the prefers larger fonts in label text because with instructions for rear-facing usage registration form to conform to Figures it is easier to read. This helps ensure the (S5.5.2(k)(1)), the maximum mass of 9a and 9b which require portions of the placard and label will effectively convey children that can safely occupy the card to have a minimum 10% screen the message to the reader.’’ 1 Also, in a system (S.5.5.2(f)), the proper tint. The registration card provided by Notice of Proposed Rulemaking to adjustment of the belts provided with Baby Jogger does not have any screen upgrade dynamic testing in FMVSS No. the child restraint (S5.5.2(h)), tint. Baby Jogger believes that the 213, the agency originally proposed that instructions for securing a child missing screen tint will not have an labeling be in block lettering ‘‘3/32 inch restraint to the vehicle with a top tether impact on motor vehicle safety because high.’’ 2 In the final rule to upgrade strap (S5.5.2(j), and instructions for there is no indication that the missing FMVSS No. 213, the agency changed securing a booster seat to the vehicle tint will affect consumers’ ability to this to ‘‘10 point type’’ and made other using the vehicle’s seat belt system understand the information on the changes in response to a comment from (S5.5.2(i)). Baby Jogger incorrectly registration card. General Motors.3 General Motors stated placed the statements required by The image of the registration card ‘‘The proposal restricts the lettering to S5.5.2(i) before the statements required provided in Baby Jogger’s petition block lettering which results in by S5.5.2(j). The agency intentionally would seem to support Baby Jogger’s instructions which are hard to read. We created a sequence of information that argument that the missing tint does not recommend that the body type for the begins with instructions that call for affect the ability to understand the label be specified to require at least a 10 interaction between the occupant and required information provided on the point type, based on the character case the restraint system, and ends with registration card. with the option of using capitals or instructions that call for interaction c. On-Product Label Message Area and between the occupant and the written Pictogram Sizes 1 67 FR 69600; November 18, 2002. 2 43 FR 21470; May 18, 1978. 4 Docket no. 74–09–N04, comment #78, sent 12/ Three of the Baby Jogger models have 3 44 FR 72131; December 13, 1979. 1/78. the air bag warning label required by

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paragraph S5.5.2(k)(3)(ii) with a that the warning or alert message fills a risk to motor vehicle safety because message area measuring 23.4 square cm the message area.8 Not filling the the printed instructions provide which is less than the minimum message area would make purposeless adequate text to adjust the harness required message area of 30 square cm. the specification. The Baby Jogger label around the child including statements Baby Jogger does not believe the has a message area that is 22 percent addressing snugness and sagging (see noncompliance creates a risk to motor below the required 30 square cm. This Baby Jogger’s Petition in Docket vehicle safety because the label is is a significant reduction in message NHTSA–2015–0074 for detail). prominently displayed and clearly area equivalent to not filling the NHTSA disagrees with Baby Jogger communicates the required warning, message area. that the provided text to address strap and there is no indication that the sizing The pictogram of the air bag warning snugness in lieu of the required text is issue affects customers’ ability to label has a diameter that is 3 percent sufficient to replace the required text. understand the warnings. In addition, below the required 30 mm. Even though The text provided by Baby Jogger the pictogram required in paragraph the pictogram minimum format is not contains additional information not S5.5.2(k)(3)(iii) for the Baby Jogger label met, NHTSA believes in this case that related to strap snugness. In addition, measures 29 millimeters in diameter the consumer will have a message size the provided text fails to provide which is less than the minimum that is acceptable. guidance to achieve a snug fit which may result in an improper securing of required diameter of 30 millimeters. d. Omitted Information Baby Jogger believes that the pictogram the child in the restraint and a that is 1 millimeter too small will not Baby Jogger notified the agency of the compromise of the child seat’s safety have any impact on child passenger following four noncompliances related effectiveness in the event of a crash. safety. to missing information required in the (3) Paragraph S8.1 requires the In addition, Baby Jogger maintains for printed instructions or electronic printed instructions to include a step- both noncompliances above that the registration form in FMVSS No. 213: by-step procedure (including diagrams) required information is provided in the (1) Paragraph S5.6.1.7 requires the for installing the system in aircraft printed instructions and is prominently printed instructions to include the passenger seats, securing a child in the featured on the affected products, and statement in paragraph (ii) that ‘‘Child system when it is installed in aircraft, there is no indication that the sizing restraints could be recalled . . . or and adjusting the system to fit the child. issue affects consumers’ ability to register on-line at (insert Web site for The printed instruction manual does not understand or appreciate the warnings. electronic registration form).’’ The include instructions for installing the We disagree with Baby Jogger that the printed instruction manual does not system in aircraft passenger seats. Baby smaller than required air bag warning include the Web site address in the Jogger does not believe that the missing label message area creates no risk to section regarding child restraint aircraft installation information creates motor vehicle safety. The air bag registration. Baby Jogger does not a risk to motor vehicle safety because warning labels are the agency’s primary believe the noncompliance with the printed instructions address the method for obtaining the consumer’s paragraph S5.6.1.7 creates a risk to installation of the child seat in a vehicle attention and conveying important motor vehicle safety since on-line equipped with a lap belt only, which is safety information with respect to the registration is optional. similar to the installation of the child proper location to install a rear-facing The agency disagrees with Baby seat in an aircraft passenger seat with child restraint. The agency believes that Jogger that the missing information for lap belt only. Baby Jogger believes that these air bag warning labels are on-line registration does not create a the installation instructions provided necessary to make consumers aware of risk to motor vehicle safety. While the for a vehicle lap belt will be logically the potentially serious consequences of manufacturer has the choice to provide understood as the method to secure the placing a rear-facing child seat or any on-line registration or not, if the child seat to the aircraft passenger seat. child twelve and under on the front seat manufacturer does provide the option NHTSA disagrees with Baby Jogger’s with an air bag, and that the rear seat for on-line registration then they are line of reasoning. We have concerns that is the safest place for these children. In required to provide the Web site address absent the required instructions specific NHTSA’s occupant crash protection rule in the section regarding child seat to aircraft passenger installation, the published on May 12, 2000,5 the agency registration. The agency recognizes the user will be unprepared to properly stated ‘‘. . . as with the current labels, importance of child restraint secure the child restraint to the aircraft manufacturers may provide translations registrations. To support increasing the passenger seat, properly secure the child of the required English language number of registrations, the agency is when it is installed in an aircraft, and message as long as all the requirements currently studying efforts to increase the properly adjust the system to fit the for the English language are met, rate of child restraint registrations so child. These potential improper including size’’ 6 (emphasis added). that in the event of a recall, all owners procedures could result in a Thus, the agency reconfirmed the of affected units will be notified of a compromise of the child seat’s safety importance of the message area potentially unsafe product. effectiveness during flight. requirement in the advanced air bag (2) Paragraph S5.6.3 requires the (4) Paragraph S5.8.2(a)(1)(i) requires final rule. printed instructions to include the the electronic registration form to The air bag warning label statement: ‘‘A snug strap should not contain the statement ‘‘FOR YOUR requirements in FMVSS No. 213, Child allow any slack. It lies in a relatively CHILD’S CONTINUED SAFETY’’ at the Restraint Systems, were established as straight line without sagging. It does not top of the form. The electronic part of a FMVSS No. 208, Occupant press on the child’s flesh or push the registration form on the Baby Jogger Crash Protection, final rule requiring child’s body into an unnatural Web site did not include this statement new air bag warning labels in motor position.’’ The printed instruction at the top. Baby Jogger believes that vehicles.7 The intent of the final rule is manual does not include this users of child restraints have a basic information. Baby Jogger does not understanding that recalls are 5 65 FR 30680. believe that this noncompliance creates conducted for safety reasons, and that 6 65 FR 30722. one who navigated to the electronic 7 61 FR 60206; November 27, 1996. 8 61 FR 60206 at 60210. registration form would not be

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dissuaded from registering due to the registration card, (c) minimum 30 mm through a 24-hour fax-on demand missing phrase. diameter pictogram on air bag warning service at (202) 622–0077. The Agency agrees that a consumer label, and (d) missing statement at the Background who has navigated to the on-line top of the on-line registration form. registration will not be dissuaded from Accordingly, we grant its petition on On December 3, 1999, the Kingpin registering due to the missing phrase. these issues. Act (21 U.S.C. Sections 1901–1908, 8 Also, the Agency notes that Baby Jogger U.S.C. Section 1182) was signed into Authority: (49 U.S.C. 30118, 30120: law by the President of the United has corrected this omission on its on- delegations of authority at 49 CFR 1.95 and line registration form and the required 501.8). States. The Kingpin Act provides a statement is present. statutory framework for the President to Issued on: August 2, 2016. impose sanctions against significant e. Spanish Language Type Size Stephen A. Ridella, foreign narcotics traffickers and their Paragraph S5.5.2 of FMVSS No. 213 Acting Associate Administrator for organizations on a worldwide basis, requires the information in the English Enforcement. with the objective of denying their language to be not smaller than 10 point [FR Doc. 2016–18770 Filed 8–8–16; 8:45 am] businesses and agents access to the U.S. type. An on-product warning label BILLING CODE 4910–59–P financial system and to the benefits of provided by Baby Jogger has the trade and transactions involving U.S. Spanish information at approximately 7 persons and entities. point type. The English language label DEPARTMENT OF THE TREASURY The Kingpin Act blocks all property is in full compliance with this and interests in property, subject to U.S. requirement. Baby Jogger believes that Office of Foreign Assets Control jurisdiction, owned or controlled by the noncompliant text does not create a significant foreign narcotics traffickers risk to motor vehicle safety because the Unblocking of Specially Designated as identified by the President or the information is clearly displayed on the Nationals and Blocked Persons, Secretary of the Treasury. In addition, affected child restraints and clearly Foreign Narcotics Kingpin Designation the Secretary of the Treasury consults communicates the required information. Act with the Attorney General, the Director NHTSA believes that the 7 point type of the Central Intelligence Agency, the AGENCY: Office of Foreign Assets text provided in the Spanish language Director of the Federal Bureau of Control, Treasury. label is not clearly displayed and is Investigation, the Administrator of the difficult to read. The smaller font size ACTION: Notice. Drug Enforcement Administration, the likely poses a challenge to the SUMMARY: The Department of the Secretary of Defense, the Secretary of consumer’s ability to read the text and Treasury’s Office of Foreign Assets State, and the Secretary of Homeland could result in the consumer ignoring Control (OFAC) is publishing the names Security when designating and blocking the text due to the difficulty in being of five individuals and six entities the property or interests in property, able to read it. NHTSA disagrees with whose property and interests in subject to U.S. jurisdiction, of persons Baby Jogger’s reasons for property have been unblocked pursuant or entities found to be: (1) Materially inconsequentiality as supported by the to the Foreign Narcotics Kingpin assisting in, or providing financial or reasons stated above under the category Designation Act (Kingpin Act). technological support for or to, or ‘‘Information Type Size.’’ Additionally, OFAC is publishing an providing goods or services in support NHTSA’s Decision: In consideration update to the identifying information of of, the international narcotics trafficking of the foregoing, NHTSA has one individual currently included in the activities of a person designated determined that Baby Jogger has not met list of Specially Designated Nationals pursuant to the Kingpin Act; (2) owned, its burden of persuasion that the subject and Blocked Persons (SDN List). controlled, or directed by, or acting for FMVSS No. 213 noncompliances are or on behalf of, a person designated DATES: The unblocking and removal inconsequential to motor vehicle safety pursuant to the Kingpin Act; and/or (3) from the list of Specially Designated for: (a) Information Type Size/ playing a significant role in Nationals and Blocked Persons (SDN Capitalization/Presentation order, (b) international narcotics trafficking. Background color (excluding the 10 List) of the individuals and entities On August 4, 2016, the Associate percent tint noncompliance), (c) On- identified in this notice whose property Director of OFAC’s Office of Global Product Label Message Area and and interests in property were blocked Targeting removed from the SDN List Pictogram Sizes (excluding the pursuant to the Kingpin Act, is effective the individuals and entities listed pictogram noncompliance), (d) Omitted on August 4, 2016. Additionally, the below, whose property and interests in Information (excluding the missing update to the SDN List of the identifying property was blocked pursuant to the statement at the top of the on-line information of the individual identified Kingpin Act. registration form), and (e) Spanish in this notice is also effective on August Language Type Size. Accordingly, Baby 4, 2016. Individuals Jogger’s petition is hereby denied for FOR FURTHER INFORMATION CONTACT: 1. GARCIA AYALA, Filemon, C these noncompliances and Baby Jogger Assistant Director, Sanctions Constitucion # 32, Col Rio Grande, is obligated to provide notification of, Compliance & Evaluation, Department Rio Grande, Zacatecas 98400, Mexico; and free remedies for, the of the Treasury, Office of Foreign Assets Matamoros, Tamaulipas, Mexico; Rio noncompliances as required under 49 Control, Washington, DC 20220, Tel: Grande, Zacatecas, Mexico; DOB 28 U.S.C. 30118 and 30120. (202) 622–2490. Oct 1948; alt. DOB 26 Oct 1948; alt. In consideration of the foregoing, SUPPLEMENTARY INFORMATION: DOB 27 Oct 1948; POB Loreto, NHTSA has decided that the petitioner Zacatecas, Mexico; Passport has met its burden of persuasion that Electronic and Facsimile Availability 160010455 (Mexico) issued 03 May the noncompliances identified above as This document and additional 2002 expires 03 May 2012; C.U.R.P. ‘‘excluded’’ in its petition are information concerning OFAC are GAAF481027HZSRYL07 (Mexico); inconsequential to motor vehicle safety: available from OFAC’s Web site at alt. C.U.R.P. GAAF481026HTSRYL08 (b) minimum 10 percent tint on (www.treasury.gov/ofac) or via facsimile (Mexico) (individual) [SDNTK].

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2. JAN, Haji Mohammad (a.k.a. BIN KUL TX, United States; Business this notice whose property and interests MOHAMMED, Mohammad Jan), c/o Registration Document # F–853615–0 in property were blocked pursuant to CONNECT TELECOM GENERAL (Arizona); alt. Business Registration Executive Order 12978 of October 21, TRADING LLC, Dubai, United Arab Document # 20011210699 (Colorado); 1995, is effective on August 4, 2016. Emirates; c/o GREEN LEAF GENERAL alt. Business Registration Document # FOR FURTHER INFORMATION CONTACT: TRADING LLC, Dubai, United Arab 335187 (Iowa); alt. Business Assistant Director, Sanctions Emirates; DOB 07 Oct 1969; alt. DOB Registration Document # 148693800 Compliance & Evaluation, Department 1968; POB Kandahar, Afghanistan; (Texas); Tax ID No. 17428803666 of the Treasury, Office of Foreign Assets citizen Afghanistan; National ID No. [SDNTK]. Control, Washington, DC 20220, Tel: 1090876 (Afghanistan) (individual) 6. TRASTREVA S.A. DE C.V., Av. La (202) 622–2490. [SDNTK]. Florida 3, La Florida, Guadalupe, 3. RAMIREZ BONILLA, Gloria Ines, Zacatecas 98610, Mexico; Cedula No. SUPPLEMENTARY INFORMATION: c/o C.I. STONES AND BYPRODUCTS DLC/P/152/2011 (Mexico); R.F.C. TRADING S.A., Bogota, Colombia; c/ TRA0010109E4 (Mexico) [SDNTK]. Electronic and Facsimile Availability o C.I. AGROINDUSTRIAL DE Additionally, on August 4, 2016, the This document and additional MATERIAS PRIMAS ORGANICAS Associate Director of OFAC’s Office of information concerning OFAC are LTDA, Bogota, Colombia; c/o JUAN Global Targeting updated the SDN List available from OFAC’s Web site at SEBASTIAN Y CAMILA ANDREA for one individual listed below, whose (www.treasury.gov/ofac) or via facsimile JIMENEZ RAMIREZ Y CIA S.C.S., property and interests in property through a 24-hour fax-on demand Bogota, Colombia; DOB 28 Jan 1969; continue to be blocked pursuant to the service at (202) 622–0077. citizen Colombia; Cedula No. Kingpin Act. 65552011 (Colombia) (individual) Background [SDNTK]. Individual On October 21, 1995, the President, 4. RUBIO ZAGA, Jesus Roman, c/o ILC LEAL GARCIA, Ignacio (a.k.a. invoking the authority, inter alia, of the EXPORTACIONES, S. DE R.L. DE ‘‘CAMILO’’; a.k.a. ‘‘TUERTO’’); International Emergency Economic C.V., Mexico, Distrito Federal, nationality Colombia; citizen Powers Act (50 U.S.C. 1701–1706) Mexico; DOB 28 Aug 1973; POB Colombia; Cedula No. 96186610 (IEEPA), issued Executive Order 12978 Coyoacan, Distrito Federal, Mexico; (Colombia) (individual) [SDNTK]. nationality Mexico; citizen Mexico; (60 FR 54579, October 24, 1995) (the —to— C.U.R.P. RUZJ730828HDFBGS08 Order). In the Order, the President (Mexico) (individual) [SDNTK]. LEAL GARCIA, Ignacio (a.k.a. declared a national emergency to deal 5. RUIZ MADRID, Adriana Maria; DOB ‘‘CAMILO’’; a.k.a. ‘‘TUERTO’’); DOB with the threat posed by significant 14 Dec 1968; POB Envigado, 26 Jul 1969; nationality Colombia; foreign narcotics traffickers centered in Antioquia, Colombia; citizen citizen Colombia; Cedula No. Colombia and the harm that they cause Colombia; Cedula No. 42897418 96186610 (Colombia) (individual) in the United States and abroad. (Colombia) (individual) [SDNTK] [SDNTK]. Section 1 of the Order blocks, with (Linked To: CARYTES ENCANTO Y Dated: August 4, 2016. certain exceptions, all property and BELLEZA). Gregory T. Gatjanis, interests in property that are in the Entities Associate Director, Office of Global Targeting, United States, or that hereafter come Office of Foreign Assets Control. within the United States or that are or 1. CARYTES ENCANTO Y BELLEZA, [FR Doc. 2016–18844 Filed 8–8–16; 8:45 am] hereafter come within the possession or Calle 6AS 43 A LC 3188, Medellin, BILLING CODE 4810–AL–P control of United States persons, of: (1) Colombia; Centro Comercial Oviedo, The foreign persons listed in an Annex Local 3188, El Poblado, Medellin, to the Order; (2) any foreign person Colombia; Matricula Mercantil No DEPARTMENT OF THE TREASURY determined by the Secretary of 40551702 (Medellin) [SDNTK]. Treasury, in consultation with the 2. INTERNACIONAL & NACIONAL Office of Foreign Assets Control Attorney General and the Secretary of EXCHANGE SERVICES, INC., Pharr, State: (a) To play a significant role in TX, United States; Business Unblocking of Specially Designated international narcotics trafficking Registration Document # 801199276 Nationals and Blocked Persons, centered in Colombia; or (b) to (Texas); Tax ID No. 32040757414 Executive Order 12978 materially assist in, or provide financial [SDNTK]. or technological support for or goods or 3. PRODIRA CASA DE CAMBIO, AGENCY: Office of Foreign Assets services in support of, the narcotics ACTIVIDAD AUXILIAR DEL Control, Treasury. trafficking activities of persons CREDITO S.A. DE C.V., Blvd. La ACTION: Notice. designated in or pursuant to the Order; Florida 3–A, Colonia La Florida, and (3) persons determined by the Guadalupe, Zacatecas 98618, Mexico; SUMMARY: The Department of the Secretary of the Treasury, in R.F.C. PCC031010989 (Mexico) issued Treasury’s Office of Foreign Assets consultation with the Attorney General 18 Dec 2003 [SDNTK]. Control (OFAC) is publishing the names 4. PRODIRA S.A. DE C.V., CASA DE of four individuals whose property and and the Secretary of State, to be owned CAMBIO, ACTIVIDAD DEL CREDITO interests in property have been or controlled by, or to act for or on (a.k.a. PRODIRA CASA DE CAMBIO unblocked pursuant to Executive Order behalf of, persons designated pursuant INCORPORATED), Pharr, TX, United 12978 of October 21, 1995, ‘‘Blocking to the Order. States; Business Registration Assets and Prohibiting Transactions On August 4, 2016, the Associate Document # 801041970 (Texas); Tax With Significant Narcotics Traffickers’’. Director of OFAC’s Office of Global ID No. 32038179357 [SDNTK]. DATES: The unblocking and removal Targeting removed from the SDN List 5. PRODIRA, INC., Aurora, CO, United from the list of Specially Designated the individuals listed below, whose States; Phoenix, AZ, United States; Nationals and Blocked Persons (SDN property and interests in property were Des Moines, IA, United States; Pharr, List) of the four individuals identified in blocked pursuant to the Order:

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Individuals 4. TREJOS AGUILAR, Sonia, Carrera 8 needs of older Veterans and evaluates No. 6–37, Zarzal, Valle del Cauca, VA programs designated as Geriatric 1. CAICEDO VERGARA, Nohemy (a.k.a. Colombia; Cali, Colombia; c/o Research, Education, and Clinical CAICEDO VERGARA, Nohemi), Km. 4 AGROINVERSORA URDINOLA Centers. El Pinal, Buenaventura, Colombia; c/ HENAO Y CIA. S.C.S., Cali, Colombia; The meeting will feature o INDUSTRIA DE PESCA SOBRE EL c/o EXPLOTACIONES AGRICOLAS Y presentations and discussions on VA’s PACIFICO S.A., Buenaventura, GANADERAS LA LORENA S.C.S., geriatrics and extended care programs, Colombia; Cedula No. 31375185 Cali, Colombia; c/o INDUSTRIAS aging research activities, updates on (Colombia) (individual) [SDNT]. AGROPECUARIAS DEL VALLE VA’s employee staff working in the area 2. CARRILLO LUNA, Andres Felipe, c/ LTDA., Cali, Colombia; c/o of geriatrics (to include training, o ADMINISTRADORA GANADERA INVERSIONES EL EDEN S.C.S., Cali, recruitment and retention approaches), EL 45 LTDA., Medellin, Colombia; c/ Colombia; Cedula No. 66675927 Veterans Health Administration (VHA) o CASA DEL GANADERO S.A., (Colombia) (individual) [SDNT]. strategic planning activities in geriatrics Medellin, Colombia; c/o GANADERIA and extended care, recent VHA efforts LUNA HERMANOS LTDA., Medellin, Dated: August 4, 2016. regarding dementia and program Colombia; c/o INVERSIONES EL Gregory T. Gatjanis advances in palliative care, and MOMENTO S.A., Medellin, Colombia; Associate Director, Office of Global Targeting, performance and oversight of VA c/o SOCIEDAD MINERA GRIFOS Office of Foreign Assets Control. Geriatric Research, Education, and S.A., El Bagre, Antioquia, Colombia; [FR Doc. 2016–18845 Filed 8–8–16; 8:45 am] Clinical Centers. Calle 10C No. 25–41, Medellin, BILLING CODE 4810–AL–P No time will be allocated at this Colombia; Carrera 78A No. 33A–76, meeting for receiving oral presentations Medellin, Colombia; 801 Brickell Key from the public. Interested parties Blvd., unit 1907, Miami, FL 33131, DEPARTMENT OF VETERANS should provide written comments for United States; DOB 25 May 1986; alt. AFFAIRS review by the Committee to Mrs. Marcia DOB 24 May 1986; POB Puerto Asis, Holt-Delaney, Program Analyst, Putumayo, Colombia; Cedula No. Geriatrics and Gerontology Advisory Geriatrics and Extended Care Services 1037572288 (Colombia); Passport Committee; Notice of Meeting (10P4G), Department of Veterans AJ723916 (Colombia); alt. Passport The Department of Veterans Affairs Affairs, 810 Vermont Avenue NW., RC10058210 (Colombia) (individual) (VA) gives notice under the Federal Washington, DC 20420, or via email at [SDNT]. Advisory Committee Act, 5 U.S.C. App. [email protected]. Because 3. CARRILLO LUNA, Paula Andrea, c/ 2, that a meeting of the Geriatrics and the meeting is being held in a o ADMINISTRADORA GANADERA Gerontology Advisory Committee will government building, a photo I.D. must EL 45 LTDA., Medellin, Colombia; c/ be held on August 30–31, 2016, in Room be presented at the Guard’s Desk as a o CASA DEL GANADERO S.A., 630 at the Department of Veterans part of the clearance process. Due to an Medellin, Colombia; c/o GANADERIA Affairs, 810 Vermont Avenue NW., increase in security protocols, and in LUNA HERMANOS LTDA., Medellin, Washington, DC. On August 30, the order to prevent delays in clearance Colombia; c/o INVERSIONES EL session will begin at 8:30 a.m. and end processing, you should allow an MOMENTO S.A., Medellin, Colombia; at 5:00 p.m. On August 31, the session additional 30 minutes before the c/o SOCIEDAD MINERA GRIFOS will begin at 8:00 a.m. and end at 12:00 meeting begins. Individuals who wish to S.A., El Bagre, Antioquia, Colombia; p.m. This meeting is open to the public. attend the meeting should contact Mrs. Carrera 78A No. 33A–76, Medellin, The purpose of the Committee is to Holt-Delaney at (202) 461–6769. Colombia; 13315 SW 128 Passage, provide advice to the Secretary of VA Miami, FL 33186, United States; DOB and the Under Secretary for Health on Dated: August 4, 2016. 25 Dec 1983; POB Puerto Asis, all matters pertaining to geriatrics and LaTonya L. Small, Putumayo, Colombia; Cedula No. gerontology. The Committee assesses Federal Advisory Committee Management 32244809 (Colombia); Passport the capability of VA health care Officer. AJ775569 (Colombia) (individual) facilities and programs to meet the [FR Doc. 2016–18875 Filed 8–8–16; 8:45 am] [SDNT]. medical, psychological, and social BILLING CODE P

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Reader Aids Federal Register Vol. 81, No. 153 Tuesday, August 9, 2016

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING AUGUST

Federal Register/Code of Federal Regulations At the end of each month the Office of the Federal Register General Information, indexes and other finding 202–741–6000 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since Laws 741–6000 the revision date of each title. 12 CFR Presidential Documents 3 CFR Executive orders and proclamations 741–6000 Executive Orders: 45...... 50605 237...... 50605 The United States Government Manual 741–6000 13675 (amended by 13734) ...... 52321 349...... 50605 Other Services 13734...... 52321 624...... 50605 1221...... 50605 Electronic and on-line services (voice) 741–6020 Administrative Orders: Privacy Act Compilation 741–6064 Notices: Proposed Rules: Public Laws Update Service (numbers, dates, etc.) 741–6043 Notice of August 4, 34...... 51394 213...... 51400 2016 ...... 52587 226...... 51394, 51404 Memorandums: ELECTRONIC RESEARCH 1013...... 51400 Memorandum of July 1026...... 51394, 51404 World Wide Web 26, 2016 ...... 51773 Memorandum of 13 CFR Full text of the daily Federal Register, CFR and other publications August 3 2016...... 52323 126...... 51312 is located at: www.fdsys.gov. 5 CFR Proposed Rules: Federal Register information and research tools, including Public 630...... 51775 115...... 52595 Inspection List, indexes, and Code of Federal Regulations are 120...... 52595 located at: www.ofr.gov. 6 CFR 14 CFR Proposed Rules: E-mail 13...... 51079 5...... 52593 FEDREGTOC-L (Federal Register Table of Contents LISTSERV) is 25 ...... 51081, 51084, 51086, an open e-mail service that provides subscribers with a digital 7 CFR 51090, 51093, 51095 39 ...... 51097, 51314, 51317, form of the Federal Register Table of Contents. The digital form 37...... 52589 51320, 51323, 51325, 51328, of the Federal Register Table of Contents includes HTML and 51...... 51297 51330 PDF links to the full text of each document. 205...... 51075 71...... 50613 To join or leave, go to http://listserv.access.gpo.gov and select 457...... 52590 91...... 50615 Online mailing list archives, FEDREGTOC-L, Join or leave the list 761...... 51274 97 ...... 51332, 51334, 51337, (or change settings); then follow the instructions. 762...... 51274 51339 763...... 51274 PENS (Public Law Electronic Notification Service) is an e-mail 406...... 51079 service that notifies subscribers of recently enacted laws. 764...... 51274 765...... 51274 Proposed Rules: 39 ...... 51142, 51813, 51815, To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 766...... 51274 51818, 51821 and select Join or leave the list (or change settings); then follow 767...... 51274 71...... 52369 the instructions. 770...... 51274 FEDREGTOC-L and PENS are mailing lists only. We cannot 772...... 51274 15 CFR 773...... 51274 respond to specific inquiries. 774...... 52326 Reference questions. Send questions and comments about the 774...... 51274 Federal Register system to: [email protected] 799...... 51274 16 CFR 986...... 51298 The Federal Register staff cannot interpret specific documents or Proposed Rules: 996...... 50283 Ch. II ...... 51824 regulations. 1205...... 51781 CFR Checklist. Effective January 1, 2009, the CFR Checklist no 1436...... 51274 17 CFR longer appears in the Federal Register. This information can be 1940...... 51274 Proposed Rules: found online at http://bookstore.gpo.gov/. Proposed Rules: 3...... 51824 319...... 51381 4...... 51828 FEDERAL REGISTER PAGES AND DATE, AUGUST 929...... 51383 210...... 51608 948...... 50406 229...... 51608 50283–50604...... 1 230...... 51608 9 CFR 50605–51074...... 2 239...... 51608 51075–51296...... 3 77...... 52325 240...... 51608 51297–51772...... 4 Proposed Rules: 249...... 51608 274...... 51608 51773–52320...... 5 1...... 51386 2...... 51386 52321–52588...... 8 3...... 51386 18 CFR 52589–52740...... 9 35...... 50290 10 CFR 154...... 51100 Proposed Rules: Proposed Rules: 429...... 51812 35...... 51726 430...... 52196 431...... 51812 19 CFR 951...... 51140 351...... 50617

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20 CFR 117 ...... 50320, 50621, 52335 162...... 51425 Proposed Rules: 404...... 51100 165 ...... 50622, 51798, 51801, 166...... 51425 212...... 50652 620...... 50298 52335, 52339 257...... 51838 246...... 50680 745...... 52393 252...... 50680 Proposed Rules: 34 CFR 404...... 51412 42 CFR 36...... 50321 49 CFR Ch. II ...... 52341 405...... 51116 21 CFR 40...... 52364 Ch. III ...... 50324 412...... 52056 11...... 50303 665...... 50367 413...... 51970 101...... 50303 1002...... 50652 36 CFR 418...... 52144 610...... 52329 1040...... 51343 242...... 52528 424...... 51116, 51120 1105...... 52329 455...... 51116, 51120 Proposed Rules: Proposed Rules: 391...... 52608 38 CFR Proposed Rules: 175...... 52370 1109...... 51147 Proposed Rules: 413...... 51147 176...... 52370 1144...... 51149 17...... 51836 414...... 51147 177...... 52370 1145...... 51149 494...... 51147 178...... 52370 39 CFR 510...... 50794 1105...... 52371 230...... 50624 512...... 50794 50 CFR 22 CFR Proposed Rules: 17...... 51348, 51550 3001...... 51145 43 CFR 18...... 52276 239...... 50618 10...... 52352 32...... 52248 40 CFR 26 CFR 36...... 52248 51...... 50330 44 CFR 100...... 52528 301...... 51795 52 ...... 50336, 50339, 50342, 64...... 51808, 52353 216...... 51126 Proposed Rules: 50348, 50351, 50353, 50358, 224...... 50394 1 ...... 50657, 50671, 51413 50360, 50362, 50626, 50628, 47 CFR 300...... 50401, 51126 25...... 51413 51341 1...... 52354 600...... 51126 301 ...... 50657, 50671, 51835 56...... 51102 4...... 52354 622...... 51138, 52366 60...... 52346 635...... 51810 28 CFR 63 ...... 51114, 52346, 52348 48 CFR 648 ...... 51370, 51374, 52366 Proposed Rules: 97...... 50630 202...... 50635 660...... 51126 31...... 52377 180...... 50630, 52348 212...... 50635 679 ...... 50404, 50405, 51379, 257...... 51802 225...... 50650 51380, 52367 30 CFR Proposed Rules: 242...... 50635 Proposed Rules: 1241...... 50306 51...... 50408 245...... 50652 Ch. II ...... 51426 52 ...... 50409, 50415, 50416, 246...... 50635 Ch. III ...... 51426 32 CFR 50426, 50427, 50428, 50430, 252 ...... 50635, 50650, 50652 Ch. IV...... 51426 1911...... 52591 52388 609...... 51125 Ch. V...... 51426 63...... 51145 649...... 51125 Ch. VI...... 51426 33 CFR 122...... 50434 1816...... 50365 635...... 51165 100...... 50319, 50621 152...... 51425 1852...... 50365 679 ...... 50436, 50444, 52394

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in today’s List of Public enacted public laws. To Laws. subscribe, go to http:// LIST OF PUBLIC LAWS Public Laws Electronic listserv.gsa.gov/archives/ Last List August 4, 2016 Notification Service publaws-l.html (PENS) Note: No public bills which Note: This service is strictly have become law were for E-mail notification of new received by the Office of the PENS is a free electronic mail laws. The text of laws is not Federal Register for inclusion notification service of newly available through this service. PENS cannot respond to specific inquiries sent to this address.

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